|
Michel Barnier |
Chris Patten |
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Member of the European Commission |
Member of the European Commission |
CONTENTS
Introduction
The purpose of this Guide is to explain how the European Unions INTERREG and Tacis programs can be used more effectively in the future in support of co-operation across the external borders of the European Union. The European Commission has already taken steps to improve co-ordination between the two programs, but it is acknowledged that more needs to be done in order to be able to respond better to growing needs and changing political priorities in this field.
The European Parliament, in its opinion on the INTERREG III Guidelines of April 2000, has called on the Commission "to co-ordinate better with INTERREG the various instruments used for co-operation projects in third countries" and stressed "that this co-ordination of instruments is a sine qua non for genuine co-operation."
Meanwhile, the new Council regulation on Tacis states:
"...In the implementation of cross-border co-operation programs involving Member States, PHARE countries and partner States, the Commission shall seek effective co-ordination and consistency with programs financed through the Structural Funds, Community external assistance programs and bilateral assistance initiatives."
This Guide is organized as follows. Sections 2 and 3 set out the general policy framework of policy in this field. In section 3, the current and planned activities in relation to the Northern Dimension is described, a context where INTERREG and Tacis have a valuable contribution to make.
Sections 4 and 5 set out the technical details covering the different programs concerned and the project application process. Section 6 explains the concrete steps the Commission is currently undertaking to improve co-ordination and offers suggestions to the Member State and Russian authorities about the steps that they can take to assist with this process. Annex 1 provides practical information on how to prepare and submit a project application, and Annex 2 provides a series of contact points for advice and assistance.
The general framework
Co-operation between the regions of the European Union, and those on the other side of the Unions external borders, has become increasingly important over recent years.
In the framework of EU/Commonwealth of Independent States relations, the European Commission has two main ways to promote co-operation across the relevant external borders, which are the focus of this document:
INTERREG
Tacis,
At the cross border level between the EU and CIS countries, the ultimate aim is to create new opportunities for the population living in border areas, to promote the spirit of co-operation and to foster trust between the authorities on each side of the border.
At the wider regional level (i.e. the Baltic region), there is a need to promote interstate and interregional co-operation with a view to assisting the development of the Northern Dimension and moving towards enlargement.
The current situation and outlook
To organize a project covering activities in both Finland and Russia for instance, one must submit separate applications for INTERREG and Tacis respectively. This is not ideal from the applicants point of view, but is explained by the fact that INTERREG and Tacis are two different instruments which have different aims and criteria, different procedures for decision-making and implementation and different governing legislation. Furthermore, there are differences between the internal and external financial instruments of the European Union. For example, the budget for Tacis, like all external European Union programs, is annual, while INTERREG as one of the programs to promote economic development under the Structural Funds, has a multi-annual budget in order to provide the basis for longer-term planning. For Tacis, prior project approval by the European Commission is required, and the European Commission and the recipient country remain jointly responsible for project implementation; for INTERREG, on the other hand, responsibility for project selection and implementation lies with the European Union Member
State(s) concerned.
For these reasons the double application process will continue to be necessary. However, the objective of these guidelines is to link the two procedures to the greatest possible extent and to increase transparency in order to facilitate the implementation of cross-border projects.
Recent progress
In order to ensure that these technical aspects do not stand in the way of the development of common projects across the borders, the European Commission has already introduced a number of internal co-ordination measures between INTERREG and Tacis. For example, one of the criteria for the selection of Tacis CBC projects is the existence of a complementary INTERREG project on the other side of the border.
Already, there is evidence that this is working. Examples of successful Tacis CBC projects featuring close co-operation with INTERREG include:
Two international border crossing projects: Vartius-Lyttä and Niirala-Värtsilä;
The Karelian parks;
Development of monitoring, protection and sustainable use of Lake Ladoga;
North-West Road Management project;
Development of Jänisjoki for tourism purposes.
Such projects demonstrate that, even with separate application processes, coordinating and linking INTERREG and Tacis project applications can be effective and can produce positive results.
At the same time, the European Commission is aware that further improvements are required in this co-ordination. The INTERREG Guidelines of April 2000, setting out the rules for 2000-2006, commit the Commission to making progress on this issue. This Guide represents a contribution to help interested organizations, whether or not they have been involved in INTERREG and Tacis in the past, to launch projects across the EU-Russian land and maritime border.
The Northern Dimension
INTERREG, Tacis and the Northern Dimension
Co-ordination between INTERREG and Tacis has an important contribution to make in the framework of the Northern Dimension.
A Northern Dimension Action Plan, proposed by the European Commission, was approved at the European Council meeting at Feira in June 2000. The Northern Dimension aims to provide added value through reinforced co-ordination and complementarity in European Union and Member States programs and enhanced collaboration between countries in Northern Europe. The cross-border aspects together with regional and transnational aspects of such a process are obviously key elements to its success, as they will bring together actors from within and outside the European Union to share experiences and to learn from each other.
Kaliningrad
The focus of INTERREG and Tacis co-ordination is not only on the EU-Russian land border. It is equally important to emphasise co-operation within the wider Baltic Sea region, and in particular with Kaliningrad. This Russian exclave on the Baltic Sea does not have a land border with the European Union at present, but it does have a coastline on the Baltic Sea, and the Tacis cross-border co-operation program extends to co-operation with other countries in the Baltic Sea Region.
The Commission wishes to encourage the participation of Kaliningrad in co-operation actions in the Baltic Sea region. Kaliningrad lies within the zone identified in the context of the INTERREG transnational program for the Baltic Sea region. As described below, transnational co-operation has a wider scope than cross-border co-operation and is more suited to the maritime dimension of the Baltic Sea area.
In January 2001, the Commission issued a communication on Kaliningrad and its future relationship with the European Union. The document is a discussion paper intended to encourage thinking on how to assist the development of the region in the framework of enhanced co-operation between Russia and the European Union.
INTERREG: An overview
INTERREG
The INTERREG Community Initiative is part of the European Unions regional policy. The funding for INTERREG III (the latest phase of INTERREG) comes from the European Regional Development Fund, one of the Structural Funds. A total of 4.875 billion EURO is available for the period 2000-2006. INTERREG III is split into three strands, namely cross-border (A), transnational (B) and interregional co-operation (C).
Cross-border
co-operation mostly concerns those regions which are located on the land borders of the European Union. A limited number of maritime borders in close proximity are also included.
Transnational
co-operation seeks to promote wider scale co-operation across national frontiers and as such it is not limited to contiguous border areas. The aim is to overcome the fragmentation of space caused by national borders, supporting a broadly-based strategic approach to the development of areas with common characteristics, such as the Baltic Sea region.
Interregional
co-operation promotes common projects between regions that are not necessarily geographically contiguous. Any region within the Union can potentially co-operate with any other on a range of subjects.
INTERREG programs
Member States are responsible for the submission of proposals for INTERREG cross-border programs including the aims (the "priorities") for the particular area concerned and the types of action which will be supported (the "measures"). The role of the European Commission is to ensure that program proposals comply with relevant Community legislation, that the local and regional partners in the program area have been involved in the drafting of the program, and that the priorities and measures selected are adapted to the needs of the area concerned.
Following negotiation between the European Commission and the Member States and the partnership, the programs are approved by the Commission. After approval, the program management authority is responsible for the procedure for selecting project selection which must be capable of giving results that are consistent with the aims of the program.
By virtue of its wider geographical scope, INTERREG strand B, tends to have a more tightly focused approach on a limited number of strategic priorities that respond to the needs of a large transnational area. Strand B therefore focuses on matters such as transport, environmental issues and spatial planning. Under strand A, the choice is wider in order to be able to address the specificities of smaller areas.
INTERREG 2000-06
Under strand A of INTERREG, there are three cross-border programs in operation on the EU side of the EU-Russian border: South-East Finland, Karelia (both Finnish-Russian programs) and North Calotte/Kolarctic (which includes Northern Sweden, Northern Finland and Northern Norway.)
Under INTERREG IIIB, actions are supported on the EU side of the border in the context of the Baltic Sea Region which covers all of the Nordic countries and North-East Germany as well as North-West Russia and Kaliningrad.
It is not possible, however, at this stage to provide the definitive overview of the relevant INTERREG programs. The following programs are under negotiation and none has yet been approved by the European Commission. The details set out below are therefore subject to change.
The Karelian INTERREG IIIA Program ( 28 million EURO in EU funds) has identified three main priorities for action over the next six years. These are:
Business Activity;
Expertise and Regional co-operation; and
Transport and Communication.
The South-East Finland INTERREG IIIA Program (22 million EURO) focuses on:
the development of transport links and the state of the environment;
the development of business and the business environment; and
expertise and improving conditions for co-operation.
In the North Calotte/Kolarctic INTERREG IIIA program (47 million EURO), the Kolarctic part of the program focuses on co-operation with Russia (the Nordkalotten part dealing with intra-Scandinavian co-operation.) Again, there are three priorities proposed within the Kolarctic part of the program:
Business co-operation;
Competences and welfare; and
Infrastructure.
The Baltic Sea INTERREG IIIB Program ( 97 million EURO) contains the following priorities:
Promotion of spatial development approaches and actions for specific territories and sectors;
Promotion of territorial structures supporting sustainable Baltic Sea region development; and
Promotion of institution building, strengthening transnational spatial development.
Programs are expected to be approved formally by June 2001 with the first Committee meetings for these programs expected in summer 2001.
Tacis: An overview
Tacis
The Tacis program links the EU to thirteen partner States in Eastern Europe and Central Asia. Within the Tacis program there has been a redeployment of financial resources in favour of the Western CIS, those closest to what will be the new external boundary of an enlarged EU. The new Tacis regulation provides for the selection of a smaller number of larger projects. The amount envisaged for the implementation of the Tacis program over the 2000 to 2006 period is 3.138 billion EURO.
The Tacis CBC Program
Tacis comprises both national and multi-country programs. Cross-border co-operation is one of the multi-country programs. It covers four partner States: Russia, Ukraine, Belarus and Moldova. The allocation for the year 2001 was 23 million EURO. The Tacis regulation defines the purpose of cross-border co-operation as:
assisting border regions in overcoming their specific developmental problems;
encouraging the linking of networks on both sides of the border, e.g. border-crossing facilities;
accelerating the transformation process in the partner States through their co-operation with border regions in the European Union or Central and Eastern Europe; and
reducing transboundary environmental risks and pollution.
The Tacis CBC Indicative Program for 2000-2003 provides funding for three main areas of co-operation and for a small project facility as follows:
40-50% for development of infrastructure networks (border crossings); (A study of border crossings in the Tacis area was made to identify projects for European Union funding. This 1995/96 study is currently being updated. An analysis will be made to reconsider the ranking of border crossings for which available support can be most appropriately used to improve traffic flows)
15-25% for promotion of environmental protection and the management of natural resources;
15-25% for support to the private sector and assistance for economic development;
10-25% for small projects.
The Indicative Program proposes to provide around 30 million EURO per annum. Within the framework of the Indicative Program, an annual action program is prepared which identifies the projects which are to be supported that year.
Types of project under Tacis
The Tacis projects are classified into two different types, based on the cost of the project.
Firstly, there are large-scale projects. These are mostly border crossings, environment and energy projects, the budget of which is usually more than 2 million EURO. Project proposals are submitted to the National Co-ordinating Unit, which is part of the Russian Ministry of the Economy. In the case of cross-border co-operation the projects may be proposed through the Tacis Local Support Offices. There is one in St. Petersburg with branches in Petrozavodsk and in Kaliningrad. The European Commission Delegation is associated with the programming. Overall responsibility for programming lies with the Commission Directorate-General for External Relations in Brussels, and responsibility for final identification of projects lies with the EuropeAid service of the European Commission.
The second type of project relates to the small projects facility. The small project facility offers scope for regional and local authorities to participate directly in cross-border co-operation. The projects are usually worth between 50,000 EURO and 200,000 EURO and they are organized on a call for proposals basis. Local and regional authorities are the main groups concerned. Project proposals are submitted directly to the EuropeAid service of the European Commission, which then selects the best projects once a year.
Small projects offer especially good opportunities for linking with INTERREG projects. They can be organized at regional or local level, the funding size ensures that they are manageable, and the range of subjects which can be supported is wider than for cross-border large-scale projects. In general, the Small Project Facility, which supports small cross-border projects, assists projects that address a common problem or help to develop the partners competencies in the areas of administrative reforms, local economic development, social affairs, environment and energy efficiency.
Other Relevant Tacis Programs
Although the Tacis CBC program is the Tacis program which can most obviously benefit from improved co-ordination with INTERREG, it is not the only one. Local authorities should take into account the possibilities of co-ordination through other programs described below bearing in mind that all these programs have their own application procedures.
The Tacis national program for Russia supports projects across Russia, some of which can be located in border areas.
In addition, there is a Baltic Special Facility which has a separate budget line. It is jointly managed by PHARE and Tacis according to CBC rules. The Tacis component will focus on border crossings and on health care.
Another relevant Tacis program is the Institution Building Partnership Program (IBPP), which is part of each Tacis national program. In the field of assistance for institution building based on partnerships, Tacis has supported government services co-operation (e.g. with the Customs program) as well as local and regional initiatives and grass-roots organizations (such as LIEN which encourages non-governmental organizations to work together, and City Twinning). The close involvement of the actors in the definition of the project objectives, which enhances their sense of ownership, has been a key success factor.
Taking forward effective co-ordination
This section identifies the actions that the Commission is taking or intends to take and which it recommends that the relevant national, regional and local authorities in the Member States and Russia take to improve the current co-ordination of INTERREG and Tacis. It is divided into actions dealing with INTERREG issues, actions on Tacis issues, and publicity actions relevant to both instruments. It also briefly refers to PHARE-Tacis- INTERREG -co-operation.
INTERREG Aspects
In the negotiations on the INTERREG programs during the first half of 2001, the European Commission will require that the priorities chosen closely relate to those already identified for Tacis CBC over the next three years.
The selection criteria for INTERREG projects in the relevant programs must include a reference to Tacis.
INTERREG application forms should include a section to be completed on the co-ordination with a Tacis project, either a link to a large-scale project or a parallel application for a small project.
Project submission dates for INTERREG programs and Steering Committee meeting dates should be set as far ahead as possible, in order to offer a coherent timeline with Tacis.
The Commission will ensure that it will be represented at relevant INTERREG Committee meetings by both INTERREG and Tacis desk officers.
INTERREG Steering Committees could meet in advance of Tacis small project submission deadlines and award conditional approvals to projects which are submitting under the Tacis call. Input from relevant directorates will be given in the inter-service consultations and during the evaluation committee meetings. This will allow priority to be given to various projects during the Tacis selection process.
Tacis aspects
During the selection process for Tacis large-scale projects, whether under the cross-border program, or under other Tacis programs, the Commission shall take into account the INTERREG dimension (i.e. favourable consideration for projects which have or could have links to INTERREG projects).
Under the Tacis CBC Small Project Facility, the European Commission will fix a cut-off date for the submission of projects for springtime of each year.
Priority will be given to Tacis small projects which have a parallel INTERREG project. A section in the Tacis application form and the call for proposals should address this issue.
Local partners in the INTERREG programs may offer their expertise in project preparation to Russian organisations. Co-operation on the preparation of project applications can often have a beneficial effect on the overall quality of proposals.
Information aspects
The Commission will set up an INTERREG-Tacis e-mail list, which will be circulated to interested parties at regular intervals and will provide updates on meeting dates, selected projects and other relevant issues. Registration requests should be addressed to Regio-Interreg3@cec.eu.int.
The Commission will include details of selected INTERREG and Tacis projects on its websites - both the Inforegio site ( www.inforegio.cec.eu.int ) and the EuropeAid website ( http://europa.eu.int/comm/europeaid/index_en.htm ).
Member States, the Commission and authorities of the partner States should also ensure a high degree of publicity for selected projects. This will encourage the development of parallel or linked projects in relation to existing projects either within the Union or in the partner States.
The expert being appointed at the INTERREG Baltic Sea programs Secretariat in Karlskrona (Sweden) to advise partners in arranging PHARE/Tacis funding will be kept fully informed of preparations for Tacis projects.
PHARE Aspects
In the case of PHARE, very close co-operation currently exists with INTERREG since "Joint Programming Documents" have been produced in accordance with the PHARE CBC Regulation, so as to ensure the smooth transition from INTERREG/PHARE CBC to future internal INTERREG programs after enlargement. On current PHARE-Tacis borders, complementary interventions are being assured by close collaboration between the Commission services.
Conclusion
The Commission believes that this is an important further step in the improved co-ordination of INTERREG and Tacis. Further work, enlarging the scope of the exercise, will continue. In this regard, it is intended that this paper will be updated from time to time to take account of new developments. Updates will be available on the web sites of the Directorates-General for Regional Policy
( www.inforegio.cec.eu.int/INTERREG3) and the EuropeAid Co-operation Office
( http://europa.eu.int/comm/europeaid/index_en.htm).
The Commission underlines that, although the improvements it is putting in place will improve the possibilities of co-ordination between INTERREG and Tacis, the actual co-ordination itself must come from project applicants. They must take steps to link up projects and to ensure the quality of the proposals that they present. The Commission can set up a framework and encourage co-operation - only the authorities and organizations on the ground can actually ensure that the co-ordination leads to concrete results.
Annex 1: Preparing INTERREG and Tacis projects
How to prepare and submit an INTERREG project
The first step in preparing an INTERREG project is to contact the INTERREG secretariat for the program which covers the location of the project. The secretariat is the contact point for the program. It deals with the practical arrangements of the program, such as receiving and assessing projects. They can also provide useful advice to people preparing projects. The contact details for the INTERREG secretariats are given in annex 2.
A project proposal is made by completing a project application form, which is available for each program. In the application, the project proposers have to justify their project, identify all the organizations taking part in the project, identify how it meets the objectives of the program, and give targets that the project will achieve. In the case of INTERREG-Tacis co-ordination, project proposals will have to describe the links they have with a parallel Tacis project.
The most suitable project proposals will be selected by a Steering Committee, which consists of representatives of the national, regional and local authorities and other organizations. The European Commission sits as an observer on the Committee. Projects can normally be selected for approval, given conditional approval (because some information was missing, for example), recommended for revision or rejected. Conditional approval could also be used where a projects parallel application under Tacis had not yet been approved.
A selected project will normally receive a grant letter, which will set out the terms and conditions for the use of the grant. These will include providing regular reports about progress, monitoring results and keeping well-organized files and accurate accounts.
How to prepare and submit a project under the Tacis Small Project Facility
The Commission organizes a call for proposals every year for the small project facility. This will set out the subjects to be covered by projects, who can submit projects, and, particularly important, the closing date for project submission.
Applicants must complete the project application form and submit it directly to the Commission. The Tacis application should be completed in parallel with the INTERREG application described in the previous section. In this way, there should be coherence between the two forms. The Tacis application will have to provide details of the parallel INTERREG application to ensure priority consideration in the selection process. The application should specify the status of the INTERREG application - e.g. approved, conditionally approved or submitted. The Tacis Local Support Offices (see annex 2) can provide assistance to applicants.
The Commission will then organize an internal evaluation committee to select the best projects for funding. Projects can normally be selected for approval, given conditional approval (because some information was missing, for example), recommended for revision or rejected. Conditional approval could also be used where a projects parallel application under INTERREG had not yet been approved.
After approval of the (revised) application, the applicant will sign a contract with the Commission for the use of the grant. The contract fulfils the same role as the grant letter for an INTERREG project.
The Commission will expect to see a significant degree of co-ordination between linked INTERREG and Tacis CBC projects. Co-ordination should include frequent contacts between all project partners, regular meetings, and the preparation of reports which both fulfil the contract/grant letter requirements for the respective instrument and identify the added value provided by the linking of the projects.
Annex 2: Contact points
INTERREG Contact Points