Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the establishment of a Programme for the Environment and Climate Action (LIFE)
Date: 2011-12-12
Institutions: European Commission
Subjects: Community budget, EU financing, EU programme, biodiversity, climate change, environmental protection, sustainable development

EUROPEAN COMMISSION 

Brussels, 12.12.2011 
COM(2011) 874 final 

2011/0428 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the establishment of a Programme for the Environment and Climate Action (LIFE) 

(Text with EEA relevance) 

{SEC(2011) 1541 final} 
{SEC(2011) 1542 final} 
{SEC(2011) 1543 final} 

 
 
  
 
EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

The Commission Communication for the Multiannual Financial Framework (MFF) for 2014-
2020  (hereinafter  the  MFF  Communication)1  sets  out  the  budgetary  framework  and  main 
orientations  for  delivering  the  Europe  2020  Strategy.2  In  its  proposal,  the  Commission 
decided  to  address  environment  and  climate  action  as  an  integral  part  of  all  the  main 
instruments  and  interventions.  This  so-called 
'mainstreaming'  approach  implies  that 
environmental and climate objectives "need to be reflected in all main instruments to ensure 
that they contribute to building a low-carbon, resource efficient and climate resilient economy 
that will enhance Europe's competitiveness, create more and greener jobs, strengthen energy 
security, and bring health benefits."  

However, the main Union funding instruments do not address all environmental and climate 
specific needs. Implementation of environmental and climate legislation remains uneven and 
inadequate across the Union, which leads to the consolidation of environmental and climate 
problems. This situation requires new and more efficient ways of implementing legislation, as 
well as development and dissemination of best practices across the Union to ensure Member 
States and stakeholders learn from each other.  

For this reason, in addition to mainstreaming, the Commission proposes to continue the LIFE 
Programme  currently  regulated  by  the  LIFE+  Regulation.3  Combining  the  mainstreaming 
approach  with  a  specific  instrument  will  increase  the  coherence  and  the  added-value  of  the 
Union intervention. A dedicated instrument allows the Commission to better shape priorities, 
directly monitor implementation, and ensure that resources available are effectively used for 
environmental and climate protection. This approach gives the Commission the opportunity to 
select the best projects across the Union, thereby addressing coordination failures. 

Furthermore,  environmental  assets  have  a  public  good  nature  and  are  unevenly  distributed 
across  the  Union.  The  obligation  to  preserve  and  enhance  these  assets  calls  for  a  consistent 
application of the principles of solidarity and responsibility sharing. In this context, Article 8 
of  the  Habitats  Directive4  explicitly  links  the  delivery  of  conservation  measures  to  the 
provision  of  Union  co-financing.  LIFE  plays  an  essential  role  for  better  distribution  of 
solidarity  and  responsibility  sharing  in  preserving  the  Union  environmental  and  climate 
common good.  

A specific funding programme for the environment and climate action:  

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3 
4 

ensures  a  more  effective  intervention  than  Member  State  individual  action  by  an 
increased  pooling  of  resources  and  expertise,  and  by  attracting  partnerships  that 
otherwise would be difficult to set up; 

Communication  from  the  Commission  to  the  European  Parliament,  the  Council,  the  European 
Economic  and  Social  Committee  and  the  Committee  of  the  Regions  A  budget  for  Europe  2020, 
COM(2011)500 final, 29.6.2011. 
Europe 2020: A strategy for smart, sustainable and inclusive growth COM(2010) 2020 final, Brussels, 
3.3.2010, adopted by the European Council on 17 June 2010. 
Regulation (EC) No 614/2007, OJ L 149, 9.6.2007, p. 1. 
Directive 92/43/EEC, OJ L 206, 22.7.1992, p. 7. 

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provides the platform for development and exchange of best practices and knowledge 
sharing, improving, catalysing, and accelerating changes in the implementation of the 
environmental and climate acquis, and allowing Member States and stakeholders to 
learn from each other and address these challenges more efficiently;  

creates synergies across Union Funds and national funds by coordinating their action 
jointly  towards  environmental  and  climate  objectives  while  leveraging  additional 
public and private sector funds. This increases the coherence and effectiveness of the 
Union intervention and promotes a more homogenous implementation of the acquis; 

increases  the  visibility  of  environmental  and  climate  action  by  bringing  the  Union 
closer  to  its  citizens  and  showing  the  Union's  commitment  to  environmental  and 
climate objectives, thereby making those objectives more relevant. 

Several  evaluations5  confirm  that  the  LIFE  Programme  is  a  successful  instrument  for  the 
implementation of Union environmental policy and legislation, with a significant added value. 
However, these evaluations have also highlighted that the LIFE Programme's policy impact is 
limited by its lack of strategic focus. This was partly due to its pure 'bottom-up' approach for 
project  selection,  which  did  not  allow  the  Commission  to  steer  demand  based  on  Union 
environmental and climate policy needs. A clearer focus on activities and sectors where LIFE 
could make a difference is therefore needed. 

The new challenges ahead and the achievement of Europe 2020 objectives and targets call for 
modifications  to  the  Programme.  Fighting  climate  change  and  making  the  Union  more 
resilient to the associated risks are some of the greatest challenges facing the Union and there 
is  a  need  for  urgent  action  as  reflected  in  the  Europe  2020  Strategy.  The  Commission 
recognises that challenge and in its MFF Communication states that it intends to increase the 
proportion  of  the  Union  budget  related  to  climate  action  to  at  least  20%  with  contribution 
from  different  policies.  The  Programme  for  the  Environment  and  Climate  Action  (LIFE) 
should therefore contribute to that goal. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

This  Regulation  draws  on  an  extensive  analysis  of  options  addressed  in  the  Impact 
Assessment6 and broad consultation with stakeholders. In particular, the following studies and 
consultations have been carried out: 

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5 

6 
7 
8 

the  ex-post  evaluation  of  the  LIFE  Programme  (1996-2006)7  and  the  Mid-term 
evaluation of the LIFE+ Programme (2007-2009);8 

LIFE  Ex-post  evaluation  carried  out  by  COWI  in  2009;  LIFE+  Mid-term  evaluation  carried  out  by 
GHK  in  2010;  Combined  impact  assessment  and  ex-ante  evaluation  of  the  review  of  the  LIFE+ 
Regulation"  carried  out  by  a  consortium  led  by  GHK  in  2011  and  "Climate  Change  in  the  future 
multiannual  financial  framework"  carried  out  by  the  Institute  for  European  Environmental  Policy  in 
2011. 
[reference to be added when published] 
http://ec.europa.eu/environment/life/publications/lifepublications/evaluation/index.htm#expost.  
http://ec.europa.eu/environment/life/publications/lifepublications/evaluation/index.htm#mte2010.  

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studies  commissionned  from  external  consultants,  namely:  "Combined  impact 
assessment  and  ex-ante  evaluation  of  the  review  of  the  LIFE+  Regulation"9  and 
"Climate Change in the future multiannual financial framework";10 

an open online consultation on 'Your Voice in Europe';11 

a consultation conducted by the Committee of the Regions;12 

a consultation of the LIFE+ Committee members and Member States' environmental 
attachés, and an ad-hoc stakeholder meeting.13  

The outcome of the consultations is that the LIFE programme is seen as generally performing 
well in both environmental and value-added terms. Stakeholders support the continuation of 
LIFE, as well as the different interventions and proposals made by the Commission, including 
for a new type of projects, Integrated Projects.  

Although stakeholders support LIFE to increase its focus on implementation and integration 
of environmental and climate objectives into other policies, they do not support a limitation in 
the thematic areas covered. Similarly, although stakeholders generally support the move from 
a  pure  bottom-up  to  a  more  top-down  approach,  they  are  opposed  to  the  establishment  of 
annual and exhaustive priorities. The main reason is that the priority areas should be relatively 
stable to allow potential applicants to plan, prepare and submit proposals.  

The Impact Assessment therefore focused on the recommendations from the evaluations and 
the Court of Auditors14 aiming to increase the effectiveness and added value of LIFE, while 
incorporating stakeholders' main concerns and suggestions.  

The options to establish priorities analysed in the Impact Assessment try to strike a balance 
between the need for stability for potential applicants and the need to better focus on Union 
policy  needs.  Three  scenarios  were  analysed.  The  first  one  is  the  status  quo,  with  a  pure 
bottom-up  approach  partially  corrected  by  the  concentration  of  earmarked  resources  on 
climate  action.  The  second  one  is  a  flexible  top-down  approach  for  all  types  of  projects 
whereby the Commission develops multiannual work programmes where it specifies thematic 
priorities  linked  to  the  achievement  of  specific  targets,  and  drives  demand  to  address  the 
thematic  priorities  within  the  different  components.  Integrated  Projects,  given  their 
characteristics,  would  only  focus  on  certain  sectors  until  targets  are  achieved.  The  third 
scenario combines the top-down approach for Integrated Projects and the bottom-up approach 
for  all  other  types  of  projects.  Under  this  option,  the  Commission  would  limit  ex-ante  the 
thematic focus of Integrated Projects on four sectors in the sub-programme for Environment 
until targets are achieved, while applicants can submit proposals for other types of projects in 
all environmental sectors. The preferred option is the flexible top-down approach. 

The Impact Assessment analysed options for areas on which Integrated Projects should focus 
concluding that Natura 2000, water, waste and air were the sectors with the highest potential 

9 
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14 

[reference to be added when published] 
[reference to be added when published] 
http://ec.europa.eu/environment/life/about/beyond2013.htm. 
http://ec.europa.eu/environment/life/about/beyond2013.htm. 
http://ec.europa.eu/environment/life/about/beyond2013.htm. 
[reference to be added] 

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for  success  and  where  more  environmental  benefits  could  be  obtained.  Stakeholders, 
especially regional authorities, also signalled these sectors. As the sub-programme for Climate 
Action  is  newly  established,  Integrated  Projects  relevant  for  climate  change  mitigation  and 
adaptation may be introduced gradually 2-3 years into the programming period. The Impact 
Assessment  also  analysed  whether  the  50%  project  resources  traditionally  earmarked  for 
nature  and  biodiversity  was  still  valid  and  concluded  it  was.  In  fact,  biodiversity  was 
considered  by  all  stakeholders  as  the  most  important  priority  for  LIFE.  The  Impact 
Assessment  also  assessed  options  for  geographical  distribution  of  projects,  including  the 
possibility  for  national  allocations  (similar  to  the  LIFE+  Regulation).  Three  options  were 
envisaged: a system of merit only with no geographical criteria attached to selection; a system 
of geographical  balance  ensured by the Commission  in line with the principles of solidarity 
and  responsibility  sharing;  and  a  system  of  national  allocations  for  Integrated  Projects.  The 
preferred option is ensuring geographical balance for Integrated Projects. 

Finally,  a  strong  emphasis  was  put  on  simplification  to  build  on  the  changes  undertaken  by 
LIFE+, such as the use of e-proposals. The areas identified for additional simplification were: 
a  two-step  approach  to  select  Integrated  Projects,  an  increasing  use  of  lump-sums  and  flat 
rates, and the ineligibility of certain costs. To ensure that beneficiaries are not disadvantaged 
by this simplification, the Impact Assessment explored the option to increase the co-financing 
rates.  As  part  of  the  simplification  measures,  options  for  externalisation  of  most  of  the 
management  tasks  to  an  existing  Executive  Agency  were  also  analysed,  including  full 
externalisation and a hybrid option.  

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

The  Union’s  environmental  objectives  are  enshrined  in  Title  XX  of  the  Treaty  on  the 
Functioning of the European Union (TFEU). The most common legal basis for environmental 
and climate legislation is Article 192 of the TFEU which empowers the European Parliament 
and the Council to decide what action should be taken by the Union in order to achieve the 
environmental  objectives  which  are  set  out  in  Article  191  of  TFEU.  The  Lisbon  Treaty  in 
particular strengthened the emphasis on climate action by making combating climate change 
an explicit part of the environmental objectives. 

Article  11  of  TFEU  lays  down  the  obligation  to  integrate  environmental  protection 
requirements  into  the  definition  and  implementation  of  the  Union  policies  and  activities,  in 
particular with a view to promoting sustainable development. 

Furthermore, Article 8 of the Habitats Directive explicitly links the delivery of conservation 
measures to the provision of Union co-financing.  

This  proposal  for  a  new  LIFE  Regulation  is  designed  as  a  LIFE  Programme  with  two  sub-
programmes:  one  for  Environment  and  one  for  Climate  Action.  The  creation  of  a  sub-
programme  for  Climate  Action  upgrades  the  former  thematic strand "climate change"  under 
the LIFE+ Environment Policy and Governance component. 

There  is  a  great  potential  for  synergies  between  environmental  and  climate  objectives  as 
projects can benefit multiple purposes. For instance, projects related to forest protection may 
bring  co-benefits  for  biodiversity  and  climate  change  mitigation  by  enhancing  the 
reforestation  and  thereby  also  improving  carbon  absorption  capacity.  Floodplain  restoration 

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projects may facilitate adaptation to climate change and the transition towards a more climate 
resilient society.  

The objective of the LIFE Programme is to be a catalyst for promoting implementation and 
integration  of  environmental  and  climate  objectives  in  other  policies  and  Member  State 
practice.  Special  emphasis  is  placed  on  better  governance,  as  it  is  inextricably  linked  to 
improving implementation.  

An important change to improve the efficiency of the LIFE Programme and to create closer 
links to Union policy priorities is the shift from a pure bottom-up approach to a flexible 
top-down approach. Work programmes valid for at least two years will be drawn up by the 
Commission  in  consultation  with  the  Member  States.  These  will  cover  e.g.,  priorities, 
allocation  of  resources  between  types  of  funding,  and  targets  for  the  period.  The  priorities 
included  therein  will  not  be  exhaustive  in  order  to  allow  applicants  to  submit  proposals  in 
other  areas  as  well  and  to  incorporate  new  ideas  and  react  to  new  challenges.  The 
Commission  will  thus  be  assisted  by  the  Committee  for  the  LIFE  Programme  for  the 
Environment and Climate Action, which will have a dual nature with, in particular, different 
chairs and different composition depending on whether the issues dealt with are related to the 
sub-programme for Environment or the sub-programme for Climate Action. Other particular 
aspects  of  the  LIFE  Programme,  such  as  further  specifying  eligibility  criteria  for  project 
selection,  criteria  for  the  application  of  geographical  balance  to  Integrated  Projects,  and 
performance  indicators  applicable  to  specific  thematic  priorities,  will  be  adopted  by  the 
Commission through delegated acts. 

Another  major  change  is  the  creation  of  a  new  type  of  projects:  “Integrated  Projects”. 
These  aim  to  improve  the  implementation  of  environmental  and  climate  policy  and  their 
integration  into  other  policies,  especially  by  ensuring  a  coordinated  mobilisation  of  other 
Union, national and private funds towards environmental or climate objectives.  

Integrated  Projects  will  operate  on  a  large  territorial  scale  (in  particular  regional,  multi-
regional,  or  national,  and  in  a  cross-sector  manner)  and  will  be  oriented  towards  the 
implementation  of  environmental  and  climate  action  plans  or  strategies  required  by 
environmental  or  climate  legislation,  pursuant  to  other  Union  acts  or  developed  by  the 
Member  States  authorities.  Integrated  Projects  for  the  sub-programme  for  Environment  will 
primarily  focus  on  the  implementation  of  plans  and  programmes  related  to  the  Birds15  and 
Habitats Directives, the Water Framework Directive16, and Waste and Air quality legislation. 
These  Integrated  Projects  should  also  allow  achieving  results  in  other  policy  areas,  in 
particular  the  Marine  Strategy  Framework  Directive.17  For  the  sub-programme  for  Climate 
Action,  Integrated  Projects  may  focus  on  the  implementation  of  mitigation  and  adaptation 
strategies  and  action  plans.  Integrated  Projects  will  also  aim,  when  possible,  at  mobilising 
other Union funding sources by exploiting synergies and ensure consistency between different 
Union funding programmes. They will provide examples to the responsible authorities of how 
coordination of different funding instruments is possible to achieve better implementation of 
Union  environmental  and  climate  legislation.  At  Union  level,  this  coordination  between  the 
LIFE  Programme  and  other  Union  funding  programmes  could  be  established  within  the 
Common Strategic Framework.  

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17 

Directive 2009/147/EC, OJ L 20, 26.1.2010, p. 7. 
Directive 2000/60/EC, OJ L 327, 22.12.2000, p. 1.  
Directive 2008/56/EC, OJ L 164, 25.6.2008, p. 19. 

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This Regulation also provides a clearer definition of the activities funded for each priority 
area. The sub-programme for Environment consists of three priority areas, the focus of which 
will be shifted towards implementation and integration. The priority area Biodiversity extends 
its  support  to  developing  best  practices  for  wider  biodiversity  challenges  while  keeping  its 
focus  on  Natura2000.  The  priority  area  of  Environment  and  Resource  Efficiency  shifts  its 
focus  towards  implementation  of  Union  environmental  policy  and  legislation  and  excludes 
market replication-oriented innovation, since it will be better covered by Horizon 2020.18 As 
part of the increased focus on promoting better governance, the priority area Governance and 
Information replaces the former LIFE+ Information and Communication component and will 
more  actively  promote  the  dissemination  of  knowledge  for  decision-making  and  the 
development  of  best  practices  for  better  and  more  effective  compliance,  in  addition  to 
awareness raising campaigns.  

The Roadmap 205019 acknowledged that testing new approaches to climate change mitigation 
will remain essential for moving to a low-carbon economy. Adaptation to climate change as a 
cross-sector  Union  priority  will  also  need  to  be  ensured.  Moreover,  governance  promotion 
and awareness-raising are essential in order to deliver constructive results and to ensure the 
involvement  of  stakeholders.  Therefore,  the  sub-programme  for  Climate  Action  should 
support  efforts  contributing  to  three  specific  priority  areas:  Climate  Change  Mitigation, 
Climate Change Adaptation and Climate Governance and Information.  

A main objective of the LIFE Programme is to catalyse changes in policy development and 
implementation  by  providing  and  disseminating  solutions  and  best  practices  to  achieve 
environmental and climate goals. It therefore offers co-funding opportunities for projects with 
clear  environmental  or  climate  benefits  and  expands  on  the  existing  knowledge  base.  The 
Commission  will  ensure  synergies  between  the  LIFE  Programme  and  other  Union 
instruments, e.g. it may exploit research and innovation results produced by Horizon2020 and 
by previous Framework Programmes in the fields of research and innovation.  

The LIFE Programme should cover all types of funding required to address its objectives and 
priorities.  In  particular,  action  grants  to  finance  projects  represent  the  main  financial 
intervention.  Operating  grants  for  NGOs  and  other  entities  of  Union  interest  which  are 
primarily active in the area of environment or climate are also possible. The LIFE Programme 
allows the use of financial instruments.20 The Commission should also encourage the use of 
green public procurement when implementing action grants.  

The LIFE Programme enlarges its territorial scope with a more flexible approach regarding 
funding for environment and climate outside the Union: firstly, by formally allowing activities 
outside the Union in exceptional cases and under specific conditions as well as in countries 
participating  in  the  programme  from  outside  the  Union;  and  secondly,  by  providing  a  legal 
base for cooperation with international organisations of interest to environmental and climate 
policy that do not necessarily fall within the scope of Union external action (e.g., international 
studies). 

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20 

Commission proposal for a Decision of the European Parliament and of the Council on Horizon 2020 – 
The Framework Programme for Research and Innovation. 
COM(2011) 112 final. 
Communication from the Commission to the European Parliament and the Council, A framework for the 
next generation of innovative financial instruments - the EU equity and debt platforms, COM(2011)662 
final, 19.10.2011. 

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As  part  of  the  simplification  process,  the  LIFE  Programme  adopts  lighter  procedures.  It  is 
important  that  Member  States  are  involved  in  setting  priorities  for  the  LIFE  Programme  in 
particular  to  ensure  that  these  priorities  adequately  reflect  the  differences  among  Member 
States  and  effectively  help  in  improving  and  accelerating  implementation  of  environmental 
and climate policy.  

In  addition,  the  LIFE  Programme  will  continue  improving  IT systems  to  accelerate  and 
facilitate  the  electronic  submission  of  applications.  In  order  to  further  facilitate  the 
participation of small stakeholders, such as SMEs or NGOs, special attention will be paid to 
clear,  easily  readable  and  unified  application  forms,  deadlines  to  allow  enough  time  for 
submission  of  applications,  assistance  with  the  preparation  of  applications,  and  publicly 
available deadlines to reject or award the project proposal accompanied with clear reasons for 
rejection.  The  socio-economic  impacts  of  a  project  will  be  analysed  when  assessing  the 
application.  

It will also increase the use of flat rates and lump-sums to ease the application and reporting 
processes, and will lighten reporting requirements for Integrated Projects. In particular, a two-
step approach for the selection of Integrated Projects could be introduced. Reporting and re-
programming  could  be  based  on  a  two  years'  cycle  and  the  payment  schedule  adapted  to 
ensure a more gradual cash flow to the project.  

Similarly, certain costs which have proved burdensome in terms of monitoring and reporting 
will  no  longer  be  considered  eligible  (e.g.,  VAT),  and  the  eligibility  of  other  costs,  such  as 
personnel costs related to permanent staff not specifically recruited for the project, might be 
limited or excluded, while maintaining a mechanism to enable their continued contribution to 
project activity. In order to ensure beneficiaries are not disadvantaged and to maintain similar 
levels of support for projects financed by way of action grants as in the LIFE+ Regulation, the 
co-financing  rates  should  be  increased  from  presently  50%  to  70%  and  in  specific  cases  to 
80%,  while  still  ensuring  the  same  leverage  effect  as  today. The  higher  rate  of  80%  would 
apply  to  Integrated  Projects  to  compensate  the  fact  that,  while  those  projects  would  require 
significant  inputs  from  permanent  staff,  permanent  staff  costs  may  not  be  considered  an 
eligible  cost.  It  would  also  apply  to  specific  projects  in  support  of  particular  needs  for  the 
development  and  implementation  of  Union  policy  or  legislation,  in  consideration  of  the 
strategic value of those projects and to ensure an attractive co-financing rate. 

Finally, the LIFE Programme should remain centrally managed to maximise policy links, 
quality of interventions, sound financial management and stable resources, and to ensure that 
findings  of  LIFE  projects  are  taken  up  in  Union  policy  shaping.  This  is  considered  as  an 
essential  asset  by  the  European  Parliament,  the  Member  States  and  stakeholders.  However, 
current  management  could  be  improved  by  delegating  many  of  the  tasks  to  an  existing 
Executive  Agency.  Given  the  characteristics  of  the  LIFE  Programme  and  to  increase 
synergies with other Union funding programmes, the Commission will explore the possibility 
of delegating to a large extent the selection and monitoring tasks to the European Agency for 
Competitiveness  and  Innovation,  while  keeping  the  governance  of  the  LIFE  Programme 
within the Commission. 

Since  the  objectives  of  the  proposed  actions,  as  set  out  in  Article  3,  by  their  very  nature, 
cannot be sufficiently achieved by the Member States and can therefore by reason of scale and 
effects  of  the  action  be  better  achieved  at  Union  level,  the  Union  may  adopt  measures,  in 
accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European 

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Union. In accordance with the principle of proportionality, as also set out in that Article, this 
Regulation does not go beyond what is necessary in order to achieve those objectives. 

4. 

BUDGETARY IMPLICATION  

The  total  financial  envelope  for  the  LIFE  Programme  in  the  MFF  Communication  for  the 
period  2014-2020  expressed  in  current  prices  is  €3,618  million. 21  Of  this  amount  €2,713.5 
million  is  allocated  to  the  sub-programme  for  Environment,  of  which  half  of  the  resources 
dedicated  to  projects  financed  by  way  of  action  grants  shall  be  allocated  to  support  the 
conservation of nature and biodiversity. €904.5 million is allocated  to the sub-programme for 
Climate Action.  

21 

This corresponds to €3.2 billion in constant prices.  

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2011/0428 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on the establishment of a Programme for the Environment and Climate Action (LIFE) 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 192 thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the draft legislative act to the national Parliaments, 

Having regard to the opinion of the European Economic and Social Committee22,  

Having regard to the opinion of the Committee of the Regions23,  

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

Union  environmental  and  climate  policy  and  legislation  have  delivered  substantial 
improvements  to  the  state  of  the  environment.  However,  major  environmental  and 
climate  challenges  remain,  which 
left  unaddressed,  will  have  significant 
consequences for Europe.  

if 

These environmental and climate challenges, due to their scale and complexity, should 
be  funded  primarily  through  the  Union's  major  funding  programmes.  In  its 
Communication to the European Parliament, the Council, the European Economic and 
Social  Committee  and  the  Committee  of  the  Regions  "A  Budget  for  Europe  2020"24 
(the  "MFF  Communication"),  recognising 
the 
Commission  stated  that  it  intends  to  increase  the  climate  related  proportion  of  the 
Union  budget  to  at  least  20%  with  contribution  from  different  policies.  This 
Regulation should contribute to that goal.  

the  climate  change  challenge, 

(3) 

Those Union funding programmes cannot address all environmental and climate action 
specific needs. For environment and  climate action, specific approaches are required 

22 
23 
24 

OJ C , , p. . 
OJ C , , p. . 
COM(2011)500 final, 29.6.2011. 

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9 

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to deal with uneven integration of their objectives into Member States practice, uneven 
and  inadequate  implementation  of  the  legislation  in  the  Member  States,  and 
insufficient dissemination and promotion of policy goals. It is appropriate to continue 
the  LIFE  Programme  regulated  by  Regulation  (EC)  No  614/2007  of  the  European 
Parliament and of the Council of 23 May 2007 concerning the Financial Instrument for 
the  Environment  (LIFE+)25  and  adopt  a  new  Regulation.  Therefore,  this  Regulation 
should  establish  a  dedicated  funding  Programme  for  the  Environment  and  Climate 
Action (the "LIFE Programme"). 

Environmental  assets  are  unevenly  distributed  across  the  Union,  but  their  benefits 
concern and are felt by the Union as a whole. The Union's obligation to preserve those 
assets calls for a consistent application of the principles of solidarity and responsibility 
sharing, which imply that some Union environmental and climate problems are better 
addressed at regional or local level. The LIFE Programme plays an essential role for 
better  distribution  of  solidarity  and  responsibility  sharing  in  preserving  the  Union 
environmental and climate common good.  

Given its characteristics and size, the LIFE Programme cannot solve all environmental 
and  climate  problems.  Rather,  its  objective  should  be  to  catalyse  changes  in  policy 
development  and  implementation  by  providing  and  disseminating  solutions  and  best 
practices to achieve environmental and climate goals. 

This Regulation lays down, for the entire duration of the LIFE Programme, a financial 
envelope of €3,618 million 26 constituting the prime reference, within the meaning of 
point  17  of  the  Commission  Proposal  for  an  Interinstitutional  Agreement  of  29  June 
2011  between  the  European  Parliament,  the  Council  and  the  Commission  on 
cooperation  in  budgetary  matters  and  on  sound  financial  management27,  for  the 
budgetary authority during the annual budgetary procedure.  

In line with the conclusions of the Luxembourg European Council of December 1997 
and of the Thessaloniki European Council of June 2003, candidate countries and the 
Western  Balkan  countries  in  the  Stabilisation  and  Association  Process  as  well  as 
countries to which the European Neighbourhood  Policy  applies  should be eligible to 
participate in Union programmes, in accordance with the conditions established in the 
relevant bilateral agreements concluded with those countries. 

For  environmental  and  climate  action-related  investments  within  the  Union  to  be 
effective,  some  activities  need  to  be  implemented  outside  its  borders.  Those 
investments may not always be financed under the Union's external action instruments. 
Interventions 
the  LIFE  Programme, 
and participation of legal persons based on those countries in activities financed under 
the LIFE Programme should exceptionally be possible provided specific conditions are 
met.  

in  countries not  directly  participating 

in 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

This Regulation should also provide a framework for cooperation with and support to 
relevant  international  organisations  in  view  of  ensuring  environmental  and  climate 

25 
26 
27 

OJ L 149, 9.6.2007, p.1. 
All figures in current prices. 
COM(2011) 403 final, 29.6.2011. 

EN 

10 

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policy needs that do not fall within the scope of external action instruments, such as 
certain studies.  

(10)  Environmental and climate requirements should be integrated into Union's policies and 
activities.  The  LIFE  Programme  should  therefore  be  complementary  to  other  Union 
funding  programmes,  including  the  European  Regional  Development  Fund,28  the 
European  Social  Fund,29  the  Cohesion  Fund,30  the  European  Agriculture  Guarantee 
Fund,31the  European  Agricultural  Fund  for  Rural  Development,32  the  European 
Maritime  and  Fisheries  Fund,33  and  Horizon  2020.34  The  Commission  and  Member 
States  should  ensure  such  complementarity  at  all 
level, 
complementarity should be ensured by establishing a structured cooperation between 
the LIFE Programme  and  the  shared-management Union funding programmes  in the 
Common  Strategic  Framework,35  in  particular  to  promote  funding  of  activities  that 
complement  Integrated  Projects  or  support  the  use  of  solutions,  methods  and 
approaches developed under the LIFE Programme. The LIFE Programme should also 
encourage  the  uptake  of  environmental  and  climate-related  research  and  innovation 
results  of  Horizon  2020.  Within  this  context it should offer co-funding opportunities 
for projects with clear environmental and climate benefits in order to ensure synergies. 
Coordination is required to prevent double funding.  

levels.  At  Union 

(11)  Halting  and  reversing  the  loss  of  biodiversity  and  improving  resource  efficiency, 
together  with  addressing  environment  and  health  related  concerns,  remain  key 
challenges for the Union. These challenges require increased efforts at Union level to 
provide  solutions  and  best  practices  that  help  achieving  the  targets  of  the 
Communication from the Commission "Europe 2020: a strategy for smart, sustainable 
and  inclusive  growth"  (hereinafter  the  "Europe  2020  Strategy")36.  In  addition, 
improved  governance,  in  particular  through  awareness  raising  and  stakeholders' 
involvement,  is  essential  to  deliver  environmental  objectives.  Therefore  the  sub-
programme for Environment should have three priority areas for action: Environment 
and  Resource  Efficiency,  Biodiversity,  and  Environmental  Governance  and 
Information.  It  should  be  possible  for  projects  financed  by  the  LIFE  Programme  to 
contribute  to  the  achievement  of  the  specific  objectives  of  more  than  one  of  those 
priority areas and to involve the participation of more than one Member State.  

(12)  The  Communication  from  the  Commission  to the  European  Parliament,  the  Council, 
the  European  Economic  and  Social  Committee  and  the  Committee  of  the  Regions 
"Roadmap to a Resource Efficient Europe"37 (hereinafter the "Roadmap to a Resource 
Efficient Europe") has set forth the milestones and actions that are needed to put the 
Union on a path to a resource-efficient and sustainable growth. Therefore, the priority 
area Environment and Resource Efficiency should support effective implementation of 

28 
29 
30 
31 
32 
33 
34 
35 
36 
37 

OJ L …p. [ref. ERDF] 
OJ L…p. [ref. ESF] 
OJ L…p [ref. CF] 
OJ L…p. [ref. EAGF] 
OJ L…p [ref. EAFRD] 
OJ L…p [ref. EMFF] 
OJ L…p [ref. Horizon 2020] 
[Ref. to be added once adopted] 
COM(2010) 2020 final, 3.3.2010. 
COM(2011) 571 final, 20.9.2011. 

EN 

11 

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Union  environmental  policy  by  the  public  and  private  sectors,  in  particular  in  the 
environmental  sectors  covered  by  the  Roadmap  to  a  Resource  Efficient  Europe,  by 
facilitating the development and sharing of new solutions and best practices. However, 
it should exclude those eco-innovation activities that overlap with Horizon 2020.  

(13)  The  Communication  from  the  Commission  to the  European  Parliament,  the  Council, 
the  European  Economic  and  Social  Committee  and  the  Committee  of  the  Regions 
"Our  life  insurance,  our  natural  capital:  an  EU  biodiversity  strategy  to  2020"  38 
(hereinafter the "Union Biodiversity Strategy to 2020") has set up targets to halt and 
reverse biodiversity loss. These targets include, among others, the full implementation 
of  Council  Directive  92/43/EEC  of  21  May  1992  on  the  conservation  of  natural 
habitats  and  of  wild  fauna  and  flora39  and  Directive  2009/147/EC  of  the  European 
Parliament  and  of  the  Council  of  30  November  2009  on  the  conservation  of  wild 
birds40, as well as maintaining and restoring ecosystems and their services. The LIFE 
Programme  should  contribute  to  achieving  those  targets.  Therefore,  the  priority  area 
Biodiversity should focus on the implementation and management of the Natura2000 
network  set  up  by  Council  Directive  92/43/EEC,  in  particular  in  relation  to  the 
Prioritised  Action  Frameworks  foreseen  in  Article  8  of  the  same  Directive,  on  the 
development  and  dissemination  of  best  practices  in  relation  to  biodiversity  and 
Directives  2009/147/EC  and  92/43/EEC,  as  well  as  on  the  wider  biodiversity 
challenges identified by the Union Biodiversity Strategy to 2020;  

(14)  Forests  play  a  significant  role  for  environment  and  climate  as  regards,  for  instance, 
biodiversity,  water,  soil,  and  climate  change  mitigation  and  adaptation.  Forests  and 
soils  help  to  regulate  the  climate  by  taking  up  carbon  dioxide  (CO2)  from  the 
atmosphere and store immense amounts of carbon. To optimise that role, the provision 
of  relevant,  compatible  data  and  information  is  necessary.  This  Regulation  should 
therefore  represent  also  a  framework  for  supporting  environmental  and  climate 
synergistic  actions  associated  with  forests  and  soils.  Other  areas  for  increased 
synergies are water scarcity and droughts, as well as management of flood risks. 

(15)  The  Communication  from  the  Commission  to the  European  Parliament,  the  Council, 
the European Economic and Social Committee and the Committee of the Regions "A 
Roadmap for moving to a competitive low carbon economy in 2050"41 (hereinafter the 
"Roadmap  2050")  acknowledged  that  testing  new  approaches  to  climate  change 
mitigation will remain essential for moving to a low-carbon economy. Adaptation to 
climate  change,  as  a  cross-cutting  Union  priority,  will  also  need  to  be  ensured. 
Moreover,  governance  promotion  and  awareness-raising  is  essential  to  deliver 
constructive  results  and  to  ensure  stakeholders'  involvement.  Therefore,  the  sub-
programme  for  Climate  Action  should  support  efforts  contributing  to  three  specific 
priority  areas:  Climate  Change  Mitigation,  Climate  Change  Adaptation  and  Climate 
Governance and Information. It should be possible for projects financed by the LIFE 
Programme  to  contribute  to  the  achievement  of  the  specific  objectives  of  more  than 
one of those priority areas and to involve the participation of more than one Member 
State. 

38 
39 
40 
41 

COM(2011) 244 final, 3.5.2011. 
OJ L 206, 22.7.1992, p.7. 
OJ L 20, 26.1.2010, p.7. 
COM(2011) 112 final, 8.3.2011. 

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12 

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(16)  The priority area Climate Change Mitigation should contribute to the development and 
implementation  of  Union  climate-related  policy  and  legislation,  in  particular  with 
regard  to  greenhouse gas monitoring  and reporting, policies related to land use, land 
use  change  and  forestry,  emissions  trading  system,  Member  States'  effort  to  reduce 
greenhouse  gas  emissions,  carbon  capture  and  storage,  renewable  energy,  energy 
efficiency, transport and fuels, ozone layer protection and fluorinated gases.  

(17)  The  first  consequences  of  climate  change  can  already  be  seen  in  Europe  and 
worldwide,  such  as  extreme  weather  conditions  leading  to  floods  and  droughts,  and 
rising  temperatures  and  sea  levels.  The  priority  area  Climate  Change  Adaptation 
should  therefore  contribute  to  adapt  to  such  impacts  across  populations,  economic 
sectors  and  regions  to  ensure  a  more  resilient  Union  through  specific  adaptation 
measures  and  strategies.  Actions  in  this  field  should  be  complementary  to  actions 
eligible for funding under the civil protection financial instrument. 

linked 

to  achieving  better  governance, 

(18)  Full  implementation  of  environmental  and  climate  legislation  and  policy  is 
inextricably 
improving  stakeholder 
involvement and disseminating information. Therefore, the priority areas Governance 
and Information should in both sub-programmes support the development of platforms 
and sharing of best practices for better compliance and enforcement, and to generate 
support from the public and stakeholders for Union's policy making efforts in the areas 
of  environment  and  climate.  In  particular,  they  should  support  improvements  in  the 
dissemination  of  knowledge-base,  raising  awareness,  public  participation,  access  to 
information and access to justice on environmental matters.  

(19) 

(20) 

In  the  framework  of  this  Regulation,  support  should  be  provided  in  accordance  with 
Council  Regulation  (EC,  Euratom)  No  1605/2002  of  25  June  2002  on  the  Financial 
Regulation applicable to the general budget of the European Communities.42 Projects 
financed pursuant to the LIFE Programme should meet eligibility criteria to secure the 
best  possible  use  of  Union  Funds  and  to  ensure  European  added  value.  Those  with 
cross-sectoral  impacts  should  be  encouraged.  The  Commission  should  also  promote 
and  encourage  the  use  of  green  public  procurement  especially  when  implementing 
projects.  

In  order  to  maintain  a  level  playing  field  for  all  undertakings  active  in  the  internal 
market  and  to  avoid  undue  distortions  of  competition,  funding  provided  under  the 
LIFE  Programme  should  be  addressed,  where  appropriate,  to  market  failures. 
Moreover, in case it constitutes state aid within the meaning of Article 107(1) of the 
Treaty on the Functioning of the European Union, it should be designed in compliance 
with state aid rules so as to prevent market distortions, such as crowding-out of private 
funding, creating ineffective market structures or preserving inefficient firms, and may 
not  be  put  into  effect  until  it  is  approved  by  the  Commission  in  accordance  with 
Article 108(3) of the Treaty, unless it complies with a regulation adopted pursuant to 
Council Regulation (EC) No 994/98 of 7 May 1998 on the application of Articles 92 
and  93  of  the  Treaty  establishing  the  European  Community  to  certain  categories  of 
horizontal State aid43. 

42 
43 

OJ L 248, 16.9.2002, p.1. 
OJ L 142, 14.05.1998, p.1. 

EN 

13 

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(21) 

those  projects  should  focus  primarily  on 

In  order  to  improve  the  implementation  of  environmental  and  climate  policy  and 
enhance the integration of environmental and climate objectives in other policies, the 
LIFE  Programme  should  promote  projects  that  support  integrated  approaches  to  the 
implementation  of  environmental  and  climate  legislation  and  policy.  For  the  sub-
the 
programme  for  Environment, 
implementation of the Union Biodiversity Strategy to 2020, with particular regard to 
the  effective  management  and  consolidation  of  the  Natura2000  network  set  up  by 
Council  Directive  92/43/EEC  through  the  implementation  of  Prioritised  Action 
Frameworks foreseen in Article 8 of the same Directive, of Directive 2000/60/EC of 
the  European  Parliament  and  of  the  Council  of  23  October  2000  establishing  a 
framework for the Community action in the field of water policy,44 and of the Waste 
and  Air  legislation.  Those  projects,  while  focusing  on  the  themes  identified,  will  be 
multi-purpose delivery mechanism (e.g. aiming at environmental benefits and capacity 
building)  allowing  to  reach  results  in  other  policy  areas,  in  particular  Directive 
2008/56/EC  of  the  European  Parliament  and  of  the  Council  of  17  June  2008 
establishing a framework for Community action in the field of marine environmental 
policy  (Marine  Strategy  Framework  Directive).45  Those  types  of  projects  could  be 
envisaged  in  other  environmental  areas.  For  the  sub-programme  for  Climate  Action, 
those  projects  should  in  particular  concern  climate  change  mitigation  and  adaptation 
strategies  and  action  plans.  Those  types  of  projects  should  support  only  a  series  of 
specific activities and measures, while other activities that complement those included 
in  the  project  should  be  sourced  from  other  Union  funding  programmes,  as  well  as 
from  national,  regional  and  private  sector  funds.  Funding  through  the  LIFE 
Programme should exploit synergies and ensure consistency between different Union 
funding sources by providing a strategic environmental and climate focus.  

(22)  The  Union  is  a  party  to  the  United  Nations  Economic  Commission  for  Europe 
(UNECE)  Convention  on  Access  to  Information,  Public  Participation  and  Access  to 
Justice in Environmental matters (hereinafter the “Aarhus Convention”). The work of 
non-governmental organisations (NGOs) should therefore be supported, since they are 
effective in supporting the aims of the Aarhus Convention by advocating the concerns 
and  views  of  Union  citizens  as  part  of  the  policy  development  process  as  well  as  in 
supporting its implementation, and in raising awareness on environmental and climate 
related  problems  and  policy  responses.  It  is  appropriate  for  the  LIFE  Programme  to 
support  a  broad  range  of  NGOs  of  Union  interest,  primarily  active  in  the  field  of 
environment and/or climate action, through the competitive and transparent awarding 
of  operating  grants,  in  order  to  help  them  making  effective  contributions  to  Union 
policy,  as  well  as  building  up  and  strengthening  their  capacity  to  become  more 
efficient partners.  

(23) 

In  order  to  carry  out  its  role  in  the  initiation  of  environmental  and  climate  policy 
development  and  implementation,  the  Commission  should  use  resources  from  the 
LIFE  Programme  to  support  the  initiation,  implementation  and  mainstreaming  of 
Union  environmental  and  climate  policy  and  legislation,  including  the  purchase  of 
services  and  goods.  Financial  resources  allocated  to  communication  activities  under 

44 
45 

OJ L 327, 22.12.2000, p. 1. 
OJ L 164, 25.6.2008, p. 19. 

EN 

14 

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this Regulation shall also cover corporate communication on the political priorities of 
the Union. 46  

(24)  The current gap in the market between the demand for and supply of loans, equity and 
risk capital is likely to persist in the context of a financial crisis and, it is appropriate, 
therefore,  to  allow  the  use  of  financial  instruments  to  support  projects  with  revenue 
generating  capacity  in  the  areas  of  environment  or  climate.  Financial  instruments 
supported by the LIFE Programme should be used to address specific market needs in 
a  cost  effective  way,  in  line  with  the  objectives  of  the  Programme,  and  should  not 
crowd  out  private  financing.  Financial  instruments  may  be  combined  with  grants 
funded from the Union budget, including under this Regulation.  

(25)  The  experience  of  past  instruments  has  highlighted  the  need  to  program  on  a  multi-
annual  basis  and  to  focus  efforts  on  concrete  environmental  and  climate  policy 
priorities and areas for action. Such multiannual work programmes should be flexible 
to achieve the LIFE Programme targets and objectives, while providing the necessary 
stability of priority areas for potential applicants to plan, prepare and submit proposals. 
In  this  view,  those  multiannual  work  programmes  should  be  valid  for  at  least  two 
years with non-exhaustive priorities.  

(26)  With a view to simplifying the LIFE Programme and reducing administrative burden 
for applicants and beneficiaries, more use should be made of flat rates and lump-sums, 
and  funding  should  focus  on  more  specific  categories  of  costs.  By  way  of 
compensation  for  ineligible  costs  and  in  order  to  maintain  the  effective  level  of 
support  provided  by  the  LIFE  Programme,  the  co-funding  rates  should  be  70%  as  a 
general rule and 80% in specific cases. 

(27)  The  LIFE  Programme  and  the  sub-programmes  should  be  regularly  monitored  and 
evaluated  based  on  corresponding  indicators  to  allow  for  readjustments.  In  order  to 
provide  evidence  of  the  co-benefits  that  both  sub-programmes  can  bring  to  climate 
action  and  biodiversity,  and  to  provide  information  on  the  level  of  spending,  the 
monitoring  of  the  LIFE  Programme  should  track  climate-related  expenditure  and 
biodiversity-related  expenditure,  as  defined  in  the  MFF  Communication.  Such 
tracking  should  be  performed  based  on  a  simple  methodology  by  placing  the 
expenditure in one of three categories: climate/biodiversity related only (to be counted 
as  100%),  significantly  climate/biodiversity  related  (to  be  counted  as  40%),  and  not 
climate/biodiversity  related  (to  be  counted  as  0%).  That  methodology  should  not 
exclude the use of more precise methodologies, where appropriate. 

(28)  The  financial  interests  of  the  Union  should  be  protected  through  proportionate 
measures  throughout  the  expenditure  cycle,  including  the  prevention,  detection  and 
investigation of irregularities, the recovery of funds lost, wrongly paid or incorrectly 
used and, where appropriate, penalties. 

(29) 

In order to ensure uniform conditions for the implementation of this Regulation related 
to the adoption of the multiannual work programmes, implementing powers should be 
conferred on the Commission. Those powers should be exercised in accordance with 
Regulation  (EU)  No  182/2011of  the  European  Parliament  and  of  the  Council  of  16 

46 

COM(2011) 500 final, 29.06.2011, Part II (Policy fiches), p. 7. 

EN 

15 

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February  2011  laying  down  the  rules  and  general  principles  concerning  mechanisms 
for control by Member States of the Commission’s exercise of implementing powers.47 

(30) 

In order to secure the best possible use of Union funds and to ensure European added 
value,  the  power  to  adopt  acts  in  accordance  with  Article  290  of  the  Treaty  on  the 
Functioning of the European Union should be delegated to the Commission in respect 
of  eligibility  criteria  for  project  selection,  criteria  for  the  application  of  geographical 
balance  to  “Integrated  Projects”,  and  performance  indicators  applicable  to  specific 
thematic  priorities.  It  is  of  particular  importance  that  the  Commission  carry  out 
appropriate  consultations  during  its  preparatory  work,  including  at  expert  level.  The 
Commission,  when  preparing  and  drawing  up  delegated  acts,  should  ensure  a 
simultaneous,  timely  and  appropriate  transmission  of  relevant  documents  to  the 
European Parliament and to the Council.  

(31)  Regulation (EC) No 614/2007 should therefore be repealed. 

(32)  To ensure efficient transition between the LIFE Programme and the measures adopted 
under Regulation (EC) No 614/2007, it is necessary to continue to monitor, audit and 
qualitatively assess the activities financed under that Regulation following its expiry. 

(33)  The added value of the LIFE Programme derives from the specificity of its approach 
and  focus  which  make  its  interventions  especially  adapted  to  the  environmental  and 
climate  needs.  The  LIFE  Programme  can  contribute 
to  a  more  effective 
implementation  of  environmental  policies  than  Member  State  single  action  through 
increased  pooling  of  resources  and  expertise.  It  also  provides  the  platform  for 
developing and exchanging best practices and knowledge, improving, catalysing, and 
accelerating  changes  in  the  implementation  of  the  acquis,  and  building  capacity, 
supporting private actors in testing small-scale technologies and solutions, especially 
by  SMEs,  and  allowing  Member  States  and  stakeholders  to  learn  from  each  other. 
Moreover,  the  LIFE  Programme  creates  synergies  across  Union  and  national  funds 
while  leveraging  additional  private  sector  funds,  thereby  increasing  the  coherence  of 
Union intervention and promoting a more homogenous implementation of the acquis. 

(34)  Since 

the  objectives  of 

the  proposed  actions,  namely  contributing 

the 
implementation  and  development  of  Union  environmental  and  climate  policy  and 
legislation,  including  the  integration  of  the  environment  and  climate  objectives  into 
other  policies,  and  promoting  better  governance,  cannot  be  sufficiently  achieved  by 
the  Member  States  and  can  therefore  by  reason  of  scale  and  effects  of  the  action  be 
better achieved at Union level, the Union may adopt measures, in accordance with the 
principle  of  subsidiarity  as  set  out  in  Article  5  of  the  Treaty  on  European  Union.  In 
accordance  with  the  principle  of  proportionality,  as  set  out  in  that  Article,  this 
Regulation does not go beyond what is necessary in order to achieve those objectives, 

to 

47 

OJ L 55, 28.2.2011, p.13 

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HAVE ADOPTED THIS REGULATION: 

TITLE I 

THE PROGRAMME FOR THE ENVIRONMENT AND CLIMATE ACTION (LIFE) 

Article 1 

Establishment  

A  Programme  for  the  Environment  and  Climate  Action  covering  the  period  from  1  January 
2014 to 31 December 2020 (hereinafter the “LIFE Programme”), is hereby established. 

Article 2 

Definitions 

For the purposes of this Regulation, the following definitions apply: 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

"pilot  projects"  mean  projects  that  apply  a  technique  or  method  that  has  not 
been  applied  or  tested  before,  or  elsewhere,  and  that  offer  potential 
environmental or climate advantages compared to current best practice; 

“demonstration projects” mean projects that put into practice, test, evaluate and 
disseminate actions, methodologies or approaches that are new or unknown in 
the project's specific context, such as geographical, ecological, socio-economic, 
and that could be applied elsewhere in similar circumstances;  

“best  practice  projects”  mean  projects  that  apply  appropriate,  cost-effective, 
state-of-the-art  techniques,  methods  and  approaches  taking  into  account  the 
specific context of the project; 

“integrated projects” mean projects implementing in a sustainable manner, on a 
large  territorial  scale,  in  particular,  regional,  multi-regional  or  national  scale, 
environmental  or  climate  strategies  or  action  plans  required  by  specific 
environmental  or  climate  Union  legislation,  pursuant  to  other  Union  acts  or 
developed by Member States' authorities; 

“technical  assistance  projects”  mean  projects  aimed  at  supporting  the 
preparation of integrated projects referred to in point (d); 

“preparatory  projects”  mean  projects  in  support  of  specific  needs  for  the 
implementation  and  development  of  Union  environmental  or  climate  policy 
and legislation. 

Article 3 

Objectives and indicators  

EN 

17 

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1. 

The LIFE Programme shall in particular have the following general objectives: 

(a) 

(b) 

to contribute to the shift towards a resource-efficient, low-carbon and climate- 
resilient  economy,  to  the  protection  and  improvement  of  the  quality  of  the 
environment and to halting and reversing biodiversity loss;  

to  improve  the  development,  implementation  and  enforcement  of  Union 
environmental and climate policy and legislation, and to catalyse and promote 
integration  and  mainstreaming  of  environmental  and  climate  objectives  into 
other  Union  policies  and  public  and  private  sector  practice,  including  by 
increasing their capacity;  

(c) 

to support better environmental and climate governance at all levels.  

In doing so, the LIFE Programme shall contribute to sustainable development and the 
achievement of the Europe 2020 Strategy's objectives and targets. 

2. 

The performance of the LIFE Programme shall be assessed, in particular, against the 
following indicators:  

(a) 

(b) 

(c) 

(d) 

attributable environmental and climate improvements, as regards the objective 
referred to in point (a) of paragraph 1. In relation to the objective to contribute 
to  halting  and  reversing  biodiversity 
loss,  attributable  environmental 
improvements  shall  be  measured  through  the  percentage  of  the  Natura2000 
network  restored  or  brought  to  adequate  management,  surface  of  ecosystem 
services  restored,  and  number  and  type  of  habitats  and  species  targeted 
improving conservation status;  

the  number  of  interventions  developed  or  undertaken  that  implement  plans, 
programmes  or  strategies  pursuant  to  Union  environmental  or  climate  policy 
and legislation, and the number of interventions suitable for being replicated or 
to  development  and 
linked 
transferred,  as 
implementation referred to in point (b) of paragraph 1; 

the  objectives 

regards 

the  number  of  interventions  achieving  synergies  with  or  mainstreamed  into 
other  Union  funding  programmes,  or  integrated  into  public  or  private  sector 
practice,  as  regards  the  objectives  linked  to  integration  and  mainstreaming 
referred to in point (b) of paragraph 1; 

the  number  of  interventions  to  ensure  better  governance,  dissemination  of 
information and awareness on environmental and climate aspects as regards the 
objective referred to in point (c) of paragraph 1; 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 30 concerning the performance indicators in view of their application to the 
thematic  priorities  as  defined  in  the  multiannual  work  programmes  referred  to  in 
Article 24. 

3. 

The objectives referred to in paragraph 1 shall be pursued through the following sub-
programmes (hereinafter the “sub-programmes”): 

(a) 

the sub-programme for Environment; 

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(b) 

the sub-programme for Climate Action. 

Article 4 

Budget 

1. 

2. 

The financial envelope for implementing the LIFE Programme shall be EUR 3 618 
000 000.48 

The budgetary breakdown for the sub-programmes shall be as follows: 

(a)  EUR 2 713 500 000 of the overall financial envelope referred to in paragraph 1 

shall be allocated to the sub-programme for Environment; 

(b)  EUR 904 500 000 of the overall financial envelope referred to in paragraph 1 

shall be allocated to the sub-programme for Climate Action. 

Article 5 

Participation of third countries in the LIFE Programme 

The LIFE Programme shall be open to the participation of the following countries: 

(a)  European  Free  Trade  Association  (EFTA)  countries  which  are  parties  to  the 

Agreement on the European Economic Area (EEA); 

(b) 

candidate countries, potential candidates and acceding countries to the Union; 

(c) 

countries to which the European Neighbourhood Policy applies; 

(d) 

countries  which  have  become  members  of  the  European  Environmental 
Agency in accordance with Council Regulation (EC) No 993/1999 of 29 April 
1999  amending  Regulation  (EEC)  No  1210/90  on  the  establishment  of  the 
European  Environmental  Agency  and  the  European  environment  information 
and observation network49. 

Such participation shall be done in accordance with the conditions laid down in the respective 
bilateral or multilateral agreements establishing the general principles for their participation in 
Union programmes. 

Article 6 

Activities outside the Union  

1. 

48 
49 

EN 

Without prejudice to Article 5, the LIFE Programme may finance activities outside 
to  achieve  Union 
the  Union,  provided 

those  activities  are 

indispensable 

All figures in current prices. 
OJ L 117, 5.5.1999, p. 1. 

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environmental and climate objectives or to ensure the effectiveness of interventions 
carried out in the Member States. 

2. 

A  legal  person  established  outside  the  Union  may  be  able  to  participate  in  the 
projects referred to in Article 18, provided the beneficiary coordinating the project is 
based  in  the  Union  and  the  activity  to  be  carried  out  outside  the  Union  meets  the 
requirements set out in paragraph 1. 

Article 7 

International cooperation 

In the course of implementing the LIFE Programme, cooperation with relevant international 
organisations, their institutions and bodies, shall be possible where needed for the purpose of 
achieving the objectives referred to in Article 3.  

Article 8 

Complementarity 

1. 

2. 

3. 

4. 

The  Commission  and  the  Member  States  shall  ensure  that  support  from  the  LIFE 
Programme  is  consistent  with  the  policies  and  priorities  of  the  Union  and 
complementary to other instruments of the Union. 

Operations  financed  under  the  LIFE  Programme  shall  comply  with  Union  and 
national law, including Union State aid rules. In particular, funding under the LIFE 
Programme  which  constitutes  state  aid  within  the  meaning  of  Article  107(1)  of  the 
Treaty on the Functioning of the European Union shall be notified by Member States 
to  the  Commission  and  may  not  be  put  into  effect  until  it  is  approved  by  the 
Commission in accordance with Article 108(3) of the Treaty, unless it complies with 
a regulation adopted pursuant to Council Regulation (EC) No 994/98. 

In accordance with their respective responsibilities, the Commission and the Member 
States  shall  ensure  coordination  between  the  LIFE  Programme  and  the  European 
Regional  Development  Fund,  the  European  Social  Fund,  the  Cohesion  Fund,  the 
European Agricultural Fund for Rural Development, and the European Maritime and 
Fisheries Fund, in order to create synergies, particularly in the context of Integrated 
Projects  referred  to  in  Article  18  point  (d),  and  to  support  the  use  of  solutions, 
methods  and  approaches  developed  under  the  LIFE  Programme.  At  Union  level, 
coordination shall take place within the Common Strategic Framework referred to in 
Article 10 of Regulation (EU) No…. (CSF Regulation). 

The  Commission  shall  also  ensure  consistency  and  synergies,  and  avoid  overlap 
between the LIFE Programme and other Union policies and instruments, in particular 
Horizon 2020 and those in the framework of Union's external action.  

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TITLE II 

THE SUB-PROGRAMMES 

CHAPTER 1 

The sub-programme for Environment 

Article 9 

Specific priority areas of the sub-programme for Environment 

1. 

The sub-programme for Environment shall have three priority areas: 

– 

– 

– 

Environment and Resource Efficiency; 

Biodiversity; 

Environmental Governance and Information. 

2. 

At  least  50%  of  the  budgetary  resources  allocated  to  projects  supported  by  way  of 
action  grants  under  the  sub-programme  for  Environment  shall  be  dedicated  to 
projects supporting the conservation of nature and biodiversity. 

Article 10 

Specific objectives for the priority area Environment and Resource Efficiency  

The  specific  objectives  of  the  sub-programme  for  Environment  for  the  priority  area 
Environment and Resource Efficiency shall in particular be: 

(a) 

(b) 

(c) 

to  develop,  test  and  demonstrate  policy  or  management  approaches,  best 
practices,  and  solutions  to  environmental  challenges,  suitable  for  being 
replicated,  transferred  or  mainstreamed,  including  with  respect  to  the  link 
between environment and health, and in support of resource efficiency-related 
policy and legislation, including the Roadmap to a Resource Efficient Europe; 

to  support  the  application,  development,  testing  and  demonstration  of 
integrated  approaches  for  the  implementation  of  plans  and  programmes 
pursuant to Union environmental policy and legislation, primarily in the areas 
of water, waste and air;  

to  improve  the  knowledge  base  for  the  development,  assessment,  monitoring 
and  evaluation  of  Union  environmental  policy  and  legislation,  and  for  the 
assessment and monitoring of the factors, pressures and responses that impact 
on the environment within and outside the Union.  

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Article 11 

Specific objectives for the priority area Biodiversity 

The  specific  objectives  of  the  sub-programme  for  Environment  for  the  priority  area 
Biodiversity shall in particular be: 

(a) 

(b) 

(c) 

to contribute to the implementation of Union policy and legislation in the area 
of  biodiversity,  including  the  Union  Biodiversity  Strategy  to  2020,  Directive 
2009/147/EC and Directive 92/43/EEC, in particular by applying, developing, 
testing and demonstrating approaches, best practices and solutions; 

to  support  the  further  development,  implementation  and  management  of  the 
Natura 2000 network set up in Article 3 of Directive 92/43/EEC, in particular 
the  application,  development, 
integrated 
approaches  for  the  implementation  of  the  Prioritised  Action  Frameworks 
referred to in Article 8 of Directive 92/43/EEC;  

testing  and  demonstration  of 

to  improve  the  knowledge  base  for  the  development,  assessment,  monitoring 
and  evaluation  of  Union  biodiversity  policy  and  legislation,  and  for  the 
assessment and monitoring of the factors, pressures and responses that impact 
on the biodiversity within and outside the Union.  

Article 12 

Specific objectives for the priority area Environmental Governance and Information  

The  specific  objectives  of  the  sub-programme  for  Environment  for  the  priority  area 
Environmental Governance and Information shall in particular be: 

(a) 

(b) 

(c) 

to  promote  awareness  raising  on  environmental  matters,  including  generating 
public  and  stakeholders  support  to  Union  policy-making  in  the  field  of 
environment, and to promote education for sustainable development; 

 to  support  communication,  management,  and  dissemination  of  information  in 
the  field  of  environment,  and  to  facilitate  knowledge  sharing  on  successful 
environmental  solutions  and  practice,  including  by  developing  cooperation 
platforms between stakeholders and training; 

to  promote  and  contribute  to  a  more  effective  compliance  with  and 
enforcement of Union environmental legislation, in particular by promoting the 
development and dissemination of best practices and policy approaches; 

(d) 

to  promote  better  environmental  governance  by  broadening  stakeholder 
involvement, including NGOs, in policy consultation and implementation. 

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CHAPTER 2 

The sub-programme for Climate Action 

Article 13 

Specific priority areas of the sub-programme for Climate Action 

The sub-programme for Climate Action shall have three priority areas: 

– 

– 

– 

Climate Change Mitigation; 

Climate Change Adaptation; 

Climate Governance and Information. 

Article 14 

Specific objectives for the priority area Climate Change Mitigation 

In view of contributing to the reduction of greenhouse gas emissions, the priority area Climate 
Change Mitigation shall in particular have the following specific objectives: 

(a) 

(b) 

(c) 

(d) 

to  contribute  to  the  implementation  and  development  of  Union  policy  and 
legislation  on  mitigation,  including  mainstreaming  across  policy  areas,  in 
particular  by  developing,  testing  and  demonstrating  policy  or  management 
approaches, best practices and solutions for climate change mitigation; 

to  improve  the  knowledge  base  for  the  development,  assessment,  monitoring, 
evaluation  and  implementation  of  effective  mitigation  actions  and  measures 
and to enhance the capacity to apply that knowledge in practice; 

to  facilitate  the  development  and  implementation  of  integrated  approaches, 
such as for mitigation strategies and action plans, at local, regional or national 
level; 

to  contribute  to  the  development  and  demonstration  of  innovative  mitigation 
technologies,  systems,  methods  and  instruments  that  are  suitable  for  being 
replicated, transferred or mainstreamed. 

Article 15 

Specific objectives for the priority area Climate Change Adaptation 

In view of contributing to supporting efforts leading to increased resilience to climate change, 
the  priority  area  Climate  Change  Adaptation  shall  in  particular  have  the  following  specific 
objectives: 

(a) 

to  contribute  to  the  development  and  implementation  of  Union  policy  and 
legislation  on  adaptation,  including  mainstreaming  across  policy  areas,  in 

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particular  by  developing,  testing  and  demonstrating  policy  or  management 
approaches, best practices, and solutions, for climate change adaptation; 

to  improve  the  knowledge  base  for  the  development,  assessment,  monitoring, 
evaluation  and  implementation  of  effective  adaptation  actions  and  measures 
and to enhance the capacity to apply that knowledge in practice; 

to  facilitate  the  development  and  implementation  of  integrated  approaches, 
such as for adaptation strategies and action plans, at local, regional or national 
level;  

to  contribute  to  the  development  and  demonstration  of  innovative  adaptation 
technologies,  systems,  methods  and  instruments  that  are  suitable  for  being 
replicated, transferred or mainstreamed. 

(b) 

(c) 

(d) 

Article 16 

Specific objectives for the priority area Climate Governance and Information  

The  specific  objectives  of  the  priority  area  Climate  Governance  and  Information  shall  in 
particular be: 

(a) 

(b) 

(c) 

to  promote  awareness  raising  on  climate  matters,  including  generating  public 
and stakeholders support to Union policy-making in the field of climate, and to 
promote education for sustainable development; 

 to  support  communication,  management,  and  dissemination  of  information  in 
the  field  of  climate  and  to  facilitate  knowledge  sharing  on  successful  climate 
solutions and practice, including by developing cooperation platforms between 
stakeholders and training; 

to  promote  and  contribute  to  a  more  effective  compliance  with  and 
enforcement  of  Union  climate  legislation,  in  particular  by  promoting  the 
development and dissemination of best practices and policy approaches; 

(d) 

to promote better climate governance by broadening stakeholder involvement, 
including NGOs, in policy consultation and implementation. 

TITLE III 

COMMON IMPLEMENTING PROVISIONS 

CHAPTER 1 

Funding 

Article 17 

Types of funding 

24 

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1. 

Union funding may take the following legal forms: 

(a)  grants;  

(b)  public procurement contracts; 

(c) 

contributions to financial instruments in accordance with the general provisions 
for  financial  instruments  set  out  in  Regulation  (EC,  Euratom)  No  1605/2002 
and with more operational requirements set out in specific Union acts; 

(d) 

any  other  interventions  needed  for  the  purpose  of  achieving  the  objectives 
referred to in Article 3.  

2. 

3. 

The  Commission  shall  implement  this  Regulation  in  accordance  with  Regulation 
(EC, Euratom) No 1605/2002.  

Funding  under  this  Regulation  which  constitutes  State  aid  within  the  meaning  of 
Article  107(1)  of  the  Treaty  on  the  Functioning  of  the  European  Union  shall  be 
implemented in compliance with the relevant Union State aid rules. 

Article 18 

Projects 

Action grants may finance the following projects: 

(a)  pilot projects; 

(b)  demonstration projects; 

(c)  best practice projects;  

(d) 

integrated  projects  primarily  in  the  areas  of  nature,  water,  waste,  air,  and 
climate change mitigation and adaptation;  

(e) 

technical assistance projects; 

(f) 

preparatory projects;  

(g) 

information, awareness and dissemination projects;  

(h) 

any other projects needed for the purpose of achieving the objectives referred 
to in Article 3.  

Article 19 

Eligibility criteria for projects 

1. 

Projects referred to in Article 18 shall satisfy the following eligibility criteria: 

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(a)  being of Union interest by making a significant contribution to the achievement 

of one of the objectives of the LIFE Programme set out in Article 3; 

(b) 

ensuring  a  cost-effective  approach  and  being  technically  and  financially 
coherent; 

(c)  being sound in the proposed implementation. 

The  Commission  shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article  30  concerning  the  conditions  for  the  application  of  the  criterion  referred  to 
paragraph 1(a) in order to adapt that criterion to the specific priority areas defined in 
Articles 9 and 13.  

Where possible, projects financed by the LIFE Programme shall promote synergies 
between different objectives and promote the use of green public procurement. 

Integrated  Projects  referred  to  in  Article  18  point  (d)  shall  involve,  where 
appropriate,  stakeholders  and  promote,  when  possible,  the  coordination  with  and 
mobilisation of other Union funding sources.  

The  Commission  shall  ensure  geographical  balance  in  line  with  the  principles  of 
solidarity  and  effort  sharing  in  the  award  process  for  Integrated  Projects.  The 
Commission shall be empowered to adopt delegated acts in accordance with Article 
30  concerning  criteria  for  the  application  of  geographical  balance  in  each  thematic 
area referred to in Article 18 point (d).  

The  Commission  shall  have  special  regard  to  transnational  projects  where 
transnational  cooperation  is  essential  to  guarantee  environmental  protection  and 
climate objectives, and shall endeavour to ensure that at least 15% of the budgetary 
resources dedicated to projects are allocated to transnational projects.  

Article 20 

Co-financing rates and eligibility of costs for projects 

The  maximum  co-financing  rate  for  the  projects  referred  to  in  Article  18  shall  be 
70%  of  eligible  costs.  By  way  of  exception,  the  maximum  co-financing  rate  for 
projects referred to in Article 18 points (d) and (f) shall be 80% of eligible costs.  

2. 

3. 

4. 

1. 

2. 

VAT shall not be considered an eligible cost for projects referred to in Article 18. 

Costs relating to the purchase of land shall be considered eligible for Union financing 
for projects referred to in Article 18 provided that: 

– 

– 

the  purchase  will  contribute  to  improving,  maintaining  and  restoring  the 
integrity of the Natura2000 network set up in Article 3 of Directive 92/43/EEC; 

land  purchase  is  the  only  or  most  cost-effective  way  of  achieving  the  desired 
conservation outcome; 

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– 

– 

the  land  purchase  is  reserved  in  the  long  term  for  uses  consistent  with  the 
objectives set out in Articles 11, 14 or 15; and 

the Member State concerned shall, by way of transfer or otherwise, ensure the 
long-term assignment of such land to nature conservation purposes. 

Article 21 

Operating grants 

1. 

2. 

Operating  grants  shall  support  certain  operational  and  administrative  costs  of  non-
profit  making  entities  which  pursue  an  aim  of  general  European  interest,  are 
primarily active in the field of environment and/or climate action and are involved in 
the development, implementation and enforcement of Union policy and legislation.  

The  maximum  rate  of  Union  co-financing  for  operating  grants  referred  to  in 
paragraph 1 shall be 70% of eligible costs.  

Article 22 

Other types of activities  

The LIFE Programme may finance actions implemented by the Commission in support of the 
initiation,  implementation  and  mainstreaming  of  Union  environmental  and  climate  policies 
and  legislation  for  the  purpose  of  achieving  the  objectives  referred  to  in  Article  3.  Such 
actions may include: 

(a) 

information  and  communication,  including  awareness  raising  campaigns. 
Financial  resources  allocated  to  communication  activities  pursuant  to  this 
Regulation shall also cover corporate communication of the political priorities 
of the Union; 

(b) 

studies, surveys, modelling and scenario building; 

(c)  preparation, implementation, monitoring, checking and evaluation of projects, 

policies, programmes and legislation; 

(d)  workshops, conferences and meetings; 

(e)  networking and best-practice platforms; 

(f) 

any other activities needed for the purpose of achieving the objectives referred 
to in Article 3. 

Article 23 

Beneficiaries 

The LIFE Programme may fund public and private bodies.  

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CHAPTER 2 

Implementing measures 

Article 24 

Multiannual work programmes  

1. 

2. 

The  Commission  shall  adopt  multiannual  work  programmes  for  the  LIFE 
Programme.  Those  implementing  acts  shall  be  adopted  in  accordance  with  the 
examination procedure referred to in Article 29(2).  

Each  multiannual  work  programme  shall  have  a  duration  of  at  least  two  years  and 
shall set out, in line with the objectives laid down in Article 3, the following: 

(a) 

the duration of the multiannual work programme; 

(b) 

(c) 

 the allocation of funds between each priority area and between different types 
of funding within each sub-programme; 

 the thematic priorities for projects to be financed for the period covered by the 
multiannual work programme; 

(d)  qualitative  and  quantitative  outcomes,  indicators  and  targets  for  each  priority 
area  and  type  of  projects  for  the  period  covered  by  the  multiannual  work 
programme;  

(e) 

selection and award criteria for grants; 

(f) 

indicative  timetables  for  the  calls  for  proposals  for  the  period  covered  by  the 
multiannual work programme.  

3. 

The Commission shall revise, where appropriate, the multiannual work programmes. 
Those  implementing  acts  shall  be  adopted  in  accordance  with  the  examination 
procedure referred to in Article 29(2). 

Article 25 

Methods of implementation  

The Commission shall implement the actions in pursuit of the objectives referred to in Article 
3 according to the management methods set out in Article 53 of Regulation (EC, Euratom) No 
1605/2002,  in  particular  direct  or  indirect  management  by  the  Commission  on  a  centralised 
basis, or joint management with international organisations. 

Article 26 

Administrative and technical assistance 

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The  financial  allocation  of  the  LIFE  Programme  may  also  cover  necessary  expenditure 
relating  to  preparatory,  monitoring,  control,  audit,  communication  and  evaluation  activities 
required  directly  for  the  management  of  the  LIFE  Programme  and  the  achievement  of  its 
objectives. 

1. 

2. 

Article 27 

Monitoring and evaluation  

The  Commission  shall  regularly  monitor  and  report  on  the  implementation  of  the 
LIFE  Programme  and  its  sub-programmes,  including  the  amount  of  climate-related 
expenditure  and  biodiversity-related  expenditure.  It  shall  also  examine  synergies 
between the LIFE Programme and other complementary Union programmes, and in 
particular between its sub-programmes.  

The Commission shall submit to the European Parliament, the Council, the European 
Economic and Social Committee and the Committee of the Regions: 

(a)  no later than 30 September 2017, an external mid-term evaluation report of the 
LIFE  Programme  (and  its  sub-programmes),  including  qualitative  and 
quantitative  aspects  of  its  implementation,  the  amount  of  climate-related 
expenditure and biodiversity-related expenditure, and its complementarity with 
other relevant Union programmes, the achievement of the objectives of all the 
measures (at the level of results and impacts, when possible), the efficiency of 
the use of resources and its European added value, in view of a decision on the 
renewal,  modification  or  suspension  of  the  measures.  The  evaluation  shall 
additionally  address  the  scope  for  simplification,  its  internal  and  external 
coherence, the continued relevance of all objectives, as well as the contribution 
of  the  measures  to  the  Union  priorities  of  smart,  sustainable  and  inclusive 
growth. It shall take into account evaluation results on the long-term impact of 
its  predecessor.  The  report  shall  be  accompanied  by  remarks  by  the 
Commission  including  the  manner  in  which  the  findings  of  the  mid-term 
evaluation  shall  be  taken  into  account  when  implementing  the  LIFE 
Programme,  and,  in  particular,  when  drawing  up  the  multiannual  work 
programmes;  

(b)  no  later  than  31  December  2023,  an  external  and  independent  ex-post 
evaluation  report  covering  the  implementation  and  results  of  the  LIFE 
Programme  and  its  sub-programmes,  including  the  amount  of  climate  related 
expenditure and biodiversity related expenditure, the extent to which the LIFE 
Programme  as  a  whole,  and  each  of  its  sub-programmes,  has  achieved  its 
objectives,  and  the  contribution  of  the  LIFE  Programme  to  achieving  the 
Europe 2020 Strategy objectives and targets. 

3. 

The Commission shall make the results of the evaluations undertaken pursuant to this 
Article publicly available.  

Article 28 

Protection of the financial interests of the Union 

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1. 

2. 

The  Commission  shall  take  appropriate  measures  to  ensure  that,  when  actions 
financed under this Regulation are implemented, the financial interests of the Union 
are protected by the application of preventive measures against fraud, corruption and 
any other illegal activities, by effective checks and, if irregularities are detected, by 
the  recovery  of  the  amounts  wrongly  paid  and,  where  appropriate,  by  effective, 
proportionate and deterrent penalties.  

The  Commission  or  its  representatives  and  the  Court  of  Auditors  shall  have  the 
power  of  audit,  on  the  basis  of  documents  and  on-the-spot  checks,  over  all 
beneficiaries,  contractors  and  subcontractors  who  have  received  Union  funds  under 
the Programme. 

The  European  Anti-fraud  Office  (OLAF)  may  carry  out  on-the-spot  checks  and 
inspections on economic operators concerned directly or indirectly by such funding 
in  accordance  with  the  procedures  laid  down  in  Regulation  (Euratom,  EC)  No 
2185/96 with a view to establishing whether there has been fraud, corruption or any 
other  illegal  activity  affecting  the  financial  interests  of  the  European  Union  in 
connection with a grant agreement or grant decision or a contract concerning Union 
funding. 

Without  prejudice  to  the  first  and  second  subparagraphs,  cooperation  with  third 
countries  and  international  organisations  and  grant  agreements,  grant  decisions  and 
contracts  resulting  from  the  implementation  of  this  Regulation  shall  expressly 
empower the Commission, the Court of Auditors and OLAF to conduct such audits, 
on-the-spot checks and inspections. 

3. 

The beneficiary of financial assistance shall keep available to the Commission, for a 
period  of  five  years  following  the  last  payment  in  respect  of  any  project,  all 
supporting documents regarding the expenditure on that project. 

TITLE IV 

FINAL PROVISIONS 

Article 29 

Committee procedure 

1. 

2. 

The Commission shall be assisted by the Committee for the LIFE Programme for the 
Environment and Climate Action.  

That  committee  shall  be  a  committee  within  the  meaning  of  Regulation  (EU)  No 
182/2011.  

Where  reference  is  made  to  this  paragraph,  Article  5  of  Regulation  (EU)  No 
182/2011 shall apply. 

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Article 30 

Exercise of the delegation 

1. 

2. 

3. 

4. 

5. 

The  power  to  adopt  delegated  acts  is  conferred  on  the  Commission  subject  to  the 
conditions laid down in this Article.  

The power to adopt delegated acts referred to in Articles 3(2), 19(1) and 19(3) shall 
be conferred on the Commission for an indeterminate period of time from the [date 
of entry into force of this Regulation]. 

The delegation of power referred to in Articles 3(2), 19(1) and 19(3) may be revoked 
at any time by the European Parliament or by the Council. A decision to revoke shall 
put  an  end  to  the  delegation  of  the  power  specified  in  that  decision.  It  shall  take 
effect the day following the publication of the decision in the Official Journal of the 
European Union or at a later date specified therein. It shall not affect the validity of 
any delegated acts already in force.  

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to 
the European Parliament and to the Council.  

A  delegated  act  adopted  pursuant  to  Articles  3(2),  19(1)  or  19(3)  shall  enter  into 
force only if no objection has been expressed either by the European Parliament or 
the Council within a period of two months of notification of that act to the European 
Parliament  and  the  Council  or  if,  before  the  expiry  of  that  period,  the  European 
Parliament  and  the  Council  have  both  informed  the  Commission  that  they  will  not 
object. That period shall be extended by two months at the initiative of the European 
Parliament or of the Council. 

Article 31 

Repeal 

Regulation (EC) No 614/2007 is hereby repealed. 

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

Article 32 

Transitional measures 

1. 

2. 

Measures  started  before  31  December  2013  pursuant  to  Regulation  (EC)  No 
614/2007  shall,  until  their  completion,  continue  to  be  governed  by  that  Regulation 
and  shall  comply  with  the  technical  provisions  defined  therein.  The  Committee 
referred  to  in  Article  29(1)  shall  replace  the  committee  provided  for  in  Regulation 
(EC) No 614/2007 from date of entry into force of this Regulation.  

The  financial  allocation  for  the  LIFE  Programme  may  also  cover  technical  and 
including  any  obligatory  monitoring, 
administrative  assistance  expenses, 
communication  and  evaluation  required  pursuant  to  Regulation  (EC)  No  614/2007 

EN 

31 

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following  its  expiry,  to  ensure  the  transition  between  the  LIFE  Programme  and  the 
measures adopted pursuant to Regulation (EC) No 614/2007.  

3. 

4. 

The  amounts  needed  within  the  financial  envelope  to  provide  for  monitoring, 
communication  and  auditing  measures  in  the  period  following  31  December  2020 
shall  be  deemed  to  be  confirmed  only  if  they  are  consistent  with  the  financial 
framework applicable from 1 January 2021. 

The appropriations corresponding to assigned revenue arising from the repayment of 
amounts  wrongly  paid  pursuant  to  Regulation  (EC)  No  614/2007  shall  be  used,  in 
accordance with Article 18 of Regulation (EC,  Euratom)  No  1605/2002,  to  finance 
the LIFE Programme. 

Article 33 

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. 

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

Done at Brussels, 

For the European Parliament 
The President 

For the Council 
The President 

EN 

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LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

1.2.  Policy area(s) concerned in the ABM/ABB structure 

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management method(s) envisaged  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1.  Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party participation in financing  

3.3.  Estimated impact on revenue

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33 

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LEGISLATIVE FINANCIAL STATEMENT FOR PROPOSALS 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

"Proposal for a Regulation of the European Parliament and of the Council on the establishment of a 
Programme for the Environment and Climate Action (LIFE)" 

1.2. 

Policy area(s) concerned in the ABM/ABB structure50  

ENVIRONMENT AND CLIMATE ACTION 

1.3. 

Nature of the proposal/initiative  

(cid:133) The proposal/initiative relates to a new action  

(cid:133) The proposal/initiative relates to a new action following a pilot project/preparatory action51  

X The proposal/initiative relates to the extension of an existing action  

(cid:133) The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objectives 

1.4.1.  The Commission's multiannual strategic objective(s) targeted by the proposal/initiative  

2014-2020 Multiannual Financial Framework 

1.4.2. 

Specific objective(s) and ABM/ABB activity(ies) concerned  

Specific objective No. 

1. Environment and Resource Efficiency 

2. Biodiversity 

3. Environmental Governance and Information 

4. Climate Change Mitigation 

5. Climate Change Adaptation 

6. Climate Governance and Information 

ABM/ABB activity(ies) concerned : (based on 2011 nomenclature) 

07 03 – Development and Implementation of Union Environmental Policy and Legislation 

07 12 – Implementation of Union policy and legislation on Climate Action 

50 
51 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

EN 

34 

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1.4.3.& 1.4.4  Expected result and impacts and indicators 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

Objective 

Expected Result 

Result Indicator 

Expected Impact  

Impact indicator 

Specific objectives common to both sub-programmes 

improve 

To 
the  development, 
implementation and enforcement of 
Union  environmental  and  climate 
policy  and 
(Article 
3(1)(b)) 

legislation, 

•  by  developing, 

testing  and 
demonstrating  approaches,  best 
practices  and  solutions  suitable 
for 
or 
transferred; and  

replicated 

being 

Take  up  of  new  or  updated 
approaches  or  best  practices  by  the 
private  and  public  sectors:  25%  of 
projects/measures/approaches 
replicated or transferred. 

•  Percentage  of  updated  or  new 
methods 
or 
funded  by  LIFE 

approaches, 
solutions 
replicated or transferred; 

integration 

Effective 
of 
environment and climate concerns 
into the practice of the private and 
public sectors.  

•  No. of MS/regions that replicate 
Integrated Projects approaches. 

Articles  10(a),  11(a),  12(c),  14(a), 
14(d), 15(a), 15(d), and 16(c)  

•  by  improving  the  knowledge 
base to inform decision makers. 

Articles  10(c),  11(c),  12(b),  14(b), 
15(b), 16(b) 

Improved knowledge base to inform 
decision makers. 

•  No. of tools, approaches, studies 
undertaken 

or 

developed 
through LIFE; 

promote 

integration 

and 
To 
mainstreaming  of  environmental 
and  climate  objectives  into  other 
Union  policies  and  public  and 

Increased  mainstream  funding  for 
environment and climate solutions: 

•  25%  approaches 

incorporated 
national/regional 

into 

•  No. 

of 

policy/legislation 
studies 

proposals  based  on 
undertaken; 

•  No. 

of 

policy/legislation 
proposals  based  on  projects 
results. 

•  Percentage 

approaches/ 
of 
projects  financed  through  LIFE 
into 
that 

incorporated 

are 

consolidated 
Attributable 
practices  of  policy  makers:  using 
indicators  or  tools  developed  and 
tested through LIFE. 

the 
integration 
Effective 
environment and climate concerns 
into other Union policies.  

of 

•  No. 

practices 

of 
consolidated 
using 
developed 
following LIFE examples; 

attributable 
by 
tools 
tested 

indicators  or 

and 

•  Reduced 

number 

of 
infringement  cases  of  EU 
legislation attributable to LIFE 
interventions.  

•  No. 

of 

multi-sectoral 

cooperation/coordination 
frameworks 
environment 

for 
and 

funding 
climate 

•  Percentage  of  updated  or  new 
approaches  developed  through 
been 
that 
LIFE 
systematically 
or 
improved  by  the  private  and 
public sectors; 

have 

used 

•  No. 

of 

MS/regions 
systematically 
applying 
integrated approaches and new 
applying 
MS/regions 
integrated  approaches,  as  a 
consequence 
LIFE 
examples. 

of 

EN 

35 

EN 

 
  
 
 
 
 
 
Objective 

Expected Result 

Result Indicator 

Expected Impact  

Impact indicator 

including  by 
private  practice, 
increasing 
in 
capacity, 
their 
particular  by  applying,  developing, 
demonstrating 
testing 
integrated 
best 
practices  and  solution  suitable  for 
being mainstreamed. 

approaches, 

and 

programmes;  

national/regional programmes; 

• 

Increased  mobilisation  of  other 
Union Funds for the environment 
or  climate  by  25%  compared  to 
2011 levels. 

•  No. of measures complementary 
to  Integrated  Projects  financed 
by other Union Funds. 

Articles  3(1)(b),  Articles  10(a)-(b), 
11(a)-(b),  12(c),  14(a),  14(c),  14(d), 
15(a), 15(c) 15(d), 16(c) 

To  support  better  environmental 
and  climate  governance  at  all 
levels.  

Article 3(1)(c) and Articles 12 and 16 

Increased 
stakeholders 
awareness-raising activities. 

participation 
and 

citizens 

of 
in 

No.  of  participants  in  awareness-
raising activities. 

awareness 
Increased 
and 
environmental 
problems and solutions. 

of 
climate 

Improved  participation  of  citizens 
and  NGOs  in  the  decision-making 
process. 

•  No.  of  citizens  participating  in 

on-line consultations; 

•  No. 

of 

proposals 

for 
amendments  to  legislative  acts 
emanating  from  NGOs  funded 
by LIFE. 

Attributable consolidated channels 
for  public  participation 
and 
continued  increasing  trend  in  the 
quality  and  intensity  of  citizens 
and  NGOs  participation  in  the 
decision making process. 

developed  by  or  following 
LIFE examples; 

•  No.  of  approaches  or  projects 
funded  through  LIFE  that  are 
up-scaled, 
or 
rolled 
diffused  by  other  Union 
Funds. 

out 

Awareness 
environmental 
problems 
measured 
surveys. 

and 
by 

regarding 
climate 
and 
solutions, 
as 
Eurobarometer 

Uptake  of  proposals  emanating 
from  various  stakeholders  related 
to environmental or climate policy 
and legislative acts. 

Specific objectives for the priority area Environment and Resource Efficiency (Articles 3(1)(a) and Article 10) 

Increased  resource  efficiency  of  the 
Union economy. 

No.  of  projects  developing,  testing 
or  demonstrating  more  resource 
efficient  approaches,  best  practices 
or solutions. 

A  consolidated  shift  towards  a 
more resource-efficient economy.  

No.  of  consolidated 
resource 
efficient  approaches  that  apply 
approaches 
or 
technologies 
demonstrated  through  LIFE  and 
resource efficiency level achieved. 

To  develop,  test  and  demonstrate 
policy  or  management  approaches, 
best  practices,  and  solutions  to 
environmental  challenges,  suitable 
for  being  replicated,  transferred  or 
including  with 
mainstreamed 
link  between 
respect 
the 
in 
environment  and  health  and 
resource  efficiency-
support  of 
legislation, 
related  policy  and 

to 

EN 

36 

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Objective 

Expected Result 

Result Indicator 

Expected Impact  

Impact indicator 

the  Roadmap 
including 
Resource Efficient Europe. 

to  a 

Article 10(a) 

the 

testing 
of 

application, 
Support 
and 
development, 
demonstration 
integrated 
approaches  for  the  implementation 
of  plans  and  programmes  pursuant 
to  Union  environmental  policy  and 
legislation, primarily in the areas of 
water, waste and air.  

10%  of  River  Basins  Districts 
adequate 
(RBD) 
brought 
management  by 
the 
programming period. 

the  end  of 

to 

Article 10(b) 

of  Regions 

12% 
adequately 
managing  waste  by  the  end  of  the 
programming period. 

the  Union  population 
10%  of 
benefiting from improved air quality 
by  the  end  of  the  programming 
period. 

Consolidated 
adequate  management  of 
sectors targeted. 

and 

expanded 
the 

•  No.  of  Integrated  Projects  to 
implement  Water  Framework 
Directive and km2 covered; 

•  No. of RBD brought to adequate 

management; 

•  No.  of  water  bodies  improving 

ecological status. 

No.  of 
implement  waste 
and 
programmes 
covered. 

Integrated  Projects 

to 
plans 
and 
ha/population 

Integrated  Projects 

No.  of 
implement 
Directive and population covered. 

to 
the  Air  Quality 

•  No.  of  RBD  that  continue 
being adequately managed and 
new RBD adequately managed 
as  a  consequence  of  LIFE 
examples; 

•  No.  of  water  bodies  targeted 
ecological 

achieving  good 
status. 

regions 

No.  of 
that  continue 
managing  waste  adequately  and 
No. of new regions with improved 
management  as  a  consequence  of 
LIFE examples.  

No.  of  cities  with  continuous 
improved air quality standards and 
No.  of  new  cities  with  improved 
air 
a 
consequence of LIFE examples. 

standards 

quality 

as 

Specific objectives for the priority area Biodiversity (Article 3(1)(b) and Article 11) 

to 

in 

contribute 

legislation 

To 
the 
implementation of the Union policy 
the  area  of 
and 
biodiversity, 
including 
Implementation  of  the  Biodiversity 
2020,  Directive 
to 
Strategy 
Directive 
2009/147/EC 
and 
92/43/EEC, 
by 
applying  developing,  testing  and 

particular 

in 

25% of habitats targeted by projects 
improve  conservation  status  by  the 
end of the Programming period. 

No.  and  type  of  habitats  targeted 
and  improving  conservation  status 
as 
of  LIFE 
a 
interventions. 

consequence 

Species  and  habitats  targeted  by 
achieving 
projects 
LIFE 
favourable conservation status. 

species 
No.  of  habitats  and 
favourable 
targeted 
conservation 
following 
LIFE  examples  or  after  LIFE 
interventions. 

achieving 
status 

25%  of  species  targeted  by  projects 
improve  conservation  status  by  the 
end of the programming period; 

No. and type of species targeted and 
improving  conservation  status  as  a 
consequence of LIFE interventions; 

EN 

37 

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Objective 

Expected Result 

Result Indicator 

Expected Impact  

Impact indicator 

demonstrating  best  practices  and 
solutions. 

Article 11(a) 

3%  ecosystem  services  restored  by 
the end of the programming period. 

Ha.  and  type  of  ecosystem  service 
restored through LIFE. 

of 
Consolidated 
ecosystem  services  and  further 
restoration. 

restoration 

No.  of  ha  of  ecosystem  services 
restored 
LIFE 
examples. 

following 

the 

support 

To 
further 
development,  implementation  and 
management of the N2000 network, 
application, 
in 
particular 
and 
development, 
demonstration 
integrated 
approaches  for  the  implementation 
of  Prioritised  Action  Frameworks 
(PAFs).  

testing 
of 

the 

15%  of  the  Natura  2000  network 
adequately  managed  by  the  end  of 
the programming period. 

•  No.  of 

Integrated  Projects 
implementing  PAFs  and  ha  of 
Natura 2000 covered; 

•  No of Natura 2000 sites brought 

to adequate management. 

Consolidated 
adequate  management  of 
Natura 2000 network. 

and 

expanded 
the 

Article 11(b) 

Specific objectives for the priority area Climate Change Mitigation (Article 3(1)(a) and Article 14) 

To  facilitate  the  development  and 
implementation 
integrated 
approaches  such  as  for  mitigation 
strategies and action plans, at local, 
regional or national level. 

of 

Article 14(c) 

To  contribute  to  the  development 
and  demonstration  of  innovative 
mitigation  technologies,  systems, 
methods  and  instruments  that  are 
suitable 
replicated, 
transferred or mainstreamed. 

for  being 

Article 14(d) 

development 

Increased 
and 
implementation  of  climate  change 
mitigation strategies or action plans.  

No. and coverage of climate change 
mitigation strategies or action plans 
developed  or  implemented  through 
LIFE. 

Increased  innovative  technologies, 
systems  and 
instruments  and/or 
other  best  practice  solutions  for  the 
gas 
reduction 
emissions. 

greenhouse 

of 

of 

innovative 

No. 
policy 
approaches,  technologies,  systems 
and  instruments  and/or  other  best 
practice  solutions  for  the  reduction 
of 
emissions 
demonstrated through LIFE. 

greenhouse 

gas 

and 

Effective  integration  of  climate 
change  mitigation  concerns  into 
public 
sector 
performance,  and  sustainable  and 
continuously  improved  capacity 
and  performance  of  the  private 
and public sector 

private 

A consolidated shift towards more 
a low-carbon economy. 

No.  of  Natura  2000  sites  which 
continue 
adequately 
being 
managed  and  new  Natura  2000 
sites  with  improved  management, 
as  a  consequence  of  LIFE 
examples. 

volume 

Geographical 
and/or 
economic value of climate change 
mitigation  strategies  or  action 
plans developed and implemented. 

Tons of greenhouse gases reduced 
by  new 
technologies,  systems, 
instruments  and/or  other  best 
practice  approaches  developed 
and 
taken  up  following  LIFE 
examples. 

EN 

38 

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Objective 

Expected Result 

Result Indicator 

Expected Impact  

Impact indicator 

Specific objectives for the priority area Climate Change Adaptation (Article 3(1)(a) and Article 15) 

To  facilitate  the  development  and 
implementation 
integrated 
approaches  such  as  for  adaptation 
strategies and action plans, at local, 
regional or national level. 

of 

Article 15(c) 

To  contribute  to  the  development 
and  demonstration  of  innovative 
adaptation,  technologies,  systems, 
methods  and  instruments  that  are 
suitable 
replicated, 
transferred or mainstreamed. 

for  being 

Article 15(d) 

development 

Increased 
and 
implementation  of  climate  change 
adaptation strategies or action plans. 

No. and coverage of climate change 
adaptation strategies or action plans 
developed or implemented.  

innovative 
policy 
Increased 
approaches, 
technologies,  systems 
and  instruments  and/or  other  best 
practice  solutions  for  more  climate 
resilience. 

innovative 
No.  of  demonstrated 
technologies, 
policy  approaches, 
instruments  and/or 
systems  and 
other  best  practice  solutions  for 
more climate resilience. 

Effective  integration  of  climate 
resilience  concerns  into  private 
and  public  sector  performance, 
and  sustainable  and  continuously 
improved 
and 
performance  of  the  public  and 
private sector. 

capacity 

A  consolidated  shift  towards  a 
more climate-resilient economy. 

volume 

Geographical 
and/or 
economic value of climate change 
adaptation  strategies  or  action 
plans developed and implemented 
following LIFE examples. 

Attributable  climate 
resilience, 
broken down by sector, due to the 
demonstrated  new  technologies, 
systems,  instruments  and/or  other 
best 
approaches 
developed and taken up following 
LIFE examples. 

practice 

EN 

39 

EN 

 
  
 
 
 
 
1.5. 

Grounds for the proposal/initiative  

1.5.1.  Requirement(s) to be met in the short or long term  

Contribute  to  the  implementation,  updating  and  development  of  EU  environmental  and 
climate  policy  and  legislation,  including  the  integration  of  the  environment  and  climate 
into other policies, thereby contributing to sustainable development and the achievement of 
EU2020 objectives and targets. 

1.5.2.  Added value of EU involvement 

The EU added value of the LIFE Programme derives from the specificity of its approach 
and  focus,  which  makes  its  interventions  especially  adapted  to  the  environmental  and 
climate needs as the only instrument with funds dedicated to Environmental protection and 
Climate Action.  

• 

• 

• 

• 

• 

• 

By  being  the  EU  platform  for  exchange  of  practice  and  knowledge-sharing  for 
implementing EU legislation and policy, LIFE allows actors across the EU to learn 
from  each  other's  experience  in  addressing  specific  environmental  problems  more 
effectively  and  efficiently.  LIFE  attracts  partnerships  that  would  otherwise  be 
difficult  to  set-up  ensuring  a  more  effective  intervention  than  Member  States' 
individual action by an increased pooling of resources and expertise.  

By  assisting  Member  States  that  host  the  most  valuable  EU  natural  capital  or  are 
confronted with transboundary or transnational environmental and climate problems, 
LIFE allows for a better distribution of responsibility and solidarity in preserving 
the EU environmental common good. 

LIFE acts as a catalyst to start-up action, providing one-off investment needed in a 
implementation  of  EU 
specific  area,  eliminating 
environmental and climate policy and testing new approaches for future scaling-up.  

initial  barriers 

the 

to 

LIFE  addresses  gaps  and  externalities,  raises  awareness  and  demonstrates  the 
benefits  of  environmental  protection  and  climate  action  ensuring  the  sustainability 
and expansion of project results.  

LIFE  helps  Member  States  and  stakeholders  to  accelerate  and  improve  the 
implementation  of  EU  legislation  by  creating  synergies  across  EU  Funds  and 
national funds while levering additional public and private sector resources. 

Increased  coherence  of  the  EU  intervention:  A  dedicated  Environmental  and 
Climate  Action  instrument  allows  the  Commission  to  better  shape  priorities  and 
ensure  that  resources  are  effectively  used  for  environmental  protection  and  climate 
the  EU.  More  homogenous 
action,  by  selecting 
implementation  of  EU  legislation  is  achieved  thanks  to  the  dissemination  of  best 
practices (e.g., methodologies that have been developed and now are widely applied, 
management plans, etc.). 

the  best  projects  across 

EN 

40 

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• 

• 

• 

Gap filler and more effective central intervention: A specific instrument is more 
flexible  and  finances  projects  that  could  not  be  otherwise  financed  by  other  funds 
(e.g., projects managed by beneficiaries that are not eligible under other funds).  

A  specific  instrument  would  provide  high  visibility  to  EU  environmental  and 
climate action bringing the EU closer to its citizens, showing the EU's commitment 
to  environmental  and  climate  objectives  and  thus  making  those  objectives  more 
relevant. 

Bringing  solutions  to  upcoming  environmental  challenges  of  EU  interest: 
Stakeholders  are  often  confronted  with  environmental  problems  for  which  no 
solutions have been found yet, and which, if not addressed at an early stage, will lead 
to higher costs. 

1.5.3.  Lessons learned from similar experiences in the past 

LIFE evaluations confirm that the LIFE Programme is a successful EU instrument crucial 
for the implementation of EU environmental policy, has a significant EU added value, an 
adequate  level  of  performance,  and  has  made  a  significant  contribution  to  the 
implementation of EU environmental policy and legislation. 

Action grants (representing 78% of appropriations, i.e. an amount of €300 million in 2013) 
have played a major role in the implementation of the Habitats and Birds Directives and in 
testing new approaches and technologies, and demonstrated a capacity to act as a catalyst 
for  the  implementation  of  some  of  the  most  demanding  Directives,  preparing  the  ground 
for  continued  management  through  other  funds.  LIFE+  has  also  increased  awareness  of 
environmental  and  climate  concerns  and  citizens'  access  to  relevant  information,  and 
created  collaborative  platforms  and  partnerships  to  exchange  best  practices.  Operating 
grants  for  NGOs  have  facilitated  their  involvement  in  developing  and  implementing  EU 
environmental and climate policy and legislation, as required by the Aarhus Convention. 

The  mid-term  evaluation  of  LIFE+  also  concluded  that  the  changes  introduced  in  the 
LIFE+  Regulation  (consolidation  of  three  types  of  interventions  into  one  legal  base, 
enlargement of the nature component to include wider biodiversity issues, enlargement of 
the  environment  component  to  align  with  the  priorities  of  the  6th  Environmental  Action 
Plan  and  a  new  component  called  Information  and  Communication)  have  increased  the 
capacity  of  the  Programme  to  provide  EU  added  value  and  the  link  to  EU  policy 
objectives. 

The  evaluations  also  found  areas  where  LIFE+  should  be  improved  to  deploy  all  its  EU 
added value potential: 

• 

• 

Better  focus  and  prioritisation:  the  bottom  up  approach  and  the  broad  scope  of 
eligible  areas  of  action  provide  little  opportunity  for  the  Commission  to  stimulate 
demand in high priority areas, especially in the LIFE Environment and Governance 
component (this strand also covers climate action); 

Better utilisation of projects' results and transfer of know-how: while communication 
and  networking  activities  are  mandatory  in  LIFE  projects,  sharing  of  best  practices 
and capacity building for the implementation of EU acquis should be reinforced; 

EN 

41 

   EN 

 
• 

• 

Stronger  synergies  with  other  EU  Funds:  while  many  agri-environmental  measures 
were  tested  in  LIFE+  and  afterwards  incorporated  into  the  Member  States'  rural 
development programmes, there is a room for improvement; 

Lifting constraints regarding funding activities outside the EU: they have reduced the 
effectiveness of the Programme to achieve some EU environmental objectives. 

The  European  Court  of  Auditors,  in  a  Special  report  published  in  2009,  concluded  that 
LIFE is a well managed programme, with constant improvements made over the years. 

1.5.4.  Coherence and possible synergy with other relevant instruments 

The ex-post evaluation, the mid-term evaluation and the ex-ante evaluation concluded that 
only a very small proportion of projects could have been financed by other Union Funds 
(mainly by the CIP and the FP7) in the absence of LIFE+. For some LIFE+ strands, such 
as  LIFE  Information  and  Communication,  alternative  sources  of  funding  are  almost  non-
existent.  

However,  market-driven  private  sector  innovation  seems  to  some  extent  equally  well 
served by other initiatives such as the future Horizon 2020. However, the pursuit of eco-
innovation is  not  just about developing  new  consumer products and technologies that are 
intrinsically  cleaner  and  greener.  It  is  also  about  engendering  better  practices  and 
approaches across the economy. While market failures are sufficiently addressed by other 
Union  Funds,  institutional  weaknesses  are  more  insufficiently  dealt  with.  This  is 
particularly  relevant  for  activities  related  to  developing  policy  driven  and  public  sector 
oriented  solutions  to  environmental and  climate-related  challenges  with  limited  or  no 
market  replication  potential  and  that  simply  promote  new  and  more  cost-effective 
ways of implementation.  

For this reason, the LIFE Programme will focus more on public sector oriented innovation 
and  on  finding  solutions  that  are  most  often  best  implemented  through  public–private 
partnerships.  Similarly,  low  carbon  technology  development  is  hampered  by  uncertainty 
and insufficient  knowledge  spill-over.  Newly  developed technologies need  to  be  tested 
at small  scale.  While  market-replication  and  large  scale  solutions may  be  increasingly 
covered  by Horizon  2020,  there  is  still  much  room  to  promote  the  development  of  local 
and public sector-oriented solutions as well as small-scale technologies focused on SMEs 
to help them improve their environmental and climate performance. LIFE has traditionally 
dealt  with  these  challenges  by  providing  highly  replicable  smaller-scale  solutions  also 
across borders. 

Cooperation will be established with the future Horizon 2020 and the Competitiveness and 
SMEs instrument to ensure synergies in particular in these fields. For example, it could be 
envisaged  that  ideas  developed  under  Horizon  2020  could  be  tested  and  demonstrated  in 
the context of implementing specific Union legislation through a LIFE project. Similarly, 
the  LIFE  Programme  could  build  capacity  and  raise  awareness  to  promote  the 
implementation of research findings.  

The LIFE Programme is also linked to other Union Funds, such as Cohesion policy Funds 
(ESF,  ERDF,  CF),  Rural  Development  Fund  (EAFRD)  or  European  Maritime  and 
Fisheries  Fund  (EMFF).  LIFE  Programme  complements  these  Funds,  since  it  finances 
specific  types  of  activities  and  measures  that  have  as  their  main  objective  to  achieve 
environmental  and  climate  benefits  or  are  required  to  implement  environmental  and 

EN 

42 

   EN 

 
climate legislation. Thus, the LIFE Programme works as a gap filler. In this sense, it may 
become  one  of  the  main  EU  instruments  to  finance  nature  conservation  (in  areas  where 
CAP  cannot  play  a  substantial  role)  and  environmental  protection  in  "more  developed 
regions"  given  that  these  regions  will  have  limited  choice  of  priorities  under  the  new 
Cohesion policy instruments.  

In  addition,  the  LIFE  Programme  will  strengthen  its  catalytic  and  leveraging  role  by 
becoming a driver for mobilising other Union Funds e.g., through Integrated Projects. For 
this,  a  more  coherent  approach  with  other  Funds  will  be  required.  The  MFF 
Communication  established  a  structured  relation  by  making  a  reference  to  "Integrated 
Projects"  in  the  Common  Strategic  Framework  (CSF).  This  structured  relation  for 
Integrated  Projects  will  be  developed  in  detail  when  drafting  the  CSF  and  may  include 
creating a steering committee and structured information channels.  

The Commission has proposed in the MFF Communication that it intends to increase the 
proportion  of  climate  related  expenditure  across  the  EU  budget  to  at  least  20%,  with 
contribution from different policies, subject to impact assessment. The Programme for the 
Environment  and  Climate  Action  (LIFE  Programme)  will  contribute  to  this  goal.  A  sub-
programme for Climate Action has been included in the LIFE Programme with dedicated 
resources and specific objectives related to climate, accompanied by result indicators. 

EN 

43 

   EN 

 
1.6. 

Duration and financial impact  

(cid:58) Proposal/initiative of limited duration  

–  (cid:58)  Proposal/initiative in effect from 01/01/2014 to 31/12/2020 

–  (cid:58)  Financial impact from 2014 to 2023  

(cid:133) Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY, 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged52  

(cid:58) Centralised direct management by the Commission  

(cid:58) Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:58)  executive agencies  

–  (cid:133)  bodies set up by the Communities53  

–  (cid:133)  national public-sector bodies/bodies with public-service mission  

–  (cid:133)  persons entrusted with the implementation of specific actions pursuant to Title V of 
the  Treaty  on  European  Union  and  identified  in  the  relevant  basic  act  within  the 
meaning of Article 49 of the Financial Regulation  

(cid:133) Shared management with the Member States  

(cid:133) Decentralised management with third countries  

(cid:58) Joint management with international organisations: further tasks may be entrusted to 
the  EIB,  the  EIF,  or  other  financial  institutions,  international  organisations,  bodies  with 
public-service  mission,  or  bodies  referred  to  in  Article  185  of  Regulation  (EC,  Euratom) 
No 1605/2002. 

If more than one management mode is indicated, please provide details in the "Comments" section. 

52 

53 

Details of management modes and references to the Financial Regulation may be found on the BudgWeb site: 
http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

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44 

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

The  mid-term  evaluation  considered  current  monitoring  and  evaluation  largely  effective 
and  efficient.  However,  more  focus  on  results  was  desirable.  In  view  of  this,  the 
monitoring framework builds on the framework proposed for the current instrument.54 The 
framework is organised around two levels:  

1. Monitoring of outputs, results and impacts, at project and programme level 

The  monitoring  of  the  Programme  performance  will  be  carried  out  at  project  and 
programme level.  

At project level, as is the case now, it will include a requirement for projects to accompany 
their  proposals  with  tables  of  expected  outputs.  These  tables  will  serve  as  basis  for 
monitoring  project  progress.  The  output  indicators  will  be  adapted  according  to  the 
indicators included in section 1.4.4 to reflect the new features of the Programme. It will be 
compulsory to update output tables and re-submit them with the mid-term and final reports.  

The monitoring framework includes visits to all projects at least once a year and visits of 
the Commission staff at least once in the lifetime of the projects. A monitoring file will be 
created  at  the  start  of  each  project  in  the  form  of  a  short  report  including  the  project 
description, and summarising actions and expected outputs and results. The yearly visits by 
the  monitoring  team  facilitate  gaining  an  overview  of  the  project  implementation  in  situ 
allowing  for  an  early  identification  of  problems.  Feedback  will  be  provided  to  the 
beneficiary  in  order  to  improve  performance.  In  addition,  projects  will  have  to  submit 
reports for more detailed assessment of progress to justify payments. 

As it is the case now, the project will be required to submit together with the Final Report 
an after-LIFE plan including inter alia a list of expected impacts that will serve as a basis 
to  assess  the  sustainability  of  the  project  results.  Current  practice  of  ex-post  monitoring 
visits for selected projects will continue.  

At  programme  level,  the  multiannual  work  programmes  will  set  out  specific  thematic 
priorities for their duration and specific targets for each priority within each area, including 
expected outputs (i.e., expected number of Integrated Projects, coverage of Natura 2000 by 
LIFE projects, coverage of River Basin District by LIFE projects, and so on). At the end of 
each year's call for proposals, the Commission will analyse whether sufficient number of 
projects for a given area of action have been funded and will make adjustments as required 
to  achieve  the  work  programme  and  mid-term  targets.  Thematic  reports  summarising  the 
main  achievements  for  particular  priorities  will  be  developed  after  the  end  of  the 
multiannual work programme. This will also serve as a basis for disseminating results and 
feed  them  into  policy  development  and  implementation.  The  practice  of  organising  a 
yearly conference for each sub-programme will continue.  

A  mid-term  evaluation  and  an  ex-post  evaluation  of  the  Programme  will  also  be  carried 

54 

Proposed monitoring and evaluation framework for the LIFE+ Regulation, DG Environment, 2007 

EN 

45 

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out.  

2. Tracking of expenditure at project and programme level 

In  order  to  provide  evidence  of  the  co-benefits  that  both  sub-programmes  can  bring  to 
specific priorities such as climate action and biodiversity, and better illustrate the level of 
spending  available  throughout  the  programme  for  these  priorities,  the  monitoring 
framework  will  also  include  the  methodology  for  tracking  of  climate  and  biodiversity-
related expenditures as defined in the MFF Communication and derived from the OECD 
"Rio markers".  

In relation to climate action, the MFF Communication stated that mainstreaming of climate 
action  must  be  visible,  robust  and  accompanied  by  a  clear  cross-cutting  obligation  to 
identify where the Budget promotes climate action or energy efficiency so that the EU is 
able  to  set  out  clearly  how  much  of  its  spending  relates  to  climate  action,  by  using  a 
common tracking procedure for climate-related expenditure.  

Tracking  of  climate-related  expenditure  will  be  performed  according  to  three  categories, 
based on an established OECD methodology ("Rio markers"): expenditure where climate is 
the  principal  (primary)  objective  (counted  as  100%  -  climate  related  only);  expenditure 
where climate is significant, but not predominant objective (counted as 40% - significantly 
climate- related); and expenditure not targeted to climate objectives (counted as 0% - not 
climate related).  

As  regards  biodiversity,  the  'Rio  markers'  established  by  the  OECD  and  already  used  by 
the Commission for external instruments will be integrated in the existing methodology for 
measuring performance used for EU programmes. They will also help to demonstrate the 
co-benefits of climate and biodiversity expenditures, and to highlight the biodiversity co-
benefits  of  climate  spending  on  REDD+  (Reducing  Emissions  from  Deforestation  and 
Forest Degradation) actions.  

level, 

tracking  of  climate-related  expenditure  and  biodiversity-related 
At  project 
expenditure will be done by expanding the current practice of including in the proposals an 
option  to  indicate  whether  the  project  could  be  considered  climate-related  to  also  cover 
biodiversity-related  in  order  to  be  counted  according  to  the  "Rio  markers".  This  would 
allow identifying each year the expenditure related to these two priorities. 

At  programme  level,  estimates  of  climate-related  expenditure  and  biodiversity-related 
expenditure performed according to the "Rio markers" methodology will be calculated on 
the basis of the multiannual work programmes that will set out thematic priorities for their 
duration. This could allow identifying each year the indicative level of expenditure related 
to these two priorities across the LIFE Programme. 

2.2.  Management and control system  

The management mode for the LIFE Programme is central direct management by the Commission 
which will be partially delegated to an existing Executive Agency. The Commission will be assisted 
by  the  Committee  for  the  LIFE  Programme  for  the  Environment  and  Climate  Action,  which  will 
have  a  dual  nature  with,  in  particular,  different  chairs  and  different  composition  depending  on 
whether  the  issues  dealt  with  are  related  to  the  sub-programme  for  Environment  or  the  sub-
programme for Climate Action.  

The main elements of the internal control system are:  

EN 

46 

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– 

– 

– 

– 

the financial circuits and, in particular, the ex-ante control of transactions;  

the financial controls carried out during the award process;  

the financial, accounting and other types of management reporting; and  

the  ex-post  audits performed  on  the  spot to  the beneficiaries  of  grants.  The  grants  to  be 
audited are selected either on a risk basis (to detect and correct the errors) or on the basis of 
a representative sampling (to provide the Authorising Officer with a reasonable assurance 
of the legality and regularity of transactions). 

The control strategy takes account of the recommendations from the evaluations of the programme, 
the reports issued by the internal auditor and the Special Report of the Court of Auditors aiming to 
increase the effectiveness and European added value of the programme. 

2.2.1.  Risk(s) identified  

The  risks  identified  in  the  implementation  of  the  Programme  fall  mainly  into  the  following 
categories: 

• 

• 

• 

• 

• 

Coordination  failures  (with  the  Executive  Agency,  with  other  donors  or  financial 
institutions);  

Inefficient use of administrative resources (limited proportionality of requirements);  

Risk  of  the  absence  of  a  clear  definition  of  the  limits  of  the  responsibilities  in  the 
management and the control of tasks delegated to the agency;  

Risk  of  insufficiently/  ineffectively  targeted  use  of  funds  as  well  as  the  risk  of  too 
much division of funds due to larger territorial or thematic scope;  

Errors and inefficiencies derived from complexity of rules (e.g., eligibility of costs), 
unstable thematic area framework, priorities and rules; 

•  Weaknesses  in  management  and  control  systems  at  the  level  of  the  DG  and  the 

Executive Agency; 

• 

• 

A risk analysis by nature of transactions would result in the following ranking from 
perceived  high  risks  to  low  risk:  Integrated  Projects  (new  concept,  complex 
management),  action  grants  for  smaller  traditional  projects,  operating  grants,  and 
procurement; 

A  new  type  of  project  (Integrated  Project)  entails  new  challenges:  in  coordination 
and collaboration, pooling of resources and sharing best practices and expertise. 

2.2.2.  Control method(s) envisaged  

Governance structure: simplification and streamlining 

It  is  envisaged  to  delegate  part  of  the  managing  tasks  of  the  programme  to  an  existing 
Executive Agency. This agency will adjust its own financial control framework to the new 
programme including the setting up of an ex–post audit cell, supervised by the Authorising 
Officer. This cell will be under the scrutiny of the internal audit of the Executive Agency.  

EN 

47 

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In order to ensure homogenous management and control systems, the DGs and Executive 
Agency  should  exchange  best  practices  and  knowledge.  Guidance  and  training  meetings 
will be held in this respect.  

The  DGs  will  supervise  the  Executive  Agency  and  have  the  authority  to  delegate  the 
responsibilities  as  well  as  to  control  implementation.  The  monitoring  and  supervision 
framework  will  consist  of  three  levels:  political  and  strategic,  administrative,  and 
management and operational. An audit could be envisaged on the level of the Agency or on 
the level of the beneficiaries. 

Intensity and nature of controls proportional to the risk 

Procurement: ex ante control and monitoring of all files. 

Projects: 

-  Project  selection/evaluation/negotiation:  preventive  controls  of  all  files  if  appropriate 
with assistance of external experts; 

-  Project  implementation  by  way  of  grants:  preventive  and  detective  monitoring,  on-the-
spot visits for each project at least once in their life time; 

- Before final payment: detective and corrective controls, desk review of all files including 
widespread use of external audit certificates. 

Every  year,  ex-post  controls  of  grants  will  be  conducted  on  the  spot.  In  addition,  a  new 
type  of  audits,  "desk  audits",  will  be  introduced  to  perform  management  checks  without 
going on the spot. 

Review of strategy: 

This  strategy  will  be  revised  by  improving the  representativeness  of  the  sampled 
population subject to audits and controls. 

Costs and benefits of controls 

Historical data: The estimated costs of controls related to grants managed under LIFE+ in 
2010 amounted to EUR 7.6 million corresponding to: 

- selection: €0.6 million; 

- project management: €4.5 million; 

- on the spot ex-ante control: €1.8 million; 

- external audit certificates: €0.1 million; 

- ex-post audits: €0.6 million. 

This amount corresponds to 3.5% of the total amount paid on grants in 2010. 

The risk of non compliance indicated in the 2010 Annual Activity Report was estimated at 
2.5%  of  the  total  amount  paid  on  grants  and  less  than  2%  of  the  total  budget  for  the 
activity. 

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48 

   EN 

 
The  amount  of  costs  of  control  is  estimated  to  slightly  decrease  to  €7.5  million  for  the 
whole period with the following breakdown in 2020: 

- selection: €0.5 million; 

- project management: €4 million; 

- on the spot ex-ante control: €1.5 million; 

- external audit certificates: €0.5 million; 

- ex-post audits: €1 million. 

The expected level of risk of non compliance should decrease due to two main elements: 

- the shift towards an extensive use of external audit certificates that is expected to reduce 
by 10% the error rate; 

- the limitation of eligibility of staff costs to the staff specifically recruited for the project.  

Staff costs represent 30% of the costs and nearly 50% of the errors. If this measure cuts in 
two the staff costs to be co-financed, the likely errors should also be halved. It should be 
noticed that it is easier to identify the time spent by additional staff on a project than by 
permanent staff who is working, generally, on several actions at the same time. A decrease 
of at least 5% of the rate of non compliance could be expected then. 

While nominal costs of controls will be decreasing from 7.6 to 7.5 million, the error rate is 
expected  to  diminish  by  40%  which  means  a  reduction  from  2.6%  to  1.6%  of  the  total 
amount paid for grants. 

The internal control objective for the LIFE Programme would be to limit the residual error 
rate  (after  corrections)  to  a  range  between  the  expected  1.6%  and  the  2%  "materiality" 
threshold set by the Court of Auditors. 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

The beneficiaries of the grants are: local, regional and national authorities to a main extent, 
NGOs, large enterprises, SMEs, universities, research institutions, etc. 

Proposals are selected according to the beneficiaries professional credentials and financial 
stability and other criteria imposed by the legal basis. 

During  the  selection  process  the  early  warning  system  is  used  to  identify possible  risks 
related to potential beneficiaries of centrally managed grants. 

In  order  to  avoid  double  funding  an  inter-service  consultation  is  launched  on  the  list  of 
projects and the risk of double funding is part of the criteria to select the projects to be ex-
post audited on the spot. 

Training sessions, on the different phases of the project management cycle, are organised 
on the premises, for the project managers, to address specific management and financials 

EN 

49 

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needs. Direct contact will be possible with project and financial officers at the Commission 
to resolve particular queries. 

The grant agreement main requirements will be duly explained to the beneficiaries in on- 
the-spot visits and coordination meetings.  

Information  sessions  will  be  organised  for  the  ex-post  auditors  on  the  characteristics  of 
fraud that could be detected during an audit on-the-spot of financial statements.  

Ex-post  auditors  identify  and  assess  the  risks  of  fraud  financial  statements  and  responds 
adequately to fraud or suspected fraud identified during the audit by communicating cases 
to OLAF. They use in particular all relevant IT tools. The results of ex-post controls are 
taken in account when assessing and designing the control system. 

Rules governing the eligibility of costs will be simplified in particular for those categories 
particularly problematic, such as staff costs and VAT. 

Audit certificates will be required for interim and final payments. 

Cooperation (training or information) between the management and OLAF is foreseen. 

The  audit  module 
prevent/detect/correct double funding. 

in  ABAC  will  be  kept  up-to-date  and  fully  exploited 

to 

Monitoring teams might be foreseen for supervising, on the spot, the different stages of the 
implementation of the project. 

The  legal  base  indicates  specifically  the  right  of  OLAF  to  have  access  to  all  relevant 
information. 

In addition to the application of all regulatory control mechanisms, DG Environment and 
DG Climate  Action will devise an anti-fraud strategy in line with the Commission's new 
anti-fraud  strategy  (CAFS)  adopted  on  24  June  2011  in  order  to  ensure  inter  alia  that  its 
internal anti-fraud related controls are fully aligned with the CAFS and that their fraud risk 
management approach is geared to identify fraud risk areas and adequate responses. Where 
necessary,  networking  groups  and  adequate  IT  tools  dedicated  to  analysing  fraud  cases 
related to the LIFE programme will be set up. The risk of fraud will be integrated in the 
risk-management process.  

The  DGs  have  nominated  an  anti-fraud  correspondent  to  the  Fraud  Prevention  and 
Detection Network who will participate in relevant networks/working groups by group of 
DGs.  The  DGs  will  raise  awareness  of  potential  fraud  among  staff  and  disseminate 
information on responsible authorities and procedures for reporting fraud.  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget  line(s) 
affected  

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines. 

EN 

50 

   EN 

 
Budget line 

Type of  
expenditure

Contribution  

Number  
[Description………………………...……….] 

Diff./non-
diff 
(55) 

from 
EFTA56 
countries 

from 
candidate 
countries57 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

Environment and Climate Action 

Differenti
ated. 

YES 

YES 

NO 

NO 

Heading of 
multiannual 
financial 
framework 

Heading 
2: 
sustainabl
e growth 
& natural 
resources 

•  New budget lines requested  

In order of multiannual financial framework headings and budget lines. 

Heading of 
multiannual 
financial 
framework 

Number  
Heading 2 

Budget line 

Type of 
expenditure

Contribution  

Diff./non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the meaning 
of Article 18(1)(aa) 
of the Financial 
Regulation  

2 

2 

2 

2 

07  03  80  01  –  Environment  new  LIFE 
Programme (operational expenditures) 

Differenti
ated. 

YES 

YES 

YES 

NO 

07  03  80  02  –  Climate  Action  new  LIFE 
Programme (operational expenditures) 

(or  new  nomenclature  to  be  created  under 
specific budget Title) 

Differenti
ated. 

07  01  04  02  -  Environment  new  LIFE 
Programme  (Expenditures  on  administrative 
management) 

Non 
differentia
ted. 

07  01  04  06  –  Climate  Action  new  LIFE 
Programme  (Expenditures  on  administrative 
management) 

(or  new  nomenclature  to  be  created  under 
specific budget Title) 

Non 
differentia
ted. 

YES 

YES 

YES 

NO 

YES 

YES 

YES 

NO 

YES 

YES 

YES 

NO 

55 
56 
57 

Diff. = Differentiated appropriations / Non-Diff. = Non-differentiated appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

EN 

51 

   EN 

 
 
 
                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial 
framework:  

2 

Sustainable Growth: Natural Resources  

EUR million (to 3 decimal places) 

DG: CLIMA + ENV 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

2021&su
bs. 

TOTAL 

(cid:121) Operational appropriations  

07  03  80  01  (new  budget  item  to  be 
created) 

ENV part 

XX  03  80  02  (new  budget  item  to  be 
created) 

(or  new  nomenclature  to  be  created  under 
specific budget Title) 

CLIMA part 

Commitments 

(1) 

291.500 

314.250 

341.250 

371.000 

404.250 

437.750 

420.500 

2,580.500 

Payments 

(2) 

22.238 

155.963 

151.764 

249.364 

265.615 

296.415 

361.226 

1.077.916 

2,580.500 

Commitments 

(1a) 

98.700 

106.800 

115.400 

124.500 

133.200 

142.800 

136.700 

858.100 

Payments 

(2a) 

13.845 

60.140 

59.596 

94.411 

101.872 

105.185 

138.201 

284.850 

858.100 

Appropriations  of  an  administrative  nature 
from the envelope for sub-programmes58  

financed 

07  01  04  02  (new  budget  item  to  be 
created) 

(3) 

19.000 

22.500 

23.250 

22.000 

18.000 

14.500 

13.750 

133.000 

58 

EN 

Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, direct 
research. 

52 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
DG: CLIMA + ENV 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

2021&su
bs. 

TOTAL 

ENV part- 

XX  01  04  06  (new  budget  item  to  be 
created) 

(or  new  nomenclature  to  be  created  under 
specific budget Title) 

CLIMA part 

TOTAL appropriations 
for DG ENV  

TOTAL appropriations 
for DG CLIMA 

4.800 

5.450 

6.100 

6.500 

7.550 

7.950 

8.050 

46.400 

Commitments 

310.500 

336.750 

364.500 

393.000 

422.250 

452.250 

434.250 

2,713.500 

Payments 

41.238 

178.463 

175.014 

271.364 

283.615 

310.915 

374.976 

1,077.916 

2,713.500 

Commitments 

103.500 

112.250 

121.500 

131.000 

140.750 

150.750 

144.750 

Payments 

18.645 

65.590 

65.696 

100.911 

109.422 

113.135 

146.251 

284.850 

(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for sub-programmes  

(4) 

(5) 

(6) 

390.200  421.050  456.650  495.500  537.450  580.550 

557.200 

36.083 

216.103 

211.360 

343.775 

367.487 

401.600 

499.427 

1,362.766 

23.800 

27.950 

29.350 

28.500 

25.550 

22.450 

21.800 

TOTAL appropriations  
under HEADING 2 

Commitments 

=4+ 6 

414.000 

449.000 

486.000 

524.000 

563.000 

603.000 

579.000 

of the multiannual financial framework  Payments 

=5+ 6 

59.883 

244.053 

240.710 

372.275 

393.037 

424.050 

521.227 

1,362.766 

If more than one heading is affected by the proposal / initiative: 

EN 

53 

EN 

904.500 

904.500 

3,438.600 

3,438.600 

179.400 

3,618.000 

3,618.000 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
(cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121) TOTAL appropriations of an administrative nature financed 
from the envelope for sub-programmes  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Commitments 

=4+ 6 

Payments 

=5+ 6 

EN 

54 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Heading of multiannual financial 
framework:  

559 

"Heading 5" Administration 

EUR million (to 3 decimal places) 

DG ENV & CLIM 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

(cid:121) ENV human resources ( Million €)  

9.184 

9.320 

9.528 

9.871 

10.082 

10.285 

10.564 

(cid:121) CLIMA human resources ( Million €) 

TOTAL Human resources ( Million €) 

(cid:121) ENV other administrative expenditure  

(cid:121) CLIMA other administrative expenditure  

3.175 

3.222 

3.575 

3.792 

4.020 

4.100 

4.180 

12.359 

12.542 

13.103 

13.663 

14.102 

14.385 

14.744 

0.392 

0.400 

0.409 

0.417 

0.425 

0.434 

0.442 

0.173 

0.177 

0.194 

0.199 

0.202 

0.220 

0.224 

TOTAL Other administrative expenditure ( Million €) 

0.565 

0.577 

0.603 

0.616 

0.627 

0.654 

0.666 

TOTAL DG ENV & CLIM 

Appropriations  

12.924 

13.119 

13.706 

14.279 

14.729 

15.039 

15.410 

68.834 

26.064 

94.898 

2.919 

1.389 

4.308 

99.206 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

12.924 

13.119 

13.706 

14.279 

14.729 

15.039 

15.410 

99.206 

Year 
201460 

Year 
2015 

Year 
2016 

Year 
2017 

Year 
2018 

Year 
2019 

Year 
2020 

Year 
2021  & 
subs 

TOTAL 

EUR million (to 3 decimal places) 

59 
60 

EN 

Montants et imputation seront ajustés le cas échéant en fonction des résultats du processus d'externalisation envisagé vers l'agence exécutive 
Year N is the year in which implementation of the proposal/initiative starts. 

55 

EN 

 
  
 
 
 
 
 
 
  
 
  
  
  
 
 
 
                                                 
TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial framework  

Commitments 

426.924 

462.119 

499.706 

538.279 

577.729 

618.039 

594.410 

- 

3,717.206  

Payments 

72.807 

257.172 

254.416 

386.554 

407.766 

439.089 

536.637 

1,362.766 

3,717.206  

EN 

56 

EN 

 
  
3.2.2.  Estimated impact on operational appropriations  

–  (cid:133)  The proposal/initiative does not require the use of operational appropriations  

–  (cid:58)  The proposal/initiative requires the use of operational appropriations, as explained below: 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

Commitment appropriations in EUR million (to 3 decimal places) 

OUTPUTS 

  Cost 
s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

  Cost 
s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

  Cost 
s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

  Cost 
s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

Total  
cost 

Total 
numb
er of 
outpu
ts 

Indicate 
objectives and 
outputs  

Type of 
output
61 

Average 
cost  
of the 
output 

  Cost 
s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

  Cost 
s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

  Cost 
s
t
u
p
t
u
o

f
o

r
e
b
m
u
N

(cid:216) 

SPECIFIC OBJECTIVE No 1- 
Environment and Resource 
Efficiency 

- Output 

- Output 

- Output 

IP62 

€9.481 

Trad63 

€1.5 

Proc.64 

€0.282 

5 

44 

68 

€42.5 

€66.25 

€19.25 

7 

39 

72 

€62.5 

€58.75 

€20.35 

10 

28 

74 

€92.5 

€41.75 

€20.90 

12 

34 

78 

€112.5 

€35.25 

€22 

13 

24 

82 

€127.5 

€36.50 

€23.10 

15 

22 

84 

€150 

€33.25 

€23.65 

15 

21 

88 

€142.5 

€30.75 

€24.75 

77 

€730 

202 

€302.50 

546 

€154 

Sub-total for specific objective N°1 

117 

128 

118 

141.60 

112 

155.15 

114 

169.75 

119 

187.10 

121 

206.90 

123 

198.00 

825 

1,186.50 

SPECIFIC OBJECTIVE No 265- 
Biodiversity 

- Output 

IP 

€10 

3 

€30 

4 

€40 

6 

€60 

8 

€80 

10 

€100 

10 

€100 

10 

€100 

51 

€510 

61 
62 
63 
64 
65 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
Integrated Projects. 
Traditional projects. 
Public Procurement. 
As described in Section 1.4.2. "Specific objective(s)…" 

EN 

57 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

- Output 

Trad 

€1.5 

-Output 

Proc. 

€0.282 

60 

15 

€89.50 

€4.20 

58 

16 

€87.00 

€4.44 

Sub-total for specific objective N°2 

78 

123.70 

78 

131.44 

SPECIFIC OBJECTIVE No 3- 
Environmental Governance 

- Output 

-Output 

Nat 

Env 

€1.25 

€1.28 

- Output 

NGOs 

€0.300 

- Output 

Proc. 

€0.282 

3 

11 

36 

41 

€3.25 

€14 

€11 

€11.55 

5 

9 

37 

43 

€6 

€11.75

€11.25 

€12.21 

6 

9 

Sub-total for specific objective N°3 

91 

39.80 

94 

41.21 

52 

18 

74 

38 

44 

98 

SPECIFIC OBJECTIVE No 4- Clima 
Mitigation 

OUTPUTS 

€78.00 

€4.56 

46 

17 

€69.50 

€4.80 

43 

18 

€65.00 

€5.04 

51 

18 

€76.25 

€5.16 

44 

19 

€66.50 

€5.40 

355 

€ 531.75 

119 

€ 33.60 

142.56 

71 

154.30 

71 

170.04 

79 

181.41 

73 

171.90 

525 

1,075.35 

€8 

8 

€10 

8 

€10 

12 

€15 

12 

€15 

€11.75 

€11.25 

€12.54 

9 

40 

47 

€11.75 

€12 

€13.20 

9 

41 

49 

€11 

€12.25 

€13.86 

6 

42 

50 

€7.75 

€12.5 

€14.19 

6 

44 

53 

€7.5 

€13.25 

€14.85 

54 

59 

€67.25 

€75.50 

278 

€ 83.5 

328 

€ 92.40 

43.54 

104 

46.95 

107 

47.11 

111 

49.44 

115 

50.60 

720 

€ 318.65 

- Output 

Projects 

€2.271 

- Output 

IP 

€5.746 

- Output 

Proc 

€0.282 

13 

0 

57 

€28.50 

€0 

€16.00 

14 

0 

57 

€31.

80

11 

€24.00 

€0 

2 

€11.00 

€16.20 

60 

€17.00 

12 

2 

64 

€26.50 

€11.30 

€18.20 

13 

2 

67 

€29.50 

€11.50 

€19.00 

14 

2 

73 

€32.00 

€11.80 

€20.50 

13 

2 

71 

€29.50 

€12.00 

€20.00 

90 

10 

€201.80

€57.60 

449 

€126.90 

Sub-total for specific objective N°4  

70 

€44.50 

71 

€48.00 

73 

€52.00 

78 

€56.

00 

82 

€60.00 

89 

€64.30 

86 

€61.50 

549 

€386.30 

SPECIFIC OBJECTIVE No 5- Clima 
Adaptation 

- Output 

Projects 

€2.254 

- Output 

IP 

€5.746 

- Output 

Proc. 

€0.282 

16 

0 

28 

€36.50

€0 

€8.000 

18 

0 

28 

€40.

00

14 

€32.50

€0 

2 

€11.00

€8.000 

30 

€8.500 

16 

2 

32 

€35.60

€11.30

€9.100 

17 

2 

33 

€39.20

€11.50

€9.300 

19 

2 

33 

€43.20

€11.80

€9.300 

17 

2 

37 

€39.00

€12.00

€10.50

117 

€266.00

10 

€57.600 

221 

€62.700 

Sub-total for specific objective N°5 

44 

€44. 50

46 

€48.00

46 

€52.00

50 

€56.00

52 

€60.00

54 

€64.30

56 

€61.50

348 

€386.30

EN 

58 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

OUTPUTS 

SPECIFIC OBJECTIVE No 6- 
Climate Governance 

- Output 

Projects 

€1.132 

- Output 

Proc. 

€0.282 

- Output 

NGOs 

€0.565 

4 

9 

6 

€4.000 

€2.500 

€3.200 

4 

10 

6 

€4.

700 

€2.800 

€3.300 

5 

10 

6 

€5.300 

€2.800 

€3.300 

5 

11 

7 

€5.500 

€3.000 

€4.000 

5 

11 

7 

€6.000 

€3.200 

€4.000 

6 

12 

8 

€6.500 

€3.400 

€4.300 

6 

10 

8 

€6.500 

€2.900 

€4.300 

35 

73 

48 

€38.500 

€20.600 

€26.400 

Sub-total for specific objective N°6 

19 

€9. 700 

20 

€10.80

21 

€11.40

23 

€12.50

23 

€13.20

26 

€14.20

24 

€13.70

156 

€85.500 

TOTAL COST 

419 

390.20 

428 

421.05 

424 

456.65 

440 

495.50 

454 

537.45 

480 

580.55 

477 

557.20 

3.122 

€3,438.6 

EN 

59 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–  (cid:133)  The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  (cid:58)  The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

HEADING 5 
of the multiannual 
financial framework 

ENV human 
resources  

CLIMA human 
resources  

ENV other 
administrative 
expenditure  

CLIMA other 
administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 566 
of the multiannual 
financial framework  

ENV other 
expenditure  
of an administrative 
nature 

CLIMA other 
expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

2014 

2015 

2016 

2017 

2018 

2019 

2020 

TOTAL 

9.184 

9.320  

9.528 

9.871 

10.082 

10.285  

10.564 

68.834 

3.175 

3.222  

3.575 

3.792 

4.020 

4.100  

4.180 

26.064 

0.392 

0.400  

0.409 

0.417 

0.425 

0.434  

0.442 

2.919 

0.173 

0.177  

0.194 

0.199 

0.202 

0.220  

0.224 

1.389 

12.924 

13.119  

13.706 

14.279 

14.729 

15.039  

15.410 

99.206 

19.000 

22.500 

23.250 

22.000 

18.000 

14.500 

13.750 

133.000 

4.800 

5.450 

6.100 

6.500 

7.550 

7.950 

8.050 

46.400 

23.800 

27.950 

29.350 

28.500 

25.550 

22.450 

21.800 

179.400 

TOTAL 

36.724 

41.069 

43.056 

42.779 

40.279 

37.489 

37.210 

278.606 

66 

Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 

EN 

60 

   EN 

 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources  

–  (cid:133)  The proposal/initiative does not require the use of human resources  

–  (cid:58)  The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

Estimate to be expressed in full amounts (or at most to one decimal place) 

2014 

2015 

2016 

2017 

2018 

2019 

2020 

(cid:121) Establishment plan posts (officials and temporary agents) 

64.0  

64.0 

64.0 

65.0 

65.0 

65.0 

65.0 

21.0 

21.0  

23.0 

24.0 

25.0 

25.0 

25.0 

07 01 01 01 01 ENV (Headquarters and 
Commission’s Representation Offices) 

XX 01 01 01 02 CLIMA (Headquarters 
and Commission’s Representation 
Offices) 

(or new nomenclature to be created under 
specific budget Title) 

XX 01 01 02 (Delegations) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)67 

8.0 

8.0 

8.0 

8.0 

8.0 

8.0 

9.0 

5.0 

5.0 

5.0 

5.0 

5.0 

5.0 

5.0 

07 01 02 01 ENV (CA, INT, SNE from 
the "global envelope") 

XX 01 02 02 CLIMA (CA, INT, SNE 
from the "global envelope") 

(or new nomenclature to be created under 
specific budget Title) 

XX 01 02 02 (CA, INT, JED, LA and 
SNE in the delegations) 
XX 01 04 yy 68 

- at Headquarters69 

- in delegations  

XX 01 05 02 (CA, INT, SNE - Indirect 
research) 

10 01 05 02 (CA, INT, SNE - Direct 
research) 

Other budget lines (specify) 

TOTAL 

98.0 

98.0 

100.0 

102.0 

103.0 

103.0 

104.0  

XX is the policy area or budget title concerned. 

The  human  resources  required  will  be  met  by  staff  from  the  DG  who  are  already  assigned  to 
management of the action and/or have been redeployed within the DG, together if necessary with any 

67 

68 
69 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young 
Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines) 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 

EN 

61 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
additional allocation which may be granted to the managing DG under the annual allocation procedure 
and in the light of budgetary constraints. Amounts and imputations will be adjusted depending on the 
results of the envisaged externalisation process. 

Description of tasks to be carried out: 

Officials and temporary agents 

External personnel 

EN 

62 

   EN 

 
 
 
3.2.4.  Compatibility with the current multiannual financial framework  

–  (cid:58)  Proposal/initiative is compatible the current multiannual financial framework. 

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

multiannual financial framework. 

Explain  what  reprogramming  is  required,  specifying  the  budget  lines  concerned  and  the  corresponding 
amounts. 

n/a. 

–  (cid:133)  Proposal/initiative requires application of the flexibility instrument or revision of the 

multiannual financial framework70. 

Explain what is required, specifying the headings and budget lines concerned and the corresponding amounts. 

n/a. 

3.2.5.  Third-party contributions  

–  The proposal/initiative does not provide for co-financing by third parties  

–  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to 3 decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

Total 

Specify  the  co-financing 
body  

TOTAL appropriations 
cofinanced  

70 

See points 19 and 24 of the Interinstitutional Agreement. 

EN 

63 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

–  (cid:58)  Proposal/initiative has no financial impact on revenue. 

–  (cid:133)  Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriations 
available for the 
ongoing budget 
year 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative71 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… insert as many columns as necessary 
in order to reflect the duration of the 
impact (see point 1.6) 

For miscellaneous assigned revenue, specify the budget expenditure line(s) affected. 

n/a 

Specify the method for calculating the impact on revenue. 

n/a 

71 

As  regards  traditional  own  resources  (customs  duties,  sugar  levies),  the  amounts  indicated  must  be  net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

64 

   EN