Common Provisions Regulation - Block 2 Annexes Version: Outcome of trilogue on 10 December 2019 and on 1 December 2020     In yellow, bold and italics the EP amendments     In bold and underlined the Council amendments     Grey text boxes will be used for common provisional understanding or other comments as follows Provisional common understanding … 1. Example… 1 ANNEX III Horizontal enabling conditions – Article 11(1) Applicable to all specific objectives Name of enabling conditions             Fulfilment criteria Effective monitoring                    Monitoring mechanisms are in place that cover all public mechanisms of the public                contracts and their procurement procedures under national the Funds in line with EU procurement legislation which. This procurement market requirement includes: 1. Arrangements to ensure compilation of effective, and reliable and exhaustive data and indicators within a single IT system or a network of interoperable systems, with a view to implementing the "once-only principle" and facilitating on public procurement procedures above the EU thresholds in accordance with reporting obligations under Article 83(3) of Directive 2014/24/EU, in accordance with the e- procurement requirements, as well as under Article and 84 of Directive 2014/24/EU. The data and indicators article 99 and 100 of Directive 2014/25/EU. 2.   Arrangements to ensure the data cover at least the following elements: a. Quality and intensity of competition: names of winning as well as initial bidders, number of initial bidders, number of selected bidders, and contractual price – against initial 1 Council position: The content of this annex is without prejudice to possible additional conditionalities to be debated at political level, including on the European Pillar of Social Rights. 1

budgetary allocation and, whenever possible through contract registers,value; b. Information on final price after completion; b. Participation and on participation of SMEs as direct bidders; c. Appeals launched against the decisions of the contracting authorities, including at least their number, the time needed to render a decision in the first instance, and number of decisions referred to the second instance; d. A list of all contracts awarded pursuant to rules on exclusions from the public procurement rules, with an indication of the specific provision used. 2. Arrangements to ensure sufficient capacity for monitoring and analysis of the data by the dedicated competent national authorities. 3. Arrangements to make the data and indicators as well as the result of the analysis available to the public through user friendly open data. 4. Arrangements to ensure that all, where national systems provide such information pointing to suspected bid-rigging situations is systematically communicated to the competent national competition bodies.; Provisional common understanding Monitoring mechanisms are in place that cover all public contracts and their procurement procedures under national the Funds in line with EU procurement legislation which. This requirement includes: 1. Arrangements to ensure compilation of effective, and reliable and exhaustive data and indicators within a single IT system or a network of interoperable systems, with a view to implementing the "once-only principle" and facilitating on public procurement procedures above the EU thresholds in accordance with reporting obligations under Article 83(3) of Directive 2014/24/EU, in accordance with the e-procurement requirements, as well as under Article and 84 of Directive 2014/24/EU. The data and indicators article 99 and 100 of Directive 2014/25/EU. 2. Arrangements to ensure the data cover at least the following elements: a. Quality and intensity of competition: names of winning as well as initial bidders, number of initial bidders, number of selected bidders, and contractual price – against initial budgetary allocation and, whenever possible through contract registers,value; b.   Information on final price after completion; b. Participation and on participation of SMEs as direct bidders; , where national systems provide such information. 2

c. Appeals launched against the decisions of the contracting authorities, including at least their number, the time needed to render a decision in the first instance, and number of decisions referred to the second instance; d. A list of all contracts awarded pursuant to rules on exclusions from the public procurement rules, with an indication of the specific provision used. 23.     Arrangements to ensure sufficient capacity for monitoring and analysis of the data by the dedicated competent national authorities in accordance with article 83 (2) of directive 2014/24/EU and article 99 (2) of directive 2014/25/EU. 34.    Arrangements to make the data and indicators as well as the results of the analysis available to the public through user friendly open data in accordance with article 83 (3) of directive 2014/24/EU and article 99 (3) directive 2014/25/EU. 45. Arrangements to ensure that all information pointing to suspected bid-rigging situations is systematically communicated to the competent national competition bodies in accordance with article 83 (2) of directive 2014/24/EU and article 99 (2) of directive 2014/25/EU. 3

Tools and capacity for effective Managing authorities have the tools and capacity to verify application of State aid rules   compliance with State aid rules through: 1. Easy and comprehensive access to permanently updated information on For undertakings in difficulty and undertakings under a recovery requirement. 2. Through Aaccess to expert advice and guidance on State aid matters, provided by State aid experts of local or national expert centre, under the coordination of national State aid authorities, with working arrangements to ensure that the expertise is effectively consulted with stakeholders bodies. Provisional common understanding Managing authorities have the tools and capacity to verify compliance with State aid rules through: 1. Easy and comprehensive access to permanently updated information on For undertakings in difficulty and undertakings under a recovery requirement. 2. Through Aaccess to expert advice and guidance on State aid matters, provided by State aid experts of local or national expert centre, under the coordination of national State aid authorities, with working arrangements to ensure that the expertise is effectively consulted with stakeholders bodies. Effective application and        Effective mechanisms are in place to ensure compliance with implementation of the EU         the EU Charter of Fundamental Rights which include: Charter of Fundamental Rights    1. Arrangements to ensure verification of compliance of operations the programmes supported by the Funds and their implementation with the relevant provisions of the Charter of Fundamental Rights. 2. Reporting arrangements to the monitoring committee on the cases regarding non-compliance with the Charter of the operations supported by the Funds with the Charter. Provisional common understanding 4

Effective mechanisms are in place to ensure compliance with the EU Charter of Fundamental Rights which include: 1. Arrangements to ensure verification of compliance of operations the programmes supported by the Funds and their implementation with the relevant provisions of the Charter of Fundamental Rights. 2. Reporting arrangements to the monitoring committee on regarding cases of non-compliance with the Charter of the operations supported by the Funds with the Charter and complaints regarding the Charter submitted in accordance with the arrangements made pursuant to Article 63(6)CPR. 5

Implementation and application A national framework for implementing to ensure of the United Nations          implementation of the UNCRPD is in place that includes: Convention on the rights of    EP amendment 378 persons with disabilities      1. Objectives with measurable goals, data collection and (UNCRPD) in accordance with        monitoring mechanisms, applicable across all policy objectives. Council Decision 2010/48/EC 2. Arrangements to ensure that the accessibility policy, legislation and standards are properly reflected in the preparation and implementation of the programmes in line with the provisions of the UNCRPD and included in the project selection criteria and obligations. 2a. Reporting arrangements to the monitoring committee on the compliance of the operations supported. Provisional common understanding A national framework for implementing to ensure implementation of the UNCRPD is in place that includes: 1. Objectives with measurable goals, data collection and monitoring mechanisms. 2. Arrangements to ensure that the accessibility policy, legislation and standards are properly reflected in the preparation and implementation of the programmes. 2a. Reporting arrangements to the monitoring committee regarding cases of non-compliance of operations supported by the Funds with the UNCRPD and complaints regarding the UNCRPD submitted in accordance with the arrangements made pursuant to Article 63(6)CPR. 6

EP amendment 379 Implementation of the          Arrangements at national level to ensure the proper principles and rights of the   implementation of the principles of the European Pillar of European Pillar of Social      Social Rights that contribute to upward social convergence and Rights that contribute to real cohesion in the EU, especially the principles preventing unfair convergence and cohesion in    competition within the internal market. the European Union. Provisional common understanding [EP amendment withdrawn] EP amendment 380               A framework is in place for all partners to play a fully-fledged Effective application of the   role in the preparation, implementation, monitoring and partnership principle          evaluation of programmes, which includes 1. Arrangements to ensure transparent procedures for the involvement of partners 2. Arrangement for dissemination and disclosure of information relevant for partners to prepare and follow-up meetings 3. Support for empowering partners and capacity building Provisional common understanding [EP amendment withdrawn] 7

ANNEX IV Thematic enabling conditions applicable to ERDF, ESF+ and the Cohesion Fund – Article 11(1) On the approach to the negotiations on Annex IV, convergence of views between EP and CONS: Discussions on the name and fulfilment criteria for the enabling conditions (CPR, Annex IV, 3rd and 4th columns below) will be based on the current wording of the specific objectives (COM proposal) with the possibility for future adjustments depending on the outcome of the ERDF-CF and ESF+ negotiations. Policy objective      Specific objective         Name of enabling                       Fulfilment criteria for the enabling condition condition 1. A smarter          ERDF:                    1. Good governance of       Smart specialisation strategy(ies) shall be supported by: Europe by             All specific objectives  national or regional        1. Up-to-date Aanalysis of challenges including bottlenecks for innovation promoting             under this policy        smart specialisation           diffusion, including digitalisation innovative and        objectives               strategy                    2. Existence of competent regional / national institution or body, smart economic                                                                responsible for the management of the smart specialisation strategy transformation         Provisional common                                              3. Monitoring and evaluation tools to measure performance towards the understanding                                          objectives of the strategy Common               Specific                                            4. Effective fFunctioning of stakeholder co-operation ("entrepreneurial provisional          objectives                                             discovery process") understanding        referred to in                                      5. Actions necessary to improve national or regional research and (February -          Article                                                innovation systems, where relevant March 2019),         2(1)(a)(i) and CPR, Art. 4:                                                             6. Where relevant, Aactions to manage support industrial transition (iv) of ERDF- a more               CF Regulation                                       7. Measures for international collaboration internationalisation competitive and smarter          All specific                                            Provisional common understanding Europe by            objectives under                                         Smart specialisation strategy(ies) shall be supported by: promoting 8

innovative and     this policy smart economic     objectives                                         1. Up-to-date analysis of challenges bottlenecks for innovation transformation;                                                          diffusion and , including digitalisation 2. Existence of competent regional / national institution or body, responsible for the management of the smart specialisation strategy 3. Monitoring and evaluation tools to measure performance towards the objectives of the strategy 4. Effective fFunctioning of stakeholder co-operation ("entrepreneurial discovery process") 5. Actions necessary to improve national or regional research and innovation systems, where relevant 6. Where relevant, Aactions to manage support industrial transition. 7. Measures for enhancing cooperation with partners outside a given Member State in priority areas supported by the smart specialisation strategy international collaboration. 2. A greener, low  ERDF and Cohesion    2.1 Strategic policy      1. A national long term renovation strategy to support the renovation of carbon and         Fund:                framework to support         the national stock of residential and non-residential buildings is adopted, resilient Europe   2.1 Promoting energy energy efficiency            in line with the requirements of the Directive 2018/844 amending by promoting       efficiency measures  renovation of residential    Directive 2010/31/ EU on the energy performance of buildings, which: clean and fair     and reducing         and non-residential           a. Entails indicative milestones for 2030, 2040 and targets for 2050 energy transition, greenhouse gas       buildings                     b. Provides an indicative outline of budgetary financial resources to green and blue     emissions                                              support the implementation of the strategy investment, the circular economy,                                                     c. Defines effective mechanisms for promoting investments in climate                                                                   building renovation adaptation and                                                    2. Energy efficiency improvement measures to achieve required energy savings 9

risk prevention                                                                        Provisional common understanding and management 1. A national long term renovation strategy to support the renovation of the national stock of residential and non- Common                                                                                    residential buildings is adopted, in line with the requirements of provisional                                                                               the Directive 2018/844 amending Directive 2010/31/ EU on understanding                                                                             the energy performance of buildings, which: (February -                                                                               a. Entails indicative milestones for 2030, 2040 and targets for March 2019),                                                                                   2050 CPR, Art. 4:                                                                              b. Provides an indicative outline of budgetary financial a greener, low-                                                                                resources to support the implementation of the strategy carbon                                                                                    c. Defines effective mechanisms for promoting investments in transitioning                                                                                  building renovation towards a net                                                                         2. Energy efficiency improvement measures to achieve required zero carbon                                                                               energy savings economy and resilient Europe      ERDF and Cohesion           2.2 Governance of for           EP Amendment             381 by promoting          Fund:                       the energy sector               National Energy and Climate Plan comply with the Paris Agreement clean and fair        2.1 Promoting energy                                        objective of limiting global warming to 1.5°C, are adopted and include: energy                efficiency measures transition, green     and reducing and blue                                                                          CONS greenhouse gas investment, the       emissions                                                   The National Energy and Climate Plan are adopted is notified to the circular                                                                          Commission, in accordance with the provisions of Article 3 of 2.2 Promoting                                               Regulation No 2018/1999 and includes: economy,              renewable energy climate change        through investment in                                      1. All elements required by the template in Annex I of that the Regulation mitigation and                                                                       on Governance of the Energy Union        2 generation capacity adaptation and                                                                   2. An indicative outline of envisaged financing resources and mechanisms risk prevention                                                                      for measures promoting low-carbon energy 2 Regulation (EU) 2018/1999 of the European Parliament and of the Council on the Governance of the Energy Union and Climate Action, amending Regulations (EC) No 663/2009 and (EC) No 715/2009 of the European Parliament and of the Council, Directives 94/22/EC, 98/70/EC, 2009/31/EC, 2009/73/EC, 2010/31/EU, 2012/27/EU and 2013/30/EU of the European Parliament and of the Council, Council Directives 2009/119/EC and (EU) 2015/652 and repealing Regulation (EU) No 525/2013 of the European Parliament and of the Council 10