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Official Journal
L 132
of the European Union
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Volume 57
English edition
Legislation
3 May 2014
Contents
I
Legislative acts
DECISIONS
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Decision No 445/2014/EU of the European Parliament and of the Council of 16 April 2014
establishing a Union action for the European Capitals of Culture for the years 2020 to 2033
and repealing Decision No 1622/2006/EC ...........................................................................
1
II
Non-legislative acts
REGULATIONS
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Commission Regulation (EU) No 446/2014 of 2 May 2014 amending Regulation (EC)
No 295/2008 of the European Parliament and of the Council concerning structural business
statistics, and Commission Regulations (EC) No 251/2009 and (EU) No 275/2010, as regards
the series of data to be produced and the criteria for evaluation of the quality of structural
business statistics (1) ......................................................................................................... 13
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Commission Implementing Regulation (EU) No 447/2014 of 2 May 2014 on the specific rules
for implementing Regulation (EU) No 231/2014 of the European Parliament and of the Council
establishing an Instrument for Pre-accession assistance (IPA II) ............................................. 32
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Commission Implementing Regulation (EU) No 448/2014 of 2 May 2014 amending Imple-
menting Regulation (EU) No 1035/2011 by updating references to the Annexes to the Chicago
Convention (1) ................................................................................................................. 53
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Commission Implementing Regulation (EU) No 449/2014 of 2 May 2014 amending Imple-
menting Regulation (EU) No 498/2012 on the allocation of tariff-rate quotas applying to
exports of wood from the Russian Federation to the European Union ................................... 57
(1) Text with EEA relevance
(Continued overleaf)
EN Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for
a limited period.
The titles of all other acts are printed in bold type and preceded by an asterisk.
EN
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Commission Implementing Regulation (EU) No 450/2014 of 30 April 2014 amending for the
213th time Council Regulation (EC) No 881/2002 imposing certain specific restrictive
measures directed against certain persons and entities associated with the Al-Qaeda network 59
Commission Implementing Regulation (EU) No 451/2014 of 2 May 2014 establishing the standard
import values for determining the entry price of certain fruit and vegetables ................................. 61
DECISIONS
2014/244/CFSP:
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Political and Security Committee Decision Atalanta/2/2014 of 29 April 2014 on the acceptance
of a third State's contribution to the European Union military operation to contribute to the
deterrence, prevention and repression of acts of piracy and armed robbery off the Somali
coast (Atalanta) and amending Decision ATALANTA/3/2009 ............................................... 63
2014/245/EU:
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Commission Implementing Decision of 28 April 2014 on the recognition of the legal and
supervisory framework of Brazil as equivalent to the requirements of Regulation (EC)
No 1060/2009 of the European Parliament and of the Council on credit rating agencies (1) 65
2014/246/EU:
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Commission Implementing Decision of 28 April 2014 on the recognition of the legal and
supervisory framework of Argentina as equivalent to the requirements of Regulation (EC)
No 1060/2009 of the European Parliament and of the Council on credit rating agencies (1) 68
2014/247/EU:
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Commission Implementing Decision of 28 April 2014 on the recognition of the legal and
supervisory framework of Mexico as equivalent to the requirements of Regulation (EC)
No 1060/2009 of the European Parliament and of the Council on credit rating agencies (1) 71
2014/248/EU:
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Commission Implementing Decision of 28 April 2014 on the recognition of the legal and
supervisory framework of Singapore as equivalent to the requirements of Regulation (EC)
No 1060/2009 of the European Parliament and of the Council on credit rating agencies (1) 73
2014/249/EU:
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Commission Implementing Decision of 28 April 2014 on the recognition of the legal and
supervisory framework of Hong Kong as equivalent to the requirements of Regulation (EC)
No 1060/2009 of the European Parliament and of the Council on credit rating agencies (1) 76
2014/250/EU:
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Commission Implementing Decision of 29 April 2014 amending Decision 2010/221/EU as
regards the approval of national measures for preventing the introduction of ostreid herpes-
virus 1 μvar (OsHV-1 μVar) into certain areas of Ireland and the United Kingdom (notified under
document C(2014) 2763) (1) ................................................................................................. 79
(1) Text with EEA relevance
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2014/251/EU:
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Commission Implementing Decision of 29 April 2014 on the clearance of the accounts of the
paying agencies of Member States concerning expenditure financed by the European
Agricultural Fund for Rural Development (EAFRD) for the 2013 financial year (notified under
document C(2014) 2785) .................................................................................................... 81
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I
(Legislative acts)
DECISIONS
DECISION No 445/2014/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 16 April 2014
establishing a Union action for the European Capitals of Culture for the years 2020 to 2033 and
repealing Decision No 1622/2006/EC
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular the first indent of Article 167(5)
thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinions of the Committee of the Regions (1),
Acting in accordance with the ordinary legislative procedure (2),
Whereas:
(1)
The Treaty on the Functioning of the European Union (TFEU) aims at an ever closer union among the peoples of
Europe and confers on the Union the task, inter alia, of contributing to the flowering of the cultures of the
Member States, while respecting their national and regional diversity and at the same time bringing the common
cultural heritage to the fore. In this respect, the Union, where necessary, supports and supplements Member
States' action to improve the knowledge and dissemination of the culture and history of the European peoples.
(2)
The Commission Communication of 10 May 2007 on a European agenda for culture in a globalizing world,
endorsed by the Council in its resolution of 16 November 2007 (3) and by the European Parliament in its reso
lution of 10 April 2008 (4), sets the objectives for future activities of the Union in the field of culture. Those
activities should promote cultural diversity and intercultural dialogue, culture as a catalyst for creativity within
the framework for growth and jobs and culture as a vital element in the Union's international relations.
(3)
The Unesco Convention on the Protection and Promotion of the Diversity of Cultural Expressions, which entered
into force on 18 March 2007 and to which the Union is a party, aims at protecting and promoting cultural diver
sity, fostering interculturality and raising awareness of the value of cultural diversity at local, national and interna
tional levels.
(1) OJ C 113, 18.4.2012, p. 17 and OJ C 17, 19.1.2013, p. 97.
(2) Position of the European Parliament of 12 December 2013 (not yet published in the Official Journal) and position of the Council at first
reading of 24 March 2014 (not yet published in the Official Journal). Position of the European Parliament of 15 April 2014 (not yet
published in the Official Journal).
(3) OJ C 287, 29.11.2007, p. 1.
(4) OJ C 247 E, 15.10.2009, p. 32.
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(4)
Decision No 1622/2006/EC of the European Parliament and of the Council (1) established an action for the Euro
pean Capital of Culture event for the years 2007 to 2019.
(5)
The evaluations of the European Capitals of Culture, as well as the public consultation on the future of that
action after 2019, have revealed that it has progressively become one of the most ambitious cultural initiatives in
Europe as well as one of the most appreciated by European citizens. A new action should, therefore, be estab
lished to cover the years 2020-33.
(6)
In addition to the original objectives of the European Capitals of Culture, which were to highlight the richness
and diversity of European cultures and the features those cultures share as well as to promote greater mutual
understanding between European citizens, cities holding the title of European Capital of Culture (‘the title’) have
also progressively added a new dimension by using the leverage effect of the title to stimulate their more general
development in accordance with their respective strategies and priorities.
(7)
The objectives of the action established by this Decision should be fully in line with the objectives of the Creative
Europe Programme established by Regulation (EU) No 1295/2013 of the European Parliament and of the
Council (2), which aims to safeguard, develop and promote European cultural and linguistic diversity, to promote
Europe's cultural heritage and to strengthen the competitiveness of the European cultural and creative sectors, in
particular that of the audiovisual sector, with a view to supporting smart, sustainable and inclusive growth. The
achievement of those objectives should also help to strengthen the feeling of belonging to a common cultural
area and to stimulate intercultural dialogue and mutual understanding.
(8)
To achieve such objectives, it is important for the cities holding the title to seek to develop links between, on the
one hand, their cultural and creative sectors, and, on the other hand, sectors such as education, research, environ
ment, urban development or cultural tourism. In particular, past evidence has shown the potential of the Euro
pean Capitals of Culture as a catalyst for local development and cultural tourism as highlighted in the Commis
sion Communication of 30 June 2010 entitled ‘Europe, the world's No 1 tourist destination — a new political
framework for tourism in Europe’, welcomed by the Council in its conclusions of 12 October 2010 and endorsed
by the European Parliament in its resolution of 27 September 2011 (3).
(9)
It is also important for cities holding the title to seek to promote social inclusion and equal opportunities and to
do their utmost to ensure the broadest possible involvement of all the components of civil society in the prepar
ation and implementation of the cultural programme, with special attention being paid to young people and
marginalised and disadvantaged groups.
(10) The evaluations and the public consultation have also convincingly shown that the European Capitals of Culture
have many potential benefits when they are carefully planned. They remain first and foremost a cultural initiative,
but can also bring significant social and economic benefits, particularly when they are embedded in a long-term
culture-led development strategy for the city concerned.
(11) The European Capitals of Culture action has also been highly challenging. Staging a year-long programme of
cultural activities is demanding and some cities holding the title have been more successful than others in capita
lising on the potential. Therefore, that action should be reinforced in order to help all cities to make the most of
the title.
(12) The title should continue to be reserved to cities, irrespective of their size, but in order to reach a wider public
and amplify the impact, it should also be possible, as before, for the cities concerned to involve their surrounding
area.
(13) The award of the title should continue to be based on a specifically created cultural programme, which should
have a strong European dimension. That cultural programme should be part of a long-term strategy having a
sustainable impact on local economic, cultural and social development.
(1) Decision No 1622/2006/EC of the European Parliament and of the Council of 24 October 2006 establishing a Community action for the
European Capital of Culture event for the years 2007 to 2019 (OJ L 304, 3.11.2006, p. 1).
(2) Regulation (EU) No 1295/2013 of the European Parliament and of the Council of 11 December 2013 establishing the Creative Europe
Programme (2014 to 2020) and repealing Decisions No 1718/2006/EC, No 1855/2006/EC and No 1041/2009/EC (OJ L 347,
20.12.2013, p. 221).
(3) OJ C 56 E, 26.2.2013, p. 41.
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(14) The two-stage selection process based on a chronological list of Member States and carried out by a panel of
independent experts has proven to be fair and transparent. It has enabled cities to improve their applications
between the pre-selection and the selection phase on the basis of expert advice received from that panel, and has
ensured an equitable distribution of the title across all Member States. Furthermore, to safeguard the continuity of
the European Capitals of Culture action and avoid the loss of experience and know-how which would result from
all experts being replaced simultaneously, the replacement of experts should be staggered.
(15) National expertise should continue to be ensured by enabling Member States to appoint up to two experts to a
panel carrying out the selection and monitoring procedures.
(16) The selection criteria should be made more explicit in order to provide candidate cities with better guidance
regarding the objectives and requirements with which they need to comply in order to be awarded the title.
Those criteria should also be easier to measure in order to help the panel in the selection and monitoring of
cities. In this regard, there should be a particular focus on candidate cities' plans for legacy activities embedded in
a long-term cultural policy strategy capable of generating a sustainable cultural, economic and social impact.
(17) Candidate cities should explore the possibility, where appropriate, of seeking financial support from Union
programmes and funds.
(18) The preparation phase between the designation of a city and the year of the title is of crucial importance for the
success of the European Capitals of Culture action. There is broad consensus among stakeholders that the accom
panying measures introduced by Decision No 1622/2006/EC have been very useful for the cities concerned.
Those measures should be further developed, in particular through more frequent monitoring meetings and visits
to the cities by panel experts, and through an even stronger exchange of experience between past, present and
future cities holding the title, as well as candidate cities. Designated cities could also develop further links with
other cities holding the title.
(19) The Melina Mercouri prize established by Decision No 1622/2006/EC has acquired a strong symbolic value
which goes far beyond the actual amount awarded by the Commission. However, in order to ensure that the
designated cities fulfil their commitments, the conditions for payment of the prize money should be made more
stringent and explicit.
(20) It is important that the cities concerned make clear in all their communication material that the action established
by this Decision is a Union action.
(21) The Commission's evaluations of the past European Capitals of Culture, which are based on data collected at a
local level, have not been able to provide primary data on the impact of the title. Therefore, the cities themselves
should be the key players in the evaluation process.
(22) Past experience has shown that the participation of candidate countries can help to bring them closer to the
Union by highlighting the common aspects of European cultures. The action established by this Decision should
therefore be open to the participation of candidate countries and potential candidates after 2019.
(23) However, during the period covered by this Decision, namely from 2020 to 2033, for reasons of equity with
cities in the Member States, cities in candidate countries and potential candidates should only be allowed to parti
cipate in one competition for the title. Furthermore, likewise for reasons of equity with Member States, each
candidate country or potential candidate should only be allowed to host the title once during that period.
(24) Decision No 1622/2006/EC should be repealed. However, its provisions should continue to apply in relation to
all cities which have already been, or are in the process of being, designated for the years up to 2019.
(25) Since the objectives of this Decision, namely to safeguard and promote the diversity of cultures in Europe, to
highlight the common features they share and to foster the contribution of culture to the long-term development
of cities, cannot be sufficiently achieved by the Member States given the need, in particular, for common, clear
and transparent criteria and procedures for selection and monitoring, as well as for a strong coordination
between the Member States, but can rather, by reason of the scale and the expected effects of the action, be better
achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set
out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality as set out
in that Article, this Decision does not go beyond what is necessary in order to achieve those objectives,
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HAVE ADOPTED THIS DECISION:
Article 1
Establishment of the action
A Union action entitled ‘European Capitals of Culture’ is hereby established for the years 2020 to 2033 (‘the action’).
Article 2
Objectives
1.
The general objectives of the action are:
(a) to safeguard and promote the diversity of cultures in Europe and to highlight the common features they share as
well as to increase citizens' sense of belonging to a common cultural area;
(b) to foster the contribution of culture to the long-term development of cities in accordance with their respective strat
egies and priorities.
2.
The specific objectives of the action are:
(a) to enhance the range, diversity and European dimension of the cultural offering in cities, including through transna
tional cooperation;
(b) to widen access to and participation in culture;
(c) to strengthen the capacity of the cultural sector and its links with other sectors;
(d) to raise the international profile of cities through culture.
Article 3
Access to the action
1.
The competition for the title shall be open to cities, which may involve their surrounding areas.
2.
The number of cities holding the title in a given year (‘the year of the title’) shall not exceed three.
The title shall be awarded each year to a maximum of one city in each of the two Member States appearing in the
calendar set out in the Annex (‘the calendar’) and, in the relevant years, to one city from a candidate country or a poten
tial candidate, or to one city from a country that accedes to the Union in the circumstances set out in paragraph 5.
3.
Cities in Member States shall be entitled to hold the title for one year in accordance with the order of the Member
States appearing in the calendar.
4.
Cities in candidate countries and potential candidates which participate in the Creative Europe Programme or in
the subsequent Union programmes supporting culture at the date of publication of the call for submission of applica
tions referred to in Article 10(2) may apply for the title for one year in the framework of an open competition organised
every third year in accordance with the calendar.
Cities in candidate countries and potential candidates shall only be allowed to participate in one competition during the
period from 2020 to 2033.
Each candidate country or potential candidate shall only be allowed to host the title once during the period from 2020
to 2033.
5.
Where a country accedes to the Union after 4 May 2014 but before 1 January 2027, it shall be entitled to host the
title seven years after its accession in accordance with the rules and procedures applicable to Member States. The
calendar shall be updated accordingly. Where a country accedes to the Union on or after 1 January 2027, it shall not be
entitled to participate in the action as a Member State.
However, in years where there are already three cities holding the title in accordance with the calendar, cities in countries
referred to in the first subparagraph shall only be entitled to hold the title in the next available year in the calendar, in
the order of accession of those countries.
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If a city from a country referred to in the first subparagraph has previously participated in a competition for candidate
countries and potential candidates, it may not participate in any subsequent competition for Member States. Where,
during the period from 2020 to 2033, a city from such a country has been designated to hold the title in accordance
with paragraph 4, that country shall not be entitled, after its accession, to organise a competition as a Member State
during that period.
If more than one country accedes to the Union on the same date and if there is no agreement on the order of participa
tion in the action between those countries, the Council shall organise a draw.
Article 4
Application
1.
A common application form based on the criteria laid down in Article 5 shall be prepared by the Commission and
used by all candidate cities.
Where a candidate city involves its surrounding area, the application shall be made under the name of that city.
2.
Every application shall be based on a cultural programme with a strong European dimension.
The cultural programme shall cover the year of the title and shall be created specifically for the title, in accordance with
the criteria laid down in Article 5.
Article 5
Criteria
The criteria for the assessment of applications (‘the criteria’) shall be divided into the categories ‘contribution to the
long-term strategy’, ‘European dimension’, ‘cultural and artistic content’, ‘capacity to deliver’, ‘outreach’ and ‘management’
as follows:
(1) as regards the ‘contribution to the long-term strategy’ category, the following factors shall be taken into account:
(a) that a cultural strategy for the candidate city, which covers the action and includes plans for sustaining the
cultural activities beyond the year of the title, is in place at the time of its application;
(b) the plans to strengthen the capacity of the cultural and creative sectors, including developing long-term links
between the cultural, economic and social sectors in the candidate city;
(c) the envisaged long-term cultural, social and economic impact, including urban development, that the title would
have on the candidate city;
(d) the plans for monitoring and evaluating the impact of the title on the candidate city and for disseminating the
results of the evaluation;
(2) as regards the ‘European dimension’ category, the following factors shall be assessed:
(a) the scope and quality of activities promoting the cultural diversity of Europe, intercultural dialogue and greater
mutual understanding between European citizens;
(b) the scope and quality of activities highlighting the common aspects of European cultures, heritage and history, as
well as European integration and current European themes;
(c) the scope and quality of activities featuring European artists, cooperation with operators or cities in different
countries, including, where appropriate, cities holding the title, and transnational partnerships;
(d) the strategy to attract the interest of a broad European and international public;
(3) as regards the ‘cultural and artistic content’ category, the following factors shall be assessed:
(a) a clear and coherent artistic vision and strategy for the cultural programme;
(b) the involvement of local artists and cultural organisations in the conception and implementation of the cultural
programme;
(c) the range and diversity of the activities proposed and their overall artistic quality;
(d) the capacity to combine local cultural heritage and traditional art forms with new, innovative and experimental
cultural expressions;
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(4) as regards the ‘capacity to deliver’ category, the candidate cities shall demonstrate that:
(a) the application has broad and strong political support and a sustainable commitment from the local, regional
and national authorities;
(b) the candidate city has or will have an adequate and viable infrastructure to hold the title;
(5) as regards the ‘outreach’ category, the following factors shall be assessed:
(a) the involvement of the local population and civil society in the preparation of the application and the implemen
tation of the action;
(b) the creation of new and sustainable opportunities for a wide range of citizens to attend or participate in cultural
activities, in particular young people, volunteers and the marginalised and disadvantaged, including minorities,
with special attention being given to persons with disabilities and the elderly as regards the accessibility of those
activities;
(c) the overall strategy for audience development, and in particular the link with education and the participation of
schools;
(6) as regards the ‘management’ category, the following factors shall be assessed:
(a) the feasibility of the fund-raising strategy and proposed budget, which includes, where appropriate, plans to seek
financial support from Union programmes and funds, and covers the preparation phase, the year of the title, the
evaluation and provisions for the legacy activities, and contingency planning;
(b) the envisaged governance and delivery structure for the implementation of the action which provides, inter alia,
for appropriate cooperation between the local authorities and the delivery structure, including the artistic team;
(c) the procedures for the appointment of the general and artistic directors and their fields of action;
(d) that the marketing and communication strategy is comprehensive and highlights that the action is a Union
action;
(e) that the delivery structure has staff with appropriate skills and experience to plan, manage and deliver the
cultural programme for the year of the title.
Article 6
Expert panel
1.
A panel of independent experts (‘the panel’) shall be established to carry out the selection and monitoring proced
ures.
2.
The panel shall consist of 10 experts appointed by Union institutions and bodies (‘the European experts’) in
accordance with paragraph 3.
3.
After organising an open call for expressions of interest, the Commission shall propose a pool of potential Euro
pean experts.
The European Parliament, the Council and the Commission shall select three experts each from that pool and appoint
them in accordance with their respective procedures.
The Committee of the Regions shall select one expert from the pool and appoint that expert in accordance with its pro
cedures.
When selecting European experts, each of those Union institutions and bodies shall seek to ensure complementarity of
the competences, a balanced geographical distribution and gender balance in the overall composition of the panel.
4.
In addition to the European experts, for the selection and monitoring of a city from a Member State, the Member
State concerned shall be entitled to appoint up to two experts to the panel in accordance with its own procedures and
in consultation with the Commission.
5.
All experts shall:
(a) be citizens of the Union;
(b) be independent;
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(c) have substantial experience and expertise in:
(i) the cultural sector;
(ii) the cultural development of cities; or
(iii) the organisation of a European Capital of Culture event or an international cultural event of similar scope and
scale;
(d) be in a position to devote an appropriate number of working days per year to the panel.
6.
The panel shall designate its chairperson.
7.
The European experts shall be appointed for a period of three years.
Notwithstanding the first subparagraph, as regards the first establishment of the panel, the European Parliament shall
appoint its experts for three years, the Commission for two years and the Council and the Committee of the Regions for
one year.
8.
All experts shall declare any actual or potential conflict of interest in respect of a specific candidate city. In the
event of such a declaration, or if such a conflict of interest comes to light, the expert concerned shall resign and the rele
vant Union institution or body or Member State shall replace that expert for the remainder of the mandate, in accord
ance with the relevant procedure.
Article 7
Submission of applications in the Member States
1.
Each Member State shall be responsible for the organisation of the competition between its cities in accordance
with the calendar.
2.
The Member States concerned shall publish a call for submission of applications at least six years before the year
of the title.
By way of derogation from the first subparagraph, the Member States entitled to designate a city to hold the title in
2020 shall publish such a call as soon as possible after 4 May 2014.
Each call for submission of applications shall contain the application form referred to in Article 4(1).
The deadline for submitting applications by candidate cities under each call for submission of applications shall be sched
uled at the earliest 10 months after its publication.
3.
The Member States concerned shall notify the applications to the Commission.
Article 8
Pre-selection in the Member States
1.
Each Member State concerned shall convene the panel for a pre-selection meeting with the candidate cities no later
than five years before the year of the title.
By way of derogation from the first subparagraph, the Member States entitled to designate the cities to hold the title for
the year 2020 may extend that deadline for a maximum of one year.
2.
The panel, after assessing the applications in accordance with the criteria, shall agree on a shortlist of candidate
cities and shall issue a pre-selection report on all the applications, providing, inter alia, recommendations to the short-
listed candidate cities.
3.
The panel shall submit the pre-selection report to the Member States concerned and to the Commission.
4.
Each Member State concerned shall formally approve the shortlist based on the report of the panel.
Article 9
Selection in the Member States
1.
The shortlisted candidate cities shall complete and revise their applications with a view to complying with the
criteria as well as taking into account the recommendations contained in the pre-selection report, and shall submit them
to the Member State concerned, which shall then transmit them to the Commission.
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2.
Each Member State concerned shall convene the panel for a selection meeting with the shortlisted candidate cities
no later than nine months after the pre-selection meeting.
Where necessary, the Member State concerned, in consultation with the Commission, may extend that nine-month dead
line for a reasonable period.
3.
The panel shall assess the completed and revised applications.
4.
The panel shall issue a selection report on the applications of the shortlisted candidate cities with a recommenda
tion for the designation of a maximum of one city in the Member State concerned.
The selection report shall also contain recommendations to the city concerned regarding the progress to be made by the
year of the title.
The panel shall submit the selection report to the Member State concerned and to the Commission.
5.
Notwithstanding paragraph 4, if none of the candidate cities fulfils all the criteria, the panel may recommend that
the title not be awarded for the year in question.
Article 10
Pre-selection and selection in candidate countries and potential candidates
1.
The Commission shall be responsible for the organisation of the competition between cities in candidate countries
and potential candidates.
2.
The Commission shall publish in the
Official Journal of the European Union a call for submission of applications at
least six years before the year of the title.
Each call for submission of applications shall contain the application form referred to in Article 4(1).
The deadline for submitting applications under each call for submission of applications shall be scheduled at the earliest
10 months after its publication.
3.
The pre-selection of the cities shall be carried out by the panel at least five years before the year of the title, on the
basis of their respective applications. No meeting with the candidate cities shall be organised.
The panel, after assessing the applications in accordance with the criteria, shall agree on a shortlist of candidate cities
and shall issue a pre-selection report on all the applications, providing, inter alia, recommendations to the shortlisted
candidate cities.
The panel shall submit the pre-selection report to the Commission.
4.
The shortlisted candidate cities shall complete and revise their applications with a view to complying with the
criteria as well as taking into account the recommendations contained in the pre-selection report, and submit them to
the Commission.
The Commission shall convene the panel for a selection meeting with the shortlisted candidate cities no later than nine
months after the pre-selection meeting.
Where necessary, the Commission may extend that nine-month deadline for a reasonable period.
5.
The panel shall assess the completed and revised applications.
6.
The panel shall issue a selection report on the applications of the shortlisted candidate cities together with a
recommendation for the designation of a maximum of one city in one candidate country or potential candidate.
The selection report shall also contain recommendations to the city concerned regarding the progress to be made by the
year of the title.
The panel shall submit the selection report to the Commission.
7.
Notwithstanding paragraph 6, if none of the candidate cities fulfils all the criteria, the panel may recommend that
the title not be awarded for the year in question.
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Official Journal of the European Union
L 132/9
Article 11
Designation
1.
Each Member State concerned shall designate one city to hold the title, on the basis of the recommendations
contained in the selection report of the panel, and shall notify, no later than four years before the year of the title, the
European Parliament, the Council, the Commission and the Committee of the Regions of that designation.
By way of derogation from the first subparagraph, the Member States entitled to designate the cities to hold the title for
the year 2020 may extend that deadline for a maximum of one year.
2.
In the case of candidate countries and potential candidates, the Commission shall designate one city to hold the
title in the relevant years, on the basis of the recommendations contained in the selection report of the panel, and shall
notify, no later than four years before the year of the title, the European Parliament, the Council and the Committee of
the Regions of that designation.
3.
The designations referred to in paragraphs 1 and 2 shall be accompanied by a justification based on the reports of
the panel.
4.
Where a city involves its surrounding area, the designation shall apply to the city.
5.
Within two months of notification of designations, the Commission shall publish the list of the cities designated as
European Capitals of Culture in the C series of the
Official Journal of the European Union.
Article 12
Cooperation between designated cities
Cities designated for the same year shall seek to develop links between their cultural programmes and such cooperation
may be considered in the framework of the monitoring procedure laid down in Article 13.
Article 13
Monitoring
1.
The panel shall monitor the preparation of the designated cities for the year of the title and provide them with
support and guidance from the time of their designation to the beginning of the year of the title.
2.
To that end, the Commission shall convene three monitoring meetings which shall be attended by the panel and
the designated cities, as follows:
(a) three years before the year of the title;
(b) 18 months before the year of the title;
(c) two months before the year of the title.
The Member State or candidate country or potential candidate concerned may nominate an observer to attend those
meetings.
The designated cities shall submit progress reports to the Commission six weeks before each monitoring meeting.
During the monitoring meetings, the panel shall take stock of the preparations and give advice with a view to helping
the designated cities to develop a high-quality cultural programme and an effective strategy. The panel shall pay special
attention to the recommendations laid down in the selection report and in any preceding monitoring reports referred to
in paragraph 3.
3.
After each monitoring meeting, the panel shall issue a monitoring report on the state of preparations and any
steps to be taken.
The panel shall transmit its monitoring reports to the Commission, as well as to the designated cities and to the Member
State or candidate country or potential candidate concerned.
4.
In addition to the monitoring meetings, the Commission may organise visits by the panel to the designated cities
whenever necessary.
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Official Journal of the European Union
3.5.2014
Article 14
Prize
1.
The Commission may award a pecuniary prize in honour of Melina Mercouri (‘the prize’) to a designated city,
subject to the funding made available under the relevant multiannual financial framework.
The legal and financial aspects of the prize shall be dealt with in the framework of the respective Union programmes
supporting culture.
2.
The prize money shall be paid by the end of March of the year of the title, provided that the designated city
concerned continues to honour the commitments it made at the application stage, complies with the criteria and takes
into account the recommendations contained in the selection and monitoring reports.
The commitments made at the application stage shall be deemed to have been honoured by the designated city where
no substantial change has been made to the programme and the strategy between the application stage and the year of
the title, in particular where:
(a) the budget has been maintained at a level capable of delivering a high-quality cultural programme in line with the
application and the criteria;
(b) the independence of the artistic team has been appropriately respected;
(c) the European dimension has remained sufficiently strong in the final version of the cultural programme;
(d) the marketing and communication strategy and the communication material used by the designated city clearly
reflects the fact that the action is a Union action;
(e) the plans for the monitoring and evaluation of the impact of the title on the designated city are in place.
Article 15
Practical arrangements
The Commission shall in particular:
(a) ensure the overall coherence of the action;
(b) ensure coordination between the Member States and the panel;
(c) in the light of the objectives referred to in Article 2 and of the criteria, establish guidelines to assist with the selec
tion and monitoring procedures in close cooperation with the panel;
(d) provide technical support to the panel;
(e) publish, on its website, all reports of the panel;
(f) make public all relevant information and contribute to the visibility of the action at the European and international
levels;
(g) foster the exchange of experience and of good practices between past, present and future cities holding the title, as
well as candidate cities, and promote wider dissemination of the cities' evaluation reports and lessons learned.
Article 16
Evaluation
1.
Each city concerned shall be responsible for the evaluation of the results of its year as a European Capital of
Culture.
The Commission shall establish common guidelines and indicators for the cities concerned based on the objectives
referred to in Article 2 and on the criteria in order to ensure a coherent approach to the evaluation procedure.
The cities concerned shall draw up their evaluation reports and transmit them to the Commission by 31 December of
the year following the year of the title.
The Commission shall publish the evaluation reports on its website.
2.
In addition to the cities' evaluations, the Commission shall ensure that external and independent evaluations of the
results of the action are produced on a regular basis.
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The external and independent evaluations shall focus on placing all past European Capitals of Culture in a European
context, allowing comparisons to be drawn and useful lessons to be learned for future European Capitals of Culture, as
well as for all European cities. Those evaluations shall include an assessment of the action as a whole, including the effi
ciency of the processes involved in running it, its impact and ways in which it could be improved.
The Commission shall present to the European Parliament, the Council and the Committee of the Regions the following
reports based on those evaluations, accompanied, if appropriate, by relevant proposals:
(a) an initial interim report by 31 December 2024;
(b) a second interim report by 31 December 2029;
(c) an
ex post report by 31 December 2034.
Article 17
Repeal and transitional provision
Decision No 1622/2006/EC is hereby repealed. It shall however continue to apply in the case of cities which have been
designated or are in the process of being designated as European Capitals of Culture for the years from 2013 to 2019.
Article 18
Entry into force
This Decision shall enter into force on the day following that of its publication in the
Official Journal of the European
Union.
Done at Strasbourg, 16 April 2014.
For the European Parliament
For the Council
The President
The President
M. SCHULZ
D. KOURKOULAS
L 132/12
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Official Journal of the European Union
3.5.2014
ANNEX
CALENDAR
2020
Croatia
Ireland
2021
Romania
Greece
Candidate country or potential
candidate
2022
Lithuania
Luxembourg
2023
Hungary
United Kingdom
2024
Estonia
Austria
Candidate country or potential
candidate
2025
Slovenia
Germany
2026
Slovakia
Finland
2027
Latvia
Portugal
Candidate country or potential
candidate
2028
Czech Republic
France
2029
Poland
Sweden
2030
Cyprus
Belgium
Candidate country or potential
candidate
2031
Malta
Spain
2032
Bulgaria
Denmark
2033
Netherlands
Italy
Candidate country or potential
candidate
3.5.2014
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Official Journal of the European Union
L 132/13
II
(Non-legislative acts)
REGULATIONS
COMMISSION REGULATION (EU) No 446/2014
of 2 May 2014
amending Regulation (EC) No 295/2008 of the European Parliament and of the Council concerning
structural business statistics, and Commission Regulations (EC) No 251/2009 and (EU)
No 275/2010, as regards the series of data to be produced and the criteria for evaluation of the
quality of structural business statistics
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 295/2008 of the European Parliament and of the Council of 11 March 2008
concerning structural business statistics (1), and in particular Article 11(2)(a), (b), (d), (e) and (j) thereof,
Whereas:
(1)
Regulation (EC) No 295/2008 of the European Parliament and the Council established a common framework for
the collection, transmission and evaluation of European statistics on the structure, activity, competitiveness and
performance of businesses in the Union.
(2)
Commission Regulation (EC) No 251/2009 (2) established the frequency of the compilation of the multiannual
structural business statistics and the breakdown of the results for the production of structural business statistics
in order to produce data comparable and harmonised between Member States.
(3)
Commission Regulation (EU) No 275/2010 (3) laid down the criteria for the evaluation of quality and the
contents of the quality reports to be provided by the Member States.
(4)
It is necessary to update the list of characteristics by specifying data series on the demography of enterprises with
at least one employee to respond to the need for increased international comparability of results, especially for
statistics on entrepreneurship. The first reference year, the frequency and the breakdown of results for these char
acteristics should also be established. Therefore, Annex IX to Regulation (EC) No 295/2008 and Annex I to Regu
lation (EC) No 251/2009 should be amended accordingly.
(5)
Experience has shown that the characteristics established in Annexes V to VII to Regulation (EC) No 295/2008
are not needed at the current annual frequency. The frequency should therefore be adapted to a compilation once
every 10 years. Annex I to Regulation (EC) No 251/2009 should be amended accordingly.
(6)
The quality reports on the statistics compiled pursuant to Annexes V to VII of Regulation (EC) No 295/2008 are
no longer needed on a yearly basis. Their frequency should therefore be adapted to a submission every 10 years
in line with the data requirements. The Annex to Regulation (EU) No 275/2010 should be amended accordingly.
(1) OJ L 97, 9.4.2008, p. 13.
(2) Commission Regulation (EC) No 251/2009 of 11 March 2009 implementing and amending Regulation (EC) No 295/2008 of the Euro
pean Parliament and of the Council as regards the series of data to be produced for structural business statistics and the adaptations neces
sary after the revision of the statistical classification of products by activity (CPA) (OJ L 86, 31.3.2009, p. 170).
(3) Commission Regulation (EU) No 275/2010 of 30 March 2010 implementing Regulation (EC) No 295/2008 of the European Parliament
and of the Council, as regards the criteria for the evaluation of the quality of structural business statistics (OJ L 86, 1.4.2010, p. 1).
L 132/14
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Official Journal of the European Union
3.5.2014
(7)
For the purposes of ensuring a better monitoring of progress in innovation in the context of the Europe 2020
strategy, Union and national stakeholders have called for a single integrated indicator. This indicator is, inter alia,
meant to benchmark employment in innovative, high-growth enterprises across Europe and internationally.
Providing the data underlying this new indicator is urgent so as to allow its use in the European Semester 2014.
Regulation (EC) No 295/2008 should thus be amended accordingly.
(8)
The measures provided for in this Regulation are in accordance with the opinion of the European Statistical
System Committee,
HAS ADOPTED THIS REGULATION:
Article 1
Annexes I, V, VI, VII and IX to Regulation (EC) No 295/2008 are amended in accordance with Annex I to this Regu
lation.
Article 2
Annexes I and II to Regulation (EC) No 251/2009 are amended in accordance with Annex II to this Regulation.
Article 3
The Annex to Regulation (EU) No 275/2010 is amended in accordance with Annex III to this Regulation.
Article 4
This Regulation shall enter into force on the twentieth day following that of its publication in the
Official Journal of the
European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 2 May 2014.
For the Commission
The President
José Manuel BARROSO
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Official Journal of the European Union
L 132/15
ANNEX I
Annexes I, V, VI, VII and IX to Regulation (EC) No 295/2008 are amended as follows:
1. in Annex I, point 1 of Section 8 ‘Transmission of results’ is replaced by the following:
‘1. The results are to be transmitted within 18 months of the end of the calendar year of the reference period, except
for the NACE Rev. 2 activity classes 64.11 and 64.19. For the NACE Rev. 2 activity classes 64.11 and 64.19 the
transmission delay is 10 months. The transmission delay of the results on the activity classes covered by the
NACE Rev. 2 groups 64.2, 64.3 and 64.9 and division 66 will be decided in accordance with the regulatory
procedure with scrutiny referred to in Article 12(3).’;
2. in Annex V, Section 5 is replaced by the following:
‘SECTION 5
First reference year
The first reference year for which statistics are compiled for the characteristics listed in Section 4 is the calendar
year 2008.’;
3. Annex VI is amended as follows:
(a) in Section 4(d) the word ‘annual’ is replaced by ‘multi-yearly’;
(b) Section 5 is replaced by the following:
‘SECTION 5
First reference year
The first reference year for which statistics are compiled for the characteristics listed in Section 4 is the calendar
year 2008.’;
4. Annex VII is amended as follows:
(a) in Sections 4(2) and 4(3) the word ‘annual’ is replaced by ‘multi-yearly’;
(b) Section 5 is replaced by the following:
‘SECTION 5
First reference year
The first reference year for which statistics are compiled for the characteristics listed in Section 4 is the calendar
year 2008.’;
5. Annex IX is amended as follows:
(a) the following characteristics are added to Section 5, point 1:
‘11 01 0
Population of active enterprises having at least one employee in t
11 02 0
Number of active enterprises that have the first employee in t
11 03 0
Number of enterprises having no employees anymore from any point in time in t
11 04 1
Number of enterprises that had the first employee at any point in time in t – 1 and that had also
at least one employee at any point in time in t
11 04 2
Number of enterprises that had the first employee at any point in time in t – 2 and that had also
at least one employee at any point in time in t
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3.5.2014
11 04 3
Number of enterprises that had the first employee at any point in time in t – 3 and that had also
at least one employee at any point in time in t
11 04 4
Number of enterprises that had the first employee at any point in time in t – 4 and that had also
at least one employee at any point in time in t
11 04 5
Number of enterprises that had the first employee at any point in time in t – 5 and that had also
at least one employee at any point in time in t
11 96 0
Number of high growth enterprises measured in employment in t’
(b) the following characteristics are added to Section 5, point 2:
‘16 01 0
Number of persons employed in t in the population of active enterprises having at least one
employee at any point in time in t
16 01 1
Number of employees in t in the population of active enterprises having at least one employee at
any point in time in t
16 02 0
Number of persons employed in t in the population of enterprises that have the first employee in t
16 02 1
Number of employees in t in the population of enterprises that have the first employee in t
16 03 0
Number of persons employed in t in the population of enterprises that have no employees
anymore from any point in time in t
16 03 1
Number of employees in t in the population of enterprises that have no employees anymore from
any point in time in t
16 04 1
Number of persons employed in t in the population of enterprises that had the first employee at
any point in time in t – 1 and that have also at least one employee at any point in time in t
16 04 2
Number of persons employed in t in the population of enterprises that had the first employee at
any point in time in t – 2 and that have also at least one employee at any point in time in t
16 04 3
Number of persons employed in t in the population of enterprises that had the first employee at
any point in time in t – 3 and that have also at least one employee at any point in time in t
16 04 4
Number of persons employed in t in the population of enterprises that had the first employee at
any point in time in t – 4 and that have also at least one employee at any point in time in t
16 04 5
Number of persons employed in t in the population of enterprises that had the first employee at
any point in time in t – 5 and that have also at least one employee at any point in time in t
16 05 1
Number of persons employed in t – 1 in the population of enterprises that had the first employee
at any point in time in t – 1 and that have also at least one employee at any point in time in t
16 05 2
Number of persons employed in t – 2 in the population of enterprises that had the first employee
at any point in time in t – 2 and that have also at least one employee at any point in time in t
16 05 3
Number of persons employed in t – 3 in the population of enterprises that had the first employee
at any point in time in t – 3 and that have also at least one employee at any point in time in t
16 05 4
Number of persons employed in t – 4 in the population of enterprises that had the first employee
at any point in time in t – 4 and that have also at least one employee at any point in time in t
16 05 5
Number of persons employed in t – 5 in the population of enterprises that had the first employee
at any point in time in t – 5 and that have also at least one employee at any point in time in t
16 96 1
Number of employees in high growth enterprises measured in employment in t’
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(c) Section 9 is replaced by the following:
‘SECTION 9
Preliminary results for characteristics related to enterprise deaths (11 93 0, 16 93 0 and 16 93 1) are to be trans
mitted within 18 months of the end of the calendar year of the reference period. Revised results for these charac
teristics, following the confirmation of enterprise deaths after two years of inactivity, are to be transmitted within
30 months of the same reference period.
Preliminary results for characteristics 11 03 0, 16 03 0 and 16 03 1 are to be transmitted within 20 months of
the end of the calendar year of the reference period. Revised results for these characteristics, following the confir
mation of the status after two years, are to be transmitted within 32 months of the same reference period.
All other results related to annual demographic statistics on enterprises with at least one employee are to be
transmitted within 20 months of the end of the reference period.
Preliminary results for characteristics related to high growth enterprises measured in employment are to be trans
mitted within 12 months of the end of the reference period.
All other results are to be transmitted within 18 months of the end of the calendar year of the reference period.’
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Official Journal of the European Union
3.5.2014
ANNEX II
Annex I to Regulation (EC) No 251/2009 is amended as follows:
1. point 1 is amended as follows:
(a) in the summary table, the title of series code 1D is replaced by the following:
‘Annual enterprise statistics for central banking and credit institutions classified in NACE Rev.2 64.19’
(b) the following series code is added to the summary table:
Series code
Title
‘1G
Annual enterprise statistics for insurance services and pension funds’
(c) the table labelled ‘
Annual enterprise statistics for central banking’ is replaced by the following:
‘
Annual enterprise statistics for central banking and credit institutions classified in NACE Rev.2 64.19
listed in Section 4, paragraphs 3 and 4 of Annex I to Regulation (EC) No 295/2008
Series 1D
Series name
Annual enterprise statistics for central banking and credit institutions classified in
NACE Rev.2 64.19
First reference year
2013
Frequency
Annual
Activity coverage
NACE Rev.2 class 64.11 and 64.19
Characteristics
Characteristic in Annex I section 4 paragraph 3:
11 11 0
Number of enterprises
Characteristics in Annex I section 4 paragraph 4:
12 12 0
Production value
12 15 0
Value added at factor cost
12 17 0
Gross operating surplus
13 11 0
Total purchases of goods and services
13 13 1
Payments for agency workers
13 31 0
Personnel costs
13 32 0
Wages and salaries
13 33 0
Social security costs
15 11 0
Gross investment in tangible goods
16 11 0
Number of persons employed
16 13 0
Number of employees
16 14 0
Number of employees in full-time equivalents
Level of activity breakdown
NACE Rev.2 4-digit level (class)’
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(d) the following table is added:
‘
Annual enterprise statistics for insurance services and pension funds listed in Section 4, paragraphs 3 and
4 of Annex I to Regulation (EC) No 295/2008
Series 1G
Series name
Annual enterprise statistics for insurance services and pension funds
First reference year
2013
Frequency
Annual
Activity coverage
NACE Rev.2 division 65
Characteristics
Characteristic in Annex I section 4 paragraph 3:
11 11 0
Number of enterprises
Characteristics in Annex I section 4 paragraph 4:
12 11 0
Turnover
12 12 0
Production value
12 15 0
Value added at factor cost
12 17 0
Gross operating surplus
13 11 0
Total purchases of goods and services
13 13 1
Payments for agency workers
13 31 0
Personnel costs
13 32 0
Wages and salaries
13 33 0
Social security costs
15 11 0
Gross investment in tangible goods (NACE Rev.2 groups 65.1
and 65.2 excluded)
16 11 0
Number of persons employed
16 13 0
Number of employees (NACE Rev.2 groups 65.1 and 65.2 excluded)
16 14 0
Number of employees in full-time equivalents
Level of activity breakdown
NACE Rev.2 4-digit level (class)’
2. points 5, 6 and 7 are amended as follows:
(a) in the summary tables, the word ‘Annual’ is deleted;
(b) the tables are amended as follows:
(i) in the titles and in the series names, the word ‘Annual’ is deleted;
(ii) under ‘Frequency’, the word ‘Annual’ is replaced by ‘Every 10 years’;
3. point 9 is amended as follows:
(a) the following series are added to the summary table:
Series code
Title
‘9E
Annual demographic statistics on enterprises with at least one employee, broken down
by legal form
9F
Annual demographic statistics on enterprises with at least one employee, broken down
by employee size classes
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Series code
Title
9G
Annual preliminary results on deaths of enterprises with at least one employee, broken
down by legal form
9H
Annual preliminary results on deaths of enterprises with at least one employee, broken
down by employee size classes
9M
Annual statistics on high growth enterprises measured in employment
9P
Annual preliminary statistics on high growth enterprises measured in employment’
(b) the following tables are added:
‘
Annual demographic statistics on enterprises with at least one employee, broken down by legal form
listed in Section 5, paragraphs 1 and 2 of Annex IX to Regulation (EC) No 295/2008
Series 9E
Series name
Annual demographic statistics on enterprises with at least one employee, broken
down by legal form
First reference year
2012
Frequency
Annual
Activity coverage
NACE Rev. 2 Sections B to N
Characteristics
11 01 0
Population of active enterprises having at least one employee in t
11 02 0
Number of active enterprises that have the first employee in t
11 03 0
Number of enterprises having no employees anymore in t
16 01 0
Number of persons employed in t in the population of active enter
prises having at least one employee in t
16 01 1
Number of employees in t in the population of active enterprises
having at least one employee in t
16 02 0
Number of persons employed in t in the population of enterprises
that have the first employee in t
16 02 1
Number of employees in t in the population of enterprises that have
the first employee in t
16 03 0
Number of persons employed in t in the population of enterprises
that have no employees anymore in t
16 03 1
Number of employees in t in the population of enterprises that have
no employees anymore in t
Level of activity breakdown
B
MINING AND QUARRYING
C
MANUFACTURING
10 + 11 + 12 Manufacture of food products, beverages and tobacco products
13 + 14
Manufacture of textiles and wearing apparel
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15
Manufacture of leather and related products
16
Manufacture of wood and of products of wood and cork, except furni
ture; manufacture of articles of straw and plaiting materials
17 + 18
Manufacture of paper and paper products; printing and reproduction
of recorded media
19
Manufacture of coke and refined petroleum products
20 + 21
Manufacture of chemicals and chemical products; manufacture of
basic pharmaceutical products and pharmaceutical preparations
22
Manufacture of rubber and plastic products
23
Manufacture of other non-metallic mineral products
24 + 25
Manufacture of basic metals and fabricated metal products, except
machinery and equipment
26 + 27
Manufacture of computer, electronic and optical products, manufac
ture of electrical equipment
28
Manufacture of machinery and equipment n.e.c.
29 + 30
Manufacture of motor vehicles, trailers, semi-trailers and other trans
port equipment
31 + 32
Manufacture of furniture and other manufacturing
33
Repair and installation of machinery and equipment
D
ELECTRICITY, GAS, STEAM AND AIR CONDITIONING SUPPLY
E
WATER SUPPLY; SEWERAGE, WASTE MANAGEMENT AND REME
DIATION ACTIVITIES
F
CONSTRUCTION
G
WHOLESALE AND RETAIL TRADE; REPAIR OF MOTOR VEHICLES
AND MOTORCYCLES
45
Wholesale and retail trade and repair of motor vehicles and motor
cycles
46
Wholesale trade, except of motor vehicles and motorcycles
47
Retail trade, except of motor vehicles and motorcycles
47.1
Retail sale in non-specialised stores
47.2
Retail sale of food, beverages and tobacco in specialised stores
47.3
Retail sale of automotive fuel in specialised stores
47.4
Retail sale of information and communication equipment in
specialised stores
47.5
Retail sale of other household equipment in specialised stores
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47.6
Retail sale of cultural and recreation goods in specialised stores
47.7
Retail sale of other goods in specialised stores
47.8
Retail sale via stalls and markets
47.9
Retail trade not in stores, stalls or markets
H
TRANSPORTATION AND STORAGE
49
Land transport and transport via pipelines
50
Water transport
51
Air transport
52
Warehousing and support activities for transportation
53
Postal and courier activities
I
ACCOMMODATION AND FOOD SERVICE ACTIVITIES
55
Accommodation
56
Food and beverage service activities
J
INFORMATION AND COMMUNICATION
58
Publishing activities
59
Motion picture, video and television programme production, sound
recording and music publishing activities
60
Programming and broadcasting activities
61
Telecommunications
62
Computer programming, consultancy and related activities
62.0
Computer programming, consultancy and related activities
62.01
Computer programming activities
62.02
Computer consultancy activities
62.03
Computer facilities management activities
62.09
Other information technology and computer service activities
63
Information service activities
K_X_K642 FINANCIAL
AND
INSURANCE
ACTIVITIES
EXCLUDING
ACTIVITIES OF HOLDING COMPANIES (NACE Rev.2 642)
64.1 + 64.3 + 64.9 Financial service activities, except insurance and pension
funding excluding activities of holding companies
65
Insurance, reinsurance and pension funding, except compulsory social
security
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66
Activities auxiliary to financial services and insurance activities
L
REAL ESTATE ACTIVITIES
68
Real estate activities
68.1
Buying and selling of own real estate
68.2
Renting and operating of own or leased real estate
68.3
Real estate activities on a fee or contract basis
68.31
Real estate agencies
68.32
Management of real estate on a fee or contract basis
M
PROFESSIONAL, SCIENTIFIC AND TECHNICAL ACTIVITIES
69
Legal and accounting activities
69.1
Legal activities
69.2
Accounting, bookkeeping and auditing activities; tax consultancy
70
Activities of head offices; management consultancy activities
70.1
Activities of head offices
70.2
Management consultancy activities
70.21
Public relations and communication activities
70.22
Business and other management consultancy activities
71
Architectural and engineering activities; technical testing and analysis
71.1
Architectural and engineering activities and related technical
consultancy
71.11
Architectural activities
71.12
Engineering activities and related technical consultancy
71.2
Technical testing and analysis
72
Scientific research and development
72.1
Research and experimental development on natural sciences and
engineering
72.11
Research and experimental development on biotechnology
72.19
Other research and experimental development on natural sciences and
engineering
72.2
Research and experimental development on social sciences and
humanities
73
Advertising and market research
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73.1
Advertising
73.11
Advertising agencies
73.12
Media representation
73.2
Market research and public opinion polling
74
Other professional, scientific and technical activities
74.1
Specialised design activities
74.2
Photographic activities
74.3
Translation and interpretation activities
74.9
Other professional, scientific and technical activities n.e.c.
75
Veterinary activities
N
ADMINISTRATIVE AND SUPPORT SERVICE ACTIVITIES
77
Rental and leasing activities
77.1
Renting and leasing of motor vehicles
77.11
Renting and leasing of cars and light motor vehicles
77.12
Renting and leasing of trucks
77.2
Renting and leasing of personal and household goods
77.21
Renting and leasing of recreational and sports goods
77.22
Renting of video tapes and disks
77.29
Renting and leasing of other personal and household goods
77.3
Renting and leasing of other machinery, equipment and tangible
goods
77.31
Renting and leasing of agricultural machinery and equipment
77.32
Renting and leasing of construction and civil engineering machinery
and equipment
77.33
Renting and leasing of office machinery and equipment (including
computers)
77.34
Renting and leasing of water transport equipment
77.35
Renting and leasing of air transport equipment
77.39
Renting and leasing of other machinery, equipment and tangible
goods n.e.c.
77.4
Leasing of intellectual property and similar products, except copy
righted works
78
Employment activities
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78.1
Activities of employment placement agencies
78.2
Temporary employment agency activities
78.3
Other human resources provision
79
Travel agency, tour operator and other reservation service and related
activities
79.1
Travel agency and tour operator activities
79.11
Travel agency activities
79.12
Tour operator activities
79.9
Other reservation service and related activities
80
Security and investigation activities
80.1
Private security activities
80.2
Security systems service activities
80.3
Investigation activities
81
Services to buildings and landscape activities
81.1
Combined facilities support activities
81.2
Cleaning activities
81.21
General cleaning of buildings
81.22
Other building and industrial cleaning activities
81.29
Other cleaning activities
81.3
Landscape service activities
82
Office administrative, office support and other business support
activities
82.1
Office administrative and support activities
82.11
Combined office administrative service activities
82.19
Photocopying, document preparation and other specialised office
support activities
82.2
Activities of call centres
82.3
Organisation of conventions and trade shows
82.9
Business support service activities n.e.c.
82.91
Activities of collection agencies and credit bureaus
82.92
Packaging activities
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82.99
Other business support service activities n.e.c..
Special aggregates
B_TO_N Business economy excluding NACE Rev.2 642 activities of holding
companies
B_TO_E
Industry
ICT_M
ICT Manufacturing (NACE Rev.2: 261 + 262 + 263 + 264 + 268)
G_TO_N_X_K642 Services of the business economy excluding NACE 642
activities of holding companies
ICT_T
ICT total (NACE Rev.2:
261 + 262 + 263 + 264 + 268 + 951 + 465 + 582 + 61 + 62 + 631)
ICT_S
ICT services (NACE Rev.2: 951 + 465 + 582 + 61 + 62 + 631)
ICT_W
ICT wholesale (NACE Rev.2 465)
Level of breakdown by legal 1. Personally owned and no limit to personal liability
form
2. Private or publicly quoted joint stock companies with limited liability for those
owning shares
3. Personally owned limited and unlimited liability partnerships. Included are also
other level forms such as cooperatives, associations etc.
4. All of the above legal forms’
The data, besides data relating to characteristics 11 03 0, 16 03 0, 16 03 1, included in this series shall be trans
mitted within 20 months after the end of the reference year.
The data relating to characteristics 11 03 0, 16 03 0, 16 03 1 included in this series shall be transmitted within
32 months after the end of the reference year.
Annual demographic statistics on enterprises with at least one employee, broken down by employee
size class listed in Section 5, paragraphs 1 and 2 of Annex IX to Regulation (EC) No 295/2008
Series 9F
Series name
Annual demographic statistics on enterprises with at least one employee, broken
down by employee size class
First reference year
2012
2013 for characteristics 11 04 1, 16 04 1 and 16 05 1
2014 for characteristics 11 04 2, 16 04 2 and 16 05 2
2015 for characteristics 11 04 3, 16 04 3 and 16 05 3
2016 for characteristics 11 04 4, 16 04 4 and 16 05 4
2017 for characteristics 11 04 5, 16 04 5 and 16 05 5
Frequency
Annual
Activity coverage
NACE Rev.2 Sections B to N
Characteristics
11 01 0
Population of active enterprises having at least one employee in t
11 02 0
Number of active enterprises that have the first employee in t
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11 03 0
Number of enterprises having no employees anymore in t
11 04 1
Number of enterprises that had the first employee in t – 1 and that
had also at least one employee in t
11 04 2
Number of enterprises that had the first employee in t – 2 and that
had also at least one employee in t
11 04 3
Number of enterprises that had the first employee in t – 3 and that
had also at least one employee in t
11 04 4
Number of enterprises that had the first employee in t – 4 and that
had also at least one employee in t
11 04 5
Number of enterprises that had the first employee in t – 5 and that
had also at least one employee in t
16 01 0
Number of persons employed in t in the population of active enter
prises having at least one employee in t
16 01 1
Number of employees in t in the population of active enterprises
having at least one employee in t
16 02 0
Number of persons employed in t in the population of enterprises
that have the first employee in t
16 02 1
Number of employees in t in the population of enterprises that have
the first employee in t
16 03 0
Number of persons employed in t in the population of enterprises
that have no employees anymore in t
16 03 1
Number of employees in t in the population of enterprises that have
no employees anymore in t
16 04 1
Number of persons employed in t in the population of enterprises
that had the first employee in t – 1 and that have also at least one
employee in t
16 04 2
Number of persons employed in t in the population of enterprises
that had the first employee in t – 2 and that have also at least one
employee in t
16 04 3
Number of persons employed in t in the population of enterprises
that had the first employee in t – 3 and that have also at least one
employee in t
16 04 4
Number of persons employed in t in the population of enterprises
that had the first employee in t – 4 and that have also at least one
employee in t
16 04 5
Number of persons employed in t in the population of enterprises
that had the first employee in t – 5 and that have also at least one
employee in t
16 05 1
Number of persons employed in t – 1 in the population of enterprises
that had the first employee in t – 1 and that have also at least one
employee in t
16 05 2
Number of persons employed in t – 2 in the population of enterprises
that had the first employee in t – 2 and that have also at least one
employee in t
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16 05 3
Number of persons employed in t – 3 in the population of enterprises
that had the first employee in t – 3 and that have also at least one
employee in t
16 05 4
Number of persons employed in t – 4 in the population of enterprises
that had the first employee in t – 4 and that have also at least one
employee in t
16 05 5
Number of persons employed in t – 5 in the population of enterprises
that had the first employee in t – 5 and that have also at least one
employee in t
Level of activity breakdown
See series 9E
Level of breakdown by size Number of employees: Between 1 and 4, Between 5 and 9, 10 or more, Total
classes
The data, besides data relating to characteristics 11 03 0, 16 03 0, 16 03 1, included in this series shall be trans
mitted within 20 months after the end of the reference year.
The data relating to characteristics 11 03 0, 16 03 0, 16 03 1 included in this series shall be transmitted within
32 months after the end of the reference year.
Annual preliminary results on deaths of enterprises with at least one employee, broken down by legal
form listed in Section 5, paragraphs 1 and 2 of Annex IX to Regulation (EC) No 295/2008
Series 9G
Series name
Annual preliminary results on deaths of enterprises with at least one employee,
broken down by legal form
First reference year
2012
Frequency
Annual
Activity coverage
NACE Rev.2 Sections B to N
Characteristics
11 03 0
Number of enterprises having no employees anymore in t
16 03 0
Number of persons employed in t in the population of enterprises
that have no employees anymore in t
16 03 1
Number of employees in t in the population of enterprises that have
no employees anymore in t
Level of activity breakdown
See series 9E
Level of breakdown by legal 1. Personally owned and no limit to personal liability
status
2. Private or publicly quoted joint stock companies with limited liability for those
owning shares
3. Personally owned limited and unlimited liability partnerships. Included are also
other level forms such as cooperatives, associations etc.
4. All of the above legal forms
Data included in this series shall be transmitted within 20 months after the end of the reference year.
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Annual preliminary results on deaths of enterprises with at least one employee, broken down by
employee size class listed in Section 5, paragraphs 1 and 2 of Annex IX to Regulation (EC) No 295/2008
Series 9H
Series name
Annual preliminary results on deaths of enterprises with at least one employee,
broken down by employee size class
First reference year
2012
Frequency
Annual
Activity coverage
NACE Rev.2 Sections B to N
Characteristics
11 03 0
Number of enterprises having no employees anymore in t
16 03 0
Number of persons employed in t in the population of enterprises
that have no employees anymore in t
16 03 1
Number of employees in t in the population of enterprises that have
no employees anymore in t
Level of activity breakdown
See series 9E
Level of breakdown by size Number of employees: Between 1 and 4, Between 5 and 9, 10 or more, Total
classes
Data included in this series shall be transmitted within 20 months after the end of the reference year.
Annual statistics on high growth enterprises measured in employment listed in Section 5, paragraphs 1 and 2 of
Annex IX to Regulation (EC) No 295/2008.
Series 9M
Series name
Annual statistics on high growth enterprises measured in employment
First reference year
2012
Frequency
Annual
Activity coverage
NACE Rev.2 Sections B to N, and division S95
Characteristics
11 96 0
Number of high growth enterprises measured in employment in t
16 96 1
Number of employees in the population of high growth enterprises
measured in employment in t
Level of activity breakdown
NACE Rev. 2 3-digit level (Groups)
NACE Rev. 2 2-digit level (Divisions)
NACE Rev. 2 1-digit level (Sections)
Special aggregate
B to N, plus S95 (business economy)
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Data on high growth enterprises measured in employment included in this series shall be transmitted within 18
months after the end of the reference year.
Series 9P
Series name
Annual preliminary statistics on high growth enterprises measured in employment
First reference year
2013
Frequency
Annual
Activity coverage
NACE Rev.2 Sections B to N, and division S95
Characteristics
11 96 0
Number of high growth enterprises measured in employment in t
16 96 1
Number of employees in the population of high growth enterprises
measured in employment in t
Level of activity breakdown
See series 9M
Data on high growth enterprises measured in employment included in this series shall be transmitted within
12 months after the end of the reference year.'
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ANNEX III
Section II of the Annex to Regulation (EU) No 275/2010 is replaced by the following:
‘SECTION II
Timeline
Every year starting from 2011, the Commission (Eurostat) shall supply the Member States, by the end of
January, with quality reports on reference years t – 3, in accordance with the ESS standard quality report structure
partly pre-filled with quantitative indicators and other information available to the Commission (Eurostat) on
Annexes I, II, III, IV, VIII and IX. For these Annexes, Member States shall supply the Commission (Eurostat) every
year, by 31 March, with the completed quality reports.
Every 10 years starting from 2021, the Commission (Eurostat) shall supply the Member States, by the end of
January, with quality reports on reference years t – 3, in accordance with the ESS standard quality report structure
partly pre-filled with quantitative indicators and other information available to the Commission (Eurostat) on
Annexes V, VI and VII. For these Annexes, Member States shall supply the Commission (Eurostat) every 10 years
starting from 2021, by 31 March with the completed quality reports.’
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COMMISSION IMPLEMENTING REGULATION (EU) No 447/2014
of 2 May 2014
on the specific rules for implementing Regulation (EU) No 231/2014 of the European Parliament
and of the Council establishing an Instrument for Pre-accession assistance (IPA II)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EU) No 231/2014 of the European Parliament and of the Council of 11 March 2014 estab
lishing an Instrument for Pre-accession Assistance (IPA II) (1) and in particular Article 12 thereof,
Whereas:
(1)
Regulation (EU) No 236/2014 of the European Parliament and of the Council (2) lays down rules and procedures
for the implementation of assistance which are common to all nine instruments for external action. Additional
specific rules should be laid down for addressing the specific situations in particular for indirect management, for
cross-border cooperation programmes financed under the policy area ‘regional and territorial cooperation’ and
rural development programmes financed under the policy area ‘agriculture and rural development’.
(2)
In order to ensure that pre-accession assistance is implemented in all beneficiaries listed in Annex I to the Regu
lation (EU) No 231/2014 (hereafter ‘the IPA II beneficiaries’) in the same way and respecting the principles of
sound financial management, the Commission and the IPA II beneficiaries should conclude arrangements in the
form of framework and sector-specific agreements laying down the principles for their cooperation under this
Regulation.
(3)
The Commission should support the IPA II beneficiaries in their efforts to develop their capacity to manage
Union funds according to the principles and rules provided for in Union legislation. To this effect and where
appropriate, the Commission should entrust budget implementation tasks to the IPA II beneficiaries.
(4)
The ownership of the programming and implementation of IPA II assistance should primarily lay with the IPA II
beneficiaries which should establish the required structures and authorities and submit requests to the Commis
sion to be entrusted with budget implementation tasks.
(5)
It is therefore necessary to set out specific rules for entrusting budget implementation tasks to the IPA II benefi
ciaries in accordance with Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the
Council (3) and Commission Delegated Regulation (EU) No 1268/2012 (4).
(6)
The conditions that need to be met by an acceding country are incumbent to ensure an overall quality of public
financial management.
(7)
It is necessary to define specific rules for establishing financial corrections and the procedure to be applied
towards the IPA II beneficiaries when implementing Union assistance under indirect management.
(8)
In order to ensure the effectiveness, efficiency, coherence and coordination of the implementation of Union pre-
accession financial assistance provided under Regulation (EU) No 231/2014 (hereinafter referred to as ‘IPA II
assistance’), Regulation (EU) No 236/2014 should be complemented by detailed rules on monitoring and
evaluation.
(9)
Specific rules for reporting are necessary in order to further detail the reporting requirements to be complied
with by the IPA II beneficiary.
(1) OJ L 77, 15.3.2014, p. 11.
(2) Regulation (EU) No 236/2014 of the European Parliament and of the Council of 11 March 2014 laying down common rules and proced
ures for the implementation of the Union's instruments for financing external action (OJ L 77, 15.3.2014, p. 95).
(3) Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council of 25 October 2012 on the financial rules applic
able to the general budget of the Union and repealing Council Regulation (EC, Euratom) No 1605/2002 (OJ L 298, 26.10.2012, p. 1).
(4) Commission Delegated Regulation (EU) No 1268/2012 of 29 October 2012 on the rules of application of Regulation (EU, Euratom)
No 966/2012 of the European Parliament and of the Council on the financial rules applicable to the general budget of the Union
(OJ L 362, 31.12.2012, p. 1).
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(10) Specific rules concerning the transparency and visibility of IPA II assistance should be defined in order to comply
effectively with Regulation (EC) No 45/2001 of the European Parliament and of the Council (1), Regulation (EU,
Euratom) No 966/2012 and Delegated Regulation (EU) No 1268/2012.
(11) IPA II assistance should be used, inter alia, to promote cross-border cooperation between IPA II beneficiaries as
well as between IPA II beneficiaries and Member States or countries falling within the scope of the European
Neighbourhood Instrument established by Regulation (EU) No 232/2014 of the European Parliament and of the
Council (2). The roles and responsibilities of the intervening actors need to be specified, taking into account the
different situations in particular as regards cross-border cooperation between IPA II beneficiaries and Member
States.
(12) IPA II assistance under rural development programmes in the policy area ‘agriculture and rural development’
should promote a gradual alignment with the
acquis on the Common Agricultural Policy. Specific rules are neces
sary to finance operations of a similar nature to those under the European Agriculture Fund for Rural Develop
ment, through management and control systems resembling the respective structures with functions of a similar
nature in the Member States.
(13) In order to allow for timely programming and implementation of the IPA II 2014 programmes, this Regulation
should enter into force on the third day following its publication in the
Official Journal of the European Union.
(14) The measures provided for in this Regulation are in accordance with the opinion of the IPA II Committee,
HAS ADOPTED THIS REGULATION:
TITLE I
SUBJECT MATTER AND GENERAL FRAMEWORK FOR IMPLEMENTATION OF IPA ASSISTANCE
CHAPTER I
Subject matter and definitions
Article 1
Subject matter
This Regulation lays down specific rules establishing uniform conditions for implementing Regulation (EU)
No 231/2014 and detailed rules implementing Regulation (EU) No 236/2014 with regards to methods of implementa
tion, financial management, monitoring, evaluation and reporting, transparency and visibility of IPA II assistance as well
as specific rules for cross-border cooperation in the policy area ‘regional and territorial cooperation’ and assistance
under rural development programmes in the policy area ‘agriculture and rural development’.
Article 2
Definitions
For the purposes of this Regulation the following definitions shall apply:
(a) ‘IPA II beneficiary’ means one of the beneficiaries listed in Annex I to Regulation (EU) No 231/2014;
(b) ‘programme’ means an action programme, individual, special or support measures provided for in Articles 2 and 3
of Regulation (EU) No 236/2014;
(c) ‘framework agreement’ means an arrangement concluded between the Commission and an IPA II beneficiary
applying to all IPA II policy areas and laying down the principles of the financial cooperation between the IPA II
beneficiary and the Commission under this Regulation;
(d) ‘sectoral agreement’ means an arrangement concluded between the Commission and an IPA II beneficiary relating to
a specific IPA II policy area or programme, setting out the rules and procedures to be respected which are not
contained in the framework agreement or financing agreements;
(1) Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with
regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data (OJ L 8,
12.1.2001, p. 1).
(2) Regulation (EU) No 232/2014 of the European Parliament and the Council establishing the European Neighbourhood Instrument
(OJ L 77, 15.3.2014, p. 27).
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(e) ‘policy area(s)’ means the main areas of cooperation addressed by actions funded by IPA II assistance, as provided for
in Article 3(1) of Regulation (EU) No 231/2014;
(f) ‘authorities’ means public entities or bodies of an IPA II beneficiary or a Member State at national, regional or local
level;
(g) ‘major project’ means a project comprising of a series of works, activities or services which is intended, in itself, to
accomplish a definite and indivisible task of a precise economic or technical nature, which has clearly identified
goals and whose total cost exceeds that which is specified in the Framework Agreement;
(h) ‘participating countries’ means the IPA II beneficiaries alone or the IPA II beneficiaries together with the Member
State(s) or with the countries falling within the scope of the European Neighbourhood Instrument participating in a
multi-annual programme for cross-border cooperation jointly drawn up by the participating countries;
(i) ‘financing agreement’ means an annual or multi-annual agreement concluded between the Commission and an IPA II
beneficiary, for implementing the Union's financial assistance through an action falling within the scope of this
Regulation.
CHAPTER II
General Framework for Implementation of IPA II Assistance
Article 3
Principles of Union financing
1.
IPA II assistance shall support the implementation of the IPA II beneficiaries' reform efforts as referred to in
Article 1 of Regulation (EU) No 231/2014. Specific programmes and stand-alone actions may require both IPA II benefi
ciary and Union financial contributions.
2.
An expenditure item financed under Regulation (EU) No 231/2014 shall not be subject to any other financing
under the Union budget.
Article 4
Principle of ownership
1.
The ownership of the programming and implementation of IPA II assistance lays primarily with the IPA II
beneficiary.
2.
The IPA II beneficiary shall appoint a National IPA Coordinator (NIPAC), who shall be the main counterpart of the
Commission for the overall process of: strategic planning, coordination of programming, monitoring of implementation,
evaluation and reporting of IPA II assistance.
The NIPAC shall:
(a) ensure coordination within the IPA II beneficiary's administration and with other donors and a close link between
the use of IPA II assistance and the general accession process;
(b) coordinate the participation of IPA II beneficiaries in the relevant territorial cooperation programmes, in particular
cross-border cooperation programmes referred to in points (a) to (c) of Article 27 and, if appropriate, transnational
or interregional cooperation programmes established and implemented under Regulation (EU) No 1299/2013.
The NIPAC may delegate this coordination task to a territorial cooperation coordinator or operating structure as
appropriate;
(c) ensure that the objectives set out in the actions or programmes proposed by the IPA II beneficiaries are coherent
with the objectives in the Country Strategy Papers and take due account of the relevant macro-regional and sea
basin strategies;
(d) endeavour that the IPA II beneficiary's administration takes all necessary steps to facilitate the implementation of the
related programmes.
The NIPAC shall be a high-ranking representative of the government or the national administration of the IPA II benefi
ciary with the appropriate authority.
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3.
To provide a strengthened basis for the management of pre-accession assistance and national funds, the Commis
sion and the IPA II beneficiary shall engage in a dialogue on public financial management. In this respect, the Commis
sion shall assess the level of compliance of the administration of the IPA II beneficiary with the principles of an open
and orderly public financial management system. Where the administration complies with those requirements only in
part, the IPA II beneficiary and the authorising officer responsible shall agree on the necessary measures to address the
identified deficiencies.
Article 5
Framework agreements and sectoral agreements
1.
The Commission and the IPA II beneficiary shall conclude a framework agreement setting out specific arrange
ments for the management, control, supervision, monitoring, evaluation, reporting and audit of IPA II assistance
committing the IPA II beneficiary to transpose into its legal order the relevant Union regulatory requirements. The
framework agreement may be complemented by sectoral agreements setting out specific provisions for the management
and implementation of IPA II assistance in specific policy areas or programmes.
2.
IPA II assistance shall only be granted to the IPA II beneficiary after the framework agreement referred to in para
graph 1 has entered into force. Where sectoral agreements are concluded, IPA II assistance under the policy area or
programme concerned shall be granted after the entry into force of both the framework agreement and the applicable
sectoral agreement.
3.
The framework agreement shall apply to all financing agreements referred to in Article 6. Sectoral agreements,
where relevant, shall apply to all financing agreements concluded in relation to the policy area or programme covered
by the sectoral agreement.
4.
The framework agreement and, where relevant, sectoral agreements shall lay down, in particular, detailed provi
sions concerning:
(a) the structures and authorities needed for the management, control, supervision, monitoring, evaluation, reporting
and audit of IPA II assistance, as well as their functions and responsibilities;
(b) conditions and control requirements for:
(i) the establishment of the required structures and authorities by the IPA II beneficiary in order to allow for
entrusting budget implementation tasks of IPA II assistance;
(ii) the monitoring, suspension or termination of the budget implementation tasks entrusted;
(c) programming and implementation of IPA II assistance and in particular provisions concerning aid intensities, rates
of Union contribution and eligibility;
(d) procurement, grant and other award procedures, in accordance with Articles 1(3), 8 and 10 of Regulation (EU)
No 236/2014;
(e) rules on taxes, customs duties and other fiscal charges in accordance with Article 5 of Regulation (EU)
No 236/2014;
(f) requirements for payments, examination and acceptance of accounts and financial corrections procedures and de-
commitment of unused funds;
(g) protection of the financial interests of the Union, as provided for in Article 7 of Regulation (EU) No 236/2014, and
provisions on the reporting of fraud and other irregularities;
(h) transparency, visibility, information and publicity requirements.
Article 6
Financing decisions and financing agreements
1.
The Commission decisions adopting programmes shall meet the requirements necessary to constitute financing
decisions in accordance with Article 84(3) of Regulation (EU, Euratom) No 966/2012 and Article 94 of Delegated Regu
lation (EU) No 1268/2012.
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2.
Where such decisions adopt multi-annual action programmes with split commitments for the policy areas referred
to in points (a) to (c) of Article 3 of Regulation (EU) No 231/2014 the programmes shall, where appropriate, include an
indicative list of major projects. The Commission shall adopt a decision on the approval of the financial contribution to
the selected major project.
3.
Financing agreements shall provide, inter alia, the terms on which the IPA II assistance shall be managed, including
the applicable methods of implementation, aid intensities, implementation deadlines, as well as rules on the eligibility of
expenditure. Where programmes are implemented under indirect management by an IPA II beneficiary, the financing
agreement shall include the required provisions of Article 40 of Delegated Regulation (EU) No 1268/2012.
4.
Financing agreements for cross-border cooperation programmes as referred to in Title VI, Chapter II may also be
signed by the Member State hosting the managing authority of the relevant programme. A single financing agreement
for cross-border cooperation programmes as referred to in Title VI, Chapter III, may be signed by all the participating
countries in a particular programme.
TITLE II
INDIRECT MANAGEMENT BY IPA II BENEFICIARIES
CHAPTER I
Management and control systems
Article 7
Structures and authorities
1.
The IPA II beneficiary shall establish the following structures and authorities needed for the management, control,
supervision, monitoring, evaluation, reporting and internal audit of IPA II assistance:
(a) the National IPA Coordinator (NIPAC);
(b) the National Authorising Officer (NAO);
(c) the Operating Structures.
2.
The NAO shall establish a management structure composed of a National Fund and a support office for the NAO.
3.
The IPA II beneficiary shall provide for an audit authority.
4.
The IPA II beneficiary shall ensure adequate segregation of duties between and within the structures and authorities
referred to in paragraphs 1 to 3.
Article 8
Functions and responsibilities of the National IPA Coordinator
In addition to the functions provided for in Article 4(2), the NIPAC shall take measures to ensure that the objectives set
out in the actions or programmes for which budget implementation tasks have been entrusted are appropriately
addressed during the implementation of IPA II assistance.
Article 9
Functions and responsibilities of the National Authorising Officer
1.
The NAO shall bear the overall responsibility for the financial management of IPA II assistance in the IPA II benefi
ciary and for ensuring the legality and regularity of expenditure.
2.
The NAO shall be a high-ranking representative of the government or the national administration of the IPA II
beneficiary with the appropriate authority.
3.
The NAO shall, in particular, be responsible for:
(a) the management of IPA II accounts and financial operations;
(b) the effective functioning of the internal control systems for the implementation of IPA II assistance;
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(c) putting into place effective and proportionate anti-fraud measures taking into account the risks identified;
(d) launching the process provided for in Article 14.
4.
The NAO shall follow up the reports of the audit authority referred to in Article 12 and shall provide an annual
management declaration to the Commission. The annual management declaration shall be drawn up per programme, in
the form specified in the Framework Agreement, based on actual supervision by the NAO of the internal control
systems throughout the financial year.
At the end of the implementation of a programme, the NAO shall provide a final statement of expenditure.
Article 10
Functions and responsibilities of the operating structures
1.
Operating structure(s) shall be established by the IPA II beneficiary to implement and manage the IPA II assistance.
2.
The operating structure shall be responsible for the implementation, information and visibility, monitoring and
reporting of programmes, and the evaluation thereof whenever relevant, in accordance with the principle of sound
financial management, and for ensuring the legality and regularity of the expenditure incurred in the implementation of
the programmes under its responsibility.
Article 11
Functions and responsibilities of the management structure
1.
The National Fund shall be located in a national level ministry of the IPA II beneficiary with central budgetary
competence. It shall support the NAO in fulfilling his/her tasks in particular those referred to in point (a) of Article 9(3).
2.
The NAO support office shall assist the NAO in fulfilling his/her tasks in particular those referred to in point (b) of
Article 9(3).
Article 12
Functions and responsibilities of the audit authority
1.
In accordance with point (c) of the first subparagraph of Article 60(2) of Regulation (EU, Euratom) No 966/2012,
the structures and authorities referred to in Article 7(1) established by the IPA II beneficiary and the management struc
ture referred to in Article 7(2) established by the NAO shall be subject to an independent external audit performed by
the audit authority referred to in Article 7(3) which shall be independent from the aforementioned structures and
authorities. The IPA II beneficiary shall ensure that the Head of the audit authority possesses adequate competence,
knowledge and experience in the field of audit.
2.
The audit authority shall carry out audits on the management and control system(s), on actions, transactions and
on the annual accounts in line with internationally accepted auditing standards and in accordance with an audit strategy
prepared on a tri-annual basis. The audit strategy shall be updated annually.
3.
The audit authority shall prepare an annual audit activity report and an annual audit opinion drawn up in accord
ance with internationally accepted auditing standards.
4.
At the end of the implementation of a programme, the audit authority shall prepare a final audit activity report
and provide an audit opinion on the final statement of expenditure.
CHAPTER II
Specific provisions relating to entrusting budget implementation tasks
Article 13
Conditions for entrusting an IPA II beneficiary with budget implementation tasks
1.
The Commission entrusts budget implementation tasks to an IPA II beneficiary by concluding a financing agree
ment in accordance with the provisions of Articles 60(1) and (2), 61 and point (b) of Article 184(2) of Regulation (EU,
Euratom) No 966/2012.
2.
The IPA II beneficiary shall guarantee a level of protection of the financial interests of the Union equivalent to that
required under Regulation (EU, Euratom) No 966/2012 and Delegated Regulation (EU) No 1268/2012 and shall set up
the necessary structures ensuring the effective functioning of internal control systems.
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3.
The management, control, supervision and audit systems set up in the IPA II beneficiary shall provide for an effec
tive internal control system which includes at least the following five areas:
(a) control environment;
(b) risk management;
(c) control activities;
(d) information and communication;
(e) monitoring activities.
Article 14
Entrusting budget implementation tasks
1.
The NAO, on behalf of the IPA II beneficiary, shall be responsible for submitting to the Commission a request for
being entrusted with budget implementation tasks in accordance with Article 13.
2.
Before submitting the request referred to in paragraph 1, the NAO shall ensure that the management structure and
relevant operating structure(s) satisfy the requirements in points (a), (b) and (d) of the first subparagraph of Article 60(2)
of Regulation (EU, Euratom) No 966/2012 and those of Article 13(3) of this Regulation.
3.
Before the Commission entrusts budget implementation tasks of IPA II assistance, it shall review the request
referred to in paragraph 1 and the established structures and authorities referred to in Article 7 and shall, for the
purposes of the
ex ante assessment pursuant to Article 61(1) of Regulation (EU, Euratom) No 966/2012, obtain evidence
that the requirements set out in points (a) to (d) of the first subparagraph of Article 60(2) of Regulation (EU, Euratom)
No 966/2012 and those of Article 13(3) of this Regulation are fulfilled.
For entrusting budget implementation tasks of IPA II assistance, the Commission may rely on an
ex ante assessment
carried out with regard to an earlier financing agreement with the IPA II beneficiary or an
ex ante assessment carried out
with regard to the conferral of management powers decided under Council Regulation (EC) No 1085/2006 (1). The
Commission shall request additional evidence if those assessments do not address all the requirements.
4.
The NAO shall monitor the continued fulfilment by the management structure and operating structure(s) of the
requirements referred to in paragraph 2. In case of failure to satisfy these requirements, the NAO shall inform the
Commission without delay, and take any appropriate safeguard measures regarding payments made or contracts signed.
5.
The Commission shall monitor the compliance with Article 60(2) and (3) of Regulation (EU, Euratom)
No 966/2012 and may take appropriate remedial measures, including suspension or termination of parts of the finan
cing agreement at any time if the requirements are no longer fulfilled.
TITLE III
FINANCIAL MANAGEMENT
CHAPTER I
Financial contribution by the Union
Article 15
Eligibility of expenditure
1.
Prior to the conclusion of the relevant financing agreement in accordance with Article 13, contracts and addenda
signed, expenditure incurred and payments made by the IPA II beneficiary, shall not be eligible for funding under Regu
lation (EU) No 231/2014.
2.
The following expenditure shall not be eligible for funding under Regulation (EU) No 231/2014:
(a) purchase of land and existing buildings, except where duly justified by the nature of the action in the financing
decision;
(b) other expenditure as may be provided for in the sectoral or financing agreements.
(1) Council Regulation (EC) No 1085/2006 of 17 July 2006 establishing an instrument for pre-accession assistance (IPA) (OJ L 210,
31.7.2006, p. 82.)
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CHAPTER II
Rules relating to indirect management by the IPA II beneficiary
Article 16
Reporting on suspected fraud and other irregularities
The IPA II beneficiary shall report suspected fraud and other irregularities which have been the subject of a primary
administrative or judicial finding, without delay, to the Commission and keep the latter informed of the progress of
administrative and legal proceedings. Reporting shall be done by electronic means using the module provided by the
Commission for this purpose.
Article 17
Financial corrections
1.
In order to ensure that the IPA II funds have been used in accordance with the applicable rules, the Commission
shall apply financial correction mechanisms.
2.
A financial correction may arise from the following:
(a) identification of a specific error, irregularity or fraud;
(b) identification of a weakness or deficiency in the management and control systems of the IPA II beneficiary.
3.
The Commission shall apply the financial corrections on the basis of identification of amounts unduly spent and
on the basis of financial implications for the budget. Where such amounts cannot be identified precisely in order to
apply individual corrections, the Commission may apply flat-rate corrections or corrections based on an extrapolation
of the findings.
4.
Financial corrections shall be made as appropriate by compensation.
5.
When deciding the amount of a correction, the Commission shall take into account the nature and gravity of the
specific error or irregularity and/or the extent and financial implications of the weaknesses or the deficiencies found in
the management and control system in the programme concerned.
TITLE IV
MONITORING, EVALUATION AND REPORTING
CHAPTER I
Monitoring
Article 18
IPA monitoring committee
1.
The Commission and the IPA II beneficiary shall set up an IPA monitoring committee no later than six months
after the entry into force of the first financing agreement.
2.
The IPA monitoring committee shall review the overall effectiveness, efficiency, quality, coherence, coordination
and compliance of the implementation of all actions towards meeting their objectives. For this purpose, it shall, where
relevant, base itself on the information provided by the sectoral monitoring committees. It may make recommendations
for corrective actions whenever needed.
3.
The IPA monitoring committee shall be composed of representatives of the Commission, the NIPAC and other rele
vant national authorities and bodies of the IPA II beneficiary and, where relevant, international organisations, including
international financial institutions and other stakeholders, such as civil society and private sector organisations.
4.
A representative of the Commission and the NIPAC shall co-chair the IPA monitoring committee meetings.
5.
The IPA monitoring committee shall adopt its rules of procedure.
6.
The IPA monitoring committee shall meet at least once a year. Ad hoc meetings may also be convened at the initia
tive of the Commission or of the IPA II beneficiary, in particular on a thematic basis.
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Article 19
Sectoral monitoring committees
1.
Under indirect management by IPA II beneficiaries, sectoral monitoring committees shall be set up by the IPA II
beneficiary by policy area or by programme no later than six months after the entry into force of the first financing
agreement related to the respective policy area or programme. When appropriate, sectoral monitoring committees may
be set up on an ad hoc basis under other implementation methods.
2.
Each sectoral monitoring committee shall review the effectiveness, efficiency, quality, coherence, coordination and
compliance of the implementation of the actions in the policy area or programme and their consistency with the rele
vant sector strategies. It shall measure progress in relation to achieving the objectives of the actions and their expected
outputs, results and impact by means of indicators related to a baseline situation, as well as progress with regard to
financial execution. The sectoral monitoring committee shall report to the IPA monitoring committee and may make
proposals on any corrective action to ensure the achievement of the objectives of the actions and enhance the efficiency,
effectiveness, impact and sustainability of the assistance provided.
3.
The sectoral monitoring committee shall be composed of representatives of relevant national authorities and
bodies, other stakeholders such as economic, social and environmental partners and, where relevant, international organ
isations, including international financial institutions and civil society. The Commission shall participate in the work of
the committee. A senior representative of the IPA II beneficiary shall chair the sectoral monitoring committee meetings.
Depending on the policy area or programme, the Commission may co-chair the committee meetings.
4.
Each sectoral monitoring committee shall adopt its rules of procedure.
5.
The sectoral monitoring committees shall meet at least twice a year. Ad hoc meetings may also be convened.
Article 20
Other monitoring activities
Other monitoring platforms may be set up where appropriate. Their activities shall be reported to the IPA monitoring
committee.
CHAPTER II
Evaluation
Article 21
Principles
1.
IPA II assistance shall be subject to evaluations, in accordance with Article 30(4) of Regulation (EU, Euratom)
No 966/2012 with the aim of improving its relevance, coherence, quality, efficiency, effectiveness, Union added value,
consistency and synergy with the relevant policy dialogue.
2.
Evaluations may be carried out at policy, strategic, thematic, sectoral, programme and operational level as well as
at country or regional level.
3.
The results of evaluations shall be taken into account by the IPA monitoring committee and the sectoral moni
toring committees.
Article 22
Evaluations by the IPA II beneficiary under indirect management
1.
An IPA II beneficiary which has been entrusted budget implementation tasks of IPA II assistance shall be respon
sible for conducting evaluations of the programmes it manages.
2.
The IPA II beneficiary shall draw up an evaluation plan presenting the evaluation activities which it intends to
carry out in the different phases of the implementation.
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CHAPTER III
Reporting
Article 23
Annual reports on implementation of IPA II assistance by IPA II beneficiaries under indirect management
1.
By 15 February of the following financial year, the IPA II beneficiary shall in accordance with points (a) to (c) of
the first subparagraph of Article 60(5) of Regulation (EU, Euratom) No 966/2012 provide the Commission with:
(a) an annual report on the implementation of the tasks entrusted;
(b) annual financial reports or statements on accrual basis as specified in the financing agreement, drawn up for the
expenditure incurred in the execution of the tasks entrusted;
(c) an annual management declaration, as provided for by Article 9(4);
(d) a summary of the reports on the audits and controls carried out by the management structure, providing a sound
basis for the management declaration. Such summary shall include an analysis of the nature and extent of errors and
weaknesses identified in systems, corrective action taken or planned as well as the follow-up given to the reports
issued by the audit authority.
2.
By 15 March of the following financial year, IPA II beneficiary shall provide the Commission with an audit opinion
in accordance with Article 60(5) of Regulation (EU, Euratom) No 966/2012.
3.
At the end of the implementation of each programme, the IPA II beneficiary shall submit a final report which shall
cover the whole period of implementation and may include the last annual report.
4.
Depending on the action or programme under its responsibility, the operating structure may be required to draw
up a comprehensive annual report covering the full financial year, to be submitted by the NIPAC to the Commission,
after examination by the responsible sectoral monitoring committee.
TITLE V
TRANSPARENCY AND VISIBILITY
Article 24
Information, publicity and transparency
1.
Any actor implementing IPA II assistance as defined in points (a) to (c) of Article 58(1) of Regulation (EU,
Euratom) No 966/2012 shall fulfil the requirements on information, publicity and transparency in accordance with
Article 35(2) of Regulation (EU, Euratom) No 966/2012, and ensure appropriate visibility of the actions.
2.
In the case of indirect management by an IPA II beneficiary, the operating structures shall be responsible for
publishing information on recipients of Union funds in accordance with Articles 21 and 22 of Delegated Regulation
(EU) No 1268/2012. The operating structures shall ensure that the recipient is informed that it will be included in the
published list of recipients. Any personal data included in this list shall be processed in accordance with the requirements
of Regulation (EC) No 45/2001.
3.
The country/multi-country strategy papers and any revision thereof as well as programmes, shall be public docu
ments, where applicable, and shall be made available to the general public and civil society.
Article 25
Visibility and communication
1.
The Commission and the IPA II beneficiary shall agree on a coherent plan of communication activities to make
available and actively publicise information about IPA II assistance in the IPA II beneficiary.
2.
The IPA II beneficiary shall report on its visibility and communication activities to the IPA monitoring committee
and the sectoral monitoring committees.
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TITLE VI
CROSS-BORDER COOPERATION
CHAPTER I
General provisions
Article 26
Definitions
1.
For the purposes of this Title the following definitions shall apply:
(a) ‘operation’ means a project, contract, action or group of projects selected by the joint monitoring committee or the
contracting authority of the programme concerned, or under its responsibility, that contribute to the objectives, as
regards the cross-border cooperation programmes under point (a) of Article 27, of the priority axis or priority axes
to which it relates or, as regards cross-border cooperation programmes in points (b) or (c) of Article 27 of a thematic
priority or thematic priorities to which it relates;
(b) ‘beneficiary’ means a public or private body, responsible for initiating or initiating and implementing operations; in
the context of State aid schemes (as defined in Article 2(13) of Regulation (EU) No 1303/2013 of the European
Parliament and of the Council (1)), the term ‘beneficiary’ means the body which receives the aid, as far as cross-
border cooperation programmes involving Member States are concerned.
2.
For the purposes of Chapters I and II of this Title, as far as cross-border cooperation programmes involving
Member States are concerned, ‘public expenditure’, ‘programming’, ‘Partnership Agreement’, and ‘document’ shall be used
in accordance with the definitions given in Article 2 of Regulation (EU) No 1303/2013.
Article 27
Form of assistance
Assistance shall be provided to one of the following forms of cross-border cooperation:
(a) cross-border cooperation between one or more Member States and one or more IPA II beneficiaries as provided for
in Chapter II;
(b) cross-border cooperation between two or more IPA II beneficiaries as provided for in Chapter III;
(c) cross-border cooperation between an IPA II beneficiary and countries under the European Neighbourhood Instru
ment as provided for in Chapter III.
Article 28
Aid intensity and rate of IPA II assistance
1.
The Commission decision adopting a cross-border cooperation programme for the forms of cooperation referred
to in Article 27 shall fix the co-financing rate and the maximum amount of IPA II assistance, based either on:
(a) total eligible expenditure, including public and private expenditure; or
(b) public eligible expenditure.
2.
For cross- border cooperation programmes under point (a) of Article 27, the Union co-financing rate at the level
of each priority axis of a cross-border cooperation programme as referred to in Article 34(2) shall not be less than 20 %
and not higher than 85 % of the eligible expenditure.
(1) 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 Develop
ment Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regu
lation (EC) No 1083/2006 (OJ L 347, 20.12.2013, p. 320).
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3.
For cross-border cooperation programmes under points (b) and (c) of Article 27, the Union co-financing rate at
the level of each thematic priority shall not be less than 20 % and not higher than 85 % of the eligible expenditure. For
technical assistance the co-financing rate shall be 100 %.
Article 29
Thematic priorities and concentration of IPA II assistance
1.
Thematic priorities of IPA II assistance shall be those defined in Annex III to Regulation (EU) No 231/2014.
2.
A maximum of 4 thematic priorities shall be selected for each cross-border cooperation programme.
Article 30
Geographical coverage
The list of eligible regions shall be included in the relevant cross-border cooperation programme which shall be as
follows:
(a) for cross-border cooperation programmes referred to in point (a) of Article 27, Nomenclature of Territorial Units for
Statistics (NUTS) level 3 regions or, in the absence of NUTS classification, equivalent areas along land borders or
along maritime borders separated by a maximum of 150 km, without prejudice to potential adjustments needed to
ensure the coherence and continuity of cross-border programmes established for the 2007-2013 programming
period;
(b) for cross-border cooperation programmes referred to in points (b) and (c) of Article 27, the eligible regions shall be
established in the relevant cross-border cooperation programme, as appropriate.
Article 31
Preparation, assessment, approval and amendment of cross-border cooperation programmes
1.
Thematic priorities for each cross-border cooperation programme shall be agreed between the participating coun
tries for each border or group of borders based on the thematic priorities as defined in Annex III to Regulation (EU)
No 231/2014.
2.
The Commission shall assess the consistency of cross-border cooperation programmes with this Regulation, their
effective contribution to the selected thematic priorities in Annex III to Regulation (EU) No 231/2014, and also, as far as
participating Member States are concerned, the relevant Partnership Agreement.
3.
The Commission shall make observations within three months of the date of submission of the cross-border co
operation programme. The participating countries shall provide to the Commission all necessary additional information
and, where appropriate, revise the proposed cross-border cooperation programme.
4.
When approving each cross-border cooperation programme following its formal submission, the Commission has
to ensure that any of its observations have been adequately taken into account.
5.
Requests for amendment of cross-border cooperation programmes submitted by the participating countries shall
be duly substantiated and shall in particular set out the expected impact of the changes to the cross-border cooperation
programme on achieving its objectives. These requests shall be accompanied by the revised programme. Paragraphs 2
and 3 shall apply to amendments of cross-border cooperation programmes.
Article 32
Technical assistance
1.
Each cross-border cooperation programme shall include a specific budget allocation for technical assistance opera
tions, including preparation, management, monitoring, evaluation, information, communication, networking, complaint
resolution, control and audit activities related to the implementation of the programme and activities to reinforce the
administrative capacity for implementing the programme. IPA II assistance may also be used by the participating coun
tries to support actions for the reduction of administrative burden for beneficiaries, including electronic data exchange
systems, and actions to reinforce the capacity of, and exchange best practices between, authorities in the participating
countries and of beneficiaries to administer and use the IPA II assistance. These actions may concern preceding and
subsequent programming periods.
2.
By way of derogation from Article 15(1), the expenditure for technical assistance to support the preparation of a
cross-border cooperation programme and the setting-up of management and control systems may be eligible before the
date of adoption of the Commission decision for the approval of the a cross-border cooperation programme, but not
earlier than 1 January 2014.
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CHAPTER II
Cross-border cooperation between Member States and IPA II beneficiaries
Article 33
Applicable provisions
1.
As far as the Member State(s) participating in a cross-border cooperation programme under this Chapter are
concerned, in particular the Member State where the managing authority shall be located, the rules applicable to
the European territorial cooperation goal provided for in Regulation (EU) No 1303/2013 and Regulation (EU)
No 1299/2013 of the European Parliament and of the Council (1) shall apply, as provided for in this Chapter. Where
such rules refer to the European Structural and Investment Funds as defined in Article 1 of Regulation (EU)
No 1303/2013, for the purposes of this Chapter, IPA II assistance is also considered to be covered.
2.
As far as the IPA II beneficiaries participating in a cross-border cooperation programme under this Chapter are
concerned, the rules applicable to the European territorial cooperation apply, as provided for in this Chapter, without
prejudice to reasoned derogations set out in the relevant financing agreement.
Article 34
Programming
1.
Cross-border cooperation programmes shall be drawn up in accordance with the partnership principle as set out
in Article 5(1) and (2) of Regulation (EU) No 1303/2013 and in accordance with Article 8(2) to (4), (7), (9) and (10) of
Regulation (EU) No 1299/2013.
2.
Cross-border cooperation programmes shall consist of priority axes. Without prejudice to Article 32, a priority
axis shall correspond to a thematic priority referred to in Article 29. Within a priority axis, where appropriate and in
order to increase its impact and effectiveness through a coherent integrated approach, elements of other thematic priori
ties may be added.
3.
Cross-border cooperation programmes may carry out actions of community-led local development in the meaning
of Articles 32 to 35 of Regulation (EU) No 1303/2013, of joint action plans in the meaning of Articles 104 to 109 of
that Regulation and of integrated territorial investments in the meaning of Article 36 of that Regulation, taking into
account the underlying principles of these instruments and Articles 9 to 11 of Regulation (EU) No 1299/2013. The
specific rules and conditions shall be agreed between the Commission and the participating countries for each cross-
border cooperation programme.
4.
Cross-border cooperation programmes shall be submitted electronically to the Commission by the Member State
where the programme's managing authority shall be located.
5.
The European Investment Bank (EIB) may, at the request of participating countries, participate in the preparation
of, as well as in activities relating to the preparation of operations, in particular major projects.
The Commission may consult the EIB before the adoption of cross-border cooperation programmes.
Article 35
Technical assistance
The amount of IPA II assistance to be allocated to technical assistance shall be limited to 10 % of the total amount allo
cated to the cross-border cooperation programme, but shall not be less than EUR 1 500 000.
Article 36
Implementation mode and designation of programme authorities
1.
Cross-border cooperation programmes under this Chapter shall be implemented under shared management. Conse
quently, Member States and the Commission shall be responsible for the management and control of programmes in
accordance with their respective responsibilities as provided for in Regulation (EU, Euratom) No 966/2012 and Dele
gated Regulation (EU) No 1268/2012 and in this Regulation.
Articles 73 and 74 of Regulation (EU) No 1303/2013 concerning the responsibilities of the Member States under shared
management shall apply to the Member State where the managing authority is located.
(1) Regulation (EU) No 1299/2013 of the European Parliament and of the Council of 17 December 2013 on specific provisions for the
support from the European Regional Development Fund to the European territorial cooperation goal (OJ L 347, 20.12.2013, p. 259).
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Article 75 of Regulation (EU) No 1303/2013 concerning the powers and responsibilities of the Commission under
shared management shall apply.
2.
The participating countries in a cross-border cooperation programme shall designate, for the purposes of
Article 123(1) of Regulation (EU) No 1303/2013, a single managing authority; for the purpose of Article 123(2) of that
Regulation, a single certifying authority; and for the purpose of Article 123(4) of that Regulation, a single audit
authority.
3.
The managing authority and the audit authority shall be situated in the same Member State. The participating
countries in a cross-border cooperation programme may designate the single managing authority to carry out the func
tions of the certifying authority.
The procedure for the designation of the managing authority and, where appropriate, of the certifying authority, set out
in Article 124 of Regulation (EU) No 1303/2013, shall be carried out by the Member State in which the authority is
located.
Designations provided for in this Article shall be without prejudice to the apportionment of liabilities in relation to the
application of financial corrections among the participating countries as provided for in the cross-border cooperation
programme.
Article 37
Functions of the programme authorities
1.
Article 125 of Regulation (EU) No 1303/2013 and Article 23(1), (2), (4) and (5) of Regulation (EU) No 1299/2013
concerning the functions of the managing authority shall apply.
2.
Article 126 of Regulation (EU) No 1303/2013 and Article 24 of Regulation (EU) No 1299/2013 concerning the
functions of the certifying authority shall apply.
The certifying authority shall receive the payments made by the Commission and shall, as a general rule, make payments
to the lead beneficiary in accordance with Article 132 of Regulation (EU) No 1303/2013.
3.
Article 127 of Regulation (EU) No 1303/2013 and Article 25 of Regulation (EU) No 1299/2013 concerning the
functions of the audit authority shall apply.
Article 38
Joint monitoring committee
1.
Within three months of the date of notification to the Member State of the decision approving cross-border co
operation programme, the participating countries shall set up a Joint monitoring committee (hereinafter referred to as
‘JMC’).
2.
The JMC shall be composed of representatives of the Commission, the NIPAC and other relevant national author
ities and bodies of the IPA II beneficiary], the participating Member State(s) and, where relevant, international financial
institutions and other stakeholders, including civil society and private sector organisations.
3.
The JMC shall be chaired by a representative of one of the participating countries or of the managing authority.
4.
The Commission shall participate in the work of the JMC in an advisory capacity.
5.
If the EIB contributes to a programme, it may participate in the work of the JMC in an advisory capacity.
6.
The JMC shall review the overall effectiveness, quality and coherence of the implementation of all actions
towards meeting the objectives set out in the cross-border programme, the financing agreements and the relevant
strategy paper(s). It may make recommendations for corrective actions whenever needed.
Articles 49 and 110 of Regulation (EU) No 1303/2013 concerning its functions shall also apply.
The JMC and the managing authority shall carry out monitoring by reference to indicators laid down in the relevant
cross-border cooperation programme, in accordance with Article 16 of Regulation (EU) No 1299/2013.
7.
The JMC shall adopt its rules of procedure.
8.
The JMC shall meet at least once a year. Additional meetings may also be convened at the initiative of one of the
participating countries or of the Commission, in particular on a thematic basis.
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Article 39
Selection of operations
1.
Operations under cross-border cooperation programmes shall be selected by the JMC.
The JMC may set up a steering committee acting under its responsibility for the selection of operations.
2.
Selected operations shall involve beneficiaries from at least two participating countries, at least one of which shall
be from a Member State. An operation may be implemented in a single participating country, provided that cross-border
impacts and benefits are identified.
3.
Beneficiaries shall cooperate in the development and implementation of operations. In addition, they shall coop
erate in either the staffing or the financing of operations.
Article 40
Beneficiaries
1.
Where there are two or more beneficiaries for an operation in a cross-border cooperation programme, one of
them shall be designated by all the beneficiaries as the lead beneficiary.
2.
The lead beneficiary shall carry out the following tasks:
(a) lay down the arrangements with other beneficiaries in an agreement comprising provisions that, inter alia, guarantee
the sound financial management of the funds allocated to the operation, including the arrangements for recovering
amounts unduly paid;
(b) assume responsibility for ensuring implementation of the entire operation;
(c) ensure that expenditure presented by all beneficiaries has been incurred in implementing the operation and corre
sponds to the activities agreed between all the beneficiaries, and in accordance with the document provided by the
managing authority as provided for in paragraph 6;
(d) ensure that the expenditure presented by other beneficiaries has been verified by a controller(s) where this verifica
tion is not carried out by the managing authority in accordance with Article 23(1) of Regulation (EU)
No 1299/2013.
3.
If not otherwise specified in the arrangements referred to in point (a) of paragraph (2), the lead beneficiary shall
ensure that the other beneficiaries receive the total amount of the public support as quickly as possible and in full. No
amount shall be deducted or withheld and no specific charge or other charge with equivalent effect shall be levied that
would reduce those amounts for the other beneficiaries.
4.
Lead or sole beneficiaries shall be located in a participating country.
5.
Notwithstanding Article 39(2) of this Regulation, an European grouping of territorial cooperation set up in accord
ance with Regulation (EC) No 1082/2006 of the European Parliament and of the Council (1) or another legal body estab
lished under the laws of one of the participating countries may apply as sole beneficiary for an operation provided that
it is set up by public authorities and bodies from at least two participating countries.
6.
The managing authority shall provide to the lead or sole beneficiary for each operation a document setting out the
conditions for support of the operation, including the specific requirements concerning the products or services to be
delivered under the operation, the financing plan and the time-limit for execution.
Article 41
Evaluation
1.
Evaluations shall be carried out by internal or external experts that are functionally independent of the authorities
responsible for programme implementation. All evaluations shall be made public.
2.
The participating countries shall jointly carry out an
ex ante evaluation in accordance with Article 55 of Regulation
(EU) No 1303/2013.
3.
Article 56 of Regulation (EU) No 1303/2013 concerning evaluation during the programming period shall apply.
4.
Article 57 of Regulation (EU) No 1303/2013 concerning evaluation
ex post shall apply.
(1) Regulation (EC) No 1082/2006 of the European Parliament and of the Council of 5 July 2006 on a European grouping of territorial co
operation (EGTC) (OJ L 210, 31.7.2006, p. 19).
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Article 42
Reporting, information and communication
1.
Article 14 of Regulation (EU) No 1299/2013 concerning implementation reports shall apply.
2.
The annual review meeting shall be organised in accordance with Article 15 of Regulation (EU) No 1299/2013.
3.
By 31 January, 31 July and 31 October of each year, the managing authority shall transmit electronically to the
Commission for monitoring purposes, for each cross-border programme and by priority axis:
(a) the total and public eligible cost of the operations and the number of operations selected for support;
(b) the total eligible expenditure declared by beneficiaries to the managing authority.
In addition, the transmission made by 31 January shall contain the data referred to in points (a) and (b) broken down by
category of intervention. This transmission shall be considered to fulfil the requirement for the submission of financial
data referred to in Article 50(2) of Regulation (EU) No 1303/2013.
A forecast of the amount for which the managing authority expects to submit payment applications for the current
financial year and the subsequent financial year shall accompany the transmissions to be made by 31 January and
31 July.
The cut-off date for the data submitted under this paragraph shall be the end of the month preceding the month of
submission.
4.
The managing authority shall coordinate the tasks linked to the requirements on information, publicity and trans
parency under Article 24(1) and (3) of this Regulation.
By way of derogation from Article 25 of this Regulation, the managing authority shall be responsible for the information
and communication activities as set out in Articles 115 and 116 of Regulation (EU) No 1303/2013.
Article 43
Eligibility and durability
1.
By way of derogation from Article 15(1) of this Regulation, expenditure shall be eligible for funding under IPA II
cross-border cooperation assistance:
(a) if it has been incurred by a beneficiary from a Member State and paid between 1 January 2014 and 31 December
2022; or
(b) if it has been incurred by a beneficiary from an IPA II beneficiary and paid after the submission of the cross-border
cooperation programme.
2.
In addition to the rules set out in Article 15(2) of this Regulation, IPA II cross-border cooperation assistance shall
not support:
(a) interest on debt;
(b) value added tax (VAT) except where it is non-recoverable under national VAT legislation;
(c) the decommissioning and the construction of nuclear power stations;
(d) investment to achieve the reduction of greenhouse gas emissions from activities falling under Annex I to Directive
2003/87/EC of the European Parliament and of the Council (1);
(e) the manufacturing, processing and marketing of tobacco and tobacco products;
(f) undertakings in difficulties as defined under Union State aid rules;
(g) investment in airport infrastructure unless related to environmental protection or accompanied by investment neces
sary to mitigate or reduce its negative environmental impact.
By way of derogation from Article 15(2) of this Regulation, the purchase of land not built on and land built on in the
amount up to 10 % of the total eligible expenditure for the operation concerned shall be eligible for funding under IPA
II cross-border cooperation assistance. For derelict sites and for those formerly in industrial use which comprise build
ings, this limit shall be increased to 15 %. In exceptional and duly justified cases, this limit may be raised above the
respective preceding percentages for operations concerning environmental conservation.
(1) Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emis
sion allowance trading within the Community and amending Council Directive 96/61/EC (OJ L 275, 25.10.2003, p. 32).
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3.
Operations shall not be selected for IPA II assistance where they have been physically completed or fully imple
mented before the application for funding under the cross-border cooperation programme is submitted by the benefi
ciary to the managing authority, irrespective of whether all related payments have been made by the beneficiary.
4.
Articles 61, 65(4) and (6) to (9) and (11), 66to 68, 69(1) and (2) and 71 of Regulation (EU) No 1303/2013
concerning grants shall apply.
5.
In addition to Article 6(2) of this Regulation, the financing agreements for cross-border cooperation programmes
under this Chapter shall establish the hierarchy of eligibility rules applicable to the cross-border cooperation programme
concerned in accordance with the principles set out in Article 18 of Regulation (EU) No 1299/2013.
6.
Article 19 of Regulation (EU) No 1299/2013 concerning staff costs shall also apply.
Article 44
Eligibility depending on location
1.
Operations, subject to the derogations referred to in paragraphs 2 and 3, shall be located in the programme area
comprising the part of the territory of the participating countries as defined in the relevant cross-border cooperation
programme (the ‘programme area’).
2.
The managing authority may accept that all or part of an operation is implemented outside the programme area,
provided that all the following conditions are satisfied:
(a) the operation is for the benefit of the programme area;
(b) the total amount allocated under the cross-border cooperation programme to operations located outside the
programme area does not exceed 20 % of the support from the Union at programme level;
(c) the obligations of the managing and audit authorities in relation to management, control and audit concerning the
operation are fulfilled by the cross-border cooperation programme authorities or they enter into agreements with
authorities in the Member State or third country in which the operation is implemented.
3.
For operations concerning technical assistance, promotional activities and capacity-building, expenditure may be
incurred outside the programme area provided that the conditions in points (a) and (c) of paragraph 2 are fulfilled.
Article 45
Procurement
1.
For the award of service, supply and work contracts, by beneficiaries the procurement procedures shall follow the
provisions of Chapter 3 of Title IV of Part Two of Regulation (EU, Euratom) No 966/2012 and of Chapter 3 of Title II of
Part Two of Delegated Regulation (EU) No 1268/2012 which apply in the whole programme area, both on the Member
State and on the IPA II beneficiary/ies' territory.
2.
For the award of service, supply and work contracts by the managing authority under the specific budget alloca
tion for technical assistance operations, the procurement procedures applied by the managing authority may either be
those referred to in paragraph 1 or those of its national law.
Article 46
Financial management, decommitment, examination and acceptance of accounts, closure and financial
corrections
1.
Article 76 of Regulation (EU) No 1303/2013 concerning budget commitments shall apply.
2.
Articles 77 to 80, 82 to 83, 129 to 132, 134 to 135 and 142 of Regulation (EU) No 1303/2013 concerning
payments shall apply. In addition, Article 27(1) of Regulation (EU) No 1299/2013 concerning payments into a single
account shall apply. Article 28 of Regulation (EU) No 1299/2013 concerning the use of the euro shall apply.
3.
Concerning pre-financing, following the Commission decision adopting the cross-border cooperation programme,
a single pre-financing amount shall be paid by the Commission.
The pre-financing shall amount to 50 % of the first three budgetary commitments to the programme.
The pre-financing amount may be paid in two instalments, where necessary, according to budgetary needs.
The total amount paid as pre-financing shall be reimbursed to the Commission if no payments application under the
cross-border cooperation programme is sent within 24 months of the date on which the Commission pays the first
instalment of the pre-financing amount.
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4.
Articles 86 to 88 and 136 of Regulation (EU) No 1303/2013 concerning decommitment shall apply.
5.
Articles 84 and 137 to 141 of Regulation (EU) No 1303/2013 concerning the examination and acceptance of
accounts as well as closure shall apply.
6.
Articles 85, 122(2) and 143 to 147 of Regulation (EU) No 1303/2013 concerning financial corrections and recov
eries shall apply. Article 27(2) and (3) of Regulation (EU) No 1299/2013 shall also apply.
Article 47
Management and control systems and audit
1.
Articles 72 and 122(1) and (3) of Regulation (EU) No 1303/2013 concerning the general principles of manage
ment and control systems shall apply.
2.
Article 128 of Regulation (EU) No 1303/2013 concerning the cooperation between the Commission and the audit
authorities shall apply.
3.
Article 148 of Regulation (EU) No 1303/2013 concerning the proportional control of cross-border cooperation
programmes shall apply.
Article 48
Discontinuation of cross-border cooperation programmes
1.
Where none of the participating IPA II beneficiaries has concluded the financing agreement by the end of the year
following the year of the adoption of the programme, the Commission shall discontinue the cross-border cooperation
programme.
European Regional Development Fund annual instalments already committed shall remain available for their normal life
time but may be used only for activities which take place exclusively in the Member States concerned and contracted
before the Commission discontinuation decision. The managing authority shall transmit the final report within three
months of the closure of the contracts to the Commission which shall proceed in conformity with paragraphs 2 and 3.
2.
Where the cross-border cooperation programme cannot be implemented owing to problems arising in relations
between participating countries and in other duly justified cases, the Commission may decide to discontinue the
programme before the expiry date of the period of execution, at the request of the JMC or on its own initiative after
having consulted the JMC.
Where the programme is discontinued, the managing authority shall transmit the final report within six months
following the Commission's decision. After clearing the previous pre-financing payments, the Commission shall pay the
final balance or, where appropriate, issue the recovery order. The Commission shall also decommit the balance of
commitments.
As an alternative, it may be decided to reduce the programme's allocation to the programme scope in accordance with
Article 31(5).
3.
In the cases referred to in paragraphs 1 and 2, non-committed support from European Regional Development
Fund corresponding to annual instalments not yet committed or annual instalments committed and decommitted totally
or partially during the same budgetary year, which have not been re-allocated to another programme of the same cat
egory of external cooperation programmes shall be allocated to the internal cross-border cooperation programmes in
accordance with Article 4 of Regulation (EU) No 1299/2013.
IPA II assistance corresponding to annual instalments not yet committed or annual instalments committed and decom
mitted totally or partially during the same budgetary year shall be used to finance other programmes or projects eligible
for IPA II assistance.
CHAPTER III
Cross-border cooperation between IPA II beneficiaries or between IPA II beneficiaries and countries under the
European Neighbourhood Instrument
Article 49
Programming
1.
Cross-border cooperation programmes shall be drawn up in accordance with the model programme provided by
the Commission and shall be prepared jointly by the participating countries and submitted to the Commission by elec
tronic means.
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2.
A cross-border cooperation programme shall consist of thematic priorities in accordance with Article 29.
Article 50
Technical assistance
The amount of IPA II assistance to be allocated to technical assistance shall be limited to 10 % of the total amount allo
cated to the cross-border cooperation programme.
Article 51
Implementation modes
1.
Cross-border cooperation programmes referred to in points (b) and (c) of Article 27, shall be implemented under
direct or indirect management.
2.
Cross-border cooperation programmes shall be managed by one contracting authority as defined in the Commis
sion implementing decision approving the relevant cross-border cooperation programme.
Article 52
Structures and authorities
1.
The following structures shall be involved in the management of cross-border cooperation programmes in the
IPA II beneficiaries:
(a) the NIPACs of the countries participating in the cross-border cooperation programme as referred to in Article 4 and,
where applicable, the territorial cooperation coordinators;
(b) the NAO and the management structure as referred to in Article 7 of the participating IPA II beneficiary in which
the contracting authority is located when the cross-border programme is implemented in indirect management;
(c) the operating structures in all the participating countries which shall cooperate closely in the programming and
implementation of the relevant cross-border cooperation programme. In case of indirect management the operating
structure shall include a contracting authority;
(d) the audit authority as referred to in Article 7(3) when the cross-border programme is implemented in indirect
management. Where it does not have the authorisation to carry out the functions provided for in Article 12, it shall
be assisted by a group of auditors comprising a representative of each country participating in the cross-border co
operation programme.
2.
The IPA II beneficiaries and countries under the European Neighbourhood Instrument participating in a cross-
border cooperation programme shall establish a JMC which shall also fulfil the role of the sectoral monitoring
committee referred to in Article 19.
3.
A Joint Technical Secretariat shall be set up to assist the Commission, the operating structures and the JMC.
4.
The roles and responsibilities of these structures shall be defined in the Framework Agreement referred to in
Article 5.
5.
Under indirect management, the participating countries shall conclude a bilateral arrangement setting out their
respective responsibilities for implementing the relevant cross-border cooperation programme. The minimum require
ments for such bilateral arrangement shall be defined in the Framework Agreement referred to in Article 5.
Article 53
Selection of operations
1.
Operations selected under a cross-border cooperation programme shall deliver clear cross-border impacts and
benefits.
2.
Operations under cross-border cooperation programmes shall be selected by the contracting authority through
calls for proposals covering the whole eligible area.
3.
Participating countries may also identify operations outside call for proposals. In that event, the operations shall be
specifically mentioned in the cross-border cooperation programme referred to in Article 49.
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4.
Operations selected for cross-border cooperation shall involve beneficiaries from at least two participating coun
tries. Beneficiaries shall cooperate in the development and implementation of operations. In addition, they shall coop
erate in either the staffing or the financing of operations or both.
5.
An operation may be implemented in a single participating country, provided that cross-border impacts and bene
fits are identified.
Article 54
Beneficiaries
1.
For cross-border cooperation programmes referred to in point (b) of Article 27, the beneficiaries shall be estab
lished in an IPA II beneficiary. For cross-border cooperation programmes referred to in point (c) of Article 27, the benefi
ciary shall be established in an IPA II beneficiary or in a European Neighbourhood Instrument country.
2.
One of the beneficiaries participating in a given operation shall be designated by all the beneficiaries as the lead
beneficiary.
3.
The lead beneficiary shall assume responsibility for ensuring the financial implementation of the entire operation,
monitor that the operation is implemented in accordance with the conditions set out in the contract and lay down the
arrangements with other beneficiaries to guarantee the sound financial management of the funds allocated to the opera
tion, including the arrangements for recovering amounts unduly paid.
TITLE VII
AGRICULTURE AND RURAL DEVELOPMENT
Article 55
Specific provisions on rural development programmes
1.
As part of the policy area ‘agriculture and rural development’, rural development programmes shall be drawn up
at national level, prepared by the relevant authorities designated by the IPA II beneficiary and submitted to the Commis
sion after consulting the appropriate interested parties.
2.
Rural development programmes shall be implemented by the IPA II beneficiaries on the basis of indirect manage
ment in accordance with Article 58(1) of Regulation (EU, Euratom) No 966/2012 and shall finance selected types of
actions as provided for under Regulation (EU) No 1305/2013 of the European Parliament and of the Council (1).
3.
The operating structure to be established in accordance with Article 10 shall, for rural development programmes,
consist of the following separate authorities operating in close cooperation:
(a) the Managing Authority, being a public body acting at national level, to be in charge of preparing and implementing
the programmes, including selection of measures and publicity, coordination, evaluation, monitoring and reporting
of the programme concerned and managed by a senior official with exclusive responsibilities; and
(b) the IPA Rural Development Agency with functions of a similar nature as a paying agency in the Member States
being in charge of publicity, selection of projects as well as authorisation, control and accounting of commitments
and payments and execution of payments.
4.
By way of derogation from Article 15(1) expenditure for technical assistance to support the preparation of rural
development programmes and the setting up of management and control systems may be eligible before the date of
adoption of the Commission decision for the approval of the rural development programme, but not earlier than
1 January 2014.
5.
In determining the share of public expenditure as a percentage of total eligible cost of investment, account shall
not be taken of national aid to facilitate access to loans granted without any Union contribution provided under Regu
lation (EU) No 231/2014.
6.
Investment projects under rural development programmes shall remain eligible for Union financing provided they
do not, within five years from the final payment by the operating structure, undergo a substantial modification.
(1) Regulation EU No 1305/2013 of the European Parliament and of the Council of 17 December 2013 on support for rural development
by the European Agricultural Funds for Rural Development. (EAFRD) and repealing Council Regulation (EC) No 1698/2005, (OJ L 347,
20.12.2013, p. 487).
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TITLE VIII
FINAL PROVISIONS
Article 56
Entry into force and application
This Regulation shall enter into force on the third day following that of its publication in the
Official Journal of the
European Union.
It shall apply from 1 January 2014.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 2 May 2014.
For the Commission
The President
José Manuel BARROSO
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COMMISSION IMPLEMENTING REGULATION (EU) No 448/2014
of 2 May 2014
amending Implementing Regulation (EU) No 1035/2011 by updating references to the Annexes to
the Chicago Convention
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 550/2004 of the European Parliament and of the Council of 10 March 2004 on
the provision of air navigation services in the single European sky (the service provision Regulation) (1), and in particular
Articles 4, 6 and 7 thereof,
Having regard to Regulation (EC) No 216/2008 of the European Parliament and of the Council of 20 February 2008 on
common rules in the field of civil aviation and establishing a European Aviation Safety Agency, and repealing Council
Directive 91/670/EEC, Regulation (EC) No 1592/2002 and Directive 2004/36/EC (2), and in particular Article 8b(6)
thereof,
Whereas:
(1)
Commission Implementing Regulation (EU) No 1035/2011 (3) establishes implementing rules for the provision of
air navigation services. Those implementing rules give effect to the standards and obligations provided for in the
Convention on International Civil Aviation, signed in Chicago on 7 December 1944 (the Chicago Convention), in
accordance with objectives laid down in Article 1(3) of Regulation (EC) No 549/2004 of the European Parliament
and of the Council (4) and Article 2(2)(d) of Regulation (EC) No 216/2008 of the European Parliament and of the
Council (5).
(2)
The International Civil Aviation Organisation (ICAO) has recently amended Annexes 3, 4, 10, 11, 14 and 15
to the Chicago Convention. The amendments of Annexes 3, 4, 10, 11, amendment 11-A of Annex 14 and
Annex 15 entered into force on 14 November 2013, whereas amendment 11-B of Annex 14 is due to enter into
force on 14 November 2014.
(3)
As set out in recital 14 of Implementing Regulation (EU) No 1035/2011, pending the full transposition of the
relevant standards of the ICAO into Union law, air navigation services should operate in compliance with the
relevant ICAO standards. That also applies with respect to the revised standards resulting from the recent amend
ments of the Annexes to the Chicago Convention. References to the Convention contained in Implementing
Regulation (EU) No 1035/2011 should therefore be updated accordingly.
(4)
The measures provided for in this Regulation are in accordance with the opinion of the Single Sky Committee
established by Article 5 of Regulation (EC) No 549/2004,
HAS ADOPTED THIS REGULATION:
Article 1
The Annexes to Implementing Regulation (EU) No 1035/2011 are amended as set out in the Annex to this Regulation.
(1) OJ L 96, 31.3.2004, p. 10.
(2) OJ L 79, 19.3.2008, p. 1.
(3) Commission Implementing Regulation (EU) No 1035/2011 of 17 October 2011 laying down common requirements for the provision
of air navigation services and amending Regulations (EC) No 482/2008 and (EU) No 691/2010 (OJ L 271, 18.10.2011, p. 23).
(4) Regulation (EC) No 549/2004 of the European Parliament and of the Council of 10 March 2004 laying down the framework for the crea
tion of the single European sky (the framework Regulation) (OJ L 96, 31.3.2004, p. 1).
(5) Regulation (EC) No 216/2008 of the European Parliament and of the Council of 20 February 2008 on common rules in the field of civil
aviation and establishing a European Aviation Safety Agency, and repealing Council Directive 91/670/EEC, Regulation (EC)
No 1592/2002 and Directive 2004/36/EC (OJ L 79, 19.3.2008, p. 1).
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Article 2
This Regulation shall enter into force on the twentieth day following that of its publication in the
Official Journal of the
European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 2 May 2014.
For the Commission
The President
José Manuel BARROSO
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ANNEX
1. In Annex I, point 2.2.1, the second paragraph is replaced by the following:
‘The information listed in points (a) and (b) shall be consistent with the national or functional airspace block perform
ance plan referred to in Article 11 of Regulation (EC) No 549/2004 and, as far as safety data is concerned, consistent
with the State Safety Programme referred to in Standard 3.1.1 of Annex 19 to the Convention on International Civil
Aviation, as applicable.’
2. In Annex II, point 4, subparagraphs (b) and (c) are replaced by the following:
‘(b) Annex 10 on aeronautical telecommunications, Volume II on communication procedures including those with
PANS Status in its sixth edition of October 2001, including all amendments up to and including No 88-A;
(c) Annex 11 on air traffic services in its 13th edition of July 2001, including all amendments up to and including
No 49 and Implementing Regulation (EU) No 923/2012 (*) as applicable.
(*) Commission Implementing Regulation (EU) No 923/2012 of 26 September 2012 laying down the common rules
of the air and operational provisions regarding services and procedures in air navigation and amending Imple
menting Regulation (EU) No 1035/2011 and Regulations (EC) No 1265/2007, (EC) No 1794/2006, (EC)
No 730/2006, (EC) No 1033/2006 and (EU) No 255/2010 (OJ L 281, 13.10.2012, p. 1).’
3. In Annex III, Point 2, subparagraphs (a), (b) and (c) are replaced by the following:
‘(a) Without prejudice to Implementing Regulation (EU) No 923/2012, Annex 3 on meteorological services for inter
national air navigation in its 18th edition of July 2013, including all amendments up to and including No 76;
(b) Annex 11 on air traffic services in its 13th edition of July 2001, including all amendments up to and including
No 49 and Implementing Regulation (EU) No 923/2012 as applicable;
(c) Without prejudice to Regulation (EU) No 139/2014 (**) Annex 14 on aerodromes in the following versions:
(i) Volume I on aerodrome design and operations in its 6th edition of July 2013, including all amendments up
to and including No 11-A and as of 13 November 2014, also including amendment 11-B;
(ii) Volume II on heliports in its 4th edition of July 2013, including all amendments up to and including No 5.
(**) Commission Regulation (EU) No 139/2014 of 12 February 2014 laying down requirements and administrative
procedures related to aerodromes pursuant to Regulation (EC) No 216/2008 of the European Parliament and of
the Council (OJ L 44, 14.2.2014, p. 1).’
4. In Annex IV, point 2, subparagraph (b) is replaced by the following:
‘(b) the following Annexes to the Convention on International Civil Aviation as far as they are relevant for the provi
sion of aeronautical information services in the airspace concerned:
(i) Annex 3 on meteorological services for international air navigation in its 18th edition of July 2013, including
all amendments up to and including No 76;
(ii) Annex 4 on aeronautical charts in its 11th edition of July 2009, including all amendments up to and
including No 57;
(iii) without prejudice to Regulation (EU) No 73/2010, Annex 15 on aeronautical information series in its
14th edition of July 2013, including all amendments up to and including No 37.’
5. In Annex V, point 3, subparagraphs (a) to (e) are replaced by the following:
‘(a) Volume I on radio navigation aids in its 6th edition of July 2006, including all amendments up to and including
No 88-A;
(b) Volume II on communication procedures including those with PANS status in its 6th edition of October 2001,
including all amendments up to and including No 88-A;
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(c) Volume III on communications systems in its 2nd edition of July 2007 including all amendments up to and
including No 88-A;
(d) Volume IV on surveillance radar and collision avoidance systems in its 4th edition of July 2007, including all
amendments up to and including No 88-A;
(e) Volume V on aeronautical radio frequency spectrum utilisation in its 3rd edition of July 2013, including all
amendments up to and including No 88-A.’
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COMMISSION IMPLEMENTING REGULATION (EU) No 449/2014
of 2 May 2014
amending Implementing Regulation (EU) No 498/2012 on the allocation of tariff-rate quotas
applying to exports of wood from the Russian Federation to the European Union
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Decision 2012/105/EU of 14 December 2011 on the signing, on behalf of the Union, and
provisional application of the Agreement in the form of an Exchange of Letters between the European Union and the
Russian Federation relating to the administration of tariff-rate quotas applying to exports of wood from the Russian
Federation to the European Union and the Protocol between the European Union and the Government of the Russian
Federation on technical modalities pursuant to that Agreement (1), and in particular Article 4 thereof,
Whereas:
(1)
On 22 August 2012, the Russian Federation acceded to the World Trade Organisation. The commitments of the
Russian Federation include tariff-rate quotas for the export of specified types of coniferous wood, a share of
which has been allocated for exports to the Union. The modalities for the administration of those tariff-rate
quotas are laid down in the Agreement in the form of an Exchange of Letters between the European Union and
the Russian Federation relating to the administration of tariff-rate quotas applying to exports of wood from the
Russian Federation to the European Union (2) (the Agreement) and in the Protocol (3) between the European
Union and the Government of the Russian Federation on technical modalities pursuant to the Agreement (the
Protocol). The Agreement and the Protocol were signed on 16 December 2011. They have been applied provi
sionally from the date of the accession of the Russian Federation to the World Trade Organisation.
(2)
Pursuant to Article 4 of Decision 2012/105/EU, Commission Implementing Regulation (EU) No 498/2012 (4) has
laid down the rules on the allocation of tariff-rate quotas applying to exports of wood from the Russian Federa
tion to the European Union. That Regulation will cease to apply on the date on which the Protocol ceases to be
applied provisionally.
(3)
While the Agreement and the Protocol continue to be applied provisionally, pending the completion of the pro
cedures for their conclusion, the experience gained with the implementation of Implementing Regulation (EU)
No 498/2012 during the first three quota periods has revealed the need to amend Article 15 of that Regulation
to take into account the low utilisation rate of the tariff-rate quotas during the first three quota periods. The
suspension of the reduction of import ceilings provided for in Articles 13 and 14 during quota period 2015 is
necessary to promote the full utilisation by traditional importers in particular of the tariff-rate quotas allocated to
exports to the Union.
(4)
Implementing Regulation (EU) No 498/2012 should therefore be amended accordingly.
(5)
The measures provided for in this Implementing Regulation are in accordance with the opinion of the Wood
Committee established by Council Decision 2012/105/EU,
(1) Council Decision 2012/105/EU of 14 December 2011 on the signing, on behalf of the Union, and provisional application of the Agree
ment in the form of an Exchange of Letters between the European Union and the Russian Federation relating to the administration of
tariff-rate quotas applying to exports of wood from the Russian Federation to the European Union and the Protocol between the Euro
pean Union and the Government of the Russian Federation on technical modalities pursuant to that Agreement (OJ L 57, 29.2.2012,
p. 1).
(2) Agreement in the form of an Exchange of Letters between the European Union and the Russian Federation relating to the administration
of tariff-rate quotas applying to exports of wood from the Russian Federation to the European Union (OJ L 57, 29.2.2012, p. 3).
(3) Protocol between the European Union and the Government of the Russian Federation on technical modalities pursuant to the Agreement
in the form of an Exchange of Letters between the European Union and the Russian Federation relating to the administration of tariff-rate
quotas applying to exports of wood from the Russian Federation to the European Union (OJ L 57, 29.2.2012, p. 5).
(4) Commission Implementing Regulation (EU) No 498/2012 of 12 June 2012 on the allocation of tariff-rate quotas applying to exports of
wood from the Russian Federation to the European Union (OJ L 152, 13.6.2012, p. 28).
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HAS ADOPTED THIS REGULATION:
Article 1
Article 15 of Implementing Regulation (EU) No 498/2012 is replaced by the following:
‘Article 15
1.
Should the conditions for reduction of import ceilings provided for in Articles 13 and 14 be both met simul
taneously, only the higher reduction (R or r ) shall be applied.
i
i
2.
The provisions of Articles 13 and 14 shall not apply during the first quota period following the first three
quota periods.’
Article 2
This Regulation shall enter into force on the day following that of its publication in the
Official Journal of the European
Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 2 May 2014.
For the Commission
The President
José Manuel BARROSO
3.5.2014
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L 132/59
COMMISSION IMPLEMENTING REGULATION (EU) No 450/2014
of 30 April 2014
amending for the 213th time Council Regulation (EC) No 881/2002 imposing certain specific
restrictive measures directed against certain persons and entities associated with the Al-Qaeda
network
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EC) No 881/2002 of 27 May 2002 imposing certain specific restrictive measures
directed against certain persons and entities associated with the Al-Qaida network (1), and in particular Article 7(1)(a)
and Article 7a(5) thereof,
Whereas:
(1)
Annex I to Regulation (EC) No 881/2002 lists the persons, groups and entities covered by the freezing of funds
and economic resources under that Regulation.
(2)
On 15 April 2014, the Sanctions Committee of the United Nations Security Council (UNSC) decided to remove
one person from its list of persons, groups and entities to whom the freezing of funds and economic resources
should apply after considering the de-listing request submitted by this person and the Comprehensive Report of
the Ombudsperson established pursuant to UNSC Resolution 1904(2009).
(3)
Annex I to Regulation (EC) No 881/2002 should therefore be updated accordingly,
HAS ADOPTED THIS REGULATION:
Article 1
Annex I to Regulation (EC) No 881/2002 is amended in accordance with the Annex to this Regulation.
Article 2
This Regulation shall enter into force on the day following that of its publication in the
Official Journal of the European
Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 30 April 2014.
For the Commission,
On behalf of the President,
Head of the Service for Foreign Policy Instruments
(1) OJ L 139, 29.5.2002, p. 9.
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ANNEX
In Annex I to Regulation (EC) No 881/2002 the following entry under the heading ‘Natural persons’ is deleted:
‘Youssef Ben Abdul Baki Ben Youcef
Abdaoui (
alias (a) Abu Abdullah, (b) Abdellah, (c) Abdullah, (d) Abou Abdullah,
(e) Abdullah Youssef). Address: Via Torino 8/B, Cassano Magnago (VA), Italy. Date of birth: 4.9.1966. Place of birth:
Kairouan, Tunisia. Nationality: Tunisian. Passport No: G025057 (Tunisian passport issued on 23.6.1999, expired on
5.2.2004). National Identification No: AO 2879097 (Italian Identity Card valid until 30.10.2012. Other information:
(a) Italian fiscal code: BDA YSF 66P04 Z352Q; (b) Inadmissible to the Schengen area; (c) Mother's name is Fatima
Abdaoui; (d) Member of an organization operating in Italy directly linked with The Organization of Al-Qaeda in the
Islamic Maghreb. Date of designation referred to in Article 2a(4)(b): 25.6.2003.’.
3.5.2014
EN
Official Journal of the European Union
L 132/61
COMMISSION IMPLEMENTING REGULATION (EU) No 451/2014
of 2 May 2014
establishing the standard import values for determining the entry price of certain fruit and
vegetables
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EC) No 1234/2007 of 22 October 2007 establishing a common organisation of
agricultural markets and on specific provisions for certain agricultural products (Single CMO Regulation) (1),
Having regard to Commission Implementing Regulation (EU) No 543/2011 of 7 June 2011 laying down detailed rules
for the application of Council Regulation (EC) No 1234/2007 in respect of the fruit and vegetables and processed fruit
and vegetables sectors (2), and in particular Article 136(1) thereof,
Whereas:
(1)
Implementing Regulation (EU) No 543/2011 lays down, pursuant to the outcome of the Uruguay Round multilat
eral trade negotiations, the criteria whereby the Commission fixes the standard values for imports from third
countries, in respect of the products and periods stipulated in Annex XVI, Part A thereto.
(2)
The standard import value is calculated each working day, in accordance with Article 136(1) of Implementing
Regulation (EU) No 543/2011, taking into account variable daily data. Therefore this Regulation should enter
into force on the day of its publication in the
Official Journal of the European Union,
HAS ADOPTED THIS REGULATION:
Article 1
The standard import values referred to in Article 136 of Implementing Regulation (EU) No 543/2011 are fixed in the
Annex to this Regulation.
Article 2
This Regulation shall enter into force on the day of its publication in the
Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 2 May 2014.
For the Commission,
On behalf of the President,
Jerzy PLEWA
Director-General for Agriculture and Rural Development
(1) OJ L 299, 16.11.2007, p. 1.
(2) OJ L 157, 15.6.2011, p. 1.
L 132/62
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3.5.2014
ANNEX
Standard import values for determining the entry price of certain fruit and vegetables
(EUR/100 kg)
CN code
Third country code (1)
Standard import value
0702 00 00
CL
173,8
MA
40,5
MK
102,8
TN
109,1
TR
97,3
ZZ
104,7
0707 00 05
MA
35,6
TR
133,7
ZZ
84,7
0709 93 10
MA
70,8
TR
112,1
ZA
31,4
ZZ
71,4
0805 10 20
EG
49,6
IL
91,1
MA
48,7
TN
64,4
TR
63,3
ZZ
63,4
0805 50 10
MA
35,6
TR
89,9
ZZ
62,8
0808 10 80
AR
118,6
BR
86,6
CL
104,3
CN
98,7
MK
30,8
NZ
147,4
US
158,7
ZA
118,0
ZZ
107,9
(1) Nomenclature of countries laid down by Commission Regulation (EC) No 1833/2006 (OJ L 354, 14.12.2006, p. 19). Code ‘ZZ’
stands for ‘of other origin’.
3.5.2014
EN
Official Journal of the European Union
L 132/63
DECISIONS
POLITICAL AND SECURITY COMMITTEE DECISION ATALANTA/2/2014
of 29 April 2014
on the acceptance of a third State's contribution to the European Union military operation to
contribute to the deterrence, prevention and repression of acts of piracy and armed robbery off
the Somali coast (Atalanta) and amending Decision ATALANTA/3/2009
(2014/244/CFSP)
THE POLITICAL AND SECURITY COMMITTEE,
Having regard to the Treaty on European Union, and in particular the third paragraph of Article 38 thereof,
Having regard to Council Joint Action 2008/851/CFSP of 10 November 2008 on a European Union military operation
to contribute to the deterrence, prevention and repression of acts of piracy and armed robbery off the Somali coast (1),
and in particular Article 10 thereof,
Having regard to the Political and Security Committee Decision ATALANTA/3/2009 of 21 April 2009 on the setting up
of the Committee of Contributors for the European Union military operation to contribute to the deterrence, prevention
and repression of acts of piracy and armed robbery off the Somali coast (Atalanta) (2009/369/CFSP) (2),
Whereas:
(1)
Pursuant to Article 10(2) of Joint Action 2008/851/CFSP, the Council authorised the Political and Security
Committee (PSC) to take the relevant decisions on the acceptance of the proposed contributions by third States.
(2)
Following a recommendation on a contribution from New Zealand by the EU Operation Commander on
11 March 2014 and the advice from the European Union Military Committee on 25 March 2014, the contribu
tion from New Zealand should be accepted.
(3)
Political and Security Committee Decision ATALANTA/3/2009 should therefore be amended in order to delete
the Annex listing the third States whose contributions have been accepted.
(4)
In accordance with Article 5 of Protocol No 22 on the position of Denmark, annexed to the Treaty on European
Union and to the Treaty on the Functioning of the European Union, Denmark does not participate in the elabor
ation and implementation of decisions and actions of the Union which have defence implications,
HAS ADOPTED THIS DECISION:
Article 1
1.
The contribution from New Zealand to the European Union military operation to contribute to the deterrence,
prevention and repression of acts of piracy and armed robbery off the Somali coast (Atalanta) is accepted and is consid
ered to be significant.
2.
New Zealand is exempted from financial contributions to the budget of Atalanta.
Article 2
Political and Security Committee Decision ATALANTA/3/2009 is amended as follows:
(1) in the second hyphen of Article 2(1) the terms ‘, as referred to in the Annex’ are deleted;
(2) the Annex is deleted.
(1) OJ L 301, 12.11.2008, p. 33.
(2) OJ L 112, 6.5.2009, p. 9.
L 132/64
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3.5.2014
Article 3
This Decision shall enter into force on the date of its adoption.
Done at Brussels, 29 April 2014.
For the Political and Security Committee
The Chairperson
W. STEVENS
3.5.2014
EN
Official Journal of the European Union
L 132/65
COMMISSION IMPLEMENTING DECISION
of 28 April 2014
on the recognition of the legal and supervisory framework of Brazil as equivalent to the require
ments of Regulation (EC) No 1060/2009 of the European Parliament and of the Council on credit
rating agencies
(Text with EEA relevance)
(2014/245/EU)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009
on credit rating agencies (1), and in particular Article 5(6) thereof,
Whereas:
(1)
On 22 October 2012 the Commission granted a mandate to the European Securities and Markets Authority
(ESMA), requesting its advice with regard to the technical assessment of the legal and supervisory framework of
Brazil in respect of credit rating agencies (CRAs).
(2)
In its technical advice delivered on 31 May 2013, ESMA indicated that in its outcomes, the Brazilian legal and
supervisory framework in respect of credit rating agencies is comparable to that laid down in Regulation (EC)
No 1060/2009.
(3)
Pursuant to the second subparagraph of Article 5(6) of Regulation (EC) No 1060/2009, three conditions need to
be fulfilled in order to consider a third country legal and supervisory framework equivalent to the requirements
of that Regulation.
(4)
According to the first condition, CRAs in third countries must be subject to authorisation or registration and to
effective supervision and enforcement on an ongoing basis. The Brazilian legal and regulatory framework for
credit rating agencies consists of Regulation ICVM 521 of the Securities and Exchange Commission of Brazil
(Comissão de Valores Mobiliários, CVM), adopted on 25 April 2012 on the basis of Law no. 6.385 of 1976. The
regulatory framework obliges CRAs to comply with all provisions of the International Organisation of Securities
Commissions (IOSCO) Code of Conduct. All relevant laws and regulations have entered into force. According to
this regulatory framework, CRAs have to be registered and are supervised on an ongoing basis by the CVM. The
Brazilian legal and supervisory framework endows CVM with a comprehensive range of powers allowing it to
investigate whether CRAs comply with their legal obligations. The CMV may examine and extract examples of
accounting records, books or documents as well as any other files and it may request information or clarifications
under penalty of a fine, without prejudice to other penalties. The CMV's powers also include carrying out inspec
tions, with or without previous notice, to enable effective supervision and enforcement of CRAs and the power
to sanction CRAs in breach of the applicable rules. The CVM may impose a number of penalties to CRAs and
anyone directly involved in the rating process, ranging from warnings, fines and suspensions to de-registration of
the CRA. Should the CVM verify that a crime has been committed, it must refer the matter to the Public Attor
ney's Office ('Ministério Público'). The CVM, upon request, may also take part in legal disputes involving the secu
rities market, where its activities can range from the collection of evidence to the issuance of legal opinions.
CRAs must submit to the CVM an annual reference form, as well as event based information, such as where a
significant change in methodology occurs; the decision to discontinue a credit rating; or where a preliminary
opinion was not used by an issuer when disclosing a transaction. As of September 2013, all CRAs have submitted
their updated reference forms to CVM and it has received event-driven information submissions. CVM reviewed
(1) OJ L 302, 17.11.2009, p. 1.
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3.5.2014
the documents and has asked one CRA to clarify an identified conflict of interest, which the CRA complied with.
The cooperation agreement concluded between ESMA and CVM provides for information exchange with regard
to enforcement and supervisory measures taken against cross border CRAs. On this basis, it should be considered
that CRAs in Brazil are subject to authorisation or registration requirements equivalent to those laid down in
Regulation (EC) No 1060/2009 and the Brazilian supervisory and enforcement arrangements applicable to CRAs
are effectively applied and enforced.
(5)
According to the second condition, CRAs in the third country must be subject to legally binding rules which are
equivalent to those set out in Articles 6 to 12 and Annex I to Regulation (EC) No 1060/2009, with the exception
of Articles 6a, 6b, 8a, 8b, 8c and 11a, point (ba) of point 3 and points 3a and 3b of Section B of Annex I to that
Regulation. When assessing the fulfilment of this condition due regard should be paid to Article 2(1) of Regu
lation (EU) No 462/2013 of the European Parliament and of the Council (1) in respect of the date of application
of certain provisions of Regulation (EC) No 1060/2009. With regard to corporate governance, the Brazilian legal
and supervisory framework requires CRAs as part of their registration procedure to have a corporate governance
structure with a minimum of two directors, one of which must be independent and responsible for compliance
with the rules. The Brazilian legal and supervisory framework, which requires mandatory compliance with the
IOSCO code, obliges CRAs to have in place adequate arrangements for the management of conflicts of interest. A
CRA's code of conduct must provide for the adoption of mechanisms to identify, eliminate, manage and disclose
situations involving conflicts of interest. The Brazilian framework also contains detailed rules on outsourcing,
record keeping and confidentiality. CRAs are required to establish a review function for reviewing rating meth
odologies and the Brazilian framework contains a wide range of disclosure requirements with regard to credit
ratings and rating activities, for example the requirement to distribute in a timely manner its ratings decisions, to
publish a document based on the historical performance of ratings and to make public an annual report including
information on its activities. Therefore, the Brazilian legal and supervisory framework should achieve the same
outcomes as Regulation (EC) No 1060/2009 in respect of the management of conflicts of interest, the organis
ational processes and procedures that a CRA needs to have in place, the quality of ratings and of rating methodol
ogies, the disclosure of credit ratings and the general and periodic disclosure of credit rating activities and. It
should provide for equivalent protection in terms of integrity, transparency, good governance of CRAs and relia
bility of the credit rating activities.
(6)
According to the third condition, the regulatory regime in the third country must prevent interference by the
supervisory authorities and other public authorities of that third country with the content of credit rating and
methodologies. Any such interference would be contrary to the lawfulness principle, enshrined in the Brazilian
Constitution, which provides that public authorities can only act if established by law. As far as it can be ascer
tained there is no legal provision empowering CVM or any other public authority to influence the content of
credit rating or methodologies.
(7)
In view of the factors examined, the conditions laid down in the second subparagraph of Article 5(6) of Regu
lation (EC) No 1060/2009 can be considered to be met by the Brazilian legal and supervisory framework for
credit rating agencies. Therefore, the Brazilian legal and supervisory framework for CRAs should be considered
equivalent to the legal and supervisory framework established by Regulation (EC) No 1060/2009. The Commis
sion, informed by ESMA, should continue to monitor the evolution of the Brazilian legal and supervisory frame
work for CRAs and the fulfilment of the conditions on the basis of which this decision has been taken.
(8)
The measures provided for in this Decision are in accordance with the opinion of the European Securities
Committee,
HAS ADOPTED THIS DECISION:
Article 1
For the purposes of Article 5 of Regulation (EC) No 1060/2009, the legal and supervisory framework for credit rating
agencies in force in Brazil shall be considered as equivalent to the requirements of Regulation (EC) No 1060/2009.
(1) Regulation (EU) No 462/2013 of the European Parliament and of the Council of 21 May 2013 amending Regulation (EC) No 1060/2009
on credit rating agencies (OJ L 146, 31.5.2013, p. 1).
3.5.2014
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L 132/67
Article 2
This Decision shall enter into force on the twentieth day following that of its publication in the
Official Journal of the
European Union.
Done at Brussels, 28 April 2014.
For the Commission
The President
José Manuel BARROSO
L 132/68
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Official Journal of the European Union
3.5.2014
COMMISSION IMPLEMENTING DECISION
of 28 April 2014
on the recognition of the legal and supervisory framework of Argentina as equivalent to the
requirements of Regulation (EC) No 1060/2009 of the European Parliament and of the Council on
credit rating agencies
(Text with EEA relevance)
(2014/246/EU)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009
on credit rating agencies (1), and in particular Article 5(6) thereof,
Whereas:
(1)
On 22 October 2012 the Commission granted a mandate to the European Securities and Markets Authority
(ESMA) requesting its advice with regard to the technical assessment of the legal and supervisory framework of
Argentina in respect of credit rating agencies (CRAs).
(2)
In its technical advice delivered on 31 May 2013 and in the update to that technical advice delivered on
18 December 2013, ESMA indicated that in its outcomes, the Argentinian legal and supervisory framework in
respect of credit rating agencies is comparable to that laid down in Regulation (EC) No 1060/2009.
(3)
Pursuant to the second subparagraph of Article 5(6) of Regulation (EC) No 1060/2009, three conditions need to
be fulfilled in order to consider a third country legal and supervisory framework equivalent to the requirements
of that Regulation.
(4)
According to the first condition, CRAs in third countries must be subject to authorisation or registration and
subject to effective supervision and enforcement on an ongoing basis. The Argentinian legal and regulatory frame
work has been in place since 1992. It was recently revised and strengthened, and currently consists of Law
No 26.831 (the ‘Capital Markets Law’), adopted on 29 November 2012, supplemented by Decree No 1023/13 of
29 July 2013, which establishes general principles on the Argentinean capital markets including high-level prin
ciples to be applied to CRAs, and the new implementing National Securities Commission (Comision Nacional de
Valores, CNV) regulations, which were adopted by the General Resolution No 622/2013, all in force. CRAs must
also comply with all provisions of the International Organisation of Securities Commissions (IOSCO) Code of
Conduct. According to this regulatory framework, CRAs have to be registered and are supervised on an ongoing
basis by CNV. Law No 26.831 sets out CNV's supervisory and sanctioning competences. The CNV is empowered
to carry out inspections and investigations in respect of natural or legal persons subject to its supervisory
authority, request the aid of law enforcement authorities, initiate legal actions and report crimes. The CNV carries
out on-site and desk inspections for each registered CRA biannually. The CNV may, in case of breach of the
applicable provisions, impose penalties such as fines or a prohibition for a minimum period of five years to carry
out the activities as director, manager, auditor or member of the rating committee. The CNV can also suspend
temporarily or permanently those responsible as well as withdraw the CRAs registrations or authorisation. The
CNV keeps a public register of enforcement cases on its website, which indicates when cases are initiated, the
final decision reached and penalties imposed. The cooperation agreement concluded between ESMA and CNV
provides for information exchange with regard to enforcement and supervisory measures taken against cross
border CRAs. On this basis, it should be considered that CRAs in Argentina are subject to registration require
ments equivalent to those laid down in Regulation (EC) No 1060/2009 and the Argentinian supervisory and en
forcement arrangements applicable to CRAs are effectively applied and enforced.
(1) OJ L 302, 17.11.2009, p. 1.
3.5.2014
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(5)
According to the second condition, CRAs in the third country must be subject to legally binding rules which are
equivalent to those set out in Articles 6 to 12 and Annex I to Regulation (EC) No 1060/2009, with the exception
of Articles 6a, 6b, 8a, 8b, 8c and 11a, point (ba) of point 3 and points 3a and 3b of Section B of Annex I to that
Regulation. When assessing the fulfilment of this condition due regard should be paid to Article 2(1) of Regu
lation (EU) No 462/2013 of the European Parliament and of the Council (1) in respect of the date of application
of certain provisions of Regulation (EC) No 1060/2009. The Argentinian legal and supervisory framework
requires CRAs to be governed by a board of directors, responsible for ensuring sound and prudent management
of the CRA, that rating activities are independent and that conflicts of interest are adequately identified, managed,
disclosed and eliminated. CRAs must adopt adequate and efficient organisational and administrative arrangements
for this purpose and also submit and maintain information on actual and potential conflicts of interest related to
the members of the rating committee, members of the board, managers and employees through the Financial
Information Highway (‘Autopista de la informacion financiera’). CRAs must establish and maintain a permanent
and efficient compliance function which operates independently and reports directly to the board. With regard to
organisational processes and procedures, the Argentinian legal and supervisory framework contains detailed rules
on outsourcing, record keeping and confidentiality. CRAs are required to perform a review of their rating meth
odologies, models and key rating assumptions at least once a year and also monitor and revise their ratings at
least four times a year. The Argentinian framework contains a wide range of disclosure requirements with regard
to credit ratings and rating activities, such as the mandatory use of rating categories, the requirement for credit
ratings to be published immediately after the deliberation of the rating committee and for all ratings and their
rating reports to be submitted for publication through the Financial Information Highway on CNV's webpage.
Therefore, the Argentinian legal and supervisory framework should achieve the same outcomes as Regulation
(EC) No 1060/2009 in respect of the management of conflicts of interest, the organisational processes and pro
cedures that a CRA needs to have in place, the quality of ratings and of rating methodologies, the disclosure of
credit ratings and the general and periodic disclosure of credit rating activities. It thus provides for equiva
lent protection in terms of integrity, transparency, good governance of CRAs and reliability of the credit rating
activities.
(6)
According to the third condition, the regulatory regime in the third country must prevent interference by the
supervisory authorities and other public authorities of that third country with the content of credit rating and
methodologies. CNV is an administrative body and consequently is subject to Law 19.549 of 3 April 1972, the
Administrative Procedure Law. CNV acts through administrative acts, within the scope of the powers delegated to
it. As far as it can be ascertained there is no legal provision empowering CNV or any other public authority to
influence the content of credit ratings or methodologies.
(7)
In view of the factors examined, the conditions laid down in the second subparagraph of Article 5(6) of Regu
lation (EC) No 1060/2009 can be considered to be met by the Argentinian legal and supervisory framework for
CRAs. Therefore, the Argentinian legal and supervisory framework for credit rating agencies should be considered
equivalent to the legal and supervisory framework established by Regulation (EC) No 1060/2009. The Commis
sion, informed by ESMA, should continue monitoring the evolution of the Argentinian legal and supervisory
framework for CRAs and the fulfilment of the conditions on the basis of which this decision has been taken.
(8)
The measures provided for in this Decision are in accordance with the opinion of the European Securities
Committee,
HAS ADOPTED THIS DECISION:
Article 1
For the purposes of Article 5 of Regulation (EC) No 1060/2009, the legal and supervisory framework for credit rating
agencies in force in Argentina shall be considered as equivalent to the requirements of Regulation (EC) No 1060/2009.
(1) Regulation (EU) No 462/2013 of the European Parliament and of the Council of 21 May 2013 amending Regulation (EC) No 1060/2009
on credit rating agencies (OJ L 146, 31.5.2013, p. 1).
L 132/70
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3.5.2014
Article 2
This Decision shall enter into force on the twentieth day following that of its publication in the
Official Journal of the
European Union.
Done at Brussels, 28 April 2014.
For the Commission
The President
José Manuel BARROSO
3.5.2014
EN
Official Journal of the European Union
L 132/71
COMMISSION IMPLEMENTING DECISION
of 28 April 2014
on the recognition of the legal and supervisory framework of Mexico as equivalent to the require
ments of Regulation (EC) No 1060/2009 of the European Parliament and of the Council on credit
rating agencies
(Text with EEA relevance)
(2014/247/EU)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009
on credit rating agencies (1), and in particular Article 5(6) thereof,
Whereas:
(1)
On 22 October 2012 the Commission granted a mandate to the European Securities and Markets
Authority (ESMA), requesting its advice with regard to the technical assessment of the legal and supervisory
framework of Mexico in respect of credit rating agencies (CRAs).
(2)
In its technical advice delivered on 31 May 2013, ESMA indicated that in its outcomes, the Mexican legal and
supervisory framework in respect of CRAs is comparable to that laid down in Regulation (EC) No 1060/2009.
(3)
Pursuant to the second subparagraph of Article 5(6) of Regulation (EC) No 1060/2009, three conditions need to
be fulfilled in order to consider a third country legal and supervisory framework equivalent to the requirements
of that Regulation.
(4)
According to the first condition, CRAs in third countries must be subject to authorisation or registration and to
effective supervision and enforcement on an ongoing basis. CRAs have been regulated and supervised by the
Mexican Banking and Securities Commission (Comisión Nacional Bancaria y de Valores, CNBV) since July 1993.
Since December 1999, they have to obtain prior authorisation of the CNBV in order to operate and provide
credit rating services. On 17 February 2013, the currently applicable amended Regulation on credit rating agen
cies (Disposiciones Aplicables a las Institutiones Calificadoras de Valores) was published by CNBV in its official
journal and has entered into force. The CNBV is empowered to investigate any actions or issues that might consti
tute or could constitute a breach of the law. The CNBV has the power to request any type of information and
documents, carry out on-site inspections and summon before it any person who might contribute to the investi
gation. CRAs can be permanently or temporarily barred, suspended or have their license revoked. The CNBV is
also empowered to impose administrative fines. The CNBV has implemented annual compliance reviews of the
registered CRAs, on the basis of which it has made observations and imposed sanctions. The cooperation agree
ment concluded between ESMA and CNBV provides for information exchange with regard to enforcement and
supervisory measures taken against cross border CRAs. On this basis, it should be considered that CRAs in
Mexico are subject to authorisation or registration requirements equivalent to those laid down in Regulation (EC)
No 1060/2009 and the Mexican supervisory and enforcement arrangements applicable to CRAs are effectively
applied and enforced.
(5)
According to the second condition, CRAs in the third country must be subject to legally binding rules which are
equivalent to those set out in Articles 6 to 12 and Annex I to Regulation (EC) No 1060/2009, with the exception
of Articles 6a, 6b, 8a, 8b, 8c and 11a, point (ba) of point 3 and points 3a and 3b of Section B of Annex I to that
Regulation. When assessing the fulfilment of this condition due regard should be paid to Article 2(1) of Regu
lation (EU) No 462/2013 of the European Parliament and of the Council (2) in respect of the date of application
of certain provisions of Regulation (EC) No 1060/2009. The Mexican framework with regard to corporate
governance requires CRAs to have a board of directors, consisting of maximum 21 directors and of which at
(1) OJ L 302, 17.11.2009, p. 1.
(2) Regulation (EU) No 462/2013 of the European Parliament and of the Council of 21 May 2013 amending Regulation (EC) No 1060/2009
on credit rating agencies (OJ L 146, 31.5.2013, p. 1).
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3.5.2014
least 25 % shall meet the requirements of independence. The independent directors shall amongst others be
competent for the development of the credit rating policy and the methodologies, the effectiveness of the internal
control system and monitoring the compliance and governance processes. Conflicts of interest must be identified
and eliminated and, if applicable, the compliance officer is to be informed of any potential conflict of interest
that could influence ratings. When a CRA identifies conflicts of interest that might influence its ratings, it must
abstain from providing its services. The Mexican framework contains extensive organisational requirements
concerning record keeping and confidentiality, and provides that CRAs remain fully liable for any outsourced
activities. Entities providing outsourcing services to CRAs are also subject to supervision by the CNBV. CRAs are
required to establish a formal review function for reviewing rating methodologies and models and the Mexican
framework contains a wide range of disclosure requirements with regard to credit ratings and rating activities.
Therefore, the Mexican legal and supervisory framework should achieve the same outcomes as Regulation (EC)
No 1060/2009 in respect of the management of conflicts of interest, the organisational processes and procedures
that a CRA needs to have in place, the quality of ratings and of rating methodologies, the disclosure of credit
ratings and the general and periodic disclosure of credit rating activities. It thus provides for equivalent protection
in terms of integrity, transparency, good governance of credit rating agencies and reliability of the credit rating
activities.
(6)
According to the third condition, the regulatory regime in the third country must prevent interference by the
supervisory authorities and other public authorities of that third country with the content of credit rating and
methodologies. The Mexican Constitution establishes that administrative authorities are only allowed to act when
they have an express authority or power set forth under applicable law. As far as it can be ascertained there is no
legal provision empowering CNBV or any other public authority to influence the content of credit rating or meth
odologies.
(7)
In view of the factors examined, the conditions laid down in the second subparagraph of Article 5(6) of Regu
lation (EC) No 1060/2009 can be considered to be met by the Mexican legal and supervisory framework for
CRAs. Therefore, the Mexican legal and supervisory framework for CRAs should be considered equivalent to the
legal and supervisory framework established by Regulation (EC) No 1060/2009. The Commission, informed by
ESMA, should continue to monitor the evolution of the Mexican legal and supervisory framework for CRAs and
the fulfilment of the conditions on the basis of which this decision has been taken.
(8)
The measures provided for in this Decision are in accordance with the opinion of the European Securities
Committee,
HAS ADOPTED THIS DECISION:
Article 1
For the purposes of Article 5 of Regulation (EC) No 1060/2009, the legal and supervisory framework for credit rating
agencies in force in Mexico shall be considered as equivalent to the requirements of Regulation (EC) No 1060/2009.
Article 2
This Decision shall enter into force on the twentieth day following that of its publication in the
Official Journal of the
European Union.
Done at Brussels, 28 April 2014.
For the Commission
The President
José Manuel BARROSO
3.5.2014
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Official Journal of the European Union
L 132/73
COMMISSION IMPLEMENTING DECISION
of 28 April 2014
on the recognition of the legal and supervisory framework of Singapore as equivalent to the
requirements of Regulation (EC) No 1060/2009 of the European Parliament and of the Council on
credit rating agencies
(Text with EEA relevance)
(2014/248/EU)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009
on credit rating agencies (1), and in particular Article 5(6) thereof,
Whereas:
(1)
On 22 October 2012 the Commission granted a mandate to the European Securities and Markets Authority
(ESMA), requesting its advice with regard to the technical assessment of the legal and supervisory framework of
Singapore in respect of credit rating agencies (CRAs).
(2)
In its technical advice delivered on 31 May 2013, ESMA indicated that in its outcomes, the Singaporean legal and
supervisory framework in respect of CRAs is comparable to that laid down in Regulation (EC) No 1060/2009.
(3)
Pursuant to the second subparagraph of Article 5(6) of Regulation (EC) No 1060/2009, three conditions need to
be fulfilled in order to consider a third country legal and supervisory framework equivalent to the requirements
of that Regulation.
(4)
According to the first condition, CRAs in third countries must be subject to authorisation or registration and to
effective supervision and enforcement on an ongoing basis. The Singaporean legal and regulatory framework for
CRAs came into force on 17 January 2012. The Monetary Authority of Singapore (MAS), which is the central
bank of Singapore, has the power to issue secondary legislation on the basis of the Securities and Futures Act
(SFA). CRAs are required to obtain a capital markets services (CMS) licence under the SFA to carry out credit
rating services in Singapore and are supervised on an ongoing basis by MAS. MAS regulations applicable to
CRAs, as CMS licensees, include the Securities and Futures (Licensing and Conduct of Business) Regulations and
the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licenses)
Regulations, as well as a legally binding Code of Conduct for CRAs. The Singaporean legal and supervisory frame
work endows MAS with a comprehensive range of powers allowing it to investigate whether CRAs comply with
their legal obligations, in addition to the obligations of the CRAs to inform MAS of any changes in its particulars
on an ongoing basis and to file financial information with MAS. The MAS has the power to inspect a CMS
licensee and CRAs must allow MAS full access to their books, accounts and documents and give such information
and facilities as may be required to conduct the inspection. The MAS has the authority to make copies or take
possession of any of the books produced and can invoke investigation powers to require the production of docu
ments. By April 2012, three CRAs were licensed in Singapore and in the first eight months of 2013, MAS carried
out one on-site inspection. In addition, MAS is empowered to issue written instructions to a CRA not pertaining
to the content of a credit rating, rating outlook or methodologies, if it considers it necessary or expedient in the
interests of the public or for the protection of investors, revoke the licence or suspend the activities of a CRA,
publish information relating to any breach by a CRA of its regulatory obligations. MAS can refer matters to the
relevant national authorities for criminal investigation and prosecution. The cooperation agreement concluded
between ESMA and MAS provides for information exchange with regard to enforcement and supervisory
(1) OJ L 302, 17.11.2009, p. 1.
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measures taken against cross border CRAs. On this basis, it should be considered that CRAs in Singapore
are subject to authorisation or registration requirements equivalent to those laid down in Regulation (EC)
No 1060/2009 and the Singaporean supervisory and enforcement arrangements applicable to CRAs are effect
ively applied and enforced.
(5)
According to the second condition, CRAs in the third country must be subject to legally binding rules which are
equivalent to those set out in Articles 6 to 12 and Annex I to Regulation (EC) No 1060/2009, with the exception
of Articles 6a, 6b, 8a, 8b, 8c and 11a, point (ba) of point 3 and points 3a and 3b of Section B of Annex I to that
Regulation. When assessing the fulfilment of this condition due regard should be paid to Article 2(1) of Regu
lation (EU) No 462/2013 of the European Parliament and of the Council (1) in respect of the date of application
of certain provisions of Regulation (EC) No 1060/2009. With regard to corporate governance, the Singaporean
legal and supervisory framework provides for a general obligation for the CRAs, their officers and staff to fulfil
their tasks independently and the effective independence of directors is achieved through requirements for specific
policies and shall be demonstrated to the MAS. CRAs have to seek the approval of MAS for the appointment of a
CEO or director, whereby MAS takes into account the individual's experience, expertise and past performance.
MAS also has the power to demand the removal of the CEO, directors or other officers of the CRA if it considers
that those persons failed to discharge their duties, such as with regard to conflicts of interest and the review and
compliance function. Extensive provisions are in place in the Singaporean legal and supervisory framework
regarding the identification, elimination, management and disclosure of actual or potential conflicts of interest.
That framework also requires CRAs to establish a rigorous and formal review function for reviewing rating meth
odologies and contains a number of organisational requirements to ensure compliance with the laws and rules
applicable as well as disclosure requirements such as on the information to be published when issuing credit
ratings and annual disclosures concerning its rating activities. Therefore, the Singaporean legal and supervisory
framework should achieve the same outcomes as Regulation (EC) No 1060/2009 in respect of the management
of conflicts of interest, the organisational processes and procedures that a CRA needs to have in place, the quality
of ratings and of rating methodologies, the disclosure of credit ratings and the general and periodic disclosure of
credit rating activities. It thus provides for equivalent protection in terms of integrity, transparency, good govern
ance of CRAs and reliability of the credit rating activities.
(6)
According to the third condition, the regulatory regime in the third country must prevent interference by the
supervisory authorities and other public authorities of that third country with the content of credit rating and
methodologies. As far as it can be ascertained there is no legal provision empowering MAS or any other public
authority to influence the content of credit rating or methodologies. Any act by MAS outside of its powers may
be subject to judicial review.
(7)
In view of the factors examined, the conditions laid down in the second subparagraph of Article 5(6) of Regu
lation (EC) No 1060/2009 can be considered to be met by the Singaporean legal and supervisory framework for
CRAs. Therefore, the Singaporean legal and supervisory framework for CRAs should be considered equivalent to
the legal and supervisory framework established by Regulation (EC) No 1060/2009. The Commission, informed
by ESMA, should continue to monitor the evolution of the Singapore legal and supervisory framework for CRAs
and the fulfilment of the conditions on the basis of which this decision has been taken.
(8)
The measures provided for in this Decision are in accordance with the opinion of the European Securities
Committee,
HAS ADOPTED THIS DECISION:
Article 1
For the purposes of Article 5 of Regulation (EC) No 1060/2009, the legal and supervisory framework for credit rating
agencies in force in Singapore shall be considered as equivalent to the requirements of Regulation (EC) No 1060/2009.
(1) Regulation (EU) No 462/2013 of the European Parliament and of the Council of 21 May 2013 amending Regulation (EC) No 1060/2009
on credit rating agencies (OJ L 146, 31.5.2013, p. 1).
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Article 2
This Decision shall enter into force on the twentieth day following that of its publication in the
Official Journal of the
European Union.
Done at Brussels, 28 April 2014.
For the Commission
The President
José Manuel BARROSO
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COMMISSION IMPLEMENTING DECISION
of 28 April 2014
on the recognition of the legal and supervisory framework of Hong Kong as equivalent to the
requirements of Regulation (EC) No 1060/2009 of the European Parliament and of the Council on
credit rating agencies
(Text with EEA relevance)
(2014/249/EU)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 1060/2009 of the European Parliament and of the Council of 16 September 2009
on credit rating agencies (1), and in particular Article 5(6) thereof,
Whereas:
(1)
On 22 October 2012 the Commission granted a mandate to the European Securities and Markets Authority
(ESMA), requesting its advice with regard to the technical assessment of the legal and supervisory framework of
Hong Kong in respect of credit rating agencies (CRAs).
(2)
In its technical advice delivered on 31 May 2013, ESMA indicated that in its outcomes, the Hong Kong legal and
supervisory framework in respect of CRAs is comparable to that laid down in Regulation (EC) No 1060/2009.
(3)
Pursuant to the second subparagraph of Article 5(6) of Regulation (EC) No 1060/2009, three conditions need to
be fulfilled in order to consider a third country legal and supervisory framework equivalent to the requirements
of that Regulation.
(4)
According to the first condition, CRAs in third countries must be subject to authorisation or registration and to
effective supervision and enforcement on an ongoing basis. The Hong Kong legal and regulatory framework for
CRAs consists of the Securities and Futures Ordinance (SFO) and the Code of Conduct for Persons Providing
Credit Rating Services (COC), the relevant amendments to which came into effect on 1 June 2011. CRAs and
their rating analysts who provide credit rating services in Hong Kong are required to be licensed for providing
credit rating services and are subject to supervision by the Securities and Futures Commission (SFC) of Hong
Kong. The Hong Kong legal and supervisory framework endows SFC with a comprehensive range of powers
allowing it to investigate whether CRAs comply with their legal obligations. The SFC can compel both unregu
lated and regulated persons to produce information and documents relevant to the investigation, including trade
records, bank records, telephone records, internet records and beneficial ownership information. This power
applies to both persons under investigation or whom the SFC has reasonable cause to believe are in possession of
information relevant to the investigation. In addition, where there is fear of destruction or removal of evidence,
flight of target or other concerns, the SFC has the power to access private premises of both unregulated and regu
lated persons upon the grant of a search warrant by a judicial authority. In addition, the SFC has a full range of
powers to take criminal, civil, administrative and other actions. This includes the administrative power to impose
disciplinary sanctions against persons licensed or registered with the SFC, to impose restrictions on licensed or
registered persons regarding their business activities, to revoke or suspend a licensed or registered person's licence
or registration and to reprimand, impose obligations or fine the licensed or registered person up to a maximum
of 10 million Hong Kong dollars or three times of profit gained or loss avoided. The SFC also has the power to
apply to the relevant court for injunctive or remedial orders. The SFC conducts, in addition to onsite inspections,
offsite supervision through interactions with licensed CRAs to understand their business models and plans and
the risks inherent in such activities, with a view to identifying and assessing the risks arising from their business
activities. Information on licensed CRAs is collected through filings with the SFC, including but not limited to
annual audited accounts and annual control review reports. The SFC also follows up on complaints and self-
reported breaches. Since the Hong Kong CRA regime became effective on 1 June 2011, all licensed CRAs are
(1) OJ L 302, 17.11.2009, p. 1.
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subject to ongoing supervision and enforcement powers of the SFC. The cooperation agreement concluded
between ESMA and SFC provides for information exchange with regard to enforcement and supervisory measures
taken against cross border CRAs. On this basis, it should be considered that CRAs in Hong Kong are subject to
authorisation or registration requirements equivalent to those laid down in Regulation (EC) No 1060/2009 and
the Hong Kong supervisory and enforcement arrangements applicable to CRAs are effectively applied and
enforced.
(5)
According to the second condition, CRAs in the third country must be subject to legally binding rules which are
equivalent to those set out in Articles 6 to 12 and Annex I to Regulation (EC) No 1060/2009, with the exception
of Articles 6a, 6b, 8a, 8b, 8c and 11a, point (ba) of point 3 and points 3a and 3b of Section B of Annex I to that
Regulation. When assessing the fulfilment of this condition due regard should be paid to Article 2(1) of Regu
lation (EU) No 462/2013 of the European Parliament and of the Council (1) in respect of the date of application
of certain provisions of Regulation (EC) No 1060/2009. The Hong Kong legal and supervisory framework lays
down detailed corporate governance requirements. The board of directors and responsible officers for the regu
lated activities bear primary responsibility for ensuring the maintenance of appropriate standards of conduct and
adherence to proper procedures by the CRA. CRAs must have two responsible officers, both of whom have to be
approved by the SFC, and at least one of them has to be an executive director under the SFO. Extensive provi
sions are in place regarding conflicts of interest, requiring CRAs to identify and eliminate or manage conflicts of
interest and to be organised in a manner that ensures its business interest does not impair the independence and
accuracy of its credit ratings as well as organisational requirements, including outsourcing, record keeping and
confidentiality. In terms of organisational requirements, the General SFC Code and COC lay down requirements
CRAs must fulfil such as those regarding policies and procedures for ensuring compliance with legal obligations
and a permanent and effective compliance function. CRAs are also required to establish a review function respon
sible for periodically reviewing rating methodologies and models and significant changes thereto. The Hong Kong
legal and supervisory framework contains a broad range of disclosure requirements, such as public disclosure of
the ratings and annual public disclosures on the rating and ancillary activities. Therefore, the Hong Kong legal
and supervisory framework should achieve the same outcomes as Regulation (EC) No 1060/2009 in respect of
the management of conflicts of interest, the organisational processes and procedures that a CRA needs to have in
place, the quality of ratings and of rating methodologies, the disclosure of credit ratings and the general and peri
odic disclosure of credit rating activities. It thus should provide for equivalent protection in terms of integrity,
transparency, good governance of CRAs and reliability of the credit rating activities.
(6)
According to the third condition, the regulatory regime in the third country must prevent interference by the
supervisory authorities and other public authorities of that third country with the content of credit rating and
methodologies. Sections 4 and 5 of the SFO set out the regulatory objectives and functions and powers of the
SFC respectively, which do not include any power for the SFC to interfere in any credit rating issued by a CRA or
in a rating methodology of that CRA. As far as it can be ascertained there is no legal provision empowering SFC
or any other public authority to influence the content of credit rating or methodologies.
(7)
In view of the factors examined, the conditions laid down in the second subparagraph of Article 5(6) of Regu
lation (EC) No 1060/2009 can be considered to be met by the Hong Kong legal and supervisory framework for
CRAs. Therefore, the Hong Kong legal and supervisory framework for CRAs should be considered equivalent to
the legal and supervisory framework established by Regulation (EC) No 1060/2009. The Commission, informed
by ESMA, should continue to monitor the evolution of the Hong Kong legal and supervisory framework for
CRAs and the fulfilment of the conditions on the basis of which this decision has been taken.
(8)
The measures provided for in this Decision are in accordance with the opinion of the European Securities
Committee,
HAS ADOPTED THIS DECISION:
Article 1
For the purposes of Article 5 of Regulation (EC) No 1060/2009, the legal and supervisory framework for credit rating
agencies in force in Hong Kong shall be considered as equivalent to the requirements of Regulation (EC) No 1060/2009.
(1) Regulation (EU) No 462/2013 of the European Parliament and of the Council of 21 May 2013 amending Regulation (EC) No 1060/2009
on credit rating agencies (OJ L 146, 31.5.2013, p. 1).
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Article 2
This Decision shall enter into force on the twentieth day following that of its publication in the
Official Journal of the
European Union.
Done at Brussels, 28 April 2014.
For the Commission
The President
José Manuel BARROSO
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COMMISSION IMPLEMENTING DECISION
of 29 April 2014
amending Decision 2010/221/EU as regards the approval of national measures for preventing the
introduction of ostreid herpesvirus 1 µvar (OsHV-1 µVar) into certain areas of Ireland and the
United Kingdom
(notified under document C(2014) 2763)
(Text with EEA relevance)
(2014/250/EU)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Directive 2006/88/EC of 24 October 2006 on animal health requirements for aquaculture
animals and products thereof, and on the prevention and control of certain diseases in aquatic animals (1), and in par
ticular Article 43(2) thereof,
Whereas:
(1)
Commission Decision 2010/221/EU (2) allows certain Member States to apply placing on the market and import
restrictions on consignments of aquatic animals in order to prevent the introduction of certain diseases into their
territory.
(2)
Member States can apply such restrictions provided that they have either demonstrated that their territory, or
certain demarcated areas of their territory, are free of such diseases or they have established an eradication
programme to obtain such freedom.
(3)
Annexes I and III to Decision 2010/221/EU list areas in Ireland and the United Kingdom with approved national
measures to control ostreid herpesvirus 1 µvar (OsHV-1 µVar).
(4)
As OsHV-1 µVar still was considered to be an emerging disease with many uncertainties and the surveillance
programmes approved by Decision 2010/221/EU had not been fully evaluated, the Commission
Implementing Decision 2013/213/EU (3) allowed the restrictions related to OsHV-1 µVar for those areas to apply
until 30 April 2014.
(5)
Currently available scientific knowledge indicates that OsHV-1 µVar is still the agent detected in most samples
collected from mortality events in juvenile oysters and spat, and that the overall mortality rate due to this disease
has decreased and stabilised over the last two years. Furthermore, the surveillance programmes for Ireland and
the United Kingdom show that there are a significant number of production areas for Pacific oysters that have
remained free of the disease. Those programmes indicate that application of the movement restrictions currently
in place has been effective. However, some uncertainties remain in relation to the epidemiology of the disease
and with regard to the most adequate measures needed to ensure its effective control. Therefore, a more compre
hensive scientific evaluation of the situation is considered necessary, including a new scientific opinion from the
European Food Safety Authority (EFSA).
(6)
Based on the available scientific and epidemiological evidence on the evolution of OsHV-1 µVar in the Union,
and pending a new EFSA scientific opinion, it is appropriate to prolong the period of validity of the measures
currently in force whereby Member States can apply specific restrictions related to this disease. This period
should be limited to two more years until 30 April 2016.
(1) OJ L 328, 24.11.2006, p. 14.
(2) Commission Decision 2010/221/EU of 15 April 2010 approving national measures for limiting the impact of certain diseases in aqua
culture animals and wild aquatic animals in accordance with Article 43 of Council Directive 2006/88/EC (OJ L 98, 24.4.2010, p. 7).
(3) Commission Implementing Decision 2013/213/EU of 29 April 2013 amending Decision 2010/221/EU as regards the approval of
national measures for preventing the introduction of ostreid herpesvirus 1 µvar (OsHV-1 µvar) into certain areas of Ireland and the
United Kingdom (OJ L 120, 1.5.2013, p. 16).
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(7)
Commission Implementing Decision 2014/12/EU (1) has confirmed the disease-free status with regard to OsHV-1
µVar of the following territories of the United Kingdom by listing them in Annex I to Decision 2010/221/EU:
(i) the territory of Great Britain except Whitstable Bay in Kent, Blackwater Estuary in Essex and Poole Harbour in
Dorset; (ii) the area of Larne Lough in the territory of Northern Ireland; and (iii) the territory of Guernsey.
(8)
According to the declaration notified to the Commission by the United Kingdom, the surveillance programme for
OsHV-1 µVar demonstrates disease free status with exception of the infected areas and shall no longer be applied
as indicated in Annex III to Decision 2010/221/EU.
(9)
The entry of the United Kingdom in Annex III to Decision 2010/221/EU should therefore be removed.
(10) Decision 2010/221/EU should be amended accordingly.
(11) The measures provided for in this Decision are in accordance with the opinion of the Standing Committee on the
Food Chain and Animal Health,
HAS ADOPTED THIS DECISION:
Article 1
In Article 3a(2) of Decision 2010/221/EU, the date ‘30 April 2014’ is replaced by ‘30 April 2016’.
Article 2
In Annex III to Decision 2010/221/EU the entry of United Kingdom concerning ostreid herpesvirus 1 µvar (OsHV-1
µVar) is deleted.
Article 3
This Decision shall apply from 1 May 2014.
Article 4
This Decision is addressed to the Member States.
Done at Brussels, 29 April 2014.
For the Commission
Tonio BORG
Member of the Commission
(1) Commission Implementing Decision 2014/12/EU of 14 January 2014 amending Decision 2010/221/EU as regards national measures
for preventing the introduction of certain aquatic animal diseases into parts of Ireland, Finland, Sweden and the United Kingdom
(OJ L 11, 16.1.2014, p. 6).
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COMMISSION IMPLEMENTING DECISION
of 29 April 2014
on the clearance of the accounts of the paying agencies of Member States concerning expenditure
financed by the European Agricultural Fund for Rural Development (EAFRD) for the 2013 finan
cial year
(notified under document C(2014) 2785)
(2014/251/EU)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EC) No 1290/2005 of 21 June 2005 on the financing of the common agricultural
policy (1), and in particular Article 30 thereof,
Having regard to Regulation (EU) No 1306/2013 of the European Parliament and of the Council of 17 December 2013
on the financing, management and monitoring of the common agricultural policy and repealing Council Regula
tions (EEC) No 352/78, (EC) No 165/94, (EC) No 2799/98, (EC) No 814/2000, (EC) No 1290/2005 and (EC)
No 485/2008 (2), and in particular Article 119(1) thereof,
Having regard to Commission Regulation (EC) No 885/2006 (3), and in particular Article 10 thereof,
After consulting the Committee on the Agricultural Funds,
Whereas:
(1)
Article 119(1) second subparagraph of Regulation (EU) No 1306/2013 as amended by Article 8 of Regulation
(EU) No 1310/2013 of the European Parliament and of the Council of 17 December 2013 laying down certain
transitional provisions on support for rural development by the European Agricultural Fund for Rural Develop
ment (EAFRD), amending Regulation (EU) No 1305/2013 of the European Parliament and of the Council
as regards resources and their distribution in respect of the year 2014 and amending Council Regulation (EC)
No 73/2009 and Regulations (EU) No 1307/2013, (EU) No 1306/2013 and (EU) No 1308/2013 of the European
Parliament and of the Council as regards their application in the year 2014 (4), provides that Article 30 of Regu
lation (EC) No 1290/2005 applies for the financial clearance of the expenditure incurred and payments made for
agricultural financial year 2013.
(2)
Under Article 30 of Regulation (EC) No 1290/2005 (as referred to in Article 119(1) second subparagraph of
Regulation (EU) No 1306/2013, amended by Article 8 of Regulation (EU) No 1310/2013), the Commission, on
the basis of the annual accounts submitted by the Member States, accompanied by the information required for
the clearance of accounts and a certificate regarding the completeness, accuracy and veracity of the accounts and
the reports established by the certification bodies, clears the accounts of the paying agencies referred to in
Article 6 of the said Regulation.
(3)
Pursuant to Article 5 of Commission Regulation (EC) No 883/2006 of 21 June 2006 laying down detailed rules
for the application of Council Regulation (EC) No 1290/2005 as regards the keeping of accounts by the paying
agencies, declarations of expenditure and revenue and the conditions for reimbursing expenditure under the
EAGF and the EAFRD (5), the financial year for the EAGF accounts begins on 16 October of year N – 1 and ends
on 15 October of year N. In the framework of clearing the accounts, for the purpose of aligning the reference
period for EAFRD expenditure with that of the EAGF, account should be taken for the 2013 financial year of
expenditure incurred by the Member States between 16 October 2012 and 15 October 2013.
(1) OJ L 209, 11.8.2005, p. 1.
(2) OJ L 347, 20.12.2013, p. 549.
(3) OJ L 171, 23.6.2006, p. 90.
(4) OJ L 347, 20.12.2013, p. 865.
(5) OJ L 171, 23.6.2006, p. 1.
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(4)
The second subparagraph of Article 10(2) of Regulation (EC) No 885/2006 provides that the amounts that are
recoverable from, or payable to, each Member State, in accordance with the accounts clearance decision referred
to in the first subparagraph of Article 10(1) of the said Regulation, shall be established by deducting the inter
mediate payments in respect of the financial year concerned from the expenditure recognised for the same year
in accordance with paragraph 1. The Commission shall deduct that amount from or add it to the following inter
mediate payment.
(5)
The Commission has checked the information submitted by the Member States and it has communicated to the
Member States before 31 March 2014 the results of its verifications, along with the necessary amendments.
(6)
The annual accounts and the accompanying documents permit the Commission to take, for certain paying agen
cies, a decision on the completeness, accuracy and veracity of the annual accounts submitted. Annex I lists the
amounts cleared by Member States and the amounts to be recovered from or paid to the Member States.
(7)
The information submitted by certain other paying agencies requires additional inquiries and their accounts
cannot be cleared in this decision. Annex II lists the paying agencies concerned.
(8)
The Commission, in accordance with Article 27 of Regulation (EC) No 1290/2005, may reduce or temporarily
suspend interim payments to the Member States. It should inform the Member State accordingly. In taking the
present decision, the Commission should take into account the amounts reduced or suspended in order to avoid
all inappropriate or untimely payments, reimbursing amounts which could later be the object of financial correc
tion. In particular, the second and third quarterly declarations of 2013 included respectively the amounts of
EUR 753 591,20 and EUR 532 237,50 for the Rural Development Programme Lazio (CCI 2007IT06RP0005).
These amounts were also included in the annual declaration for FY2013. The amounts in question were
subject to reduction under Article 27(3) of Regulation (EC) No 1290/2005 and Article 41 of Regulation (EU)
No 1306/2013 by Commission Decision C(2013) 8989 on the basis of irregular funding and Commission Deci
sion C(2014) 1278 on the basis of not observing time limits for mandatory verification. Since the procedure
pursuant to Article 31 of Regulation (EC) No 1290/2005 is still ongoing, these reductions should be maintained.
(9)
Article 10(1) second and third subparagraph of Regulation (EC) No 885/2006 provide that the financial clearance
decision determines the amounts to be charged to the EU and to the Member State concerned pursuant to Arti
cles 32 and 33 of Regulation (EC) No 1290/2005. In accordance with Article 119(1) second subparagraph of
Regulation (EU) No 1306/2013, the procedure under Article 30 of Regulation (EC) No 1290/2005 continues to
apply to expenditure incurred and payments made for agricultural FY 2013. During agricultural FY 2013 Arti
cles 32 and 33 were in force, therefore the amounts resulting from their application should be taken into account
in the financial clearance decision in relation to FY 2013.
(10) Pursuant to Article 33(8) of Regulation (EC) No 1290/2005, 50 % of the financial consequences of non-recovery
of irregularities should be borne by the Member State concerned if the recovery of those irregularities has not
taken place prior to the closure of a rural development programme within 4 years of the primary administrative
or judicial finding, or within 8 years if the recovery is taken to the national courts, or on the closure of the
programme if those deadlines expire prior such closure. Article 33(4) of the said Regulation obliges Member
States to submit to the Commission, together with the annual accounts, a summary report on the recovery pro
cedures undertaken in response to irregularities. Detailed rules on the application of the Member States' reporting
obligation of the amounts to be recovered are laid down in Regulation (EC) No 885/2006. Annex III to the said
Regulation provides the table that had to be provided in 2014 by the Member States. On the basis of the tables
completed by the Member States, the Commission should decide on the financial consequences of non-recovery
of irregularities older than 4 or 8 years respectively. To this effect, the present decision is without prejudice to the
possible further conformity clearance decisions that the Commission may take pursuant to Article 33(5) of Regu
lation (EC) No 1290/2005.
(11) Pursuant to Article 33(7) of Regulation (EC) No 1290/2005 and by virtue of Article 10 of Regulation (EC)
No 885/2006, after closure of a rural development programme Member States may decide not to pursue
recovery. Such a decision may only be taken if the costs already and likely to be incurred total more than the
amount to be recovered or if the recovery proves impossible owing to the insolvency, recorded and recognised
under national law, of the debtor or the persons legally responsible for the irregularity. If that decision has been
taken within 4 years of the primary administrative or judicial finding, or within 8 years if the recovery is taken to
the national courts, 100 % of the financial consequences of the non-recovery should be borne by the EU budget.
In the summary report referred to in Article 33(4) of Regulation (EC) No 1290/2005 the amounts for which the
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Member State decided not to pursue recovery and the grounds for the decision are shown. These amounts are
not charged to the Member States concerned and are consequently to be borne by the EU budget. To this effect,
the present decision is without prejudice to the possible further conformity clearance decisions that the Commis
sion may take pursuant to Article 33(5) of the said Regulation.
(12) Pursuant to Article 24(4) of Regulation (EC) No 1290/2005 (as referred to in Article 34(2) of Regulation (EU)
No 1306/2013, amended by Article 8 of Regulation (EU) No 1310/2013), the combined total of prefinancing
and intermediate payments should not exceed 95 % of the EAFRD's contribution to each rural development
programme.
(13)
In accordance with Article 26(3)(b) of Regulation (EC) No 1290/2005 (as referred to in Article 36(3)(b) of Regu
lation (EU) No 1306/2013, intermediate payments shall be made without overrun of the total financial
programmed EAFRD contribution to each priority. Furthermore, pursuant to Article 17(4) of Regulation (EC)
No 883/2006, without prejudice to the ceiling provided for in Article 24(4) of Regulation (EC) No 1290/2005
(as referred to in Article 34(2) of Regulation (EU) No 1306/2013, where the combined total of declarations of
expenditure exceeds the total programmed for a rural development programme priority, the amount to be paid
shall be capped at the amount programmed for that priority. The financial plan for Axis 2 for the Rural Develop
ment Programme 2007PT06RP0001 was exceeded by EUR 913 212,81 in the quarterly declaration for
Q3 2013. This amount was not paid out by the Commission. A new financial plan has not been approved and
adopted by the Commission. The amount of EUR 913 212,81 included in the annual declaration for FY 2013
should accordingly be excluded from the financial clearance decision for FY2013. It would be subject to a later
reimbursement by the Commission following the adoption of the new financial plan.
(14) In accordance with Article 30(2) of Regulation (EC) No 1290/2005, the present decision is without prejudice to
the possible further conformity clearance decisions that the Commission may take to exclude from European
Union financing expenditure not effected in accordance with European Union rules,
HAS ADOPTED THIS DECISION:
Article 1
With the exception of the paying agencies referred to in Article 2, the accounts of the paying agencies of the Member
States concerning expenditure financed by the European Agricultural Fund for Rural Development (EAFRD) in respect of
the 2013 financial year, are hereby cleared.
The amounts which are recoverable from, or payable to, each Member State under each rural development
programme pursuant to this decision, including those resulting from the application of Article 33(8) of Regulation (EC)
No 1290/2005, are set out in Annex I.
Article 2
For the 2013 financial year, the accounts of the Member States' paying agencies in respect of expenditure per Rural
Development programme financed by the EAFRD, set out in Annex II, are disjoined from this Decision and shall be the
subject of a future clearance of accounts Decision.
Article 3
The present decision is without prejudice to the possible further conformity clearance decisions that the Commission
may take pursuant to Article 31 of Regulation (EC) No 1290/2005 to exclude from European Union financing expend
iture not effected in accordance with European Union rules.
L 132/84
EN
Official Journal of the European Union
3.5.2014
Article 4
This Decision is addressed to the Member States.
Done at Brussels, 29 April 2014.
For the Commission
Dacian CIOLOȘ
Member of the Commission
3.5.2014
ANNEX I
Cleared EAFRD expenditure by Rural Development programme for financial year 2013
Amount to be recovered from or paid to the Member State per programme
Approved programmes with declared expenditure for EAFRD
EN
In Euro
Interim payments
Amount to be recovered
Non-reusable
Accepted amount
MS
CCI
Expenditure 2013
Corrections
Total
reimbursed to the Member
from (–) of paid to (+) the
amounts
cleared for FY 2013
State for the financial year
Member State (*)
i
ii
iii = i + ii
iv
v = iii – iv
vi
vii = v – vi
AT
2007AT06RPO001
526 093 587,02
0,00
526 093 587,02
0,00
526 093 587,02
526 228 598,38
– 135 011,36
Official
BE
2007BE06RPO001
17 530 612,03
0,00
17 530 612,03
0,00
17 530 612,03
17 530 604,51
7,52
BE
2007BE06RPO002
24 009 543,25
0,00
24 009 543,25
0,00
24 009 543,25
24 020 335,79
– 10 792,54
Jour
CY
2007CY06RPO001
22 911 162,41
0,00
22 911 162,41
0,00
22 911 162,41
22 911 162,05
0,36
nal
of
CZ
2007CZ06RPO001
371 656 567,14
0,00
371 656 567,14
0,00
371 656 567,14
371 656 234,34
332,80
the
European
DE
2007DE06RAT001
502 729,46
0,00
502 729,46
0,00
502 729,46
502 729,47
– 0,01
DE
2007DE06RPO003
74 073 468,14
0,00
74 073 468,14
0,00
74 073 468,14
74 028 548,75
44 919,39
Union
DE
2007DE06RPO004
189 496 395,12
0,00
189 496 395,12
0,00
189 496 395,12
189 496 395,12
0,00
DE
2007DE06RPO007
177 835 416,54
0,00
177 835 416,54
0,00
177 835 416,54
177 835 470,52
– 53,98
DE
2007DE06RPO009
3 098 847,36
0,00
3 098 847,36
0,00
3 098 847,36
3 098 852,43
– 5,07
DE
2007DE06RPO010
35 055 715,71
0,00
35 055 715,71
0,00
35 055 715,71
35 055 224,07
491,64
DE
2007DE06RPO011
120 203 444,24
0,00
120 203 444,24
0,00
120 203 444,24
120 203 444,24
0,00
DE
2007DE06RPO012
133 868 923,35
0,00
133 868 923,35
0,00
133 868 923,35
133 868 924,53
– 1,18
DE
2007DE06RPO015
51 957 366,10
0,00
51 957 366,10
0,00
51 957 366,10
51 957 366,11
– 0,01
DE
2007DE06RPO017
35 530 668,81
0,00
35 530 668,81
0,00
35 530 668,81
35 530 668,81
0,00
L
DE
2007DE06RPO018
4 837 457,91
0,00
4 837 457,91
0,00
4 837 457,91
4 837 457,91
0,00
132/85
DE
2007DE06RPO019
186 767 637,25
0,00
186 767 637,25
0,00
186 767 637,25
186 767 637,25
0,00
L
In Euro
132/86
Interim payments
Amount to be recovered
Non-reusable
Accepted amount
MS
CCI
Expenditure 2013
Corrections
Total
reimbursed to the Member
from (–) of paid to (+) the
amounts
cleared for FY 2013
State for the financial year
Member State (*)
i
ii
iii = i + ii
iv
v = iii – iv
vi
vii = v – vi
DE
2007DE06RPO020
126 784 016,99
0,00
126 784 016,99
0,00
126 784 016,99
126 784 016,99
0,00
EN
DE
2007DE06RPO021
46 018 979,79
0,00
46 018 979,79
0,00
46 018 979,79
46 019 446,34
– 466,55
DE
2007DE06RPO023
107 488 779,90
0,00
107 488 779,90
0,00
107 488 779,90
107 488 779,93
– 0,03
EE
2007EE06RPO001
126 354 432,67
0,00
126 354 432,67
0,00
126 354 432,67
126 354 622,82
– 190,15
ES
2007ES06RAT001
2 699 506,08
0,00
2 699 506,08
0,00
2 699 506,08
2 699 506,08
0,00
Official
ES
2007ES06RPO002
39 287 287,70
0,00
39 287 287,70
0,00
39 287 287,70
39 287 347,33
– 59,63
ES
2007ES06RPO004
9 948 454,64
0,00
9 948 454,64
0,00
9 948 454,64
10 278 838,70
– 330 384,06
Jour
ES
2007ES06RPO005
30 429 329,43
0,00
30 429 329,43
0,00
30 429 329,43
30 429 329,44
– 0,01
nal
of
ES
2007ES06RPO006
12 276 812,82
0,00
12 276 812,82
0,00
12 276 812,82
12 276 812,82
0,00
the
ES
2007ES06RPO007
133 356 956,86
0,00
133 356 956,86
0,00
133 356 956,86
133 356 929,78
27,08
European
ES
2007ES06RPO008
120 063 594,07
0,00
120 063 594,07
0,00
120 063 594,07
120 063 595,49
– 1,42
Union
ES
2007ES06RPO009
42 760 315,52
0,00
42 760 315,52
0,00
42 760 315,52
42 760 312,36
3,16
ES
2007ES06RPO010
93 302 082,46
0,00
93 302 082,46
0,00
93 302 082,46
93 415 736,90
– 113 654,44
ES
2007ES06RPO011
96 056 143,10
0,00
96 056 143,10
0,00
96 056 143,10
96 056 116,07
27,03
ES
2007ES06RPO012
9 605 181,55
0,00
9 605 181,55
0,00
9 605 181,55
9 605 181,33
0,22
ES
2007ES06RPO013
40 890 414,45
0,00
40 890 414,45
0,00
40 890 414,45
41 008 945,50
– 118 531,05
ES
2007ES06RPO014
18 968 083,85
0,00
18 968 083,85
0,00
18 968 083,85
18 968 084,47
– 0,62
ES
2007ES06RPO015
17 440 397,34
0,00
17 440 397,34
0,00
17 440 397,34
17 439 870,09
527,25
ES
2007ES06RPO016
7 378 938,80
0,00
7 378 938,80
0,00
7 378 938,80
7 378 941,52
– 2,72
3.5.2014
ES
2007ES06RPO017
22 321 331,40
0,00
22 321 331,40
0,00
22 321 331,40
22 320 969,57
361,83
FI
2007FI06RPO001
331 806 407,76
0,00
331 806 407,76
0,00
331 806 407,76
331 853 661,89
– 47 254,13
3.5.2014
In Euro
Interim payments
Amount to be recovered
Non-reusable
Accepted amount
MS
CCI
Expenditure 2013
Corrections
Total
reimbursed to the Member
from (–) of paid to (+) the
amounts
cleared for FY 2013
State for the financial year
Member State (*)
i
ii
iii = i + ii
iv
v = iii – iv
vi
vii = v – vi
FI
2007FI06RPO002
2 333 555,42
0,00
2 333 555,42
0,00
2 333 555,42
2 333 555,42
0,00
EN
FR
2007FR06RPO001
870 561 273,84
0,00
870 561 273,84
0,00
870 561 273,84
871 240 472,64
– 679 198,80
FR
2007FR06RPO002
15 945 548,51
0,00
15 945 548,51
0,00
15 945 548,51
15 945 581,19
– 32,68
FR
2007FR06RPO003
16 566 211,10
0,00
16 566 211,10
0,00
16 566 211,10
16 566 211,15
– 0,05
FR
2007FR06RPO004
12 870 693,06
0,00
12 870 693,06
0,00
12 870 693,06
12 884 347,90
– 13 654,84
Official
FR
2007FR06RPO005
23 716 944,57
0,00
23 716 944,57
0,00
23 716 944,57
23 716 945,03
– 0,46
FR
2007FR06RPO006
47 353 734,75
0,00
47 353 734,75
0,00
47 353 734,75
47 354 604,75
– 870,00
Jour
HU
2007HU06RPO001
488 440 120,46
0,00
488 440 120,46
0,00
488 440 120,46
488 367 811,52
72 308,94
nal
of
IE
2007IE06RPO001
321 600 879,23
0,00
321 600 879,23
0,00
321 600 879,23
321 597 909,38
2 969,85
the
IT
2007IT06RAT001
5 739 453,45
0,00
5 739 453,45
0,00
5 739 453,45
5 739 453,45
0,00
European
IT
2007IT06RPO001
26 101 736,62
0,00
26 101 736,62
0,00
26 101 736,62
26 115 464,35
– 13 727,73
Union
IT
2007IT06RPO002
13 934 964,22
0,00
13 934 964,22
0,00
13 934 964,22
13 934 964,04
0,18
IT
2007IT06RPO003
74 412 930,10
0,00
74 412 930,10
0,00
74 412 930,10
74 412 930,43
– 0,33
IT
2007IT06RPO004
20 028 568,61
0,00
20 028 568,61
0,00
20 028 568,61
20 036 023,32
– 7 454,71
IT
2007IT06RPO005
42 156 869,89
1 285 828,70
40 871 041,19
0,00
40 871 041,19
40 873 284,25
– 2 243,06
IT
2007IT06RPO006
15 828 545,98
0,00
15 828 545,98
0,00
15 828 545,98
15 842 357,78
– 13 811,80
IT
2007IT06RPO007
92.277 508,99
0,00
92 277 508,99
0,00
92 277 508,99
92 277 640,74
– 131,75
IT
2007IT06RPO008
19 576 025,89
0,00
19 576 025,89
0,00
19 576 025,89
19 577 291,91
– 1 266,02
IT
2007IT06RPO009
60 493 655,95
0,00
60 493 655,95
0,00
60 493 655,95
60 493 655,95
0,00
L
IT
2007IT06RPO010
53 571 538,99
0,00
53 571 538,99
0,00
53 571 538,99
52 847 443,99
724 095,00
132/87
IT
2007IT06RPO011
11 452 008,76
0,00
11 452 008,76
0,00
11 452 008,76
11 452 028,81
– 20,05
L
In Euro
132/88
Interim payments
Amount to be recovered
Non-reusable
Accepted amount
MS
CCI
Expenditure 2013
Corrections
Total
reimbursed to the Member
from (–) of paid to (+) the
amounts
cleared for FY 2013
State for the financial year
Member State (*)
i
ii
iii = i + ii
iv
v = iii – iv
vi
vii = v – vi
IT
2007IT06RPO012
44 748 298,33
0,00
44 748 298,33
0,00
44 748 298,33
44 845 581,90
– 97 283,57
EN
IT
2007IT06RPO013
3 056 780,14
0,00
3 056 780,14
0,00
3 056 780,14
3 056 780,11
0,03
IT
2007IT06RPO014
77 784 956,83
0,00
77 784 956,83
0,00
77 784 956,83
77 784 953,83
3,00
IT
2007IT06RPO015
16 279 466,81
0,00
16 279 466,81
0,00
16 279 466,81
16 287 891,49
– 8 424,68
IT
2007IT06RPO016
72 589 147,74
0,00
72 589 147,74
0,00
72 589 147,74
72 678 747,80
– 89 600,06
Official
IT
2007IT06RPO017
64 873 608,54
0,00
64 873 608,54
0,00
64 873 608,54
64 878 548,52
– 4 939,98
IT
2007IT06RPO018
104 574 776,80
0,00
104 574 776,80
0,00
104 574 776,80
104 574 775,63
1,17
Jour
IT
2007IT06RPO019
141 147 110,44
0,00
141 147 110,44
0,00
141 147 110,44
141 281 980,21
– 134 869,77
nal
of
IT
2007IT06RPO020
140 867 300,26
0,00
140 867 300,26
0,00
140 867 300,26
141 031 688,43
– 164 388,17
the
IT
2007IT06RPO021
164 995 430,68
0,00
164 995 430,68
0,00
164 995 430,68
165 079 479,78
– 84 049,10
European
LT
2007LT06RPO001
251 014 977,59
0,00
251 014 977,59
0,00
251 014 977,59
251 016 471,02
– 1 493,43
Union
LU
2007LU06RPO001
10 062 399,48
0,00
10 062 399,48
0,00
10 062 399,48
10 106 570,17
– 44 170,69
LV
2007LV06RPO001
182 447 017,03
0,00
182 447 017,03
0,00
182 447 017,03
182 447 017,03
0,00
MT
2007MT06RPO001
9 622 621,42
0,00
9 622 621,42
0,00
9 622 621,42
9 622 621,42
0,00
NL
2007NL06RPO001
99 472 352,79
0,00
99 472 352,79
0,00
99 472 352,79
99 726 051,61
– 253 698,82
PL
2007PL06RPO001
1 806 188 697,68
0,00 1 806 188 697,68
0,00 1 806 188 697,68
1 806 191 428,81
– 2 731,13
PT
2007PT06RAT001
4 131 731,46
0,00
4 131 731,46
0,00
4 131 731,46
4 131 731,31
0,15
PT
2007PT06RPO001
44 696 408,92
913 212,81
43 783 196,11
0,00
43 783 196,11
43 783 186,91
9,20
PT
2007PT06RPO002
586 470 491,24
0,00
586 470 491,24
0,00
586 470 491,24
586 462 206,07
8 285,17
3.5.2014
PT
2007PT06RPO003
22 073 226,85
0,00
22 073 226,85
0,00
22 073 226,85
22 073 205,64
21,21
SE
2007SE06RPO001
181 801 899,32
0,00
181 801 899,32
0,00
181 801 899,32
181 801 843,62
55,70
3.5.2014
In Euro
Interim payments
Amount to be recovered
Non-reusable
Accepted amount
MS
CCI
Expenditure 2013
Corrections
Total
reimbursed to the Member
from (–) of paid to (+) the
amounts
cleared for FY 2013
State for the financial year
Member State (*)
i
ii
iii = i + ii
iv
v = iii – iv
vi
vii = v – vi
SI
2007SI06RPO001
125 941 693,50
0,00
125 941 693,50
0,00
125 941 693,50
126 090 950,22
– 149 256,72
EN
SK
2007SK06RPO001
195 379 480,69
0,00
195 379 480,69
0,00
195 379 480,69
195 379 530,67
– 49,98
UK
2007UK06RPO001
531 265 484,57
0,00
531 265 484,57
0,00
531 265 484,57
531 374 046,06
– 108 561,49
UK
2007UK06RPO002
58 821 232,49
0,00
58 821 232,49
0,00
58 821 232,49
58 821 401,09
– 168,60
UK
2007UK06RPO003
112 691 696,58
0,00
112 691 696,58
0,00
112 691 696,58
123 600 128,53
– 10 908 431,95
UK
2007UK06RPO004
47 804 760,73
0,00
47 804 760,73
0,00
47 804 760,73
47 807 176,80
– 2 416,07
Official
(*) Where payments have reached 95 % of the total EAFRD contribution for a Rural Development Programme — Article 24(4) of Regulation (EC) No 1290/2005 (as referred to in Article 34(2) of Regulation
(EU) No 1306/2013, amended by Article 8 of Regulation (EU) No 1310/2013), the balance will be settled during the closure of the programme.
Jour
nal
of
the
European
Union
L
132/89
L 132/90
EN
Official Journal of the European Union
3.5.2014
ANNEX II
Clearance of the Paying Agencies' accounts
Financial year 2013 — EAFRD
List of the Paying Agencies and programmes for which the accounts are disjoined and are subject of a later
clearance decision
Member State
Paying Agency
Programme
Bulgaria
State Fund Agriculture (SFA)
2007BG06RPO001
Denmark
Danish AgriFish Agency (DAFA)
2007DK06RPO001
Spain
Dirección General de Fondos Agrarios de la Consejería de Agricul
2007ES06RPO001
tura, PESCA y Medio Ambiente de la Junta de Andalucía
Organismo Pagador de la Comunidad Autónoma del Principado de
2007ES06RPO003
Asturias
Greece
Payment and Control Agency for Guidance and Guarantee Com
2007GR06RPO001
munity Aids (O.P.E.K.E.P.E.)
Romania
Paying Agency for Rural Development and Fishery (PARDF)
2007RO6RPO001
ISSN 1977-0677 (electronic edition)
ISSN 1725-2555 (paper edition)
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Publications Office of the European Union
2985 Luxembourg
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Document Outline