Proposal for a Council Regulation - European Fisheries Fund  {SEC(2004) 965}
Date: 2004-07-14
Institutions: European Commission
Subjects: common fisheries policy, fund (EU), sustainable development

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 14.7.2004 
COM(2004) 497 final 

2004/0169 (CNS) 

Proposal for a 

COUNCIL REGULATION 

European Fisheries Fund 

(presented by the Commission) 

{SEC(2004) 965} 

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EXPLANATORY MEMORANDUM 

The legal basis for Community action under the common fisheries policy is Title II 
of the Treaty establishing the European Community, and in particular Article 37. 

From  its  inception  therefore  the  common  fisheries  policy  has  had  a  significant 
structural component. Over  the  past 20 years, the structural policy for fisheries  has 
brought about a modernisation of the fisheries sector as a whole. These efforts need 
to be continued, particularly for the new Member States, paying particular attention 
to maintaining quality employment and a satisfactory level of economic viability in 
the  sector,  adapting  capacity  to  available  fisheries  resources,  the  quest  for  high-
quality  products,  the  introduction  of  more  environment-  and  resource-friendly 
techniques,  not  forgetting  the  ongoing  improvement  of  living  and  working 
conditions. 

The  economic,  social,  environmental  and  political  conditions  are  constantly 
changing. The Community instruments providing assistance will have to adapt in line 
with the tasks assigned to them in order to keep pace with the demands arising from 
changes  in  the  fisheries  and  aquaculture  sector,  world  markets,  the  use  of  new 
technologies,  dwindling  fisheries  resources,  the  need  for  sustainable,  environment-
friendly fishing, the worsening quality of aquaculture waters, regional development 
policies and consumer demand. 

In pursuing the specific objectives of the common fisheries policy, the Community 
has  to  ensure  the  long-term  future  of  fishing  activities  and  the  sustainable 
exploitation of resources and thus to make essential structural adjustments to strike a 
balance between resources and fishing capacity. The Community needs to be given 
the  means  to  speed  up  the  elimination  of  surplus  capacity  and,  as  a  number  one 
priority,  to  oversee  stock  recovery  or  management  plans  and  other  emergency 
measures in an economically efficient and socially equitable manner. 

The Community is to support more resolutely the development and dissemination of 
fishing  techniques  that  are  more  compatible  with  the  marine  environment  and 
fisheries resources, promote investment in selective fishing gear, establish boxes or 
any other private or joint initiatives to encourage selective fishing going beyond the 
obligations laid down in the Community rules. 

The  development  of  the  aquaculture  sector  also  represents  real  potential  for  the 
creation  of  remunerative  jobs  and  new  economic  activities.  The  aquaculture  sector 
should  be  included  in  a  perspective  for  the  sustainable  development  of  quality 
products while at the same time ensuring that the environmental impact is reduced. 

With  a  view  to  protecting  fisheries  resources,  the  greatest  possible  value  should  be 
added  to  catches  and  products,  limiting  all  wastage  and  discards,  by  means  of  a 
modern  marketing  policy  and  the  development  of  local  processing  facilities  for 
fishery  and  aquaculture  products.  Community  support  for  such  a  move  aimed  in 
particular  at  making  the  greatest  possible  quantity  of  products  fit  for  human 
consumption will be targeted at micro and small enterprises. 

8. 

In these times of great changes in the fisheries sector, steps have to be taken not only 
to preserve the human capital of the fishing industry, but also to acquire all the new 

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know-how  necessary  to  contribute  to  the  sustainable  exploitation  of  fisheries 
resources  and  the  development  of  aquaculture,  in  particular  by  means  of  providing 
those engaged in the fisheries sector with suitable training throughout their working 
lives,  bringing  younger  people  in  and  promoting  equal  opportunities  between  men 
and women. 

The socio-economic fabric of the coastal areas involved in fishing will be affected, 
and  they  will  have  to  cope  with  the  constraints  arising  from,  among  other  things, 
changes  in  the  fishing  and  aquaculture  sector,  developments  on  world  markets, 
dwindling  fisheries  resources  and  the  need  to  exploit  natural  resources  and  the 
environment  in  a  sustainable  manner,  paying  particular  attention  to  the  quality  of 
fishing  and  aquaculture  waters.  The  Community  must  be  able  to  provide 
accompanying measures in conjunction with the conversion of areas affected by the 
restructuring of the fisheries sector. However, it will be necessary to restrict the areas 
eligible for this assistance: the Fund is not designed to cover all the coastal and lake 
areas of the Community. 

To  take  greater  account  of  the  special  characteristics  of  fishing  activity,  connected 
with  the  social  structure  of  the  fisheries  sector  and  the  structural  and  natural 
disparities between the various areas concerned with fishing, the European Fisheries 
Fund  should  be  able  to  provide  more  direct  assistance  where  necessary  under  a 
policy for the sustainable economic development of coastal areas, fully in line with 
and  complementary  to  the  other  Community  instruments,  particularly  the  Funds 
devoted to structural change and convergence . 

Having  regard  to  the  diversity  of  the  situations  and  of  the  areas  throughout  the 
Community  and  to  the  principle  of  subsidiarity,  assistance  from  the  Fund  for  the 
development of coastal areas will have to form part of an integrated local approach 
centred on a relevant territorial strategy and adapted to the local situation. Its design 
and  implementation  will  be  as  decentralised  as  possible,  preference  being  given  to 
the involvement of private actors on the ground and a bottom-up approach. 

The  European  Fisheries  Fund,  like  the  FIFG,  is  to  play  a  dual  role  in  adding 
Community  value.  Firstly,  as  a  financial  instrument  forming  an  integral  part  of  the 
common  fisheries  policy,  it  is  to  accompany  resource  management  measures  and 
help  adjust  the  structures  of  the  production  sector  and  the  CFP  monitoring  tools. 
Secondly, it is to maintain a concern for cohesion vis-à-vis the populations and areas 
engaged in fishing activities. 

As proposed here, the European Fisheries Fund will be able to play a greater role in 
the development and maintenance of the economic and social fabric of communities 
involved in fishing, for which the economic alternatives remain limited, while at the 
same time pursuing the objectives which the Treaty sets for the CFP. 

The Fund will keep the same foundations and principles, as other Structural Funds, 
of  multi-annual  programming  and  monitoring,  partnership,  part-financing, 
subsidiarity  and  concentration  on  the  least-favoured  regions  and  those  most  under 
threat from the impact of fish stock recovery measures. 

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Each  Member  State  will  draw  up  a  national  strategic  plan  setting  out  its  specific 
goals  and  priorities  for  Fund  action,  in  the  light  of  the  Community  strategic 

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16. 

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guidelines for the common fisheries policy. This strategic plan, which indicates the 
interventions  and  the  financial  contribution  from  the  Fund  and  the  other  needed 
resources,  will  serve  as  a  reference  frame  for  drawing  up  the  operational 
programmes. 

To  make  action  by  the  Fund  more  effective,  the  proposed  approach  is  based  on 
simplified  instruments,  with  a  single  Regulation  and  a  single  Fund  covering 
Community  assistance.  The  operational  programmes  will  also  concentrate  on  a 
limited number of priorities, omitting all the technical details that might make them 
difficult to follow and implement. 

The five priority axes are “measures for the adjustment of Community fishing fleet,”, 
“aquaculture, processing and trade of fisheries and aquaculture products”, “measures 
of  collective  interest”,  “sustainable  development  of  fishing  coastal  zones”  and 
“technical assistance”. 

The  implementation  of  the  Fund  shall  be  carried  out  using  shared  management  as 
defined in the Financial Regulation and is based on the principles of proportionality 
and  subsidiarity.  Major  components  of  simplification  and  decentralisation  are 
included in the proposal, in particular: 

– 

– 

– 

– 

– 

The  present  three  stage  programming  process  is  replaced  by  a  two-stage 
approach, the first being strategic in nature, the second operational. In addition, 
the  operational  programmes  will  no  longer  as  at  present  be  backed  up  by 
programming complements which list the detailed measures but only establish 
the main priorities for assistance. 

For  financial  management,  the  payment  system  has  been  simplified  and 
payments  will  be  made  at  priority  level  only  and  no  longer  at  measure  level. 
Co-financing will also be determined at priority level. 

The  Commission  shall  only  require  Member  States  to  provide  what  is 
necessary  for  reasonable  assurance  of  sound  financial  management  which 
enables  it  to  assume  its  responsibilities  for  implementing  the  Community 
budget.  The  notion  of  proportionality  is  also  taken  into  account  for  the 
purposes  of  evaluation, 
the 
committee. 

inspection,  reporting  and  membership  of 

Eligibility  rules  shall  be  defined  at  national  level,  except  for  a  shirt  negative 
list. The proposal also introduces the possibilities of partial closure. 

In conclusion, the regulatory framework is radically simplified since this draft 
regulation  shall  replace  or  modify  the  provisions  of  current  Regulations  (EC) 
n° 1260/1999, (EC) n° 1263/1999, (EC) n° 2792/1999, (EC) n° 366/2001. 

19. 

The  financial  allocation  for  the  Fund  under the  Financial  Perspectives  proposed  by 
the  Commission  for  the  2007-2013  period1  is  EUR  4  963  million  for  an  enlarged 

1 

Communication  from  the  Commission  to  the  Council  and  the  European  Parliament.  Building  our 
common  Future.  Policy  challenges  and  Budgetary  means  of  the  Enlarged  Union  2007-2013. 
COM(2004) 101 final of 10.2.2004. 

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Europe of 27, this is roughly in line with the amount allocated for the Europe of 15 in 
the  2000-2006  period  (EUR  3  7000  million).  For  the  distribution  of  financial 
resources  between  Member  States  the  Commission  intends  to  apply  the  method 
based on objective criteria used at the Berlin Council in 1999 for the “Convergence” 
objective by taking into account the need to show fairness to regions affected by the 
“statistical effect” of enlargement. Resources allocated to regions not eligible for the 
Convergence objective will be allocated by the Commission between Member States 
on the basis of the following objective criteria, :: the size of the fisheries sector in the 
Member  State  concerned,  the  scale  of  adjustment  needed  to  the  fishing  effort,  the 
level of employment in the fisheries sector and the continuity of ongoing actions. 

Consultation  of  the  public  and  stakeholders  on  the  future  instrument  for  fisheries 
instrument 2007-2013 took place at a European conference held from 27 to 29 May 
2004  in  Bundoran,  Donegal  County,  Ireland.  This  conference  enabled  some  300 
participants to express their opinions. They represented not just the whole sector and 
competent  government  departments  but  also  consumers  and  non-governmental 
organisations. The conference conclusions have where possible been included in this 
proposal for a Regulation. 

The impact assessment of the proposal states that several effects are expected from 
EFF  assistance,  in  particular,  a  contribution  to  the  effort  to  achieve  a  balance 
between  available  resources  and  fishing  levels,  a  degree  of  compensation  for  the 
socio-economic difficulties thrown up by the trends in activity in the sector, and the 
restructuring it must face, a contribution to the protection of the marine environment 
and  to  the  improvement  of  selectivity  of  fishing  gear,  improvements  to  safety  on 
board vessels, working conditions, health and product quality. 

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2004/0169 (CNS) 

Proposal for a 

COUNCIL REGULATION 

European Fisheries Fund 

THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
37 thereof, 

Having regard to the proposal from the Commission2, 

Having regard to the opinion of the European Parliament3, 

Having regard to the opinion of the European Economic and Social Committee4, 

Having regard to the opinion of the Committee of the Regions5, 

Whereas: 

(1) 

(2) 

(3) 

The  development  of  the  Community  fishing  fleet  must  be  regulated  in  particular 
according to the decisions that the Council and the Commission are called upon to take 
by  virtue  of  Chapter  II  of  Council  Regulation  (EC)  No  2371/2002  of  20  December 
2002 on the conservation and sustainable exploitation of fisheries resources under the 
common fisheries policy 6; 

The  objective  of  the  common  fisheries  policy  should  be  to  provide  for  sustainable 
exploitation of living aquatic resources and of aquaculture in the context of sustainable 
development,  taking  account  of  the  environmental,  economic  and  social  aspects  in  a 
balanced manner ; 

The  scope  of  the  common  fisheries  policy  extends  to  the  conservation,  management 
and exploitation of living aquatic resources and aquaculture, as well as the processing 
and  marketing  of  fisheries  and  aquaculture  products  in  so  far  as  those  activities  are 
practised on the territory of Member States, in Community waters or by Community 
fishing vessels or nationals of Member States ; 

2 
3 
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5 
6 

OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ C […], […], p. […]. 
OJ L 358, 31.12.2002 p. 59. 

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(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

Under Article 33(2) of the Treaty account must be taken of the particular nature of the 
activity  which  results  from  the  social  structure  of  the  sector  and  from  structural  and 
natural disparities between the various regions involved in fishing activities ; 

The  sustainable  development  component  of  the  common  fisheries  policy  has  been 
integrated into the rules governing the Structural Funds since 1993. Its implementation 
should  be  pursued  in  the  context  of  sustainable  development  by  means  of  the 
European Fisheries Fund ; 

The  sustainable  development  objective  of  the  CFP  cannot  be  adequately  met  by  the 
Member States given the structural problems encountered for the development of the 
fisheries sector and the restrictions on financial resources available to member States 
in  an  enlarged  Union.  It  can  be  better  achieved  at  Community  level  by  providing 
multi-financial  financing  at  Community  level  focused  on  the  relevant  priorities.  In 
accordance with the principle of subsidiarity enshrined in Article 4 of the Treaty, the 
Community can enact measures ; 

The  common  fisheries  policy  must  incorporate  the  Community's  priorities  for 
sustainable development as defined at the European Councils in Lisbon and Göteborg ; 

Programming should ensure coordination of the Fund with the other Funds geared to 
sustainable development and with the Structural Funds and the EIB, that coordination 
also extending to combining grants and loans ; 

The activity of the Fund and the operations it helps finance should be compatible with 
the other Community policies and comply with all Community legislation ; 

(10)  Action by the Community should be complementary to that carried out by the Member 
states  or  seek  to  contribute  to  it  and  in  order  to  ensure  significant  added  value, 
partnership  should  be  strengthened.  This  concerns  the  regional  and  local  authorities, 
the  other  competent  authorities,  including  those  responsible  for  the  environment  and 
for  the  promotion  of  equality  between  men  and  women,  the  economic  and  social 
partners and other competent bodies. The partners concerned should be involved in the 
preparation, monitoring and evaluation of assistance ; 

(11)  The  Community  may  take  measures  in  accordance  with  the  subsidiary  principle  laid 
down  in  Article  5  of  the  Treaty  and  in  accordance  with  the  proportionality  principle 
laid  down  in  that  Article.  This  Regulation  does  no  more  than  is  required  to  achieve 
that goal ; 

(12)  There  can  be  a  differentiation  in  the  resources  used  by  the  Commission  and  the 
Member States in order to simplify the implementation of the Funds and to clarify the 
responsibilities of the Member States and the Commission ; 

(13)  Under Article 274 of the Treaty, Member States are to cooperate with the Commission 
to ensure compliance with the principles of sound financial management. To that end 
this  Regulation  specifies  the  conditions  allowing  the  Commission  to  exercise  its 
responsibilities for the execution of the general budget of the European Communities ; 

(14) 

If the activities of the Fund are to be effective and transparent, the responsibilities of 
the  Member  States  and  of  the  Community  should  be  precisely  defined.  Those 

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responsibilities  should  be  specified  for  each  stage  of  programming,  monitoring, 
evaluation  and  inspection.  In  accordance  with  the  principle  of  subsidiarity,  and 
without  prejudice  to  the  powers  vested  in  the  Commission,  implementing  and 
inspecting assistance should be primarily the responsibility of the Member States ; 

(15)  Articles  2  and  3  of  the  Treaty  guarantee  the  elimination  of  inequalities  and  the 

promotion of equality between women and men ; 

(16)  The  Commission  should  establish  an  indicative  breakdown  of  available  commitment 
appropriations  using  an  objective  and  transparent  method,  with  a  significant 
concentration on the regions covered by the Convergence Objective ; 

(17)  The appropriations available under the Fund should be indexed on a flat-rate basis for 
programming  and  that  indexation  should,  if  necessary,  be  subject  to  a  technical 
adjustment no later than 31 December 2010 ; 

(18) 

In order to strengthen the leverage effect of Community resources by favouring as far 
as possible recourse to private sources of financing and to take better account of the 
profitability of the operations, the forms of assistance available from the Funds should 
be diversified  and the rates of assistance differentiated with a view to promoting the 
Community  interest,  encouraging  the  use  of  a  wide  range  of  financial  resources  and 
limiting the contribution of the Funds by encouraging the use of appropriate forms of 
assistance ; 

(19)  To  reinforce  the  strategic  content  of  the  common  fisheries  policy  in  line  with  the 
Community’s priorities for the sustainable development  of  fisheries  and aquaculture, 
the  Council,  acting  on  a  proposal  from  the  Commission,  should  adopt  strategic 
guidelines defining the priorities for assistance under the common fisheries policy ; 

(20) 

to  streamline  programming  procedures, 

In  order 
the 
Commission must be distinguished from those of the Member States. Provision should 
therefore be made for the Commission, acting on a proposal from the Member States, 
to adopt the strategies and development priorities that are to govern the programming 
as  well  as  the  size  of  the  financial  contribution  from  the  Community,  and  the 
implementing arrangements linked to them, while the Member States should decide on 
their application ; 

the  responsibilities  of 

(21)  The  need  for  simplification  and  decentralisation,  programming  and  financial 
management  should  be  met  at  the  level  of  the  priorities  alone,  with  programme 
complements and Community support frameworks being discontinued ; 

(22)  The  programming  system  should  be  simplified  by  applying  a  single  programming 
period of seven years. To that end the forms of assistance and the number of assistance 
schemes  should  be  limited  and  as  a  general  rule  they  should  take  the  form  of  one 
operational programme per Member State ; 

(23)  Criteria should be laid down for defining eligible areas. To that end, the identification 
of the priority regions and areas at Community level should be based on the common 
system of classification of the regions, established by Regulation (EC) No 1059/2003 

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of  the  European  Parliament  and  the  Council  of  26  May  2003  related  on  the 
establishment of a common classification of territorial units for statistics (NUTS) 7; 

(24)  The  need  to  provide  accompanying  measures  for  the  CFP,  in  particular,  reducing  its 
socio-economic impact by implementing a coastal zone development policy ; 

(25)  Having regard to the diversity of situations and areas throughout the Community and 
the  principle  of  subsidiarity,  the  policy  for  the  development  of  inshore  fishing  areas 
should  form  part  of  an  integrated  approach  centred  on  an  appropriate  territorial 
strategy and adapted to the local context, should be as decentralised as possible, give 
preference  to  the  participation  of  actors  on  the  ground,  be  based  on  a  bottom-up 
approach,  allow  modest-scale  operations  to  be  considered  and  ensure  substantial 
participation of private-sector actors ; 

(26)  The adoption by the Council of multi-annual recovery plans is an absolute priority and 
they should be accompanied by fishing effort adjustment plans under the Fund ; 

(27)  The non-renewal of a fisheries agreement between the Community and a third country 
or a substantial cut in fishing opportunities under an international arrangement should 
also give rise to multi-annual fishing effort management plans aimed at adjusting the 
fleet to the new situation ; 

(28)  Provisions  should  be  laid  down  for  adjusting  fishing  effort  in  connection  with  the 
adoption  of  emergency  measures  by  the  Member  States  or  the  Commission  as 
provided for in Articles 7 and 8 respectively of Regulation (EC) No 2371/2002 ; 

(29)  The  Community  fleet  should  be  reduced  in  order  to  adapt  it  to  the  available  and 

accessible resources ; 

(30)  Socio-economic  accompanying  measures  will  be  needed 

to 

implement 

the 

restructuring of the fishing fleets ; 

(31)  Detailed  rules  should  be 

laid  down  for  granting  allowances  and  financial 
compensation  to  fishermen  and  vessel  owners,  in  cases  of  temporary  cessation  of 
activity or of technical restrictions being applied to certain equipment on board vessels 
or certain fishing methods ; 

(32) 

It  is  vital  for  the  fisheries  sector  that  a  sustainable  balance  be  achieved  between 
aquatic  resources  and  their  exploitation,  having  due  regard  to  the  environmental 
impact. Appropriate measures should therefore be laid down not only to safeguard the 
food chain but also for aquaculture and the processing industry ; 

(33)  Detailed  rules  should  be  laid  down  for  granting  aid  to  aquaculture,  processing  and 
marketing  of  fisheries  and  aquaculture  products,  while  ensuring  that  theses  sectors 
retain economic viability; for this purpose, it is necessary to identify a limited number 
of priority objectives for assistance and to focus the structural aid on micro and small 
enterprises ; 

7 

OJ L 154, 21.6.2003, p. 1. 

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(34)  Collective action to be undertaken by the industry should also be included under Fund 

measures ; 

(35)  By  way  of  technical  assistance  the  Fund  should  provide  support  for  evaluations, 
studies,  pilot  projects  and  exchanges  of  experience  in  order  to  promote  innovative 
approaches and practices for simple and transparent implementation ; 

(36)  Such  decentralised  implementation  of  the  operations  of  the  Fund  by  the  Member 
States  should  provide  sufficient  guarantees  as  to  the  details  and  quality  of 
implementation,  the  results  of  operations  and  their  evaluation  and  sound  financial 
management and its supervision ; 

(37)  The effectiveness and impact of the operations of the Structural Funds also depend on 
improved  and  more  thorough  evaluation.  The  responsibilities  of  the  Member  States 
and  the  Commission  in  this  regard  and  arrangements  to  ensure  the  reliability  of 
evaluation should be laid down ; 

(38) 

(39) 

(40) 

It is appropriate to evaluate assistance for the purposes of preparation, review and to 
assess its impact and to include the evaluation process in the follow-up of assistance; 
to this end, the aims and content of each stage of evaluation need to be defined ; 

In the interests of a good working partnership and the proper promotion of Community 
assistance, the broadest possible information and publicity about it should be provided 
for. The authorities responsible for managing assistance should be responsible for this 
aspect and for keeping the Commission informed of measures taken ; 

In  order  to  guarantee  efficient  and  correct  implementation,  the  obligations  of  the 
Member  States  should  be  laid  down  with  regard  to  management  and  supervision 
systems, the certification of expenditure and the prevention, detection and correction 
of irregularities and infringements of Community law ; 

(41)  A  managing  authority,  a  certifying  authority  and  an  inspection  authority  should  be 
designated  for  each  assistance  package  and  their  responsibilities  specified.  The 
responsibilities in question should relate primarily to sound financial implementation, 
the organisation of evaluation, the certification of expenditure actually incurred by the 
beneficiaries,  inspection  and  compliance  with  obligations  regarding  publicity  and 
under  Community  law.  Provision  should  be  made  for  regular  meetings  between  the 
Commission and the national authorities concerned to monitor the assistance ; 

(42) 

It should be stipulated that the steering committee is a body appointed by the Member 
State  supervising  assistance,  checking  on  how  it  is  being  managed  by  the  managing 
authority,  ensuring  compliance  with  its  own  guidelines  and  implementing  rules  and 
reviewing evaluations ; 

(43) 

Indicators  and  annual  reports  on  implementation  are  essential  for  monitoring  and 
should be better defined so they reflect reliably the progress of assistance schemes and 
the quality of programming ; 

(44)  Without  prejudice  to  the  Commission's  existing  powers  as  regards  financial  control, 
cooperation  between  the  Member  States  and  the  Commission  in  this  field  should  be 
reinforced ; 

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(45)  The rules and procedures governing commitments and payments should be simplified 
so that budget commitments have to be made once a year in accordance with the multi-
annual  financial  perspective  and  with  the  financing  plan  for  assistance,  whilst 
payments should be made in the form of an advance followed by the reimbursement of 
actual  expenditure  incurred.  In  accordance  with  established  case  law,  any  interest 
earned on the advance payment should be regarded as resources for the Member State 
concerned, and in order to strengthen the impact of the Funds, it should be allocated to 
the same purpose as the advance payment itself ; 

(46)  Sound financial management should be assured by providing that expenditure is to be 
duly  justified  and  certified,  and  by  linking  payments  to  compliance  with  essential 
responsibilities  as  to  the  monitoring  of  programming,  financial  controls  and  the 
application of Community law ; 

(47)  To  ensure  sound  management  of  Community  resources,  improvements  should  be 
made  to  the  forecasting  and  implementing  of  expenditure.  To  that  end  the  Member 
States should regularly send the Commission their forecasts of the use of Community 
resources, and any delays in financial implementation should give rise to repayment of 
advances and to automatic de-commitments ; 

(48)  One  way  of  ensuring  that  the  operations  of  the  Structural  Funds  are  effective  is 
efficient monitoring. Monitoring should be improved and the relevant responsibilities 
better  defined.  In  particular  a  distinction  should  be  made  between  management 
functions and monitoring functions ; 

(49)  For the sake of effectiveness of measures part-financed by the Fund, an advance of 7% 

should be allocated over two years according to availability ; 

(50) 

In the interests of sound financial management and efficiency, the de-commitment rule 
(N+2) should apply ; 

(51)  Under  Article  2  of  Council  Decision 1999/468/EC of 28 June 1999 laying down the 
procedures  for  the  exercise  of  implementing  powers  conferred  on  the  Commission8, 
the  measures  required  for  the  implementation  of  this  Regulation  should  be  adopted 
either  by  the  advisory  procedure  under  Article  3  of  that  Decision  or,  in  the  case  of 
management measures, under the management procedure in Article 4 ; 

(52)  Detailed  transitional  provisions  should  be  laid  down  to  allow  preparation  of  new 
programming  immediately  on  entry  into  force  of  this  Regulation  and  to  ensure  that 
assistance  to  Member  States  is  not  interrupted  pending  the  production  of  plans  and 
assistance schemes in accordance with the new system ; 

(53)  Council Regulation (EC) No 1260/1999 of 21 June 1999 and (EC) N° 2792/1999 of 17 
December  1999  laying  down  the  criteria  and  arrangements  regarding  Community 
structural  assistance  in  the  fisheries  and  aquaculture  sector  and  the  processing  and 
marketing of its products as well as other provisions should be repealed. However, for 
the  proper  execution  of  assistance,  operations  and  projects  approved  up  to  31 
December 2006, the repealed provisions should remain applicable to that end. 

8 

OJ L184, 17.7.1999,p. 23. 

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HAS ADOPTED THIS REGULATION: 

TITLE I 

OBJECTIVES AND GENERAL RULES ON ASSISTANCE 

CHAPTER I 
Scope and definitions 

Article 1 

Scope 

This Regulation establishes a European Fisheries Fund (hereinafter referred to as “the Fund”) 
and  defines  the  framework  for  Community  support  for  the  sustainable  development  of  the 
fisheries sector and coastal fisheries zones. 

Article 2 

Geographical scope 

1. 

2. 

The measures in this Regulation apply in the entire territory of the European Union. 

By derogation from paragraph 1, for assistance provided under chapter IV of title IV, 
relating to the sustainable development of coastal fisheries zones, the Member States 
shall select the eligible areas on the basis of the criteria laid down in Article 42(3) 
and (4). 

Article 3 

Definitions 

For the purpose of this Regulation 

(a) 

(b) 

(c) 

“fisheries  sector”  means  the  sector  of  the  economy  including  all  activities  of 
production, processing and marketing of fisheries production ; 

“fisherman”  means  any  person  engaging  in  their  main  occupation,  as 
recognised by the Member State, on board an operational fishing vessel ; 

“person  engaged  in  the  fisheries  sector”  means  any  person  engaging  in  their 
main occupation in the fisheries sector defined in Article 1 ; 

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(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

“fishing  vessel”  means  a  fishing  vessel  within  the  meaning  of  Article  3  of 
Regulation (EC) No 2371/2002 ; 

“aquaculture”  means  the  rearing  or  cultivation  of  aquatic  organisms  using 
techniques  designed  to  increase  the  production  of  the  organisms  in  question 
beyond  the  natural  capacity  of  the  environment;  the  organisms  remain  the 
property of a natural or legal person throughout the rearing or culture stage, up 
to and including harvesting ; 

“micro  and  small  enterprise”  means  a  micro  or  small  enterprise  as  defined  in 
Commission  Recommendation  2003/361/EC  of  6  May  2003  concerning  the 
definition of micro, small and medium-sized enterprises9 ; 

“operational  programme”  (OP)  means  the  single  document  drawn  up  by  the 
Member  State,  approved  by  the  Commission,  containing  a  coherent  set  of 
priorities ; 

“programming”  means  the  process  of  organisation,  decision-making  and 
financing in several stages intended to implement, on a multi-annual basis, the 
joint action by the Community and the Member States to achieve the priority 
goals of the Fund ; 

“priority  axis”  means  one  of  the  priorities  of  the  strategy  in  an  operational 
programme  comprising a group of measures which are related and defined in 
the Community strategic guidelines ; 

(j) 

“measure” means a set of actions aimed at implementing a priority axis ; 

(k) 

“operation” means a project implemented by one or more beneficiaries ; 

(l) 

(m) 

“beneficiary”  means  the  operator,  body  or  firm,  whether  public  or  private, 
responsible for initiating and/or implementing the operations. In the context of 
aid schemes under Article 87 of the Treaty beneficiaries are public or private 
firms carrying out an individual action and receiving public aid ; 

“public expenditure” means any public expenditure by the national authorities, 
territorial authorities or from the general budget of the European Communities 
or any similar expenditure including expenditure by bodies governed by public 
law within the meaning Directive 2004/18/EC of the European Parliament and 
the Council10 ; 

(n) 

“Convergence  objective”  means  the  objective  defined  in  the  article  3(2)  of 
(EC) regulation n° …./2004 of Council laying down the general provisions on 
Structural Funds and the Cohesion Fund11. 

9 
10 
11 

OJ L 124, 20.5.2003. p. 36. 
OJ L 134, 30.4.2004, p. 114. 
OJ L […], […], p. […]. 

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CHAPTER II 

Objectives and missions 

Article 4 

Objectives 

Assistance under the Fund shall aim to: 

(a) 

(b) 

(c) 

support  the  common  fisheries  policy  so  as  to  ensure  exploitation  of  living 
aquatic  resources  in  a  way  which  creates  the  necessary  conditions  for 
sustainability in economic, environmental and social terms ; 

promote  a  sustainable  balance  between  resources  and  the  capacity  of  the 
Community fleet ; 

strengthen the competitiveness of the operating structures and the development 
of economically viable enterprises in the fisheries sector ; 

(d) 

foster the protection of the environment and natural resources ; 

(e) 

(f) 

encourage sustainable development and the improvement of the quality of life 
in marine, lake and coastal areas affected by fishing and aquaculture activities ; 

promote equality between women and men in the development of the fisheries 
sector and coastal fishing areas. 

Article 5 

Missions 

Support  for  the  fisheries  sector  shall  be  provided  by  a  European  Fisheries  Fund  (hereafter 
called the Fund or EFF). The measures implemented under this Regulation shall contribute to 
attaining the general objectives set out in Article 33 of the Treaty and the objectives defined 
as part of the common fisheries policy (CFP). They shall accompany and supplement, where 
necessary, the other Community instruments and policies. 

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CHAPTER III 

Principles of assistance 

Article 6 

1. 

2. 

3. 

4. 

5. 

1. 

2. 

3. 

Complementarity, consistency and compliance 

The  Fund  shall  provide  assistance  which  complements  national,  regional  and  local 
measures, integrating into them the priorities of the Community. 

The Commission and the Member States shall ensure that assistance from the Funds 
is consistent with the activities, policies and priorities of the Community. 

The  Member  States  ensure  that  operations  financed  by  the  Fund  comply  with  the 
provisions of the Treaty and of acts adopted under it, and with Community policies 
and actions, in particular relating to the rules on competition and the award of public 
contracts and the protection and improvement of the environment. 

Operations  financed  by  the  Fund  shall  not  contribute  directly  or  indirectly  to 
increasing fishing effort. 

The provisions of article 16 of Regulation (EC) n° 2371/2002 shall apply. 

Article 7 

State aids 

Without prejudice to paragraph 2, Articles 87, 88 and 89 of the Treaty shall apply to 
aid granted by the Member States to enterprises in the fisheries sector. 

Articles  87,  88  and  89  of  the  Treaty  shall  not  apply  to  compulsory  financial 
contributions from the Member States to measures part-financed by the Community 
and provided for as part of an operational programme as referred to in chapter 1, title 
III. 

Measures involving public financing going beyond the provisions of this Regulation 
concerning compulsory financial contributions, as provided for in paragraph 2, shall 
be dealt with as a complete package on the basis of paragraph 1. 

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Article 8 

Partnership 

1. 

2. 

3. 

4. 

1. 

2. 

Assistance from the Fund shall be decided by the Commission within the framework 
of  close  cooperation,  hereinafter  "partnership",  between  the  Commission  and  the 
Member  State.  The  member  State  organises,  in  accordance  with  current  national 
rules and practices, a partnership with the authorities and bodies which it designate, 
namely: 

(a) 

the competent regional, local and other public authorities ; 

(b) 

the economic and social partners ; 

(c) 

any other appropriate body representing civil society, environmental partners, 
non-governmental organisations, and bodies responsible for promoting equality 
between men and women. 

The  Member  State  shall  designate  the  most  representative  partners  at  national, 
regional and local level and in the economic and social or other spheres (hereinafter 
“partners”). The Member State shall establish a broad and effective involvement of 
all the appropriate bodies, in accordance with national rules and practices, taking into 
account  the  need  to  promote  equality  between  men  and  women  and  sustainable 
development  thought  the  integration  of  environmental  protection  and  improvement 
requirements. 

The  partnership  shall  be  conducted  in  full  compliance  with  the  respective 
institutional, legal and financial jurisdiction of each partner category. 

The partnership shall cover preparation and monitoring of the national strategic plan 
provided for in Article 15 as well as preparation, implementation and monitoring of 
the  operational  programmes.  Member  States  shall  involve  each  of  the  appropriate 
partners in the various programming stages within the time limit set for each stage. 

Article 9 

Subsidiarity and proportionality 

Implementation of the operational programmes shall be the responsibility of Member 
States. That responsibility shall be exercised in accordance with the management and 
control requirements laid down in this Regulation at the appropriate territorial level. 

The means employed by the Commission and the Member States may vary according 
to the size of the Community contribution. Such variation shall apply in particular to 
the  means  used  for  evaluation,  inspection,  and  participation  by  the  Commission  in 
the Monitoring Committees provided for in article 61 and for the annual reports on 
operational programmes. 

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Article 10 

Shared management 

1. 

The  Community  budget  allocated  to  the  Fund  shall  be  implemented  within  the 
framework of shared management between the Member States and the Commission, 
in accordance with Article 53 of Council Regulation (EC) No 1605/2002. However, 
the budget for technical assistance referred to in Article 45(1) is implemented by the 
Commission  within  the  framework  of  direct  management.  The  Member  States  and 
the  Commission  shall  ensure  compliance  with  the  principles  of  sound  financial 
management in accordance with Article 274 of the Treaty. 

2. 

The  Commission  shall  exercise  its  responsibilities  for  the  implementation  of  the 
general budget of the European communities in the following ways : 

(a) 

(b) 

The  Commission  shall  check  the  existence  and  proper  functioning  of 
management  and  control  systems  in  the  Member  States  in  accordance  with 
chapter I of Title VII. 

The Commission shall interrupt, withhold or suspend all or part of payments in 
accordance with Articles 84, 85 and 86, if the national management and control 
systems  fail,  and  shall  apply  any  other  financial  correction  required,  in 
accordance with the procedures described in Articles 97 and 98. 

(c) 

The Commission shall check reimbursement of prefinancing and automatically 
decommit budget commitments in accordance with Articles 78(2), 87 and 91. 

3. 

4. 

Applying these measures shall enable the Commission to satisfy itself that Member 
States are utilising the Funds in a lawful and correct manner and in accordance with 
the principle of sound financial management within the meaning of Articles 27 and 
28 of the Regulation Council Regulation (EC) No 1605/2002. 

The provisions of Title II of the second part of Regulation (EC) No 1605/2002 shall 
apply to assistance under the Fund. 

Article 11 

Equality between men and women 

The Member States and the Commission shall ensure that equality between men and women 
and  the  integration  of  a  gender  perspective  are  promoted  during  the  various  stages  of 
implementing  the  Fund,  including  the  design,  implementation,  monitoring  and  evaluation 
stages. 

The Member States shall ensure that operations to enhance the role of women in the fisheries 
sector are promoted. 

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CHAPTER IV 

Financial framework 

Article 12 

Resources and concentration 

1. 

2. 

3. 

4. 

5. 

The resources available for commitment from the Fund for the period 2007 to 2013 
shall be EUR 4 963 million at 2004 prices in accordance with the annual breakdown 
shown at Annex I. 

0.8  %  of  the  resources  referred  to  in  the  above  paragraph  shall  be  devoted  to  the 
technical assistance for the Commission s defined in Article 45. 

For the purpose of their programming and subsequent inclusion in the general budget 
of  the  European  Communities,  the  amounts  referred  to  in  paragraph  1  shall  be 
indexed as from [….] at [….] per year. 

The breakdown of budgetary resources provided for in paragraph 1 and not allocated 
in  accordance  with  paragraph  2  above  shall  be  such  as  to  achieve  a  significant 
concentration on the regions concerned by the Convergence Objective. 

The Commission ensures that total annual allocations from the Fund for any Member 
State  pursuant  to  this  Regulation,  and  from  the  ERDF and  the  ESF  pursuant  to  the 
Regulation (EC) No (….)including the contribution of the ERDF to the financing of 
the cross-border strand of the European Neighbourhood and Partnership Instrument 
pursuant  to  Regulation  (EC)  No  (….)  and  of  the  Instrument  for  Pre-Accession 
pursuant to Regulation (EC) No (….) and from European Agricultural Fund for Rural 
Development  (EAFRD)  pursuant  to  Regulation  (EC)  No  (…)  originating  from  the 
EAGGF  Guidance  section  contributing  to  the  Convergence  objective,  shall  not 
exceed 4% of that Member State’s GDP, as estimated at the time of the adoption of 
the inter-institutional agreement. 

The  Regulations  of  the  financial  instruments  mentioned  other  that  the  European 
Fisheries Fund include a similar provision. 

Article 13 

Financial distribution 

The  Commission  shall  make  indicative  breakdowns  by  Member  State  of  the  commitment 
appropriations available for the programming period  2007  to 2013, while separating out the 
share  contributing  to  the  Convergence  objective,  using  the  following  objective  criteria:  the 
size  of  the  fisheries  sector  in  the  Member  State,  the  scale  of  adjustment  need  to  the  fishing 
effort, the level of employment in the fishing sector and the continuity of measures in hand. 

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TITLE II 

STRATEGIC GUIDELINES 

CHAPTER I 

STRATEGIC GUIDELINES 

Article 14 

Community strategic guidelines 

1. 

2. 

3. 

4. 

The Community strategic guidelines for the  development of the Common  Fisheries 
Policy establish a framework for the preparation and the implementation of the Fund. 
They  provide  the  reference  framework  for  the  contribution  of  the  Fund  to  the 
implementation of the National Strategic plan refereed to in Article 15. 

The  Council  shall,  at  Community  level  adopt  the  strategic  guidelines  for  the 
sustainable development of the fisheries and aquaculture sector and the Community’s 
coastal fishing areas for the period from 2007 to 2013. 

These guidelines shall define the priorities for assistance within this axis as defined 
in Title IV of this Regulation. 

The  Community  strategic  guidelines  are  adopted  with  the  procedure  laid  down  in 
Article  37  of  the  Treaty  at  the  latest  three  months  after  the  entry  into  force  of  this 
Regulation. 

The guidelines shall be subject, if necessary, to mid-term review on the basis of the 
strategic evaluation in accordance with Article 48(4). 

CHAPTER II 

National strategic plan 

Article 15 

National strategic plan 

1. 

Within  three  months  following  the  adoption  of  the  strategic  guidelines,  before 
submitting  the  operational  programme,  each  Member  State  shall  adopt  a  national 
strategic plan covering the fisheries sector. 

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19 

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2. 

3. 

4. 

The  national  strategic  plan,  following  close  consultation  with  the  partners  shall  be 
submitted  to  the  Commission,  taking  into  account  the  finding  of  the  evaluation 
provided for in Article 47. 

The  national  strategic  plan  shall  be  the  subject  of  a  dialogue  between  the  Member 
Sate and the Commission. 

The  national  strategic  plan  shall  cover  all  aspects  of  the  Common  fisheries  policy, 
and  set  out  the  priorities,  objectives  and  deadlines  for  its  implementation  with 
particular regard to: 

(a) 

(b) 

(c) 

(d) 

the  reduction  of  fishing  effort  and  capacity  and  identifying  the  resources  and 
deadlines for attaining the target for the fishery and fleet concerned ; 

the  development  of  the  aquaculture  sector  and  the  processing  and  marketing 
industry ; 

the  implementation  strategy  for  meeting  the  requirements  for  inspection  and 
control of fishing activities and data and information collection on the CFP ; 

the fisheries product supply strategy and the development of fishing activities 
outside the Community waters ; 

(e) 

the coastal zone development strategy and the criteria for defining these zones. 

Article 16 

Content of the national strategic plan 

1. 

The national strategic plan contains a summary description of: 

(a) 

the state of the fisheries sector as a whole ; 

(b) 

the environmental impact assessment ; 

(c) 

the  indicative  allocation  of  the  public  financial  resources  available  for 
implementing the CFP indicating for each national priority for assistance where 
necessary  the  share  part-financed  by  the  Fund  and  the  share  financed  by 
national public Funds. 

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CHAPTER III 

Strategic follow up 

Article 17 

Strategic report from the Commission and the Member States 

1. 

2. 

1. 

2. 

implementation  of 

The Member States shall submit to the Commission, by 30 April 2011, a report on 
the 
the  main 
developments,  trends  and challenges including those relating to the implementation 
of the strategic guidelines. 

the  national  strategic  plan  summarising 

By 31 October 2011, the Commission shall submit to the European Parliament, the 
Council,  the  Economic  and  Social  Committee  and  the  Committee  of  the  Regions  a 
report  on  the  implementation  of  the  national  strategic  plans  and  the  Community 
strategic guidelines. 

The Commission shall inform the Fund committee provided for in Article 100. 

TITLE III 

PROGRAMMING 

CHAPTER I 

General provisions on the Fund 

Article 18 

Content of the operational programme 

The operational programmes shall contain the strategy, the priorities and the specific 
objectives with respect to the Common fisheries policy and other common policies. 

Assistance shall take the form of operational programmes only. Member States shall 
draw  up  an  operational  programme  at  national  level  on  completion  of  close 
consultations  with  the  regional,  local,  economic  and  social  partners  in  the  fisheries 
sector and all other appropriate bodies in accordance with their institutional structure. 

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Each operational programme shall contain: 

(a) 

(b) 

(c) 

the  priorities  as  defined  in  the  strategic  guidelines,  their  specific  targets 
quantified  where  they  lend  themselves  to  quantification,  the  expected  impact 
and their consistency with the national strategic plan ; 

a  summary  description  of  the  principal  measures  envisaged  for  implementing 
the priorities ; 

the complementarity with the actions planned under the rural development fund 
and the other Structural Funds ; 

(d) 

a financing plan containing two tables : 

– 

– 

the first table shall give a breakdown for each year, in accordance with 
Article […], of the amount of the total financial allocation envisaged for 
the  contribution  from  the  Fund.  The  financing  plan  shall  show 
separately  within 
the 
total  contribution 
appropriations  earmarked  for  the  Convergence  Objective.  The  total 
contribution  from  the  Fund  shall  be  compatible  with  the  applicable 
Financial Perspective ; 

the  Fund 

from 

the 

the  second  table  shall  specify,  for  the  whole  programming  period  and 
for  each  priority,  the  amount  of  the  financial  allocation  envisaged  for 
the  Community  contribution  and  the  national  public  contributions,  the 
rate  of  contribution  from  the  Fund  for  each  priority  and  the  amount 
allocated to technical assistance. Where necessary, the table shall show 
separately  the  contribution  from  the  Fund  provided  for  Convergence 
objective regions together with the national public counterparts. 

3. 

Operational programs are shall be drawn up in accordance with strategic guidelines 
and the national strategic plan. 

Article 19 

Implementing provisions for the operational programmes 

1. 

Each  Member  State  shall  include  in  the  relevant  implementing  provisions,  in 
particular : 

(a) 

(b) 

(c) 

the  designation  by  the  Member  States  of  all  the  authorities  provided  for  in 
Article 57 ; 

a description of the procedures for managing operational programmes provided 
for in Article 58 ; 

actions  aimed  at  improving  and  modernising  the  administrative  structures  for 
the 
implementing 
administrative capacity for the management and inspection of the Fund ; 

fisheries  policy  and 

the  Common 

strengthening 

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(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

a description of evaluation and monitoring systems as well as the composition 
of  the  Monitoring  Committee  provided  for  in  Articles  46  and  61  to  63 
respectively ; 

the procedures for inspecting the implementation of the operational programme 
provided for in Article 60 ; 

a definition of procedures for mobilisation and circulation of financial flows in 
order to ensure their transparency ; 

the  arrangements  for  ensuring,  in  accordance  with  Article  50,  that  the 
operational programmes are publicised ; 

a  description  of  the  procedures  agreed  between  the  Commission  and  the 
Member  State  for  the  exchange  of  computerised  data  to  meet  the  payment, 
monitoring and evaluation requirements laid down in this Regulation ; 

The  designation  of  the  independent  inspection  body  referred  to  in  Article 
69(3),. 

For each of the forms of assistance provided for in Title IV, the Member States shall 
determine  in  their  operational  programme  the  conditions  and  procedures  for  their 
application.  The  programme  shall  in  particular  indicate  clearly  the  purpose  of  each 
measure planned. 

Article 20 

Preparation and approval 

Each  Member  State  shall  draw  up  an  operational  programme  at  national  level 
following  close  consultation  with  the  partners.  It  shall  be  transmitted  to  the 
Commission within three months following the adoption by the Member State of its 
national strategic plan. 

The  Commission  shall  appraise  the  proposed  operational  programme  to  determine 
whether  it  contributes  to  the  objectives  and  priorities  defined  in  the  Community 
strategic  guidelines  and  the  national  strategic  plan,  taking  into  account  the  ex-ante 
evaluation referred to in Article 47. 

Where  the  Commission  considers  that  an  operational  programme  is  not  consistent 
with the Community strategic guidelines or the national strategic plan, it shall ask the 
Member State to revise the proposed programme accordingly. 

The Commission shall approve each operational programme at the latest five months 
after  it  has  been  submitted  formally  by  the  Member  State  provided  the  operational 
programme is drawn up in accordance with Article 18. 

2. 

1. 

2. 

3. 

4. 

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Article 21 

Duration and review 

1. 

2. 

3. 

Operational  programmes  shall  cover  the  period  between  1  January  2007  and  31 
December 2013. 

Each  operational  programme  shall  be  re-examined  where  a  difficulty  has  arisen  in 
implementation or if there have been significant strategic changes or for reasons of 
sound  management  and,  if  necessary,  revised  for  the  rest  of  the  period  on  the 
initiative of the Member State or the Commission, after approval by the Monitoring 
Committee  provided  for  in  Article  61.  Revisions  shall  take  account  in  particular  of 
the  Commission  annual  reports  and  any  conclusions  of  the  annual  examination, 
particularly to revise or strengthen the priorities of the common fisheries policy and 
the finding and conclusions on the mid-term evaluation provided for in Article 48. 

The  Commission  shall  adopt  a  decision  on  requests  to  review  operational 
programmes  within  three  months  of  formal  submission  of  the  request  by  the 
Member State. 

Article 22 

Cumulation and overlap 

During  the  eligibility  period  an  operation  shall  qualify  for  a  contribution  from  one  Fund  or 
one Community financial instrument only. The Member States shall ensure that this provision 
is observed. 

TITLE IV 

AXES PRIORITAIRES 

CHAPTER I 

PRIRORITY AXIS 1 MEASURES FOR THE ADAPTATION OF THE COMMUNITY 
FISHING FLEET 

The Fund shall contribute to financing: 

EN 

Article 23 

Scope 

24 

   EN 

 
(a) 

public  aid  for  ship  owners  and  crews  affected  by  national  plans  to  adjust 
fishing effort where these form part of the following: 

– 

– 

– 

– 

– 

recovery  plans  as  referred  to  in  Article  5  of  Regulation  (EC)  No 
2371/2002 ; 

emergency  measures  as  referred  to  in  Articles  7  and  8  of  Regulation 
(EC) No 2371/2002 ; 

national  effort  adjustment  plans  following  the  non-renewal  of  a 
fisheries  agreement  between  the  Community  and  a  third  country  or  a 
substantial cut in fishing opportunities under an international agreement 
or other arrangement ; 

management  plans  as  referred  to  in  Article  6  of  Regulation  (EC)  No 
2371/2002 ; 

national plans for exit from the fleet with a maximum duration of two 
years  as  part  of  the  obligations  laid  down  in  Articles  11  to  16  of 
Regulation (EC) No 2371/2002 on the adjustment of the capacity of the 
Community fishing fleet. 

(b) 

investments on board vessels in accordance with Article 27. 

(c) 

socio-economic  compensation  in  support  of  fleet  management,  including 
professional training. 

Article 24 

Programming of fishing effort adjustment 

1. 

2. 

3. 

4. 

5. 

Each  Member  State  shall  lay  down  in  its  strategic  national  plan  its  policy  for 
adjusting  fishing  effort.  It  shall  accord  priority  to  the  financing  of  the  operations 
referred to in Article 23 (a) first indent. 

National  fishing  effort  adjustment  plans  provided  for  in  Article  23  (a)  first  indent 
shall include measures for the permanent cessation of fishing activities in accordance 
with the provisions of Article 25. 

They may also include temporary cessation measures in accordance with Article 26 
and all other relevant measures in this Chapter. 

In  the  regions  covered  by  the  Convergence  Objective,  the  national  fishing  effort 
adjustment  plans  shall  include  the  socio-economic  compensation  provided  for  in 
Article 28. 

In the regions not covered by the Convergence Objective, the Member States shall be 
required  to  present  national  socio-economic  supporting  measures  in  the  national 
fishing effort adjustment plans. 

EN 

25 

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6. 

The duration of the national fishing effort adjustment plans referred to in Article 23 
(a) shall not exceed two years. 

In  the  cases  provided  for  in  Article  23  (a),  first,  second  and  fourth  indent,  the 
national plans shall be adopted by the Member States within two months following 
the date of the Council or Commission decision. 

In  the  cases  provided  for  in  Article  23  (a),  third  indent,  the  Member  States  shall 
adopt  the  restructuring  plans  for  the  vessels  and  fishermen  affected  within  two 
months following the notification from the Commission. 

Article 25 

Public aid for permanent cessation 

1. 

The Fund shall provide assistance for the part-financing of the permanent cessation 
of  fishing  activities  of  vessels  provided  it  forms  part  of  a  fishing  effort  adjustment 
plan  referred  to  in  Article  23  (a).  The  definitive  cessation  of  fishing  activities  of  a 
vessel may be achieved only by the scrapping of the vessel or its re-assignment for 
non-profit making purposes 

Public  aid  for  definitive  cessation  paid  to  the  owners  of  vessels  shall  apply  to  the 
vessel’s fishing capacity and, where appropriate, to the fishing rights associated with 
it. 

2. 

To  facilitate  the  implementation  of  national  fishing  effort  adjustment  plans  the 
Member States may make public calls for tenders or calls for proposals. 

The Member States may also set the level of public aids taking into account the best 
cost/effectiveness  ratio  on  the  basis  of  one  or  more  of  the  following  objective 
criteria: 

(a) 

the price of the fishing vessel recorded on the national market or its insurance 
value ; 

(b) 

the turnover of the vessel ; 

(c) 

the age of the vessel and its tonnage or engine power expressed in GT or kW 
respectively. 

3. 

Each year the Member States shall communicate in the annual implementing report 
provided for in Article 65 the results achieved in implementing their national fishing 
effort  adjustment  plans.  The  results  shall  be  measured  using  relevant  indicators 
defined in the operational programmes. 

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26 

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Article 26 

Public aid for temporary cessation 

1. 

2. 

3. 

4. 

In the context of the fishing effort adjustment plans referred to in Article 23 (a), first, 
second and fourth indent, the Fund may contribute to the financing of aid measures 
for  the  temporary  cessation  of  fishing  activities  for  fishermen  and  the  owners  of 
vessels for a maximum period of one year, which may be extended by a year. 

These  temporary  cessation  measures  shall  accompany  a  fishing  effort  adjustment 
plan ensuring within two years a permanent reduction in capacity equal at least to the 
reduction in fishing effort resulting from the temporary cessation. 

The  Fund  may  contribute  to  the  financing  of  temporary  cessation  allowances  to 
fishermen  and  the  owners  of  vessels  for  a  maximum  period  of  six  months  in  the 
event of a natural disaster or other exceptional occurrence which is not the result of 
resource conservation measures. 

Each year the Member States shall communicate in the annual implementing report 
provided  for  in  Article  65  the  results  achieved  in  implementing  the  temporary 
cessation measures. 

A  recurrent  seasonal  suspension  of  fishing  shall  not  be  taken  into  account  for  the 
grant of allowances or payments under this Regulation. 

Article 27 

Investments on board fishing vessels and selectivity 

1. 

The Fund may contribute to the financing of equipment: 

(a) 

provided for in Article 11(5) of Regulation (EC) No 2371/2002 ; 

(b)  making it possible for catches to be kept on board the discarding of which is no 

longer authorised ; 

(c) 

(d) 

as  part  of  pilot  projects  covering  the  preparation  or  trial  of  new  technical 
measures for a limited period to be set by the Council or the Commission ; 

for reducing the impact of fishing on habitats and the sea bottom and on non-
commercial species excluding fishing gear. 

2. 

The Fund may contribute to the financing of investments to achieve the selectivity of 
fishing  gear  provided  that  the  vessel  concerned  is  affected  by  a  recovery  plan 
referred  to  in  Article  23(a),  first  indent,  is  changing  fishing  method,  and  is  leaving 
the fishery concerned to go to another fishery where the state of the resource makes 
fishing  possible  and  that  the  investment  only  concerns  the  first  replacement  of  the 
fishing gear. 

EN 

27 

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3. 

1. 

2. 

3. 

4. 

In  addition  to  the  cases  described  in  paragraph  2,  the  Fund  may  contribute  to  the 
financing of the first replacement of fishing gear provided that the new gear is more 
selective and meets recognised environmental criteria and practices which go beyond 
existing regulatory obligations. 

Article 27a 

Small-scale coastal fishing 

For  the  purposes  of  this  Article,  ‘small-scale  coastal  fishing’  means  fishing  carried 
on by fishing vessels of an overall length of less than 12 metres and not using towed 
gear as listed in table 2, Annex I of Commission Regulation (EC) No 26/2004 of 30 
December 2003 regarding the fishing vessels register of the Community(12). 

Where the Fund provides financing for measures under Article 27 of this Regulation 
in favour of small-scale coastal fishing the private financial participation rate shown 
in group 2 of the table in Annex II shall be reduced by 20%. 

Where the Fund provides financing for measures under Article 28 of this Regulation 
the rates shown in group 3 of Annex II shall be applied. 

The  Fund  may  contribute  to  the  payment  of  premiums  for  fishermen  and  vessel 
owners involved in small-scale coastal fishing in order to:  

–  Improve management and control of access conditions to certain fishing areas; 

–  Promote  the  organisation  of  the  production,  processing  and  marketing  chain  of 

fisheries products; 

–  Promote voluntary steps to reduce fishing effort for the conservation of resources; 

–  Use  technological  innovations  (more  selective  fishing  techniques  which  go 
beyond the relevant regulatory requirements) that do not increase fishing effort; 

The rates laid down in group 3 of the table of Annex II of this Regulation shall be applied. 

Article 28 

Socio-economic compensation for the management of the fleet 

1. 

The Fund may contribute to the financing of socio-economic measures proposed by 
the  Member  States  for  fishermen  affected  by  developments  in  fishing  and  which 
involve: 

(a) 

the  diversification  of  activities  with  a  view  to  promoting  multiple  jobs  for 
people actively employed in the fishing sector ; 

12 

OJ L 5, 9.1.2004, p. 25.  

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28 

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(b) 

schemes for retraining in occupations outside sea fishing ; 

(c) 

early departure from the fishing sector, including early retirement. 

2. 

The  Fund  may  also  contribute  to  the  financing  of  training  measures  and  training 
incentives for young fishermen who wish to become owners of a fishing vessel for 
the first time. 

CHAPTER II 

PRIORITY AXIS 2 AQUACULTURE, PROCESSING AND MARKETING OF 
FISHERY AND AQUACULTURE PRODUCTS 

Article 29 

Investments in aquaculture 

The Fund may support investments in aquaculture under the specific objectives to be 
included in the national strategic plans provided for in Article 15. 

investments  may  cover 

Such 
the  construction,  extension,  equipment  and 
modernisation  of  production  installations,  in  particular  with  a  view  to  improving 
conditions  relating  to  hygiene,  human  or  animal  health  and  product  quality,  or 
reducing  negative  impact  on  the  environment.  Transfer  of  the  ownership  of  a 
business shall not be eligible for Community aid. 

Where investments are realised for the purpose of guaranteeing compliance with the 
Community  standards  recently  introduced  on  the  environment,  human  or  animal 
health,  hygiene  or  animal  welfare,  aid  may  be  granted  with  a  view  to  guaranteeing 
compliance with those new standards only within the time limits set by Community 
legislation. 

The Fund shall not assist investments aimed at increasing the production of products 
which do not find normal market outlets or which could have adverse effects on the 
policy for conservation of fishing resources. 

Aid  shall  not  be  granted  to  projects  as  provided  for  in  Annex  II  to  Directive 
85/337/EEC13  in  respect  of  which  the  information  laid  down  in  Annex  IV  to  that 
Directive has not been provided. 

Council Directive 85/337/EEC of 27 June 1985 on the assessment of the effects of certain public and 
private projects on the environment (OJ L 175, 5.7.1985, p. 40). Directive as last amended by Directive 
2003/35/EC (OJ L 156, 25.6.2003, p. 17). 

1. 

2. 

3. 

4. 

5. 

13 

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29 

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Article 30 

Eligible measures 

1. 

The  Fund  shall  assist  investments  helping  to  realise  one  or  more  of  the  following 
objectives: 

(a) 

(b) 

(c) 

diversification  towards  new  species  and  production  of  species  with  good 
market prospects ; 

implementation  of  breeding  methods  substantially  reducing  environmental 
impact when compared with normal practice in the fisheries sector ; 

support for traditional aquaculture activities important for preserving both the 
economic and social fabric and the environment; 

(d)  measures of common interest relating to aquaculture as provided for in Chapter 

III of this Title and vocational training ; 

(e) 

compensating for the use of aquaculture production methods helping to protect 
the environment and conserve nature ; 

(f) 

implementation of public and animal health measures. 

2. 

Investment aid shall be reserved for micro and small businesses. 

Article 31 

Supporting aqua-environmental measures 

1. 

The Fund may assist in granting compensation for the use of aquaculture production 
methods  helping  to protect and improve the environment  and to  conserve nature in 
order to meet Community objectives relating to fishing and the environment. 

2. 

The purpose of the support is to promote: 

(a) 

(b) 

the 
forms  of  aquaculture  comprising  protection  and  enhancement  of 
environment,  natural  resources,  genetic  diversity,  and  management  of  the 
landscape and traditional features of aquaculture zones ; 

participation in the Community eco-management and audit scheme created by 
Regulation (EC) No 761/2001 of the European Parliament and the Council14 ; 

(c) 

organic aquaculture within the meaning of Regulation (EEC) No 2092/9115. 

14 
15 

OJ L 114, 24.4.2001, p. 1. 
Council Regulation (EEC) No 2092/91 of 24 June 1991 on organic production of agricultural products 
and  indications  referring  thereto  on  agricultural  products  and  foodstuffs  (OJ  L  198,  22.7.1991,  p.  1). 
Regulation as last amended by Regulation (EC) No 392/2004 of 24 February 2004 (OJ L 65, 3.3.2004). 

EN 

30 

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3. 

4. 

In  order  to  receive  grants  under  this  Article,  promoters  of  projects  must  commit 
themselves to aqua-environmental requirements for a minimum of five years which 
go beyond the mere application of normal good aquaculture practice. The benefits of 
such  commitments  must  be  demonstrated  by  an  ex  ante  impact  assessment  to  be 
conducted by a body designated by the Member State. 

The  maximum  annual  amount  of  public  aid  granted  as  compensation  for  an  aqua-
environmental  undertaking  shall  be  defined  each  year  by  the  Member  State  in  its 
operational programme on the basis of the following criteria: 

(a) 

the loss of revenue incurred ; 

(b) 

the  additional  cost  which  may  result  from  the  application  of  aqua-
environmental methods, and 

(c) 

the need to provide a financial support for carrying out the project. 

Article 32 

Public and animal health measures 

The Fund may assist: 

(a) 

in  granting  shellfish  farmers  compensation  for  the  temporary  suspension  of 
farmed  mollusc  harvesting.  The  maximum  duration  for  which  compensation 
may  be  granted  shall  be  six  months  over  the  entire  period  2007-2013.  The 
compensation  may  be  granted  where  contamination  of  molluscs  owing  to  the 
proliferation  of  toxin-producing  plankton  or  the  presence  of  plankton 
containing biotoxins entails, for public health protection purposes, suspension 
of the harvest : 

– 

– 

for more than four month consecutively or ; 

where the loss suffered as a result of suspension of the harvest amounts 
to  more  than  35%  of  the  annual  turnover  of  the  business  concerned, 
calculated on the basis of the average turnover of the business over the 
preceding three years. 

(b) 

finance  for  the  eradication  of  pathological  risks  in  aquaculture  where  a 
slaughter  plan  is  approved  by  the  Commission  under  the  terms  of  Decision 
90/424/EEC16. 

16 

Council Decision 90/424/EEC of 26 June 1990 on expenditure in the veterinary field. Decision as last 
amended by Directive 2003/99 of the European Parliament and of the Council of 17 November 2003 
(OJ L 325, 12.12.2003, p.31). 

EN 

31 

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1. 

2. 

3. 

1. 

2. 

Article 33 

Investments in processing and marketing 

The  Fund  may  support,  under  the  specific  strategies  to  be  included  in  the  national 
strategic  plans,  investments  in  processing  for  direct  human  consumption  and  in  the 
marketing  of  fishery  and  aquaculture  products.  This  aid  is  restricted  to  micro  and 
small enterprises. 

investments  may  cover 

Such 
the  construction,  extension,  equipment  and 
modernisation  of  businesses,  in  particular  with  a  view  to  improving  conditions 
relating to hygiene, human or animal health and product quality, or reducing negative 
impact  on  the  environment.  Transfer  of  the  ownership  of  a  business  shall  not  be 
eligible for Community aid. 

Where investments are realised for the purpose of guaranteeing compliance with the 
Community  standards  recently  introduced  on  the  environment,  human  or  animal 
health,  hygiene  or  animal  welfare,  aid  may  be  granted  with  a  view  to  guaranteeing 
compliance with those new standards only within the time limits set by Community 
legislation. 

Article 34 

Eligible measures 

The  Fund  shall  assist  investments  in  the  field  of  processing  and  marketing  for  the 
construction, extension, fitting out and modernisation of firms. 

Investment  under  the  paragraph  1  shall  contribute  to  preserving  or  increasing 
employment  in  the  fisheries  sector  and  to  achieving  one  or  more  of  the  following 
objectives: 

(a) 

improving working conditions and vocational training ; 

(b) 

improving  and  monitoring  public  health  and  hygiene  conditions  or  product 
quality ; 

(c) 

reducing negative impacts on the environment ; 

(d) 

helping to improve the use of little-used species, by-products and waste ; 

(e) 

applying new technologies, or developing e-commerce ; 

(f) 

marketing products mainly originating in landings from the local fleet. 

3. 

Community aid shall not be granted to investments relating to the retail trade. 

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32 

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CHAPTER III 

PRIORITY AXIS 3 MEASURES OF COLLECTIVE INTEREST 

Article 35 

Principles for Assistance 

The  Fund  may  assist  collective  actions  of  limited  duration  which  would  not  normally  be 
supported  by  private  enterprise  and  which  are  implemented  with  the  active  support  of 
operators themselves or by organisations acting on behalf of producers or other organisations 
recognised by the Managing Authority and which help to meet the objectives of the common 
fisheries policy. 

Article 36 

Collective action 

The fund shall support collective actions which aim to: 

(a) 

(b) 

contribute sustainably to better management or conservation of resources, or to 
the transparency of markets in fishery and aquaculture products, or 

involve  collective  investments  in  the  development  of  breeding  sites,  in  waste 
treatment or in the purchase of production, processing or marketing equipment 
or, 

(c) 

promote partnership between scientists and operators in the fisheries sector. or, 

(d) 

contribute to the objectives laid down in Article 27a(4) of this Regulation. 

Article 37 

Measures intended to protect and develop aquatic fauna 

1. 

2. 

3. 

The  Fund  may  assist  actions  of  collective  interest  intended  to  protect  and  develop 
aquatic fauna, excluding direct restocking. The actions must contribute to enhancing 
the aquatic environment 

These actions shall relate to the installation of static or mobile installations intended 
to  protect  and  develop  aquatic  fauna  or  to  rehabilitate  inland  waterways,  including 
spawning grounds and migration routes for migratory species. 

The actions must be implemented by public or semi-public bodies, recognised trade 
organisations or other bodies appointed for that purpose by the Managing authority. 

EN 

33 

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Article 38 

Fishing ports 

1. 

2. 

1. 

2. 

The  Fund  may  support  investments  in  fishing  ports  of  interest  to  all  the  fishermen 
using the port and helping to improve the services offered to the fishermen. 

The investments shall relate to: 

(a) 

improving  the  conditions  under  which  fishery  products  are  landed,  processed 
and stored in the ports ; 

(b) 

the provision of fuel, ice, water and electricity ; 

(c) 

fishing vessel maintenance and repair equipment ; 

(d) 

improvement of quays in order to improve safety during the landing or loading 
of products ; 

(e) 

computerised management of fishing activities. 

Article 39 

Promotion and development of new markets 

The Fund may support collective actions intended to implement a policy of quality 
and  value  enhancement,  promotion  or  development  of  new  markets  for  fishery  and 
aquaculture products. 

The actions may not be aimed at trademarks or make reference to specific countries 
or geographical areas, except in the case of products recognised under the terms of 
Council Regulation (EEC) No 2081/9217. 

3. 

The investments shall relate to: 

(a) 

conducting national and transnational promotion campaigns ; 

(b) 

(c) 

(d) 

the disposal of surplus or underexploited species which are discarded or of no 
commercial interest ; 

implementation of a quality policy for fishery and aquaculture products ; 

promotion  of  products  obtained  using  methods  with  low  impact  on  the 
environment ; 

17 

Regulation of 14 July 1992 on the protection of geographical indications and designations of origin for 
agricultural  products  and  foodstuffs.  (OJ  L208,  24.7.1992,  p.  1).  Regulation  as  last  amended  by 
Regulation (EC) No 806/2003 of 14 April 2003 (OJ L122, 16.5.2003, p. 1). 

EN 

34 

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(e) 

promotion  of  products  recognised  under  the  terms  of  Regulation  (EEC) 
No 2081/92 ; 

(f) 

quality certification ; 

(g) 

(h) 

labelling,  including  the  labelling  of  products  caught  using  environmentally 
friendly fishing methods ; 

product  promotion  campaigns  or  campaigns  to  improve  the  image  of  the 
fisheries sector ; 

(i) 

implementation of market surveys. 

Article 40 

Pilot projects 

1. 

The  Fund  may  support  pilot  projects  aimed  at  acquiring  and  disseminating  new 
technical  knowledge  and  carried  out  by  an  economic  operator,  a  recognised  trade 
association  or  any  other  competent  body  designated  for  that  purpose  by  the 
Managing authority, in partnership with a scientific or technical body. 

2. 

The pilot projects provided for in the previous paragraph should: 

(a) 

(b) 

test,  under  near-actual  conditions  in  the  production  sector,  the  technical  or 
financial  viability  of  an  innovative  technology  with  the  aim  of  acquiring  and 
disseminating technical or financial knowledge of the technology tested ; 

enable tests to be carried out on management plans and fishing effort allocation 
plans, including, if necessary, the establishment of no-fishing zones, in order to 
evaluate 
the  biological  and  financial  consequences,  and  experimental 
restocking. 

A  pilot  project  shall  always  include  adequate  scientific  follow-up  in  order  to  yield 
significant results. 

3. 

The results of projects financed under paragraph  1 shall be the subject of technical 
reports available to the public. 

Article 41 

Modification or reassignment of fishing vessels 

The Fund may support the modification of fishing vessels for exclusively training or research 
purposes in the fisheries sector by public or semi-public bodies, under the flag of a Member 
State. 

The Fund may support actions to reassign a fishing vessel permanently to non profit-making 
activities outside professional fishing. 

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35 

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CHAPTER III 

PRORITY AXIS 4 SUSTAINABLE DEVELOPMENT OF COASTAL FISHING 
AREAS 

Article 42 

Scope of assistance 

1. 

The Fund shall provide assistance, in addition to the other Community instruments, 
for  the  sustainable  development  and  improvement  of  the  quality  of  life  of  coastal 
fishing  areas  eligible  as  part  of  an  overall  strategy  which  seeks  to  support  the 
implementation of the objectives of the common fisheries policy, in particular taking 
account of its socio-economic consequences. 

2. 

The measures for the sustainable development of coastal fishing areas shall seek to: 

(a) 

maintain  the  economic  and  social  prosperity  of  these  areas  and  value  to 
fisheries and aquaculture products ; 

(b)  maintain  and  develop  jobs  in  coastal  fishing  areas  through  support  for 
diversification  or  the  economic  and  social  restructuring  of  areas  faced  with 
socio-economic difficulties as a result of changes in the fisheries sector ; 

(c) 

promote the quality of the coastal environment ; 

(d) 

support  and  develop  cooperation  between  national  and  transnational  coastal 
fishing areas. 

3. 

Each  Member  States  shall  include  in  its  operational  programme  a  list  of  the  areas 
eligible for support from the Fund under sustainable development of coastal areas. 

A fisheries coastal area is generally smaller than NUTS III, with a sea or lake shore, 
or  including  a  river  estuary  which  has  links  with  fisheries.  The  area  should  be 
reasonably  be  coherent  from  a  geographical  and  oceanographical,  economic  and 
social view point. 

The area should have low population density shall, a significant level of employment 
in the fisheries sector, fishing shall be in decline, and there shall be no municipality 
with more than 100 000 inhabitants. 

4. 

The Member State shall inform the Commission of the eligible areas under paragraph 
3. 

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36 

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Article 43 

Eligible measures 

1. 

Support for the sustainable development of coastal fishing areas may be granted for: 

(a) 

(b) 

restructuring  and  re-directing  economic  activities,  in  particular  by  promoting 
green  tourism,  provided  these  actions  do  not  result  in  an  increase  in  fishing 
effort ; 

diversifying  activities  through  the  promotion  of  multiple  employment  for 
people  actively  employed  in  the  fisheries  sector,  through  the  creation  of 
additional or replacement jobs outside the fisheries sector ; 

(c) 

local commercial exploitation of sea food ; 

(d) 

supporting slam fisheries related installation and promoting tourist activities ; 

(e) 

(f) 

(g) 

(h) 

the  marine, 

protecting 
its 
attractiveness,  regenerating  and  developing  coastal  hamlets  and  villages  and 
protecting and capitalising on the natural and architectural heritage ; 

lake  and  coastal  environment 

to  maintain 

re-establishing  production  potential  in  the  fisheries  sector  when  damaged  by 
natural or industrial disasters ; 

support  for  inter-regional  and  trans-national  cooperation  among  actors  in 
coastal  fishing  areas,  mainly  through  networking  and  disseminating  best 
practice ; 

acquiring  organising  and  presentational  skills  for  the  preparation  and 
implementation of the local development strategy. 

2. 

3. 

4. 

5. 

The Fund may finance, on a secondary basis, up to a maximum of 15% of the axis 
involved, measures to promote and improve professional skills, worker adaptability 
and access to employment, particularly to women, provided that these measures are 
an integral part of a sustainable development strategy for coastal areas and that they 
have a direct link with the measures described in the first paragraph. 

Support granted under paragraph 1 may not involve the renewal or modernisation of 
fishing vessels. 

Beneficiaries of support provided for in points (a) and (b) of the first paragraph and 
paragraph 2 of this Article should be either persons employed in the fisheries sector 
or persons with a job dependant on the sector. 

If  a  measure  under  this  Article  is  also  eligible  under  another  Community  support 
instrument, the Member State shall make clear in drawing up its programme whether 
it is supported by the Fund or by another Community support instrument. 

EN 

37 

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1. 

2. 

3. 

4. 

5. 

1. 

Article 44 

Participation in the sustainable development for coastal fishing areas 

Actions  to  assist  sustainable  development  of  coastal  fishing  areas  shall  be 
implemented on a given territory by a group of local public or private partners set up 
for  this  purpose,  hereafter  called  the  ‘coastal  action  group’  (CAG).  Each  CAG, 
established  in  accordance  with  the  law  of  the  Member  State  concerned,  shall  be 
selected transparently following a public call for proposals. 

Operation  carried  out  on  the  initiative  of  CAGs  shall  be  the  responsibility  of  the 
private sector for a least two third of the projects. 

The  CAGs  may  qualify  for  support  from  the  Fund  provided  that  they  carry  out 
integrated local development actions based on a bottom up process and applied in a 
given territory or to a specific category of persons or type of projects. The Member 
State shall ensure that the CAG has sufficient administrative and financial capacity to 
administer the forms of assistance and successfully complete the planned operations. 

The  territory  covered  by  the  CAG  should  be  consistent  and  have  sufficient  critical 
mass  in  terms  of  human,  financial  and  economic  resources  to  support  a  viable 
development strategy. 

The CAGs in a given  Member  State or region, depending on the specific nature of 
the institutional structure, shall form a joint association with statutes which guarantee 
their proper functioning. 

CHAPTER V 

PRIORITY AXIS 5 TECHNICAL ASSISTANCE 

Article 45 

Technical assistance 

At the initiative of and/or on behalf of the Commission, subject to a ceiling of 0.80% 
of  its  annual  allocation,  the  Fund  may  finance  the  preparatory,  monitoring, 
administrative  and  technical  support,  evaluation,  audit  and  inspection  measures 
necessary  for  implementing  this  Regulation.  These  actions  are  executed  in 
accordance with Article 53(2) of Regulation (EC, Euratom) No 1605/2002 and any 
other  provisions  of  that  Regulation  and  of  its  implementing  rules  applicable  to  this 
form of execution of the budget. 

Those actions shall include: 

(a) 

studies linked to the drawing up of the strategic guidelines of the Community 
and the Commission’s annual report ; 

EN 

38 

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(b) 

(c) 

evaluations,  expert  reports,  statistics  and  studies,  including  those  of  a  general 
nature concerning the operation of the Funds ; 

measures  aimed  at  the  partners,  the  beneficiaries  of  assistance  from  the  Fund 
and the general public, including information measures ; 

(d)  measures  to  disseminate  information,  networking,  raise  awareness,  promote 

cooperation and exchange experiences throughout the Community ; 

(e) 

(f) 

(g) 

the  installation,  operation  and  interconnection  of  computerised  systems  for 
management, monitoring, inspection and evaluation ; 

improvements  in  evaluation  methods  and  the  exchange  of  information  on 
practices in this field ; 

the  establishment  of  trans-national  and  Community  networks  of  actors  in  the 
sustainable  development  of  coastal  fishing  zones  with  a  view  to  encouraging 
the  exchange  of  experience  and  best  practice,  stimulating  and  implementing 
trans-regional  and  trans-national  cooperation  and  the  dissemination  of 
information. 

2. 

3. 

At the initiative of the Member States, the Fund may finance under each operational 
programme actions relating to the preparation, management, monitoring, evaluation, 
publicity, control and audit of assistance to operational programmes up to a limit of 
5% of the total amount of each operational programme. 

At the initiative of the Member States, the Fund may also finance actions under each 
operational  programme  relating  to  improving  the  administrative  capacities  of  the 
Member States all of whose regions are eligible under the Convergence Objective. 

TITLE V 

EFFECTIVENESS OR AND PUBLICITY FOR ASSISTANCE 

CHAPTER I 

EVALUATION OF OPERATIONAL PROGRAMMES 

Article 46 

General provisions 

1. 

The  operational  programmes  shall  be  subject  to  ex  ante,  interim  and  ex  post 
evaluations under the provisions of Articles 47 to 49. 

EN 

39 

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Evaluations shall aim to improve the quality and effectiveness of Fund assistance and 
the  implementation  of  the  operational  programmes.  They  shall  also  appraise  their 
impact  with  respect  to  the  strategic  guidelines  of  the  Community,  the  national 
strategic  plans  and  the  specific  problems  affecting  the  Member  States  while  taking 
account  of  the  needs  of  sustainable  development  in  the  fisheries  sector  and  the 
environmental impact. 

2. 

The effectiveness of Fund assistance shall be appraised on the basis of the following 
criteria: 

(a) 

the  overall  impact  of  the  Fund  on  the  objectives  set  out  in  Article  4  of  this 
regulation ; 

(b) 

the impact of the priorities built into the programmes. 

3. 

4. 

5. 

6. 

7. 

1. 

The  evaluation  activities  provided  for  in  paragraph  1  shall  be  organised  under  the 
responsibility  of  the  Member  States  or  the  Commission,  as  appropriate,  in 
accordance  with  the  principle  of  proportionality  and  on  the  basis  of  a  partnership 
between the Commission and the Member State. 

The  Member  States  shall  provide  the  human  and  financial  resources  necessary  for 
carrying out evaluations, organise the production and gathering of the necessary data 
and use the various types of information provided by the monitoring system. 

The  Commission  decides  the  evaluation  methods  and  standards  to  be  applied  in 
accordance with the procedure referred to in Article 100(3). 

Evaluation  shall  be  carried  out  by  independent  assessors.  The  results  shall  be 
published,  unless  the  authority  responsible  for  the  evaluation  expressly  objects,  in 
accordance  with  the  provisions  of  Regulation  (EC)  No 1049/2001  of  the  European 
Parliament and the Council.18 

Evaluations  shall  be  financed  from  the  budget  for  technical  assistance  of  the 
operational  programmes  if  they  are  carried  out  under  the  responsibility  of  the 
Member State and from the budget for technical assistance of the Commission if they 
are carried out under its responsibility. 

Article 47 

Ex ante evaluation 

The  ex  ante  evaluation  shall  aim  to  ensure  the  coherence  between  the  strategic 
guidelines  of  the  Community,  the  national  strategic  plans  and  the  operational 
programmes  as  well  as  to  optimise  the  allocation  of  budgetary  resources  to  the 
operational programmes and to improve programming quality 

18 

JO L 145, 31.5.2003, p. 43. 

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40 

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2. 

1. 

2. 

3. 

4. 

1. 

2. 

Member  States  shall  carry  out  an  ex  ante-evaluation  at  the  level  of  the  operational 
programme  in  accordance  with  the  principle  of  proportionality,  and  in  conformity 
with  the  evaluation  methods  and  standards  to  be  defined  under  the  procedure 
provided for in article 46(5). 

Article 48 

Interim evaluation 

The  interim  evaluation  shall  aim  to  examine  the  effectiveness  of  all  or  part  of  the 
operational  programme  with  the  aim  of  adjusting  it  to  improve  the  quality  of 
assistance and its implementation. 

Interim evaluations shall be performed for an operational programme in accordance 
with  the  principle  of  proportionality  on  the  basis  of  and  a  calendar  which  makes  it 
possible to take account of the findings in case the programme is extended. 

Interim evaluations shall be organised under the responsibility of the Member States 
and on the initiative of the managing authorities in consultation with the Commission 
in  accordance  with  the  evaluation  methods  and  standards  to  be  defined  under  the 
procedure  provided  for  in  Article  46(5).  They  are  forwarded  to  the  monitoring 
committee of the operational programme and to the Commission. 

The  Commission  proceeds  to  an  interim  evaluation  of  the  implementation  of  the 
strategic guidelines of the Community on the basis of a calendar permitting the use 
of results in every decision concerning the continuation of the programming. 

Article 49 

Ex post evaluation 

Ex post evaluation examines the degree of utilisation of resources, the effectiveness 
and efficiency of the operational programme and its impact in relation to the general 
objectives set out in Article 4 and the strategic guidelines of the Community. It shall 
identify the factors which contributed to the success or failure of the implementation 
of  the  operational  programmes,  including  from  the  viewpoint  of  sustainability,  and 
best practices. 

The  ex  post  evaluation  shall  be  performed  on  the  initiative  and  under  the 
responsibility  of  the  Commission  in  consultation  with  the  Member  State  and  the 
managing  authority,  which  shall  collect 
its 
implementation. 

information  necessary  for 

the 

3. 

The ex post evaluation shall be completed no later than 31 December 2015. 

EN 

41 

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CHAPTER II 

Information and publicity 

Article 50 

Information and publicity 

1. 

The  Member  States  shall  provide  information  on  and  publicise  co-financed 
programmes and operations. The information shall be intended to European citizens. 
It shall aim to highlight the role of the Community and ensure that assistance from 
the Funds is transparent. 

2. 

The Managing authority shall be responsible: 

(a) 

that 

is  publicised 

the  operational  programme 

to  ensure 
to  potential 
beneficiaries,  trade  associations,  economic  and  social  partners,  organisations 
promoting  equal  rights  and  opportunities,  non-governmental  organisations  in 
the  environmental  sector  and  non-governmental  organisations  involved  in  the 
fisheries  sector.  The  Managing  authority  shall  inform  them  about  the 
opportunities  offered  by  the  assistance  and  the  rules  and  methods  governing 
access to financing ; 

(b) 

to inform the beneficiaries of the amount of Community co-financing ; 

(c) 

to  inform  European  citizens  about  the  role  played  by  the  Community  in  the 
operational programmes and their results, and also ensuring that beneficiaries 
inform European citizens of that role. 

3. 

The  Member  States  shall  notify  the  Commission  each  year  of  the  initiatives 
undertaken for the purposes of this Article. 

EN 

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TITLE V 

FINANCIAL CONTRIBUTION BY THE FUND 

CHAPTER I 

CONTRIBUTION BY THE FUND 

Article 51 

Public aid intensity 

The maximum intensity of public aid is set out in the table in Annex II to this Regulation. 

Article 52 

Contribution by the Fund 

1. 

2. 

3. 

The decision adopting an operational programme shall set the maximum contribution 
of the Fund for each priority. 

The  Fund  contribution  shall  be  calculated  in  relation  to  the  entirety  of  public 
expenditure. 

The  Fund  contribution  shall  be  established  per  priority.  It  shall  be  subject  to  the 
following ceilings: 

(a) 

(b) 

(c) 

75% of public expenditure part-financed by the Fund in regions eligible under 
the Convergence Objective ; 

50%  of  public  expenditure  for  operational  programmes  in  other  regions  not 
eligible under the Convergence Objective ; 

85% of public expenditure for that part of operational programmes concerning 
the outermost regions and the outlying Greek islands. 

4. 

By derogation from the ceilings listed in paragraph 3, Fund assistance shall be 

(a) 

(b) 

85% of public expenditure for actions falling under Article 23(a) first indent in 
regions covered by the Convergence Objective ; 

65%  of  public  expenditure  for  actions  falling  under  Article  23(a)  first  indent 
for those regions outside the Convergence Objective. 

5. 

The minimum Fund contribution per priority shall be 20% of public expenditure. 

EN 

43 

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Technical  assistance  measures  implemented  on  the  initiative  or  on  behalf  of  the 
Commission may be financed at the rate of 100%. 

6. 

The overall amount of support granted to an operation by the Fund and by other aids 
granted  by  the  Community  budget  may  not  exceed  90%  of  the  public  expenditure 
allocated assistance to the operation. 

Article 53 

Non Accumulation 

A priority or operation may, during the period of eligibility, benefit from contributions from 
no more than one Community Fund at a time. An operation may benefit from contributions 
from no more than one operational programme at a time. 

Article 54 

Eligibility of expenditure 

Expenditure shall be eligible for a contribution from the Fund if it has actually been 
incurred by the beneficiary for carrying out an operation between 1 January 2007 and 
31 December 2015. Operations co-financed must not have been completed before the 
starting date for eligibility. 

Expenditure  shall  be  eligible  for  a  contribution  from  the  Fund  only  if  it  has  been 
incurred  for  operations  decided  on  by  the  managing  authority  of  the  operational 
programme  concerned  or  under  its  responsibility  in  accordance  with  criteria  set  in 
advance by the monitoring committee. 

A new expenditure, introduced during the review of an operational programme, shall 
be  eligible  from  the  date  of  the  receipt  by  the  Commission  of  the  request  for 
modification of the operational programme. 

The rules on eligibility of expenditure shall be laid down at at national level subject 
to the exceptions provided in this Regulation. 

The following expenditure is not eligible : 

(a) 

VAT ; 

(b) 

debt interest ; 

1. 

2. 

3. 

4. 

(c) 

purchase  of  land  for  an  amount  higher  than  10%  of  total  eligible expenditure 
for the action concerned ; 

(d) 

accommodation. 

5. 

Provisions  in  paragraphs  1  to  3  of  this  Article  shall  be  without  prejudice  to  the 
provisions of Article 45. 

EN 

44 

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Article 55 

Durability of operations 

1. 

2. 

3. 

4. 

The  Member  State  or  managing  authority  shall  ensure  that  an  operation  retains  the 
contribution from the Funds only if that operation does not, within seven years of the 
date of the financing decision of the competent national authorities or the Managing 
authority, undergo a substantial modification: 

(a) 

(b) 

affecting  its  nature  or  its  implementation  conditions  or  giving  to  a  firm  or  a 
public body an undue advantage ; 

resulting  either  from  a  change  in  the  nature  of  ownership  of  an  item  of 
infrastructure or the cessation or relocation of a productive activity. 

The  Managing  authority  shall  inform  the  Commission  of  any  such  modification 
provided for in paragraph 1. 

Amounts unduly paid shall be recovered in accordance with Title VIII, chapter II. 

The Member State shall ensure that undertakings from which sums are recovered in 
accordance with paragraph 3 do not benefit from a contribution from the Fund.. 

TITLE VI 

MANAGEMENT, MONITORING AND CONTROLS 

CHAPTER I 

Management and control system 

Article 56 

General principles of the management and control systems 

1. 

The management and control systems of operational programmes set up by Member 
States shall provide for: 

(a) 

(b) 

(c) 

a clear definition of the functions of the bodies concerned in management and 
control and a clear allocation of functions within each body ; 

a clear separation of functions between bodies concerned in the management, 
certification of expenditure and control, and within each body ; 

adequate  resources  for  each  body  to  carry  out  the  functions  which  have  been 
assigned to it ; 

EN 

45 

   EN 

 
(d) 

effective internal audit arrangements ; 

(e) 

(f) 

(g) 

(h) 

reliable accounting, monitoring and financial reporting systems, which shall be 
in computerised form ; 

an  effective  system  of  reporting  and  monitoring  where  the  performance  of 
tasks is delegated ; 

the existence of manuals of procedures for the functions to be performed ; 

effective arrangements for auditing the proper operation of the system ; 

(i) 

systems and procedures to ensure an adequate audit trail. 

2. 

The  measures  laid  down  in  points  b),  c),  d),  f),  g)  and  h)  shall  be  proportionate  to 
public expenditure under the operational programme concerned. 

Article 57 

Designation of authorities 

1. 

For each operational programme the Member State shall designate the following: 

a) 

b) 

c) 

a  managing  authority:  an  authority,  or  public  or  private  national,  regional  or 
local body designated by the Member State, or the Member State itself when it 
carries out that task, to manage an operational programme ; 

a certifying authority: a body or local, regional or national authority designated 
by the Member State to certify declarations of expenditure and applications for 
payment before they are sent to the Commission ; 

an  Audit  Authority:  a  body  operationally  independent  of  the  managing 
authority and the certifying authority designated by the Member State for each 
operational programme and responsible for verifying the sound operation of the 
management and control system. 

2. 

3. 

4. 

In addition to the authorities referred to in paragraph 1, the Member State shall also 
designate a competent body for receiving the payments made by the Commission and 
a body or bodies responsible for making payments to the beneficiaries. 

The Member State shall lay down rules governing its relations with those authorities 
and  bodies  and  their  relations  with  the  Commission.  Without  prejudice  to  this 
Regulation,  the  Member  State  shall  lay  down  the  mutual  relations  of  those 
authorities, which shall carry out their tasks in full accordance with the institutional, 
legal and financial systems of the Member State concerned. 

Subject  to  Article 56(1)(b)  several  or  all  management,  payment,  certification  and 
inspection functions may be carried out by the same body. 

EN 

46 

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Article 58 

Functions of the Managing authority 

1. 

The  Managing  authority  shall  be  responsible  for  managing  and  implementing  the 
operational programme efficiently, effectively and correctly and in particular for: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

(j) 

ensuring that operations are selected for funding in accordance with the criteria 
applicable to the operational programme and that they comply, for their whole 
implementation period, with applicable Community and national rules ; 

verifying  the  delivery  of  the  co-financed  products  and  services  and  that  the 
expenditure  declared  for  operations  has  actually  been  incurred  and  complies 
with Community and national rules ; 

ensuring that there is a system for recording and storing in computerised form 
detailed accounting records of each operation under the operational programme 
and  that  the  data  on  implementation  necessary  for  financial  management, 
monitoring, control and evaluation is collected ; 

ensuring that beneficiaries and other bodies involved in the implementation of 
operations  maintain  either  a  separate  accounting  system  or  an  adequate 
accounting code for all transactions relating to the operation ; 

ensuring that the evaluations of operational programmes referred to in Article 
46 are carried out within the time limits laid down in this Regulation and meet 
the quality standards agreed between the Commission and the Member State ; 

setting  up  procedures  to  ensure  that  all  documents  regarding  expenditure  and 
checks  required  to  ensure  an  adequate  audit  trail  are  held  in  accordance  with 
the requirements of Articles 83 and 93 ; 

ensuring that the certifying authority receives all necessary information on the 
procedures and checks carried out in relation to expenditure for the purpose of 
certification ; 

leading  the  Monitoring  Committee  and  providing  it  with  the  documents 
required  to  permit  the  quality  of  the  implementation  of  the  operational 
programme to be monitored in the light of its specific goals ; 

drawing up and, after approval by the Monitoring Committee, submitting to the 
Commission the annual and final reports on implementation ; 

ensuring  compliance  with  the  information  and  publicity  requirements  laid 
down in Article 50. 

The Managing authority should have an internal audit function. 

EN 

47 

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Article 59 

Functions of the Certifying Authority 

The Certifying Authority of an operational programme shall be responsible in particular for: 

1. 

2. 

3. 

4. 

5. 

6. 

drawing  up  and  submitting  to  the  Commission  certified  statements  of  expenditure 
and applications for payment in a computerised form ; 

certifying that: 

(a) 

(b) 

the  statement  of  expenditure  is  accurate,  results  from  reliable  accounting 
systems and is based on verifiable supporting documents ; 

the  expenditure  declared  complies  with  applicable  Community  and  national 
rules  and  has  been  incurred  in  respect  of  operations  selected  for  funding  in 
accordance with the criteria applicable to the programme and complying with 
the applicable Community and national rules. 

ensuring  for  the  purposes  of  certification  that  it  has  received  adequate  information 
from the Managing authority on the procedures operated and the controls carried out 
in relation to expenditure included in statements of expenditure ; 

taking account for the purposes of certification of the results of all audits carried out 
by or under the responsibility of the Audit Authority ; 

maintaining accounting records in computerised form of expenditure submitted to the 
Commission ; 

ensuring  the  recovery  of  any  amounts  of  Community  funds  found  to  have  been 
unduly  paid  as  a  result  of  irregularities  detected,  together  with  interest  where 
appropriate,  keeping  an  account  of  amounts  recoverable,  and  repaying  to  the 
Commission amounts recovered by deduction from the next statement of expenditure 
where possible. 

Article 60 

Functions of the Audit Authority 

1. 

The  inspection  authority  of  an  operational  programme  shall  be  responsible  in 
particular for: 

(a) 

(b) 

ensuring  that  audits  are  carried  out  in  accordance  with  international  audit 
standards  to  verify  the  effective  functioning  of  the  management  and  control 
system of the operational programme ; 

ensuring that audits are carried out on operations on an appropriate sample to 
verify expenditure declared; 

EN 

48 

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(c) 

presenting  the  Commission  within  six  months  of  the  approval  of  the 
operational  programme  an  audit  strategy  covering  the  bodies  which  will 
perform the audits referred to under subparagraphs a) and b), the method to be 
used  ,  the  sampling  method  for  checks  on  operations,  and  the  indicative 
planning  of  the  audits  to  ensure  that  the main bodies are audited and that the 
audits are spread evenly throughout the programming period ; 

(d) 

where  common  systems  apply  in  more  than  one  operational  programme,  a 
single combined audit strategy may be submitted under point c); 

(e) 

by 30 June each year from 2008 up to 2016: 

(i) 

establishing an annual control report setting out the findings of the audits 
carried  out  in  accordance  with  the  audit  strategy  in  respect  of  the 
operational  programme  during  the  previous  year  and  reporting  the 
shortcomings found in the systems for the management and control of the 
programme. The information concerning 2014 and 2015 may be included 
in the final report to accompany the declaration of validity; 

(ii) 

issuing an opinion as to whether the management and control system has 
operated  effectively  to  give  reasonable  assurance  on  the  correctness  of 
the  statements  of  expenditure  presented  to  the  Commission  during  that 
year and the legality and regularity of the underlying transactions,  

providing the information on the audits and opinions, which can be grouped in 
a  single  report  when  a  common  system  applies  to  several  operational 
programmes; 

providing a declaration at the closure of the programme assessing the validity 
of  the  application  for  payment  of  the  final  balance  and  the  legality  and 
regularity  of  the  underlying  transactions  covered  by  the  final  statement  of 
expenditure supported by a final control report. 

(f) 

(g) 

2. 

Where the audits referred to in points r (a) and (b) are carried out by a body other the 
Audit Authority, the Audit Authority shall ensure that such bodies have the necessary 
functional  independence  and  that  the  work  is  performed  to  internationally  accepted 
audit standards. 

CHAPTER II 

Monitoring 

Article 61 

Monitoring Committee 

The  Member  State  shall  set  up  a  monitoring  committee  for  each  operational  programme,  in 
agreement with the Managing authority after consultation with the partners. Each Monitoring 

EN 

49 

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Committee  shall  be  set  up  within  three  months  of  the  decision  approving  the  operational 
programme. 

It shall draw up its rules of procedure within the institutional, legal and financial framework 
of the Member State concerned and adopt them in agreement with the Managing authority. 

Article 62 

Composition 

1. 

2. 

The Monitoring Committee shall be chaired by a representative of the Member State 
or the Managing authority. At its own initiative, a representative of the Commission 
may participate in the work of the monitoring committee in an advisory capacity. 

Its composition shall be decided by the Member State and shall l include the partners 
referred to in Article 8 and the Managing Authority . 

The Managing authority shall coordinate the Monitoring Committee 

Article 63 

Tasks 

The  Monitoring  Committee  shall  satisfy  itself  as  to  the  effectiveness  and  quality  of  the 
implementation of the operational programmes .To that end: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

it shall consider and approve the criteria for selecting the operations financed 
within  four  months  of  the  approval  of  the  operational  programme.  The 
selection criteria shall be revised in accordance with programming needs ; 

it  shall  periodically  review  progress  made  towards  achieving  the  specific 
targets of the operational programme on the basis of documents submitted by 
the Managing authority ; 

it shall examine the results of implementation, particularly achievement of the 
targets  set  for  each  priority  and  the  interim  evaluations  referred  to  in  Article 
48; 

it  shall  consider  and  approve  the  annual  and  final  reports  on  implementation 
referred to in Article 65 before they are sent to the Commission ; 

it  shall  be  informed  of  the  annual  inspection  report  and  of  any  comments  the 
Commission may make after examining that report ; 

at the initiative of the Member State, it may be informed of the annual report 
referred to in Article 17 ; 

EN 

50 

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(g) 

(h) 

it  may  propose  to  the  Managing  authority  any  adjustment  or  review  of  the 
operational  programme  likely  to  make  possible  the  attainment  of  the  Fund’s 
objectives or to improve its management, including its financial management ; 

it  shall  consider  and  approve  any  proposal  to  amend  the  contents  of  the 
Commission decision on the contribution of the Fund. 

Article 64 

Arrangements for monitoring 

1. 

2. 

3. 

4. 

1. 

2. 

The  Managing  authority  and  the  Monitoring  Committee  shall  ensure  the  quality  of 
implementation of the operational programme. 

The  Managing  authority  and  the  Monitoring  Committee  shall  carry  out  monitoring 
by  reference  to  financial  indicators  and  indicators  of  implementation,  results  and 
impact defined in the operational programme. 

Where  the  nature  of  the  assistance  permits,  the  statistics  shall  be  broken  down  by 
gender and by the size of the recipient undertakings. 

The  Commission,  in  partnership  with  the  Member  States,  shall  examine  the 
indicators necessary for monitoring and evaluating the operational programme. 

Article 65 

Annual reports and final reports 

For  the  first  time  in  2008  and  by  30 June  each  year  the  Managing  authority  shall 
forward  an  annual  report  to  the  Commission  on  implementation  of  the  operational 
programme. The Managing authority shall forward a final report on implementation 
of the operational programme to the Commission by 30 June 2016. 

All annual reports on implementation and the final report shall contain the following 
elements: 

(a) 

(b) 

the progress made in implementing the operational programme and priorities in 
relation  to  their  specific  verifiable  objectives,  with  a  quantification,  wherever 
and  whenever  they  lend  themselves  to  quantification  ,  of  the  financial, 
implementation, result and impact indicators for the priority ; 

a change in the general situation having a direct impact on the implementation 
of  the  assistance,  in  particular  significant  socio-economic  developments, 
changes  in  national,  regional  or  sectoral  policies,  and,  where  necessary,  their 
consequences for consistency between assistance from the Fund and from other 
financial instruments ; 

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51 

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(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

the  financial  implementation  of  the  operational  programme  detailing  for  each 
priority,  the  expenditure  paid  to  the  beneficiaries  and  to  the  corresponding 
public  contribution,  the  total  payments  received  from  the  Commission,  and 
quantifying the financial indicators referred to in Article 64 (2) ; 

the  financial  implementation  by  type  of  assistance  in  accordance  with  the 
breakdown of priorities provided for in Title IV ; 

the  provisions  adopted  by  the  Managing  authority  and  the  Monitoring 
Committee  to  ensure  the  quality  and  effectiveness  of  implementation,  in 
particular: 

– 

– 

monitoring  and  evaluation  measures, 
arrangements ; 

including  data  collection 

a summary of any significant problems encountered in implementing the 
operational programme and any measures taken, including in response to 
comments made under Article 67; 

– 

the use made of technical assistance. 

the measures taken to ensure publicity for the operational programme ; 

the 
a  declaration  on  compliance  with  Community  policies  during 
implementation  of  the  operational  programme  and,  where  appropriate  , 
identifying any problems encountered and the taken to rectify them ; 

where necessary, the use made of assistance repaid to the Managing authority 
or  to  another  public  authority  during  the  period  of  implementation  of  the 
operational programme. 

The  reports  shall  be  judged  acceptable  if  they  contain  all  the  information  listed  in 
paragraph  2  and  permit  an  understanding  of  the  implementation  of  the  operational 
programme. 

The  Commission  shall  reach  a  decision  on  the  content  of  the  annual  report  on 
implementation  submitted  by  the  Managing  authority  within  two  months.  For  the 
final report on the operational programme, the time limit shall be five months. If the 
Commission  does  not  respond  within  the  time  limit  laid  down,  the  report  shall  be 
deemed to be accepted. 

Article 66 

Annual report by the Commission 

By 31 December, the Commission shall forward to the European Parliament, to the 
Council, to the Economic and Social committee and to the Committee of regions  a 
report on the actual implementation of this regulation during the preceding year. This 
report  summarises  the  main  developments,  trends  and  challenges  relating  to 
implementation of the operational programmes. 

3. 

4. 

1. 

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52 

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2. 

The report shall be based on examination and assessment by the Commission of the 
Member States’ strategic annual report referred to in Article 17, first paragraph and 
of  any  other  available  information.  The  report  shall  state  the  follow-up  measures 
taken  or  to  be  taken  by  the  Member  States  and  the  Commission  which  will  enable 
adequate follow up to be made of the findings in the report. 

3. 

It shall also include: 

(a) 

(b) 

(c) 

(d) 

a  summary  of  the  activities  of  the  Fund  by  Member  State  including  a 
breakdown by Member Sate of the appropriations committed and paid as well 
as the use of technical assistance by the Commission and the Member States ; 

an  assessment  of  the  coordination  of  the  Fund  with  the  Structural  Funds  and 
the European Agriculture and Rural Development Fund ; 

as soon as they become available the findings of the evaluations provided for in 
Article 48 ; 

when the fourth annual report is submitted and again when the report covering 
the  final  year  of  programming  is  submitted,  a  summary  of  the  audits  on 
management and control systems set up by Member Sates carried out on behalf 
of the Commission and of the outcome of audits on Fund assistance carried out 
by the Member State and where appropriate the financial corrections made. 

Article 67 

Annual examination of programmes 

1. 

2. 

3. 

Each year when the annual implementation and audit reports referred to in Articles 
65 and 60(4), are presented and in accordance with rules to be defined in agreement 
with the Member State and Managing authority concerned, the Commission and the 
Managing  authority  shall  examine  the  progress  made  in  implementing  the 
operational  programme,  the  principal  results  achieved  over  the  previous  year,  the 
financial implementation and other factors with a view to improving implementation, 
including aspects relating to the functioning of the management and control system. 

Following  that  examination  the  Commission  may  make  comments  to  the  Member 
State and the Managing authority. The Member State shall inform the Commission of 
the action taken in response to those comments. 

When  the  ex  post  evaluations  of  assistance  granted  over  the  2000-06  programming 
period are available, the overall results shall be examined on the occasion of the first 
annual examination thereafter. 

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CHAPTER III 

Controls 

SECTION 1 

RESPONSIBILITIES OF MEMBER STATES 

Article 68 

Sound financial management 

1. 

2. 

3. 

1. 

2. 

Member  States  shall  be  responsible  for  ensuring  sound  financial  management  of 
operational programmes and the legality and regularity of underlying transactions. 

They shall ensure that managing authorities, certifying authorities, Audit Authorities 
and  any  other  bodies  concerned  receive  adequate  guidance  on  setting  up  the 
management  and  control  systems  referred  to  in  Articles 56  to  60  to  ensure  that 
Community financing is used efficiently and correctly. 

The Member States shall prevent, detect and correct irregularities. They shall notify 
these  to  the  Commission,  in  accordance  with  the  rules,  and  keep  the  Commission 
informed of the progress of administrative and legal proceedings. 

When amounts unduly paid to a beneficiary cannot be recovered, the Member State 
is  responsible  for  reimbursing  the  amounts  lost  to  the  budget  of  the  European 
Communities, save when it proves that the loss incurred has not been caused by its 
irregularity or negligence. 

Article 69 

Management and control systems 

Prior to the adoption of an operational programme, the Member States shall ensure 
that management and control systems for operational programmes have been set up 
in accordance with Articles 56 to.60. They shall be responsible for ensuring that the 
systems function effectively throughout the programming period. 

Within  three  months  of  the  approval  of  each  operational  programme,  the  Member 
States  shall  submit  to  the  Commission  a  description  of  the  systems,  covering  in 
particular the organisation and procedures of the managing and certifying authorities 
and intermediate bodies and the internal audit systems operating in those authorities 
and bodies, the Audit Authority, and any other bodies carrying out audits under its 
responsibility. 

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3. 

This  description  shall  be  accompanied  by  a  report  by  an  independent  audit  body 
setting out the results of an assessment of the systems and giving an opinion on their 
compliance with Articles 56 to 60. In the event that the opinion contains reservations, 
the  report  shall  indicate  the  shortcomings  and  their  seriousness.  The  Member  State 
shall draw up, in agreement with the  Commission, a plan setting out the corrective 
measures to be taken and the timetable for their implementation. 

The  independent  audit  body  shall  be  designated  at  the  latest  when  the  operational 
programme  is  adopted.  The  Commission  may  accept  the  Audit  Authority  for  the 
operational  programme  as  the  independent  audit  body  where  it  has  the  necessary 
capacity.  The  independent  audit  body  must  have  the  necessary  operational 
independence and must carry out its work to international audit standards. 

SECTION 2 

RESPONSIBILITIES OF THE COMMISSION 

Article 70 

Responsibilities of the Commission 

1. 

2. 

3. 

1. 

The  Commission  shall  satisfy  itself  in  accordance  with  the  procedure  laid  down  in 
Article 69  that  the  Member States  have set  up  management  and  control  systems  on 
the basis of the annual control reports and its own checks that the systems function 
effectively during the period of implementation of the operational programmes. 

Without prejudice to checks carried out by Member States, Commission officials or 
authorised  Commission  representatives  may  carry  out  on-the-spot  checks  to  verify 
the effective operation of the management and control systems, which may include 
checks on operations included in the operational programme, with a minimum of one 
working  day’s  notice.  Officials  or  authorised  representatives  of  the  Member  State 
may take part in such checks. 

The Commission may require a Member State to carry out an on-the-spot check to 
verify  the  correct  functioning  of  the  systems  or  the  correctness  of  one  or  more 
transactions.  Commission  officials  or  authorised  Commission  representatives  may 
take part in such checks. 

Article 71 

Cooperation with the control bodies of the Member States 

The  Commission  shall  cooperate  with  the  Audit  Authorities  of  operational 
programmes to coordinate their respective control plans and inspection methods and 
shall  immediately  exchange  the  results  of  checks  carried  out  on  management  and 
control  systems  in  order  to  make  the  best  possible  use  of  control  resources  and  to 

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avoid  unjustified  duplication  of  work.  The  Commission  and  the  Audit  Authorities 
shall  meet  on  a  regular  basis,  generally  at  least  once  a  year,  in  order  to  examine 
together the annual audit report presented under Article 60 and to exchange views on 
other  issues  relating  to  the  improvement  of  the  management  and  control  of  the 
operational programmes. The Commission shall provide its comments on the control 
strategy presented under Article 60 not later than three months or at the first meeting 
following its reception. 

In  determining  its  own  control  strategy,  the  Commission  shall  identify  those 
operational  programmes  for  which  the  opinion  on  the  compliance  of  the  system 
under Article 60 is without reservations, or where reservations have been withdrawn 
following corrective measures, where the control strategy of the Audit Authority is 
satisfactory and where reasonable assurance has been obtained that the management 
and control systems function effectively on the basis of the results of checks by the 
Commission and the Member State. 

For  those  programmes,  the  Commission  may  notify  the  Member  States  concerned 
that  it  will  rely  principally  on  the  opinion  of  the  Audit  Authority  as  to  the 
correctness, legality and regularity of expenditure declared and will carry out its own 
on-the-spot checks only in exceptional circumstances. 

2. 

3. 

TITLE VIII 

FINANCIAL MANAGEMENT 

CHAPTER I 

Financial management 

SECTION 1 

BUDGET COMMITMENTS 

Article 72 

Budget commitments 

The  Community  budget  commitments  in  the  operational  programmes  (hereinafter  “budget 
commitments”) shall be effected annually during the period between 1 January 2007 and 31 
December  2013.  The  first  budget  commitment  shall  be  made  before  the  adoption  by  the 
Commission  of  the  decision  approving  the  operational  programme.  Each  subsequent 
commitment  shall  be  made  by  the  Commission  on  the  basis  of  the  decision  to  grant  a 
contribution from the Fund, referred to in Article 20. 

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SECTION 2 

PAYMENTS 

Article 73 

Common rules for payments 

1. 

2. 

3. 

4. 

Payments  by  the  Commission  of  the  contribution  from  the  Fund  shall  be  made  in 
accordance  with  the  budget  commitments.  All  payments  shall  be  posted  to  the 
earliest open budget commitment. 

Payments shall take the form of pre - financing, interim payments and payment of the 
balance. They shall be made to the body designated by the Member State. 

At the latest by 31 January every year, the Member States shall send the Commission 
an  update  of  the  payment  request  forecasts  for  the  current  financial  year  and  the 
subsequent financial year. 

All  exchanges  concerning  financial  transactions  between  the  Commission  and  the 
authorities  designated  by  the  Member  States  shall  be  made  by  electronic  means  in 
accordance with the implementing rules adopted by the Commission according to the 
procedure referred to in Article 100 (3). 

Article 74 

Rules for calculating interim payments and payments of the balance 

Interim  payments  and  payments  of  the  balance  shall  be  calculated  by  applying  the  co-
financing rate for each priority to public expenditure certified under that priority on the basis 
of a statement of expenditure certified by the authority responsible for certification. 

Article 75 

Statement of expenditure 

All  statements  of  expenditure  shall  include,  for  each  priority,  the  amount  of  expenditure 
incurred by beneficiaries in implementing the operations and the corresponding contribution 
from  public  funds.  Expenditure  paid  by  beneficiaries  shall  be  substantiated  by  receipted 
invoices or accounting documents of equivalent probative value. 

As  regards  aid  schemes  within  the  meaning  of  Article  87  of  the  Treaty  only,  expenditure 
certified to the Commission shall be the expenditure certified to the Commission shall be the 
expenditure  paid  by  the  beneficiaries  for  which  a  payment  has  been  made  by  the  body 
granting the aid. 

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Article 76 

Accumulation of pre-financing and of interim payments 

1. 

2. 

The  cumulative  total  of  pre-financing  and  interim  payments  made  shall  not  exceed 
95% of the contribution to the operational programme. 

When this ceiling is reached, the certification authority shall continue transmitting to 
the Commission any certified expenditure on the 31 December of the year n, as well 
as the amounts recovered during the year for the Fund, at the latest by 31 January of 
year n+1. 

Article 77 

Wholeness of payment to beneficiaries 

Member  States  shall  satisfy  themselves  that  the  body  responsible  for  making  the  payments 
ensures that the beneficiaries receive the total amount of the contribution from public funds as 
quickly  as  possible  and  in  full.  No  amounts  shall  be  deducted  or  withheld,  nor  any  further 
specific charge or other charge with equivalent effect shall be levied that would reduce these 
amounts for the beneficiaries. 

SECTION 3 

PRE-FINANCING 

Article 78 

Payment 

1. 

2. 

3. 

4. 

Following the Commission decision approving the contribution from the Fund to an 
operational  programme,  a  single  pre-financing  amount  shall  be  paid  by  the 
Commission to the body designated by the Member State. This pre-financing amount 
shall represent 7% of the contribution from the Fund to that operational programme. 

The total amount paid as pre-financing shall be reimbursed to the Commission by the 
body  designated  by  the  Member  State  if  no  payment  request  under  the  operational 
programme is sent within twenty-four months of the date on which the Commission 
paid the first instalment of the pre-financing amount. 

Any  interest  generated  by  the  pre-financing  shall  be  posted  to  the  operational 
programme in question and must be deducted from the amount of public expenditure 
declared in the final statement of expenditure. 

The  amount  paid  as  pre-financing  shall  be  cleared  from  the  accounts  when  the 
operational programme is closed. 

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SECTION 4 

INTERIM PAYMENTS 

Article 79 

Interim payments 

The  Commission  shall  make  the  interim  payments,  subject  to  available  funding  and  after 
being given reasonable assurance that the management and control system for the operational 
programmes  established  by  the  Member  State  is  in  accordance  with  Articles  56  to  60.  This 
assurance shall be based on the report by the independent audit body referred to in Article 69 
(3). 

Article 80 

Acceptability of payment requests 

1. 

Each  interim  payment  made  by  the  Commission  shall  be  subject  to  the  following 
conditions being met: 

(a) 

(b) 

(c) 

(d) 

the  Commission  must  have  been  sent  a  payment  request  and  statement  of 
expenditure, in accordance with Article 73 ; 

no more than the maximum amount of assistance from the Fund may have been 
granted during the period for each priority ; 

the managing authority must have sent the Commission the most recent annual 
implementation report by the required deadline, in accordance with Article 65 
(3) ; 

there  may  not  have  been  any  interruption  or  suspension  of  the  payments  as 
detailed in Article 84, nor any reasoned opinion by the Commission in respect 
of  an  infringement  under  Article  226  of  the  Treaty,  as  regards  the  operations 
for  which  the  expenditure  was  incurred  according  to  the  payment  request  in 
question. 

2. 

3. 

Subject  to  available  funding,  the  Commission  shall  make  the  interim  payment  no 
later than two months after the date on which a payment request meeting the above 
conditions is registered. 

The  Member  State  and  the  certification  authority  responsible  for  making  the 
payments  shall  be  informed  as  soon  as  possible  by  the  Commission  if  one  of  the 
conditions referred to in paragraph 1 is not met. 

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Article 81 

Procedure for payment 

1. 

2. 

3. 

The Commission shall make the interim payment no later than 45 days after the date 
on  which  a  payment  request  meeting  the  conditions  referred  to  in  the  preceding 
Article is registered. 

If one of these conditions is not met, the Member State and the certification authority 
which is entrusted with making payments shall be informed as soon as possible by 
the Commission. 

The  certification  authority  shall  ensure  that  requests  for  interim  payments  for 
operational programmes are grouped together and sent to the Commission, as far as 
possible,  on  three  separate  occasions  a  year.  For  a  payment  to  be  made  by  the 
Commission in the current year, the latest date on which a payment request may be 
submitted is 31 October. 

SECTION 5 

PAYMENT OF BALANCE AND PROGRAMME CLOSURE 

Article82 

Conditions for the payment of the balance 

1. 

The  Commission  shall  pay  the  balance  provided  it  has  received  the  following 
documents by 30 June 2016: 

(a) 

(b) 

(c) 

a  request  for  payment  of  the  balance  and  a  statement  of  expenditure  in 
accordance with Article 65 ; 

the  final  implementation  report  for  the  operational  programme,  including  the 
information set out in Article 65 ; 

a statement of validity for the request for payment of the balance provided for 
in Article 60(5), together with the final audit report; 

The payment of the balance is subject to the acceptance of the final implementation 
report and of the statement of validity for the request for payment of the balance. 

2. 

3. 

Failure to send any of the documents referred to in paragraph 1 to the Commission 
by 30 June 2016 at the latest shall automatically result in the decommitment of the 
balance, in accordance with Article 87. 

Subject to available funding, the Commission shall pay the balance within no more 
than 45 days from the date on which it accepts the final report and the statement of 

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validity for the request for payment of the balance. Without prejudice to paragraph 5, 
the balance of the budgetary commitment shall be decommitted six months following 
the payment.  

4. 

5. 

After  30  June  2016,  no  further  expenditure  not  certified  before  that  date  may  be 
added to any statements of expenditure. 

Notwithstanding  the  results  of  any  audits  performed  by  the  Commission  or  the 
European Court of Auditors, the balance paid by the Commission for the operational 
programme can be amended within 9 months of the date on which it is paid or, where 
there  is  a  negative  balance  to  be  reimbursed  by  the  Member  State,  within  nine 
months of the date on which the debit note is issued. 

Article 83 

Conservation of documents 

The managing authority shall ensure that all the supporting documents regarding expenditure 
and  audits  on  the  operational  programme  concerned  are  kept  available  for  the  Commission 
and  the  European  Court  of  Auditors.  The  documents  shall  be  kept  available  in  accordance 
with the national provisions on time limits for the conservation of documents and for a period 
of at least five years following the closure of an operational programme. The documents shall 
be kept either in the form of the originals or in versions certified to be in conformity with the 
originals  on  commonly  accepted  data  carriers  .This  period  shall  be  interrupted  either  in  the 
case of legal proceedings or at the request of the Commission stating the reasons. 

SECTION 6 

INTERRUPTION, WITHHOLDING AND SUSPENSION OF PAYMENTS 

Article 84 

Interruption 

1. 

2. 

The  payment  deadline  shall  be  interrupted  by  the  authorising  officer  by  delegation 
within the meaning of the Financial Regulation for a maximum period of six months 
where there are doubts as to the proper functioning of the management and control 
systems or that officer requires additional information from the national authorities in 
the  process  of  monitoring  the  observations  made  under  the  annual  review.  The 
Commission shall inform the Member State and the certifying authority immediately 
of the reasons for the interruption. The Member State shall take the necessary steps 
to rectify the situation as soon as possible. 

Where it proves necessary to adopt a decision in accordance with Articles 85 and 86, 
the period of interruption referred to above shall be extended for a maximum period 
of six months. 

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Article 85 

Withholding 

1. 

2. 

3. 

The Commission shall decide to withhold from interim payments 20% of the sums to 
be  reimbursed  by  the  Commission  where  the  essential  elements  of  the  corrective 
action  plan  referred  to  in  Article  69(3)  have  been  implemented  and  the  serious 
deficiencies  referred  to  in  the  annual  report  by  the  Audit  Authority  for  the 
programme referred to in Article 60(4)(a), have been rectified but amendments still 
need  to  be  made  to  give  the  Commission  reasonable  assurance  regarding  the 
management and control systems. 

Any withholding decision shall be adopted by the Commission after having offered 
the  Member  State  the possibility of submitting observations within a period of two 
months. 

The balance of interim payments shall be paid when all the required measures have 
been  adopted.  Otherwise,  a  financial  correction  may  be  applied  in  accordance  with 
Article 96. 

Article 86 

Suspension of payments 

1. 

All or part of the interim payments at the level of priorities or programmes may be 
suspended by the Commission where: 

a) 

there  is  a  serious  deficiency  in  the  management  and  control  system  of  the 
programme  which  affects  the  reliability  of  the  procedure  for  certification  of 
payments by the certification authority and for which corrective measures have 
not been taken; or 

b) 

expenditure  in  a  certified  statement  of  expenditure  is  linked  to  a  serious 
irregularity which has not been corrected; or 

c) 

a Member State has not complied with its obligations under Article 69. 

2. 

3. 

The  Commission  may  decide  to  suspend  interim  payments  after  having  given  the 
Member  State  the  opportunity  to  present  its  observations  within  a  period  of  two 
months. 

The  Commission  shall  end  suspension  of  interim  payments  where  it  considers  that 
the  Member  State  has  taken  the  necessary  measures  to  enable  the  suspension  to  be 
lifted.  Where  the  required  measures  are  not  taken  by  the  Member  State,  the 
Commission  may  adopt  a  decision  to  reduce  the  net  amount  or  cancel  the 
Community  contribution  to  the  operational  programme  in  accordance  with 
Article 96. 

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SECTION 7 

AUTOMATIC DECOMMITMENT 

Article 87 

Principles 

1. 

2. 

3. 

The Commission shall automatically decommit any part of a budget commitment in 
an operational programme that has not been used for payment of the pre-financing or 
interim payments, or for which it has not received an acceptable payment request, as 
defined  in  Article  80,  by  31 December  of  the  second  year  following  the  year  of 
budget commitment under the programme. 

That  part  of  commitments  still  open  on  31  December  2015  shall  be  automatically 
decommitted if the Commission has not received an acceptable payment request for 
it by 30 June 2016. 

If this Regulation enters into force after 1 January 2007, the period after which the 
first  automatic  decommitment  as  referred  to  in  paragraph  2  may  be  made  shall  be 
extended,  for  the  first  commitment,  by  the  number  of  months  between  1 January 
2007 and the date of the first budget commitment. 

Article 88 

Exceptions for time-limits on decomitment 

Where  a  subsequent  Commission  decision  is  required  to  authorise  an  aid  scheme,  the  time 
limit  for  automatic  decommitment  referred  to  in  Article  87,  shall  run  from  the  date  of  the 
Commission decision subsequent to the decision approving the operational programme. The 
amounts involved in this derogation shall be established on the basis of a schedule sent by the 
Member State stating the reasons. 

Article 89 

Interruption of time-limits for legal proceedings and administrative appeals 

The period for automatic decommitment referred to in Article 87 shall be interrupted, for the 
amount  relating  to  the  operations  concerned,  for  the  duration  of  legal  proceedings  or  an 
administrative appeal having suspensory effect, on condition that the Member State sends the 
Commission  information  stating  the  reasons  by  31 December  of  year  n+2.  For  that  part  of 
commitments still open on 31 December 2015, the time limit referred to in Article 87(2) shall 
be  interrupted  under  the  same  conditions  as  those  for  the  amount  relating  to  the  operations 
concerned. 

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Article 90 

Exceptions to the automatic decommitment 

1. 

The following shall be disregarded in calculating the automatic decommitment: 

(a) 

(b) 

(c) 

that  part  of  the  budget  commitment  for  which  a  payment  request  has  been 
made but whose reimbursement has been interrupted, withheld or suspended by 
the  Commission  on  31 December  of  year  n+2.  Whether  these  amounts  are 
finally taken into account or not shall depend  on the outcome  of  the problem 
resulting in the withholding, interruption or suspension of payment. 

that  part  of  the  budget  commitment  for  which  a  payment  request  has  been 
made but whose reimbursement has been capped in particular due to a lack of 
budget resources. 

that part of the budget commitment for which it has not been possible to make 
an acceptable payment request for reasons of force majeure seriously affecting 
implementation  of  the  operational  programme.  The  national  authorities 
claiming  force  majeure  must  demonstrate  the  direct  consequences  on  the 
implementation of all or part of the operational programme. . 

Article 91 

Procedure 

1. 

2. 

3. 

The  Commission  shall  inform  the  Member  State  and  the  authorities  concerned  in 
good  time  whenever  there  is  a  risk  of  application  of  the  automatic  decommitment 
provided for in paragraph 2. The Commission shall inform the Member State and the 
authorities concerned of the amount of the automatic decommitment resulting from 
the information in its possession. 

The  Member  State  shall  have  two  months'  time  from  the  date  of  receipt  of  that 
information to agree to the amount or submit its observations. The Commission shall 
carry out the automatic decommitment not later than nine months after the time limit 
referred to in Article 87. 

The Fund’s contribution to the operational programme shall be reduced, for the year 
concerned,  by  the  amount  automatically  decommitted.  The  Member  State  shall 
produce a revised financing plan to spread the reduced amount of assistance over the 
priorities  of  the  operational  programme.  Failing  this,  the  Commission  shall  reduce 
the amounts allocated to each priority in proportion. 

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SECTION 8 

PARTIAL CLOSURE 

Article 92 

Partial closure 

1. 

Partial  closure  of  operational  programmes  may  be  made  at  periods  selected  by  the 
Member State. Partial closure shall relate to completed operations for which a final 
payment  has  been  made  to  the  beneficiary  not  later  than  31 December  of  year  n-1. 
For the purposes of this Regulation, operations shall be deemed completed where the 
activities under it have been actually carried out and the beneficiary has received a 
final payment or the beneficiary has provided a document of equivalent effect to the 
managing authority. 

The amount of payments corresponding to completed operations shall be identified in 
the  statements  of  expenditure.  Partial  closure  shall  be  made  on  condition  that  the 
managing authority sends the following to the Commission by 30 June of year n: 

(a) 

a final statement of expenditure for the operations in question ; 

(b) 

a declaration of validity - issued by the Audit Authority for the programme as 
provided  for  in  Article  60  for  the  final  payment  request  relating  to  the 
completed  operations,  certifying  the  legality  and  regularity  of  the  underlying 
transactions. 

Article 93 

Documents 

1. 

2. 

The managing authority shall keep available for the Commission a list of operations 
subject to partial closure for which a final payment has been made. 

The  managing  authority  shall  ensure  that  all  the  supporting  documents  regarding 
expenditure  and  audits  on  the  operations  concerned  shall  be  kept  available  for  the 
Commission  and  the  European  Court  of  Auditors.  The  documents  shall  be  kept 
available  for  a  period  of  at  least  for  five  years  following  the  year  in  which  partial 
closure  has  taken  place  without  prejudice  to  the  rules  governing  State  aid.  The 
documents shall be kept either in the form of the originals or in versions certified to 
be in conformity with the originals on commonly accepted data carriers. This period 
shall be interrupted either in the case of legal proceedings or  at the duly motivated 
request of the Commission. 

3. 

Any  financial  corrections  made  in  accordance  with  Articles  95  and  96  concerning 
operations subject to a partial closure shall be intended as net financial corrections. 

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SECTION 9 

USE OF THE EURO 

Article 94 

Use of the euro 

Commission decisions on operational programmes, Commission commitments and payments, 
and  the  amounts  of  certified  expenditure  and  requests  for  payment  from  the  Member  States 
shall be denominated and paid in euros, in accordance with the arrangements drawn up by the 
Commission under the procedure referred to in Article 100(3). 

CHAPTER II 

Financial corrections 

SECTION 1 

1. 

2. 

FINANCIAL CORRECTIONS BY THE MEMBER STATES 

Article 95 

Financial corrections by Member States 

The Member States shall in the first instance bear the responsibility for investigating 
irregularities, acting upon evidence of any major change affecting the nature of the 
conditions  for  the  implementation  or  supervision  of  assistance  and  making  the 
financial corrections required. 

irregularities  detected 

The Member State shall make the financial corrections required in connection with 
individual  or  systemic 
in  operations  or  operational 
programmes. The corrections make by Member State shall consist in cancelling all or 
part  of  the  Community  contribution.  The  Member  State  shall  take  into  account  the 
nature  and  gravity  of  the  irregularities  and  the  financial  loss  to  the  Fund.  The 
Community  funds  released  in  this  way  may  be  re-used  by  the  Member  State  until 
December  2015  for  the  operational  programme  concerned  in  compliance  with  the 
the  annual 
arrangements 
implementation and control report sent to the Commission under Articles 60 and 65 a 
list of cancellation proceedings initiated in the year concerned. 

in  paragraph  3.  Member  States  shall 

include 

in 

3. 

The contribution of the Fund cancelled in accordance with paragraph 2 may not be 
re-used  for  the  operation  or  operations  that  were  the  subject  of  the  correction,  nor, 

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where a financial correction is made for a systemic error, for operations where this 
systemic  error  occurred.  Member  States  shall  inform  the  Commission  in  the  report 
referred  to  in  Article  65  of  how  they  have  decided  or  propose  to  re-use  the  funds 
cancelled  and,  if  appropriate,  to  amend  the  financial  plan  for  the  operational 
programme. 

4. 

5. 

In the case of systemic irregularities the Member State shall extend its enquiries to 
cover all operations liable to be affected. 

When amounts are to be recovered following a cancellation under paragraph 1, the 
competent  service  or  body  shall  initiate  recovery  proceedings  and  notify  the 
certifying and managing authorities. Recoveries shall be reported and accounted for. 

SECTION 2 

FINANCIAL CORRECTIONS BY THE COMMISSION 

Article 96 

Criteria for the corrections 

1. 

The  Commission  may  make  financial  corrections  by  cancelling  all  or  part  of  the 
Community  contribution  to  an  operational  programme  where  after  carrying  out  the 
necessary examination it concludes that: 

(a) 

(b) 

(c) 

there  is  a  serious  deficiency  in  the  management  and  control  system  of  the 
programme which has put at risk the Community contribution already paid to 
the programme ; 

expenditure  contained  in  a  certified  statement  of  expenditure  is  irregular  and 
has  not  been  corrected  by  the  Member  State  prior  to  the  opening  of  the 
correction procedure under this paragraph ; 

a Member State has not complied with its obligations under Article 68 prior to 
the opening of the correction procedure under this paragraph. 

2. 

3. 

The  Commission  shall  base  its  financial  corrections  on  individual  cases  of 
irregularity  identified,  taking  account  of  the  systemic  nature  of  the  irregularity  to 
determine whether a flat-rate or extrapolated correction should be applied. Where the 
case  of  irregularity  relates  to  a  statement  of  expenditure  for  which  a  positive 
assurance had previously been given in an annual control report, in accordance with 
Article 60(4)(a) in an annual control report, there will be a presumption of a systemic 
problem giving rise to the application of a flat-rate or extrapolated correction, unless 
the Member State can provide proof to rebut this presumption within two months. 

The Commission shall, when deciding the amount of a correction, take account of the 
importance  of  the  irregularity  and  the  extent  and  financial  implications  of  the 
deficiencies found in the operational programme concerned. 

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4. 

1. 

2. 

3. 

1. 

2. 

19 

Where the Commission bases its position on the facts established by auditors other 
than  those  of  its  own  services,  it  shall  draw  its  own  conclusions  regarding  their 
financial  consequences,  after  examining  the  measures  taken  by  the  Member  State 
concerned under Article 69, the reports supplied under Regulation (EC) No 1681/94, 
and any replies from the Member State. 

Article 97 

Procedure 

Before  taking  a  decision  on  a  financial  correction,  the  Commission  shall  open  the 
procedure  by  informing  the  Member  State  of  its  provisional  conclusions  and 
requesting the Member State to submit its comments within two months. 

Where the Commission proposes financial corrections on the basis  of extrapolation 
or  at  a  flat  rate,  the  Member  State  shall  be  given  the  opportunity  to  demonstrate, 
through an examination of the files concerned, that the actual extent of irregularity is 
less  than  the  Commission's  assessment.  In  agreement  with  the  Commission,  the 
Member State may limit the scope of this examination to an appropriate proportion 
or sample of the files concerned. Except in duly justified cases, the time allowed for 
this examination shall not exceed a further period of two months after the two-month 
period  referred  to  above.  The  Commission  shall  take  account  of  any  evidence 
supplied by the Member State within the time limits. 

Where  the  Member  State  does  not  accept  the  provisional  conclusions  of  the 
Commission, the Member State shall be invited to a hearing by the Commission, in 
which both sides in cooperation based on the partnership shall make efforts to reach 
an  agreement  concerning  the  observations  and  the  conclusions  to  be  drawn  from 
them.  The  Commission  shall  take  a  decision  on  the  financial  correction  in  the 
absence  of  agreement  within  six  months  of  the  date  of  the  hearing.  If  no  hearing 
takes place, the six-month period shall begin to run from the date of reception of the 
Member State’s rejection of the invitation to a hearing. 

Article 98 

Repayment 

Any repayment due to be made to the Commission shall be effected before the due 
date indicated in the order for recovery [drawn up in accordance with Article 72 of 
the Implementing rules of the Financial Regulation applicable to the general budget 
of  the  European  Communities19.  This  due  date  shall  be  the  last  day  of  the  second 
month following the issuing of the order. 

Any  delay  in  effecting  repayment  shall  give  rise  to  interest  on  account  of  late 
payment, starting on the due date and ending on the date of actual payment. The rate 

Règlement (EC) No 2352/2002, JO L 351, 28 .12.2002, p. 29. 

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of such interest shall be one and a half percentage points above the rate applied by 
the  European  Central  Bank  in  its  main  refinancing  operations  on  the  first  working 
day of the month in which the due date falls. 

Article 99 

Obligations of Member States 

A financial correction by the Commission shall not prejudice the Member State's obligation to 
pursue  recoveries  under  Article  96  and  to  recover  state  aid  under  Article  14  of  Regulation 
(EC) No 659/1999. 

TITLE IX 

COMMITTEE 

Article 100 

1. 

2. 

3. 

4. 

5. 

1. 

2. 

Committee and procedures 

The  Commission  shall  be  assisted  by  the  European  Fisheries  Fund  Committee 
(hereinafter: the “Committee”). 

This committee is composed of representatives of the Member States and chaired by 
a representative from the Commission. It shall be created under the auspices of the 
Commission. 

Where  reference  is  made  to  this  Article,  the  management  procedure  laid  down  in 
Article 4 and 7 of Decision 1999/468/EC shall apply. 

The period referred to in Article 4(3) of Decision 1999/468/EC is set at one month. 

The committee shall adopt its rules of procedure. 

Article 101 

Implementing rules 

The implementing rules for this Regulation shall be adopted in accordance with the 
procedure laid down in Article 100. 

The  type  of  technical  assistance  measures  implemented  by  the  Commission  and 
provided for in Article 45(1), is established in accordance with in the procedure laid 
down in Article 100 . 

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TITLE X 

FINAL PROVISIONS 

Article102 

Transitional provisions 

1. 

2. 

3. 

This Regulation shall not affect the continuation or modification, including the total 
or partial cancellation, of assistance approved by the Council or by the Commission 
on  the  basis  of  Regulations  (EEC)  No  2052/88,  (EEC)  4253/88,  (EC)  No 1164/94, 
(EC) 1260/1999 and (EC) 2792/1999, or any other legislation which applied to such 
assistance on 31 December 2006. 

In  preparing  Community  assistance,  the  Commission  shall  take  account  of  any 
measures already approved by the Council or Commission before the entry into force 
of  this  Regulation  and  having  financial  repercussions  during  the  period  covered  by 
that assistance. 

Partial  sums  committed  for  assistance  approved  by  the  Commission  between 
1 January 2000 and 31 December 2006 for which the documents required for closure 
of  the  assistance  have  not  been  sent  to  the  Commission  by  the  deadline  for 
submitting the final report shall be automatically decommitted by the Commission no 
later than 31 December 2010, giving rise to the repayment of amounts unduly paid. 
The documents required for closure of the assistance shall be the request for payment 
of  the  balance,  the  final  implementation  and  inspection  report  and  the  statement 
drawn up by a person or department having a function independent of the managing 
authority  summarising  the  conclusions  of  the  checks  carried  out  and  assessing  the 
validity of the request for payment of the final balance and the legality and regularity 
of  the  transactions  covered  by  the  final  certificate  of  expenditure,  as  referred  to  in 
Article 38(1) of Regulation (EC) No 1260/1999. 

Amounts  relating  to  operations  or  programmes  which  have  been  suspended  due  to 
legal  proceedings  or  administrative  appeals  having  suspensory  effect  shall  be 
disregarded in calculating the amount to be automatically decommitted. 

Article 103 

Repeal of previous Regulations 

Regulations  (EC)  No  1263/1999  and  No  2792/1999  are  hereby  repealed  with  effect  from  1 
January 2007, without prejudice to Article 102. 

References to the repealed Regulations shall be construed as references to this Regulation. 

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Article 104 

Review clause for this Regulation 

On the basis of a proposal from the Commission, the Council shall review this Regulation by 
31 December 2013 at the latest. 

Article 105 

Entry into force 

This Regulation shall enter into force on the twentieth day following that of its publication in 
the Official Journal of the European Union. 

It shall apply as from 1 January 2007. 

However, Article 14 shall apply with effect from the entry into force of the present regulation. 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels, […]. 

For the Council 
The President 
[…] 

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ANNEX I 

In  accordance  with  the  Communication  on  the  Financial  Perspectives  adopted  by  the 
Commission on 10 February 2004, the annual breakdown of commitment appropriations for 
the European Fisheries Fund, in 2004 prices, shall be as follows: 

€ million 

2007 

655 

2008 

678 

2009 

701 

2010 

713 

2011 

726 

2012 

738 

2013 

752 

For  all  the  regions  covered  by  the  Convergence  Objective,  in  the  15  Member  States,  the 
resources available for commitment, in 2004 prices, shall be €2 015 million for the 2007-13 
period. 

€ million 

2007 

293 

2008 

293 

2009 

291 

2010 

288 

2011 

286 

2012 

283 

2013 

281 

A significant effort shall be made to concentrate budget resources on the new Member States 
covered  by  the  Convergence  Objective.  The  resources  available  for  commitment  to  these 
Member States, in 2004 prices, shall be €1 702 million for the 2007-13 period. 

€ million 

2007 

184 

2008 

207 

2009 

232 

2010 

247 

2011 

262 

2012 

277 

2013 

293 

75%  of  the  commitment  appropriations  available  to  the  Fund,  in  real  terms,  must  be 
committed to the regions covered by the Convergence Objective. 

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ANNEX II 

MAXIMUM Rates of PUBLIC AID 

Rates of financial contribution 

For all the measures referred to in title IV, the limits on the Community financial participation 
(A),  total  public  financial  participation  (national,  regional  and  others)  of  the  Member  State 
concerned  (B)  and  ,  where  appropriate,  financial  participation  by  private  beneficiaries  (C) 
shall be subject to the following conditions, expressed as a percentage of eligible costs . 

Group 1: (non productive investments) 

Permanent withdrawal premium (article 25), temporary cessation premium (article 26); socio 
economic  compensation  (article  28);  measures  for  the  sustainable  development  of  coastal 
fishing areas (article 43); aqua- environmental measures (article 31); public and animal health 
measures (article 32); collective actions (article 36); measures intended to protect and develop 
aquatic  fauna  (article  37);  fishing  port  facilities  (article  38);  promotion  and  development  of 
new  markets  (article  39);  pilot  projects  (article  40);  transformation  and  reassignment  of 
fishing vessels (article 41); technical assistance (article 45). 

Group 2: (productive investments) 

Measures for the sustainable development of coastal fishing areas (article 43); investments on 
board  fishing  vessels  (article  27);  investments  in  aquaculture  (article  30);  investments  in 
processing and marketing of the fishery products (article 34); promotion and development of 
new markets (article 39). 

Group 3 

•  In the framework of fishing effort adjustment plans under article 23(a) first indent: 

– 

– 

– 

Permanent withdrawal premiums (article 25) ; 

temporary cessation premiums (article 26) ;  

socio-economic compensations (article 28). 

•  Measures for small-scale coastal fishing under article 27a, (3) and (4). 

Group 4 

Pilot projects others other than those carried out by public bodies (article 40). 

Aid intensity and rates of financial contribution for the operations financed under this 
regulation. 

Group 1 

Group 2 

Group 3 

Group 4 

Regions  covered  by 
Convergence 
the 
Objective 

A≤75% 

A≤30% 
B≥10% 

A≤85% 

A≤60% 
B≥20% 

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B≥25% 

A≤50% 

B≥50 

A≤85% 

B≥15% 

C≥60%(*) 

A≤15% 
B≥15% 

C≥70%(*) 

A≤42,5%B≥7,5%
C≥50% (*) 

B≥15% 

A≤65% 

B≥35% 

A≤85% 

B≥15% 

C≥20% 

A≤30% 
B≥30% 
C≥40% 

A≤65% 
B≥15% 
C≥20% 

Regions  not  covered 
by  the  Convergence 
Objective  

Outermost 
regions 
and  outlying  Greek 
islands  which  are 
under  a  handicap 
due 
distant 
location 

to 

(*) The rate of private sector for measures under article 27a(2),is reduced by 20%.  

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FICHE FINANCIÈRE LÉGISLATIVE 

Domaine(s) politique(s): Politique commune de la Pêche 

Activité(s): Interventions financières dans le secteur de la pêche  

DENOMINATION  DE  L’ACTION:  REGLEMENT  DU  CONSEIL  INSTITUANT  UN  FONDS  EUROPEEN 

1. 

2. 

2.1 

2.2 

POUR LA PECHE  

LIGNE(S) BUDGÉTAIRE(S) + INTITULÉ(S) 

DONNÉES CHIFFRÉES GLOBALES  

Enveloppe totale de l’action (partie B): millions d'euros en CE 

Période d’application: 

(années de début et d’expiration) 

01 janvier 2007 au 31 décembre 2013.  

2.3 

Estimation globale pluriannuelle des dépenses: 

a) 

Échéancier  crédits  d'engagement/crédits  de  paiement  (intervention  financière) 
(cf. point 6.1.1)  

Millions d'euros (à la 3e décimale) 

Année  
n 
2007 

n + 1 
2008 

n + 2 
2009 

n + 3 
2010 

n + 4 
2011 

Total 

n + 5 et 
s. 
2012 -
2013 

650 

673 

695 

707 

720 

1478 

4923 

Crédits 
d'engagement 

Crédits de 
paiement 

b) 

Assistance 
(cf. point 6.1.2) 

technique  et  administrative  (ATA)  et  dépenses  d’appui  (DDA) 

CE 

CP 

5 

5 

5 

5 

6 

6 

6 

6 

6 

6 

12 

12 

40 

39,712 

Sous-total a+b 

CE 

CP 

655 

678 

701 

713 

726 

1490 

4963 

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c) 

Incidence  financière  globale  des  ressources  humaines  et  autres  dépenses  de 
fonctionnement 
(cf. points 7.2 et 7.3) 

CE/CP 

TOTAL a+b+c 

CE 

CP 

2.4 

Compatibilité avec la programmation financière et les perspectives financières 

[X]  Proposition compatible avec la programmation financière existante. 

Cette  proposition  est  compatible  avec  la  proposition  de  la  Commission  pour  les 
perspectives  financières  2007-2013  (Com  (2004)  101  final  du  10.02.2004).  Elle 
s’inscrit  dans  le  cadre  de  la  rubrique  2  « conservation  et  gestion  des  ressources 
naturelles ». 

[…]  Cette proposition nécessite une reprogrammation de la rubrique concernée des 

perspectives financières, 

[…]  y  compris, 

le  cas  échéant,  un  recours  aux  dispositions  de 

l’accord 

interinstitutionnel. 

2.5 

Incidence financière sur les recettes 

[X]  Aucune  implication  financière  (concerne  des  aspects  techniques  relatifs  à  la 

mise en œuvre d'une mesure). 

OU 

[…]  Incidence financière - L'effet sur les recettes est le suivant: 

Millions d'euros (à la première décimale) 

Ligne 
budgétaire 

Recettes 

Avant 
l'action 
(année 
n-1) 

Année 
n3 

Situation après l'action 

n+1 

n+2 

n+3 

n+4 

n+5 

a) Recettes en termes 
absolus1 

b)Modification des recettes2 

 ∆ 

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3. 

CARACTÉRISTIQUES BUDGÉTAIRES 

Nature de la dépense 

Nouvelle 

Participation 
AELE 

Participation 
pays 
candidats 

Rubrique PF

DNO 

CD 

OUI 

NON 

NON 

N° [2]  

4. 

BASE JURIDIQUE  

(Indiquer ici uniquement la base juridique principale.) 

Articles 32 et 33 du Traité. 

5. 

5.1 

DESCRIPTION ET JUSTIFICATION 

Nécessité d'une intervention communautaire20 

5.1.1 Objectifs poursuivis 

La  présente  proposition  vise  la  mise  en  place  d’un  Fonds  destiné  à  promouvoir  le 
développement  économique  et  social  du  secteur  de  la  pêche,  dans  le  cadre  d’une  gestion 
durable des ressources halieutiques conformément aux orientations arrêtées par la réforme de 
la politique commune de la pêche adoptée en Décembre 2002.  

L’excès de capacité de flotte communautaire, en dépit des efforts entrepris dans le cadre des 
programmes structurels précédents (IFOP 1994-1999 et IFOP 2000-2006), demeure l’une des 
causes de la surexploitation de certains stocks. Le Fonds européen pour la pêche (FEP) devra 
désormais contribuer de manière décisive à la réduction nécessaire des capacités, notamment 
celles  des  flottes  exerçant  une  pression  sur  les  stocks  menacés.  Par  ailleurs  le  Fonds  devra 
accompagner  la  restructuration  du  secteur  par  un  dispositif  de  mesures  sociales  et 
économiques de nature à limiter l’impact lié au déclin des activités de pêche ou aux mesures 
contraignantes prises en vertu de la politique de la conservation des ressources halieutiques.  

L’aquaculture  et  la  transformation  communautaires  demeurent  confrontées  à  des  problèmes 
de  compétitivité,  de  productivité  et  de  durabilité,  ces  domaines  devraient  faire  l’objet  d’un 
soutien  ciblé,  permettant  aux  entreprises  de  s’adapter  aux  contraintes  de  marché, 
environnementales et réglementaires auxquelles elles sont confrontées. 

Les problèmes liés à l’évolution du secteur et à la rareté de la ressource frappent l’ensemble 
des activités économiques des zones pêche, il convient donc de mettre en place une politique 
de développement des zones côtières de pêche qui s’inscrit dans une démarche intégrée autour 
d’une stratégie territoriale pertinente et adaptée au contexte local.  

Enfin,  conformément  aux  objectifs  fixés  la  PCP  réformée,  il  conviendra  d’accorder  une 
importance  accrue  à  la  prise  en  compte  de  la  dimension  environnementale  dans  toutes  les 
interventions du Fonds. 

20 

Pour plus d'informations, voir le document d'orientation séparé. 

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L’analyse  d’impact  réalisée  par  la  DG  FISH  et  mentionnée  au  point  5.1.2  développe 
davantage les objectifs poursuivis par les interventions du Fonds 

5.1.2 Dispositions prises relevant de l’évaluation ex ante  

a) 

d'expliquer comment et quand l'évaluation ex ante a été effectuée (auteur, calendrier 
et si le(s) rapport(s) est/sont disponible(s) ou comment l'information correspondante 
a été collectée21. 

L’analyse  d’impact  de  la  présente  proposition  réalisée  par  la  DG  pêche  a  été  rédigée  sur  la 
base des évaluations disponibles notamment  

–  l’évaluation ex post des programmes IFOP pour la période 1994-1999,  

–  l’évaluation à mi-parcours des programmes IFOP pour la période 2000-2006, 

–  l’étude de l’impact de l’IFOP sur l’industrie de la transformation 1994-1999. 

D’autres documents stratégiques ont été également pris en compte pour l’élaboration de cette 
proposition en particulier,  

–  le Livre Vert sur l’avenir de la PCP (mars 2001),  

–  la  Communication  de  la  Commission  intitulée  « une  stratégie  pour  le  développement 

durable de l’aquaculture européenne » - COM (2002)511 final du 19.9.2002, 

–  la  Communication  de  la  Commission  « plan  d’action  pour  pallier  les  conséquences 
sociales, économiques et régionales de la restructuration du secteur de la pêche de l’UE » -
COM (2002) 600 du 6.11.2002. 

b) 

de  décrire  brièvement  les  constatations  et  enseignements  tirés  de  l'évaluation  ex 
ante.) 

La  gestion  des  interventions  soutenues  par  le  Fonds  sera  plus  décentralisée  vers  les  Etats 
membres,,,, par analogie avec les règles de gestion qui régiront les nouveaux Fonds structurels 
et  de  cohésion  et  le  nouvel  instrument  de  développement  rural.  Un  autre  élément  de 
simplification  réside  dans  le  choix  d’un  Fonds  unique  couvrant  tout  le  territoire 
communautaire, régit par un règlement unique simplifié, se limitant à définir les principes et 
les critères d’intervention.  

Les responsabilités de la Commission et des Etats membres seront également mieux définies à 
chaque stade de la programmation, du suivi, de l’évaluation et du contrôle. Au niveau de la 
programmation,  cette  proposition  adopte  le  principe  d’une  feuille  de  route  déterminant  les 
objectifs stratégiques tels que prévu dans les conclusions du 3ème rapport de la Commission 
sur  la  cohésion  économique  de  2004.  Ainsi  le  Conseil  dans  un  premier  temps  adopte,  sur 
proposition  de  la  Commission,  après  avis  du  Parlement,  des  orientations  stratégiques 
définissant  les  priorités  d’intervention  de  la  PCP  et  servant  de  cadre  de  référence  pour  la 
programmation du Fonds par les Etats membres. Les Etats membres adoptent à leur tour des 

21 

Pour  les  informations  minimales  obligatoires  à  présenter  en  ce  qui  concerne  les  initiatives  nouvelles, 
voir le document SEC(2000) 1051. 

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plans  stratégiques  nationaux  conformes  aux  orientations  du  Conseil,  qui  portent  sur 
l’ensemble  des  volets  de  la  PCP  et  indiquent  les  priorités  et  les  objectifs  pour  sa  mise  en 
œuvre. Les programmes opérationnels des Etats membre devront tenir compte. 

Les  ressources  du  Fonds  seront  concentrées  sur  un  nombre  limité  de  priorités  de  manière  à 
améliorer  la  transparence  financière,  la  qualité  et  l’efficacité  des  interventions  et  faciliter 
l’évaluation  de  la  valeur ajoutée communautaire.  Ainsi la concentration de l’effort financier 
sur l’ajustement des capacités de pêche et l’atténuation des impacts socio-économiques qui en 
découlent devraient mieux contribuer à la réalisation des objectifs d’une pêche responsable et 
durable sur le plan économique, social et environnemental.  

5.1.3 Dispositions prises à la suite de l’évaluation ex post 

(Dans  le  cas  du  renouvellement  d’un  programme,  il  s’agit  aussi  de  décrire  brièvement  les 
enseignements à tirer d’une évaluation intérimaire ou ex post.) 

L’évaluation ex-post de l’impact du soutien de l’IFOP sur la période 1994-1999 montre que 
cet  instrument  n’a  pas  été  suffisant  pour  enrayer  la  réduction  des  surcapacités  de  pêche,  du 
fait, en partie, que l’IFOP s’est avéré difficile à gérer et inadapté pour susciter le retrait des 
navires ciblant les stocks halieutiques les plus menacés. 

L’évaluation  ex-post  de  l’impact  du  soutien  de  l’IFOP  reçu  par  l’industrie  de  la 
transformation pour la période 1994-1999 montre que, quoique la politique communautaire en 
matière d’aide au secteur de la transformation ait évolué, vers des mesures de restructuration 
et un encouragement à l’adoption de techniques de production améliorant la compétitivité, des 
progrès restent à faire non seulement au niveau de la définition des priorités mais aussi à celui 
de la simplification des mécanismes de mise en œuvre de l’IFOP. 

L’évaluation a mi-parcours des programmes relevant de la période 2000-2006 suggère que la 
programmation  devrait  être  élaborée  de  manière  partenariale,  qu’il  convient  d’éliminer  les 
mesures  contradictoires  pour  la  flotte  (construction,  modernisation  versus  démolition  et 
déclassement)  et  de  soutenir  d’avantage  des  activités  intra  sectoriels, pour  combattre  la 
fragmentation  du  secteur.  En  ce  qui  concerne  la  gestion  et  le  suivi  des  programmes, il  est 
recommandé  d’améliorer  la  promotion  pour  attirer  d’avantage  des  projets,  de  simplifier  les 
procédures administratives et de mieux définir les indicateurs de suivi. 

5.2 

Actions envisagées et modalités de l'intervention budgétaire 

– 

L’adaptation des capacités de pêche :  

Le  fonds  devra  répondre  à  l’une  des  priorités  de  la  PCP  à  savoir  l’exploitation 
durable des ressources halieutiques. Il devra par conséquent accompagner la gestion 
de la flotte communautaire, aujourd’hui encore sur capacitaire, en visant en premier 
lieu les flottes pêchant des ressources en dessous des limites biologiques raisonnable. 
Le  Fonds  pourra  accorder  des  aides  aux  armateurs  et  équipages  affectés  par  des 
mesures  d’ajustement  des  efforts  de  pêche  lorsque  celles-ci  s’inscrivent  dans  le 
cadre :  

–  De plans de reconstitution ou de gestion de la ressource adoptés par le Conseil, 

–  De  mesures  d’urgence  adoptée  par  la  Commission  ou  les  Etats  membres  pour  la 

conservation, 

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4. 

De la non reconduction d’un accord de pêche avec un pays tiers ou d’un arrangement 
international, 

–  De plans de sortie de flotte adoptés par les Etats membres sur une base volontaire. 

Ces plans d’adaptation des capacités devront inclure des actions d’arrêt définitif des 
activités de pêche et pourront inclure des mesures d’arrêt temporaire. 

Les  crédits  non  alloués  au  titre  de  la  réserve  feront  l’objet  d’une  programmation 
classique  pour  tous  les  autres  domaines  d’intervention  ci-après.  Dans  ce  cadre,  le 
fonds  apportera  un  concours  financier  aux  plans  de  sortie  de  flotte  qui  seraient 
adoptés  par  les  Etats  membres  suite  à  la  non  reconduction  d’un  accord  ou  d’un 
arrangement international, ou en vue d’adapter les capacités de leur flotte de pêche 
aux  ressources  disponibles  dans  le  cadre  de  plans  d’une  durée  limitée  adoptés 
volontairement par les Etats membre.  

Un soutien approprié sera accordé au financement d’équipements visant à améliorer 
la  sécurité  à  bord,  d’hygiène,  la  qualité  des  produits  et  des  conditions  de  travail, 
l’expérimentation de nouvelles mesures techniques dans le cadre de projets pilotes et 
ou permettant de conserver les captures à bord ou de réduite l’impact de la pêche sur 
l’environnement marin.  

Au  titre  de  cette  priorité  « ajustement  des  efforts  de  pêche »,  des  compensations 
socio-économiques  pourront  être  octroyées  en  faveur  des  pêcheurs  affectés  par 
l’évolution  de  l’activité  de  pêche  pour  leur  reconversion,  la  diversification  de  leur 
activité ou leur départ anticipé du secteur. 

– 

Développement durable des zones côtières de pêche :  

Le  Fonds  interviendra  en  faveur  du  développement  durable  des  zones  côtières,  qui 
devra s’appuyer sur une stratégie territoriale pertinente et adaptée au contexte local, 
visant  le  maintien  ou  l’amélioration  de  la  prospérité  économique  et  sociale,  la 
promotion de la valeur ajoutée des activités de pêche et d’aquaculture, le soutien à la 
diversification et à la reconversion économique et la promotion de l’environnement 
côtier. Le public visé dans ce cadre sera l’ensemble des communautés côtières liées 
au secteur, allant ainsi au-delà des pêcheurs et armateurs. La délimitation des zones 
éligibles incombera aux Etats membres sur la base de critères homogènes pour toute 
la Communauté et définis par la présente proposition. Afin de donner une préférence 
à  la  participation  des  acteurs  de  terrain,  et  de  garantir  une  démarche  ascendante  à 
partir de la base, les stratégies de développement des zones côtières de pêches seront 
élaborées et mises en oeuvre par des regroupements de partenaires locaux publics et 
privés, sélectionnés par les Etats membres par le biais d’appels à propositions.  

– 

Aquaculture,  transformation  et  commercialisation  des  produits  de  la  pêche  et  de 
l’aquaculture :  

Les  investissements  dans  ces  secteurs  devront  s’inscrire  dans  une  perspective  de 
développement  durable  et  d’amélioration  de  la  compétitivité  des  entreprises, 
notamment à travers l’adaptation des conditions de production, le respect de la santé 
humaine  et  animale,  de  la  qualité  des  produits  et  la  réduction  de  l’impact  de  ces 
activités  sur  l’environnement.  Les  aides  aux  investissement  dans  les  entreprises  de 

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transformation  ou  de  commercialisation  seront  néanmoins  limitées  aux  micro  et 
petites entreprises. 

– 

Mesures d’intérêt collectif  

Les mesures d’intérêt collectif mises en œuvre par les professionnels et destinées à la 
protection et au développement de  la faune  aquatique  constituent un autre domaine 
d’intervention du Fonds. Ces actions doivent être mises en œuvre par des organismes 
publics ou parapublics ou des organisations professionnelles ou similaires reconnues. 
Les autres domaines d’intervention au titre des mesures collectives éligibles sont les 
investissements  dans  les  ports  de  pêche  contribuant  à  l’amélioration  des  services 
offerts aux pêcheurs, la promotion et la recherche  de nouveaux débouchés pour les 
produits de la pêche et de l’aquaculture dans le respect du droit de la concurrence, les 
projets  pilotes  dans  le  but  d’acquérir  ou  de  diffuser  de  nouvelles  connaissance 
techniques, la transformation des navires de pêche à des fins exclusives de formation 
ou de recherche. 

– 

Assistance technique  

Dans la limite de 5 % des programmes opérationnels, le Fonds pourra concourir au 
financement  d’actions  de  préparation,  de  gestion,  de  suivi,  d’évaluation, 
d’information,  de contrôle et d’audit des interventions. Par ailleurs le Fonds pourra 
apporter un soutien au renforcement de la capacité administrative nécessaire pour la 
gestion  de  la  PCP  et  du  Fonds,  des  Etats  membres  dont  la  totalité  des  régions 
relèvent de l’objectif de convergence. 

A son initiative et pour son compte, et dans la limite de 0,8% de la dotation totale du 
Fonds, la Commission peut financer au titre du Fonds des mesures de préparation, de 
suivi et de mise en œuvre, d’évaluation, de contrôle et d’audit nécessaire à la mise en 
œuvre du Fonds. 

Bien  que  ne  relevant  plus  de  la  politique  de  cohésion  pour  la  période  2007-2013,  les 
interventions  du  fonds  en  conserveront  les  mêmes  fondements  à  savoir  les  principes  de 
partenariat, de subsidiarité et de concentration en faveur des régions les plus défavorisées. A 
ce titre, les taux d’intervention différenciés pour les différentes régions de la Communauté en 
vigueur pour les autres Fonds structurels (FEDER et FSE) seront d’application. 

5.3 

Modalités de mise en œuvre 

La  mise  en  oeuvre  du  Fonds  relève  de  la  gestion  partagée  entre  la  Commission  et  les  Etats 
membres  conformément  à  l’article  53  du  règlement  (CE)  n°  1605/2002  à  l’exception  de 
l’assistance  technique  à  l’initiative  de  la  Commission  effectuée  en  gestion  directe.  La 
Commission,  sur  proposition  des  Etats  membres  adopte  les  stratégies  et  les  priorités  de 
développement de la programmation et la participation financière communautaire. La mise en 
œuvre  du  Fonds  et  leur  contrôle,  en  application  du  principe  de  subsidiarité,  relève  de  la 
responsabilité des Etats membres.  

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6. 

6.1 

INCIDENCE FINANCIÈRE  

Incidence financière totale sur la partie B (opérationnelle) (pour toute la période 
de programmation) 

6.1.1 

Intervention financière 

Crédits d'engagement en millions d'euros (à la 3e décimale) 

Année n 

n + 1 

n + 2 

n + 3 

n+ 4 

Total 

n + 5 et 
exercices 
suivants 

Ventilation 

Action 1  

Action 2  

TOTAL  650 

673 

695 

707 

720 

1478 

4923 

L’allocation financière pour le FEP dans le cadre des perspectives financières proposées par la 
Commission22 pour la période 2007-2013 est de EUR 4,96 milliard pour une Europe élargie à 
25, ce qui correspond approximativement aux montants alloués pour l’Europe de 15 lors de la 
période 2000-2006 (EUR 3.7 milliard). 

6.1.2 

Assistance  technique  et  administrative  (ATA),  dépenses  d'appui  (DDA)  et  dépenses 
TI (crédits d’engagement) 

Année 
n 

n + 1 

n + 2 

n + 3 

n + 4 

Total 

n + 5 et 
exercices 
suivants 

technique  et 

1)  Assistance 
administrative (ATA): 
a) Bureaux d’assistance 
technique (BAT) 

b) Autre assistance 
technique et administrative: 
- intra-muros: 
- extra-muros : 

0,5 

0,5 

0,5 

0,5 

0,5 

0,1 

3,5 

Sous-total 1  0,5 

0,5 

0,5 

0,5 

0,5 

0,1 

3,5 

22 

Communication  de  la  Commission  au  Conseil  et  au  Parlement  européen.  Construire  notre  avenir 
commun.  Défis  politiques  et  moyens  budgétaires  de  l’Union  élargie  –  2007-2013.  Document 
COM(2004) 101 final du 10.2.2004. 

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2) Dépenses d’appui (DDA): 

a) Études 

0,71 

0,71 

b) Réunion d’experts 

0,2 

0,2 

c) Information et publications 

0,15 

0,15 

0,6 

0,6 

0,71 

0,2 

0,15 

0,6 

0,71 

0,2 

0,15 

0,6 

0,71 

0,2 

0,15 

0,6 

1,42 

0,4 

0,3 

1,2 

4,97 

1,4 

1,05 

4,2 

0 

0 

1,666 

1,666 

1,666 

1,666 

3,332 

9,996 

0,7 

0,7 

0,7 

0,7 

1,4 

4,2 

0,474 

0,474 

1,474 

1,474 

1,474 

3,848 

10,396 

d)  Systèmes  informatiques  de 
suivi  et  d’évaluation  y  compris 
le registre des navires 
e)  Réseaux  des  groupements 
d’actions côtiers GAC 
f)  Conférences 
thématiques 
g)  Autres  dépenses  liées  à  la 
mise en œuvre du Fonds 
(échanges  d’expérience  entre 
et 
administrations, 
peer 
plans 
review 
stratégiques des EM 

examen 
des 

régionales 

Sous-total 2 

TOTAL 

5 

5 

6 

6 

6 

12 

40 

6.2. 

Calcul des coûts par mesure envisagée en partie B (opérationnelle) (pour toute 
la période de programmation)23 

(Dans  le  cas  où  il  y  a  plusieurs  actions,  il  y  a  lieu  de  donner,  sur  les  mesures  concrètes  à 
prendre  pour  chaque  action,  les  précisions  nécessaires  à  l'estimation  du  volume  et  du  coût 
des réalisations.) 

Les programmes opérationnels qui seront élaborés par les Etats membres se déclineront en 5 
axes prioritaires pour les Etats membres concernés par des mesures relatives à la flotte et 4 
axes prioritaires pour les pays qui ne seront pas concernés par ces mesures.  

Ces  axes  sont détaillés  au  titre  IV  de  la  présente  proposition,  il  s’agit  respectivement  de 
l’adaptation de la flotte de pêche communautaire ; de l’aquaculture, de la transformation et de 
la  commercialisation  des  produits,,,,  des  mesures  d’intérêt  collectif,  du  développement  des 
zones côtières de pêche ; et de l’assistance technique . 

La  répartition  des  crédits  à  l’intérieur  de  chaque  enveloppe  est  de  la  compétence  des  Etats 
membres,  elle  doit  néanmoins  être  compatible  avec  les  orientations  stratégiques  prévues  à 
l’article 13 de la présente proposition. 

7. 

SUR 
INCIDENCE 
ADMINISTRATIVES  

LES 

EFFECTIFS 

ET 

LES 

DÉPENSES 

Les besoins en ressources humaines et administratives seront couverts à l’intérieure de la 
dotation allouée à la DG gestionnaire dans le cadre de la procédure d’allocation annuelle. 

23 

Pour plus d'informations, voir le document d'orientation séparé. 

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L'allocation de postes dépendra d'une part de l'organisation interne de la prochaine 
Commission et d'autre part d'une éventuelle réallocation de postes entre services suite aux 
nouvelles perspectives financières. 

7.1. 

Incidence sur les ressources humaines 

Effectifs à affecter à la gestion de l’action 
par utilisation des ressources existantes 
et/ou supplémentaires 

Nombre d’emplois 
permanents 

Nombre d’emplois 
temporaires 

Total 

Description des tâches découlant de 
l’action 

Types d’emplois 

A 
B 
C 
ressources 

Fonctionnaires ou 
agents 
temporaires 
Autres 
humaines 
Total 

7.2 

Incidence financière globale des ressources humaines 

Type de ressources humaines 

Montants en euros 

Mode de calcul *  

Fonctionnaires 
Agents temporaires 

Autres ressources humaines 

(indiquer la ligne budgétaire) 

Total 

Les montants correspondent aux dépenses totales pour 12 mois. 

7.3 

Autres dépenses de fonctionnement découlant de l’action 

Ligne budgétaire   
(n° et intitulé) 

Enveloppe globale (Titre A7) 
A0701 – Missions 

Montants en euros 

Mode de calcul 

A07030 – Réunions 
A07031 – Comités obligatoires (1)  
A07032 – Comités non obligatoires (1) 
A07040 – Conférences 
A0705 – Études et consultations 
  Autres dépenses (indiquer lesquelles) 

Systèmes d’information (A-5001/A-4300) 

Autres dépenses - partie A (indiquer lesquelles) 

Total 

Les montants correspondent aux dépenses totales de l’action pour 12 mois. 
(1) Préciser le type de comité ainsi que le groupe auquel il appartient :  

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I. 
II. 
III. 

Total annuel (7.2 + 7.3) 
Durée de l’action 
Coût total de l’action (I x II) 

8. 

SUIVI ET ÉVALUATION 

8.1 

Système de suivi 

Un  comité  de  pilotage  est  créé  pour  chaque  programme  opérationnel  par  l'État  membre,  en 
accord  avec  l'autorité  de  gestion  après  consultation  des  partenaires.  Le  comité  de  pilotage 
s'assure  de  l'efficacité  et  de  la  qualité  de  la  mise  en  oeuvre  de  l'intervention.  Il  examine  et 
approuve les critères de sélection des opérations financées, évalue périodiquement les progrès 
réalisés  pour  atteindre  les  objectifs  spécifiques  du  programme  opérationnel,  examine  les 
résultats  de  la  mise  en  œuvre  et  examine  et  approuve  le  rapport  annuel  d'exécution  et  le 
rapport final d'exécution avant leur envoi à la Commission 

L'autorité  de  gestion  et  le  comité  de  pilotage  assurent  le  suivi  au  moyen  d'indicateurs  de 
résultat, y compris les indicateurs physiques, d’impact et financiers définis dans le programme 
opérationnel. Ces indicateurs se réfèrent au caractère spécifique du secteur de l’Etat membre 
et  aux  objectifs  poursuivis.  La  Commission  en  partenariat  avec  les  Etats  membres  et  en 
conformité avec le principe de proportionnalité examine les indicateurs nécessaires au suivi et 
à l’évaluation du programme opérationnel.  

L'autorité  de  gestion  envoie  un  rapport  annuel  d'exécution  et  de  contrôle  du  programme 
opérationnel à la Commission, dans les six mois suivant la fin de chaque année civile entière 
de mise en oeuvre. Avant leur transmission à la Commission, chaque rapport est examiné et 
approuvé par le comité de pilotage.  

8.2 

Modalités et périodicité de l’évaluation prévue 

Les  programmes  opérationnels  des  Etats  membres  pour  la  mise  en  œuvre  du  Fonds  font 
l’objet  d’une  évaluation  ex-ante,  d’une  évaluation  intermédiaire  et  d’une  évaluation  ex-post 
conformément  à  des  modalités  convenues  entre  la  Commission  et  les  Etats  membres.  Le 
principe de proportionnalité est applicable aux évaluations. 

L’évaluation ex-ante vise à assurer la cohérence entre les orientations stratégiques au niveau 
de la Communauté,,,, les plans stratégiques nationaux et les programmes opérationnels ainsi 
qu’à  optimiser  l’allocation  des  ressources  budgétaires  des  programmes  opérationnels  et  à 
améliorer  la  qualité  de  la  programmation.  Elle  est  conduite  sous  la  responsabilité  de  l’Etat 
membre.  

L’évaluation intermédiaire vise à examiner l’efficacité des programmes opérationnels en vue 
de leur adaptation pour améliorer la qualité des interventions et leur mise en œuvre. Elle est 
organisée à l’initiative de l’autorité de gestion, en concertation avec la Commission. Elle doit 
être  conduite  selon  un  calendrier  permettant  de  tenir  compte  de  ses  conclusions  en  cas  de 
reconduction du programme. 

L’évaluation  ex-post  est  conduite  sous  la  responsabilité  de  la  Commission  en  concertation 
avec l’Etat membre et l’autorité de gestion qui doit assurer la collecte des données nécessaires 
à  sa  réalisation.  Elle  est  finalisée  au  plus  tard  deux  ans  à  la  fin  de  la  période  de 
programmation.  

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9. 

MESURES ANTIFRAUDE 

La Commission s’assure de l’existence et du bon fonctionnement dans les Etats membres des 
systèmes de gestion et de contrôle. Elle se base également sur les rapports annuels de contrôle 
et sur ses propres contrôles sur place pour vérifier le bon fonctionnement des ces systèmes. La 
Commission coopère avec les autorités nationales d’audit des programmes opérationnels, avec 
lesquelles elles se réunit au moins une fois par an.  

En  cas  de  défaillance  des  systèmes  de  gestion  et  de  contrôle  nationaux,  la  Commission 
interrompt, retient ou réduit tout ou partie des paiements. 

La  Commission  peut  effectuer  des  corrections  financière  en  annulant  tout  ou  partie  de  la 
contribution communautaire pour un programme opérationnel lorsqu’elle constate qu’il existe 
des  déficiences  dans  les  systèmes  de  gestion  et  de  contrôle  qui  mettent  en  péril  les 
contributions  communautaires  déjà  octroyées,  que  les  déclarations  des  dépenses  sont 
irrégulières et n’ont pas fait l’objet de mesures de correction par les Etats membres ou que les 
Etats  membres  n’ont  pas  donné  suite  aux  observations  formulées  par  la  Commission  sur  le 
rapport annuel d’exécution et de contrôle établit par l’autorité de gestion. 

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