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20.12.2013 Official
Journal
of
the
European
Union L
347/549
REGULATION (EU) No 1306/2013 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 17 December 2013
on the financing, management and monitoring of the common agricultural policy and repealing
Council Regulations (EEC) No 352/78, (EC) No 165/94, (EC) No 2799/98, (EC) No 814/2000, (EC)
No 1290/2005 and (EC) No 485/2008
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
public intervention, as well as the rules on the content of
EUROPEAN UNION,
the management and control responsibilities of those
agencies, the measures to be financed by the general
budget of the European Union (the Union's budget)
Having regard to the Treaty on the Functioning of the European
under public intervention and the valuation of the oper
Union, and in particular Article 43(2) thereof,
ations in connection with public intervention. That
empowerment should also cover derogations from the
Having regard to the proposal from the European Commission,
ineligibility of payments made by the paying agencies
to the beneficiaries before the earliest or the latest
possible date of payment and the compensation
After transmission of the draft legislative act to the national
between expenditure and revenues under the European
parliaments,
Agricultural Guarantee Fund (EAGF) and the European
Agricultural Fund for Rural Development (EAFRD). In
addition, that empowerment should cover the methods
Having regard to the opinion of the Court of Auditors,
applicable to the commitments and the payment of the
amounts if the Union's budget has not been adopted by
the beginning of the financial year or if the total amount
Having regard to the opinion of the European Economic and
of the commitments scheduled exceeds the threshold laid
Social Committee ( 1 ),
down in Article 170(3) of Regulation (EU, Euratom)
No 966/2012 of the European Parliament and of the
Acting in accordance with the ordinary legislative procedure,
Council ( 3 ).
Whereas:
Furthermore, that empowerment should cover the
deferral of monthly payments by the Commission to
(1) The
Communication
from
the
Commission
to
the
Member States with regard to expenditure under the
European Parliament, the Council, the European
EAGF and the conditions governing the reduction or
Economic and Social Committee and the Committee of
suspension by the Commission of interim payments to
the Regions entitled "The CAP towards 2020: Meeting
Member States under the EAFRD. That empowerment
the food, natural resources and territorial challenges of
should additionally cover the suspension of monthly
the future" examined potential challenges, objectives and
payments or interim payments for which the relevant
orientations for the Common Agricultural Policy (CAP)
statistical information has not been sent in time, the
after 2013. In the light of the debate on that Communi
specific obligations to be complied with by Member
cation, the CAP should be reformed with effect from
States with regard to checks, the criteria and
1 January 2014. That reform should cover all the main
methodology for applying corrections in the context of
instruments of the CAP, including Council Regulation
the conformity clearance procedure and the recovery of
(EC) No 1290/2005 (
debts. Moreover, that empowerment should cover

2 ). Experience derived from imple
menting that Regulation shows that certain elements of
requirements with respect to customs procedures, the
the financing and monitoring mechanism need to be
withdrawals of aid and penalties in the case of non-
adjusted. In view of the scope of the reform, it is appro
compliance with the eligibility conditions and
priate to repeal Regulation (EC) No 1290/2005 and to
commitments or other obligations resulting from the
replace it with a new text. The reform should also, as far
application of sectoral agricultural legislation. Likewise,
as possible, harmonise, streamline and simplify its provi
that empowerment should cover market measures for
sions.
which the Commission may suspend monthly
payments, rules on securities, on the functioning of the
integrated administration and control system as well as
(2) In
order
to
supplement
or
amend
certain
non-essential
the measures excluded from the scrutiny of transactions.
elements of this Regulation, the power to adopt delegated
Similarly, that empowerment should cover the modifi
acts in accordance with Article 290 of the Treaty on the
cation of the sum of the receipts or payments below
Functioning of the European Union (TFEU) should be
which the commercial document of undertakings
delegated to the Commission in respect of the accredi
should normally not be scrutinised pursuant to this
tation of the paying agencies and coordinating bodies,
Regulation, the penalties applied under cross-compliance,
the obligations of the paying agencies in relation to
the control requirements in the wine sector and the rules
( 1 ) OJ C 191, 29.6.2012, p. 116.
( 3 ) Regulation (EU, Euratom) No 966/2012 of the European Parliament
( 2 ) Council Regulation (EC) No 1290/2005of 21 June 2005 on the
and of the Council of 25 October 2012 on the financial rules
financing of the common agricultural policy (OJ L 209, 11.8.2005,
applicable to the annual budget of the Union (OJ L 298,
p. 1).
26.10.2012, p. 1).

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L 347/550
EN
Official Journal of the European Union
20.12.2013
on maintenance of permanent pasture. Lastly, that
management with the Member States. The types of
empowerment should cover the rules on the operative
measures that can be financed using the Funds should
event and the exchange rate to be used by the Member
be specified.
States not using the euro, measures to safeguard the
application of Union law if exceptional monetary
practices related to national currency are likely to jeop
ardise it, in respect of the content of the common moni
(7) Provision
should
be
made
for
the
accreditation
of
paying
toring and evaluation framework of the measures
agencies by Member States and for the establishment of
adopted under the CAP and in respect of transitional
the procedures for obtaining management declarations,
measures.
and for obtaining the certification of management and
monitoring systems and the certification of annual
accounts by independent bodies. Moreover, in order to
ensure the transparency of national checks, in particular
It is of particular importance that the Commission carry
as regards procedures for authorisation, validation and
out appropriate consultations during its preparatory
payment and to reduce the administrative and audit
work, including at expert level. The Commission, when
burden for the Commission and for the Member States
preparing and drawing-up delegated acts, should ensure a
where accreditation of each individual paying agency is
simultaneous, timely and appropriate transmission of
required, the number of authorities and bodies to which
relevant documents to the European Parliament and
those responsibilities are delegated should be restricted
Council.
while respecting the constitutional arrangements of
each Member State. In order to avoid unnecessary reor
ganisation costs, Member States should be allowed to
(3) The
CAP
consists
of
various
measures,
some
of
which
maintain the number of paying agencies which have
relate to rural development. It is important to provide
been accredited before the entry into force of this Regu
financing for those measures in order to contribute to
lation.
the achievement of the objectives of the CAP. Since those
measures have certain elements in common, but do also
differ in a number of respects, the provisions on their
financing should be dealt with in the same set of provi
(8) Where
a
Member
State
accredits
more
than
one
paying
sions. Where necessary those provisions should allow for
agency, it is important that it designates a single public
different treatment. Regulation (EC) No
1290/2005
coordinating body in order to ensure consistency in the
created two European agricultural funds, namely the
management of funds, to provide liaison between the
EAGF, and the EAFRD (the "Funds"). Those Funds
Commission and the various accredited paying agencies
should be maintained.
and to ensure that the information requested by the
Commission concerning the operations of several
paying agencies is made rapidly available. The public
coordinating body should also take and coordinate
(4) Regulation
(EU,
Euratom)
No
966/2012
and
the
actions with a view to resolving any deficiencies of a
provisions adopted pursuant to it should apply to the
common nature and should keep the Commission
measures set out in this Regulation. In particular, this
informed of any follow-up. In addition, that body
Regulation lays down provisions related to the shared
should promote and, where possible, ensure homo
management with Member States based on the principles
geneous application of common rules and standards.
of sound financial management, transparency and non-
discrimination, as well as provisions on the function of
accredited bodies, the budgetary principles, provisions
which should be respected in the framework of this
(9) Only
when
using
paying
agencies
that
have
been
Regulation.
accredited by the Member States is there reasonable
assurance that the necessary checks have been carried
out before granting Union aid to beneficiaries. It
(5) In
order
to
ensure
consistency
between
the
practices
of
should, therefore, be explicitly laid down in this Regu
Member States and harmonised application of the force
lation that only expenditure effected by accredited paying
majeure clause by Member States, this Regulation should
agencies can be reimbursed from the Union's budget.
provide, where appropriate, for exemptions in cases of
force majeure and exceptional circumstances, as well as
for a non-exhaustive list of possible cases of force
(10) In order to help beneficiaries to become more aware of
majeure and exceptional circumstances to be recognised
the relationship between agricultural practices and
by the national competent authorities. Those authorities
management of farms on the one hand, and standards
should take decisions on force majeure or exceptional
relating to the environment, climate change, good agri
circumstances on a case by case basis, on the basis of
cultural condition of land, food safety, public health,
relevant evidence and applying the concept of force
animal health, plant health and animal welfare on the
majeure in the light of Union agricultural law including
other, it is necessary for Member States to establish a
the case law of the Court of Justice.
comprehensive farm advisory system offering advice to
beneficiaries. That farm advisory system should not, in
any way, affect the obligation and responsibility of bene
(6) The
Union's
budget
should
finance
CAP
expenditure,
ficiaries to respect those standards. Furthermore, a clear
including expenditure on rural development, through
separation between advice and checks should be ensured
the Funds either directly or in the context of shared
by the Member States.

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/551
(11) The
farm
advisory
system
should
cover
at
least
the
Member States and the beneficiaries involved in the
obligations at farm level resulting from cross-compliance
implementation of the CAP should be borne by them
standards and requirements. That system should also
selves.
cover the requirements to be respected in relation to
the agricultural practices beneficial for the climate and
the environment and the maintenance of the agricultural
area under Regulation (EU) No 1307/2013 of the
(14) The
use of the agro-meteorological system and the
European Parliament and of the Council
(
acquisition and improvement of satellite images should

1 ) and
measures at farm level provided for in rural development
provide the Commission with, in particular, the means to
programmes aiming at farm modernisation, competi
manage agricultural markets, to facilitate the monitoring
tiveness building, sectoral integration, innovation,
of agricultural expenditure and to monitor agricultural
market orientation and promotion of entrepreneurship.
resources in the medium and long term. Also, in the
light of the experience gained with the application of
Council Regulation (EC) No 165/94 ( 5 ), some of its
provisions should be incorporated in this Regulation
That system should also cover the requirements imposed
and, consequently, Regulation (EC) No 165/94 should
on beneficiaries by Member States in order to implement
be repealed.
specific provisions of Directive 2000/60/EC of the
European Parliament and the Council ( 2 ) and for imple
menting Article 55 of Regulation (EC) No 1107/2009 of
the European Parliament and of the Council (
(15) In
the context of respecting budget discipline,
it is

3 ), in
particular requirements concerning the compliance with
necessary to define the annual ceiling for the expenditure
the general principles of integrated pest management as
financed by the EAGF by taking into account the
referred to in Article 14 of Directive 2009/128/EC of the
maximum amounts laid down for that Fund under the
European Parliament and the Council (
multiannual financial framework provided for in Council

4 ).
Regulation (EU, Euratom) No 1311/2013 ( 6 ).
(12) Entry
into
the
farm
advisory
system
should
be
on
a
voluntary basis for beneficiaries. All beneficiaries, even
(16) Budget
discipline
also
requires
the
annual
ceiling
for
expenditure financed by the EAGF to be respected in
farmers not receiving support under the CAP, should
all circumstances and at every stage of the budget
be allowed to participate in the system. It should,
procedure and of the execution of the budget.
however, be possible for Member States to set priority
Consequently, it is necessary for the national ceiling for
criteria. Due to the nature of the system, it is appropriate
the direct payments per Member State set out in Regu
for the information obtained during the advisory activity
lation (EU) No 1307/2013 to be regarded as a financial
to be treated as confidential, except in the case of serious
ceiling for such direct payments for the Member State
infringements of Union or national law. In order to
concerned and for the reimbursement of those payments
ensure the efficiency of the system, advisors should be
remain within this financial ceiling. Furthermore, budget
suitably qualified and regularly trained.
discipline requires that all Union legal acts in the CAP
field that are proposed by the Commission or adopted by
the Union or by the Commission and that are financed
(13) In respect of the EAGF, the financial resources required
by the EAGF comply with the annual ceiling for the
to cover the expenditure effected by the accredited
expenditure financed by that Fund.
paying agencies, should be made available to the
Member States by the Commission in the form of
reimbursements against the booking of the expenditure
(17) With a view to ensuring that the amounts for the
effected by those agencies. Until such reimbursements
financing of the CAP comply with the annual ceilings,
have been paid, in the form of monthly payments,
the financial mechanism referred to in Council Regu
financial resources are to be mobilised by the Member
lation (EC) No 73/2009 (
States depending on the needs of their accredited paying

7 ) by which the level of direct
support is adjusted, should be maintained. Where the
agencies. The administrative and personnel costs of the
European Parliament and the Council do not fix them
before 30 June of the calendar year in respect of which
( 1 ) Regulation (EU) No 1307/2013 of the European Parliament and of
they apply, the Commission should be authorised to set
the Council of 17 December 2013 establishing rules for direct
those adjustments.
payments to farmers under support schemes within the framework
of the common agricultural policy and repealing Council Regu
lations (EC) No 637/2008 and (EC) No 73/2009 (See page 608 of
( 5 ) Council Regulation (EC) No 165/94 of 24 January 1994 concerning
this Official Journal).
the co-financing by the Community of remote-sensing checks
( 2 ) Directive 2000/60/EC of the European Parliament and the Council
(OJ L 24, 29.1.1994, p. 6).
establishing a framework for Community action in the field of water
( 6 ) Council Regulation (EU, Euratom) No 1311/2013 of 2 December
policy (OJ L 327, 22.12.2000, p. 1).
2013 laying down the multiannual financial framework for the
( 3 ) Regulation (EC) No 1107/2009 of the European Parliament and of
years 2014-2020 (See page 884 of this Official Journal).
the Council concerning the placing of plant protection products on
( 7 ) Council Regulation (EC) No 73/2009 of 19 January 2009 estab
the market and repealing Council Directives 79/117/EEC and
lishing common rules for direct support schemes for farmers
91/414/EEC (OJ L 309, 24.11.2009, p. 1).
under the common agricultural policy and establishing certain
( 4 ) Directive 2009/128/EC of the European Parliament and of the
support schemes for farmers, amending Regulations (EC)
Council of 21 October 2009 establishing a framework for
No 1290/2005, (EC) No 247/2006, (EC) No 378/2007 and
Community action to achieve the sustainable use of pesticides
repealing Regulation (EC) No 1782/2003 (OJ L 30, 31.1.2009,
(OJ L 309, 24.11.2009, p. 71).
p. 16).

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L 347/552
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Official Journal of the European Union
20.12.2013
(18) In
order
to
support
the
agricultural
sector
in
case
of
distribution of the available budget among the Member
major crises affecting the agricultural production or
States in proportion to their as yet unpaid requests for
distribution, a reserve for crises should be established
reimbursement, as well as measures ensuring compliance
by applying, at the beginning of each year, a reduction
with the ceiling fixed for the year concerned. Payments
to direct payments through the financial discipline mech
for that year should be charged to the following budget
anism.
year and the total amount of Union financing per
Member State should be definitively established, as
should compensation between Member States in order
to ensure that the established amount is complied with.
(19) Article
169(3)
of
Regulation
(EU,
Euratom)
No
966/2012
provides that non-committed appropriations relating to
the actions referred to in Article 4(1) of this Regulation
may be carried over only to the following financial year
(22) When implementing the budget, the Commission should
and that such carryover may lead to an additional
operate a monthly early-warning and monitoring system
payment only to the final recipients who were subject,
for agricultural expenditure so that, if there is a risk of
in the preceding financial year, to the adjustment of
the annual ceiling being exceeded, the Commission may
direct payments as referred to in Article 25 of this Regu
at the earliest opportunity take the appropriate measures
lation. Consequently, where appropriations are thus
under the management powers at its disposal and
carried over to the following financial year, the
propose other measures if those measures appear to be
national administrations would have to make payments
insufficient. A periodic report by the Commission to the
to two populations of beneficiaries of direct payments in
European Parliament and to the Council should compare
one financial year: on the one hand, reimbursing, from
the evolution of the expenditure effected to date in
the unused amount of financial discipline carried-over, to
relation to the profiles and should give an assessment
farmers subject to financial discipline during the
of the foreseeable implementation for the remainder of
preceding financial year on the other hand, making the
the budget year.
direct payments in financial year N to those farmers
having claimed them. In order to avoid an excessive
administrative burden for national administrations, a
derogation from the fourth subparagraph of
(23) The exchange rate used by the Commission when
Article 169(3) of Regulation (EU, Euratom) No 966/2012
drawing up the budget documents should reflect the
should be provided for, allowing the national adminis
most recent information available, making allowances
trations to reimburse the amount carried over to financial
for the time lag between drafting and submission.
year N to farmers subject to financial discipline in year N
instead of to farmers who are subject to it in year N-1.
(24) Regulation (EU) No
1303/2013 of the European
Parliament and of the Council ( 1 ) lays down rules
(20) The measures taken to determine the financial
which apply to the financial support from the funds
contribution from the Funds in respect of the calculation
covered by that Regulation, including the EAFRD.
of financial ceilings do not affect the powers of the
Those rules also cover eligibility of expenditure, on
budgetary authority designated by the TFEU. Those
financial management and the management and control
measures should therefore be based on the reference
systems. As regards the financial management of the
amounts fixed in accordance with the Interinstitutional
EAFRD, for the sake of legal clarity and coherence
Agreement of 19 November 2013 between the European
between the Funds covered by this Regulation,
Parliament, the Council and the Commission on
reference should be made to the relevant provisions on
budgetary discipline, on cooperation in budgetary
the budget commitments, payment deadlines and decom
matters and on sound financial management and Regu
mitment of Regulation (EU) No 1303/2013.
lation (EU, Euratom) No 1311/2013.
(25) The
rural
development
programmes
are
financed
from
(21) Budget
discipline
also
requires
a
continuous
examination
the Union budget on the basis of commitments made
of the medium-term budget situation. The Commission,
in annual instalments. Member States should be able to
when submitting the draft budget for a given year,
draw on the Union funds provided for as soon as they
should therefore present its forecasts and analyses to
begin the programmes. A suitably restricted prefinancing
the European Parliament and to the Council and
system is therefore needed, to ensure a steady flow of
should propose, if necessary, appropriate measures to
funds so that payments to beneficiaries under the
the legislator. Furthermore, the Commission should
programmes are made at the appropriate time.
make full use of its management powers at all times to
ensure compliance with the annual ceiling and, if
( 1 ) Regulation (EU) No 1303/2013 of the European Parliament and of
necessary, should propose appropriate measures to the
the Council of 17 December 2013 laying down common provisions
European Parliament and to the Council or to the
on the European Regional Development Fund, the European Social
Council to redress the budget situation. If, at the end
Fund, the Cohesion Fund, the European Agricultural Fund for Rural
of a budget year, the annual ceiling cannot be
Development and the European Maritime and Fisheries Fund covered
complied with as a result of the reimbursements
by the Common Strategic Framework and laying down general
provisions on the European Regional Development Fund, the
requested by the Member States, the Commission
European Social Fund and the Cohesion Fund and repealing Regu
should be able to take measures allowing the provisional
lation (EC) No 1083/2006 (See page 320 of this Official Journal).

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20.12.2013 Official
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European
Union L
347/553
(26) Prefinancing
apart,
it
is
necessary
to
make
a
distinction
serious deficiencies are detected. That possibility should
between the payments by the Commission to the
also be extended to include negligence in the system for
accredited paying agencies interim payments and the
recovery of irregular payments.
payment of balances, and to lay down detailed rules on
their payment. The automatic decommitment rule should
help speed up execution of programmes and contribute
to sound financial management. The rules on the
national frameworks of Member States with regional
(29) Sectoral
agricultural
legislation
requires
Member
States
to
programmes as set out in Regulation (EU)
send information on the numbers of checks carried out
No 1305/2013 of the European Parliament and of the
and on their outcomes within specified deadlines. Those
Council ( 1 ) also provide a tool for Member States to
control statistics are used to determine the level of error
ensure execution and sound financial management.
at Member State level and, more generally, for the
purposes of checking the management of the Funds.
The control statistics are an important source of
information for the Commission to satisfy itself as to
the correct management of the Funds and are an
(27) Union aid should be paid to beneficiaries in good time so
essential element of the annual declaration of assurance.
that they may use it efficiently. A failure by the Member
Given the vital nature of the control statistics and in
States to comply with the payment deadlines laid down
order to ensure that Member States respect their
in Union law might create serious difficulties for the
obligation to send it in time, it is necessary to provide
beneficiaries and could jeopardise the Union's yearly
a deterrent for late provision of the data required which
budgeting. Therefore, expenditure made without
is proportionate to the extent of the data deficit.
respecting deadlines for payments should be excluded
Therefore, provisions should be put in place to allow
from Union financing. The principle of proportionality
the Commission to suspend part of the monthly or
laid down in Regulation (EC) No 1290/2005 should be
interim payments in respect of which the relevant stat
maintained and should apply to both the Funds. In order
istical information has not been sent in time.
to respect the principle of proportionality, the
Commission should be able to provide for exceptions
to this general rule.
(30) In
order
to
allow
funds
from
the
Funds
to
be
reused,
rules are needed on the assignment of specific sums. The
list contained in Regulation (EC) No 1290/2005 should
(28) Regulation
(EC)
No
1290/2005
provides
for
reductions
be completed by adding to it the sums relating to late
and suspensions of monthly or interim payments for the
payments and to the clearance of accounts as regards
Funds. Despite the rather broad wording of those provi
expenditure under the EAGF. Also, Council Regulation
sions, in practice they are used essentially to reduce
(EEC) No 352/78 ( 2 ) laid down rules on the destinations
payments for non-compliance with payment deadlines,
of the sums resulting from forfeited securities. Those
ceilings and similar "accounting issues" which can
provisions should be harmonised and merged with the
readily be detected in the declarations of expenditure.
existing provisions on assigned revenue. Regulation (EEC)
Those provisions also allow reductions and suspensions
No 352/78 should therefore be repealed.
in case of serious and persistent deficiencies in national
control systems. The imposition of such reductions and
suspensions are, however, made subject to rather
restrictive substantive conditions for doing so and
providing for a special, two-step procedure to be
(31) Council
Regulation
(EC)
No
814/2000
( 3 ) and its imple
followed. The European Parliament and the Council
menting rules define the information measures relating to
have repeatedly asked the Commission to suspend
the CAP which may be financed under point (c) of
payments to non-compliant Member States. For these
Article 5 of Regulation (EC) No 1290/2005. Regulation
reasons, it is necessary to clarify the system provided
(EC) No 814/2000 contains a list of those measures and
for in Regulation (EC) No 1290/2005 for reductions
their objectives and fixes the rules on their financing and
and suspensions and to merge the rules on reductions
on the implementation of the corresponding projects.
and suspensions for both the Funds into one single
Since the adoption of that Regulation, rules have been
Article. The system of reductions for "accounting
adopted by Regulation (EU, Euratom) No 966/2012 on
issues" should be maintained in line with the existing
grants and procurement. Those rules should apply also to
administrative practice. The possibility of reducing or
the information measures under the CAP. For reasons of
suspending payments where there are significant and
simplification and coherence, Regulation (EC)
persistent deficiencies in national control systems
No 814/2000 should be repealed while maintaining the
should be reinforced in order to provide the Commission
with the possibility of suspending payments rapidly when
( 2 ) Council Regulation (EEC) No 352/78 of 20 February 1978 on the
crediting of securities, deposits and guarantees furnished under the
( 1 ) Regulation (EU) No 1305/2013 of the European Parliament and of
common agricultural policy and subsequently forfeited (OJ L 50,
the Council of 17 December 2013 on support for rural development
22.2.1978, p. 1).
by the European Agricultural Fund for Rural Development (EAFRD)
( 3 ) Council Regulation (EC) No 814/2000 of 17 April 2000 on
and repealing Council Regulation (EC) No 1698/2005 (See page 487
information measures relating to the common agricultural policy
of this Official Journal).
(OJ L 100, 20.4.2000, p. 7).

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specific provisions relating to the objectives and types of
(36) The Commission is responsible for the implementation
measures to be financed. Those measures should also
of the budget of the European Union in cooperation with
take into account the need to ensure more efficiency in
Member States in accordance with Article 317 TFEU. The
communication to the public at large and stronger
Commission is empowered to decide, by means of imple
synergies between the communication activities
menting acts, whether the expenditure effected by the
undertaken on the initiative of the Commission as well
Member States complies with Union law. Member
as of the need to ensure that the Union's political
States should be given the right to justify their
priorities are communicated effectively. Therefore, they
decisions to make payments and should have recourse
should also cover information measures relevant to the
to conciliation where there is no common agreement
CAP in the framework of the corporate communication
between them and the Commission. In order to give
as referred to in the Communication from the
Member States legal and financial assurances as to expen
Commission: A Budget for Europe 2020 ("the
diture effected in the past, a maximum period should be
Commission Communication on a Budget for Europe
set for the Commission to decide which financial
2020") - Part II: Policy fiches.
consequences should follow from non-compliance. As
regards the EAFRD, the conformity clearance procedure
should be in line with the provisions on the financial
corrections by the Commission as laid down in Part 2
of Regulation (EU) No 1303/2013.
(32) The
financing
of
measures
and
operations
under
the
CAP
in part involves shared management. To ensure that
Union funds are soundly managed, the Commission
should perform checks on the management of the
Funds by the Member State authorities responsible for
(37) As
regards
the
EAGF,
sums
recovered
should
be
paid
making payments. It is appropriate to define the nature
back to that Fund where the expenditure is not in
of the checks to be performed by the Commission, to
conformity with Union law and no entitlement existed.
specify the terms of its responsibilities for implementing
In order to allow sufficient time for all the necessary
the budget and to clarify the Member States' cooperation
administrative proceedings, including internal checks,
obligations.
Member States should request recovery from the bene
ficiary within 18 months after a control report or similar
document, stating that an irregularity has taken place, has
been approved and, where applicable, received by the
paying agency or body responsible for the recovery.
Provision should be made for a system of financial
responsibility where irregularities have been committed
(33) In order to allow the Commission to fulfil its obligation
to check the existence and proper functioning of
and where the total amount has not been recovered. In
management and inspection systems for Union expen
this respect a procedure should be established enabling
diture in the Member States, provision should be made,
the Commission to safeguard the interests of the Union
irrespective of the inspections carried out by Member
budget by deciding on partial charging to the Member
States themselves, for checks by persons authorised by
State concerned of the sums lost as a result of irregu
the Commission to act on its behalf who should be able
larities and not recovered within a reasonable period. In
to request assistance from the Member States in their
certain cases of negligence by the Member State, it is also
work.
right to charge the full sum to the Member State

concerned. However, subject to Member States
complying with obligations under their internal
procedures, the financial burden should be divided
fairly between the Union and the Member State. The
same rules should apply to the EAFRD, subject
however, to the requirement that sums recovered or
(34) Information
technology
needs
to
be
used
as
extensively
cancelled following irregularities should remain available
as possible in order to produce the information to be
to the approved rural development programmes of the
sent to the Commission. When carrying out checks, the
Member State concerned as those sums have been
Commission should have full and immediate access to
allocated to that Member State. Provisions on the
expenditure information recorded in both paper and elec
reporting obligation for Member States should also be
tronic form.
established.
(35) In
order
to
establish
the
financial
relationship
between
(38) The
recovery
procedures
used
by
the
Member
States
may
the accredited paying agencies and the Union budget, the
have the effect of delaying recovery for a number of
Commission should clear the accounts of those paying
years, with no guarantee that the outcome will actually
agencies annually (financial clearance of accounts). The
be successful. The cost of implementing those procedures
decision of the clearance of accounts should cover the
may also be disproportionate to the amounts which are
completeness, accuracy and veracity of the accounts but
or may be collected. Consequently, Member States should
not the conformity of the expenditure with Union law.
be permitted to halt recovery procedures in certain cases.

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/555
(39) In order to protect the financial interests of the Union's
database, an identification system for agricultural
budget, measures should be taken by Member States to
parcels, aid applications or payment claims and a
satisfy themselves that transactions financed by the Funds
system for the identification and recording of payment
are actually carried out and are executed correctly.
entitlements should be maintained, whilst taking into
Member States should also prevent, detect and deal effec
account the evolution of the policy, in particular, by
tively with any irregularities or non-compliance with
the introduction of payment for agricultural practices
obligations committed by beneficiaries. To this end,
beneficial for the climate and the environment and the
Council Regulation (EC, Euratom) No
2988/95
( 1 )
ecological benefits of landscape features. With a view to
should apply. In cases of infringement of the sectoral
reducing the administrative burden and ensuring efficient
agricultural legislation, where detailed rules on adminis
and effective controls, Member States should make
trative penalties have not been laid down by Union legal
appropriate use of technology when setting up those
acts, Member States should impose national penalties
systems.
which should be effective, dissuasive and proportionate.
(45) For
the
purpose
of
creating
a
reference
layer
in
the
(40) The
funding,
under
the
CAP,
of
activities
which
generate
additional costs in other policy areas covered by the
identification system for agricultural parcels that is
general budget of the European Union, especially
adapted to the ecological focus areas, Member States
environment and public health, should be avoided. In
should be able to take account of specific information
addition, the introduction of new payment systems,
which may be required from farmers in their applications
and related monitoring and penalty systems, should not
for claim years 2015 to 2017, such as the identification
result in unnecessary additional administrative procedures
of those landscape features or other areas which may
and red tape.
qualify as ecological focus areas and, where necessary,

the size of such features and other areas.
(41) Rules
relating
to
the
general
principles
applicable
to
checks, to withdrawals of undue payments and to the
(46) Competent national authorities should make the
imposition of penalties are contained in various sectoral
payments provided for in Union support schemes
agricultural regulations. Those rules should be collected
covered by the integrated system to beneficiaries in full,
in the same legal framework at a horizontal level. They
subject to any reductions provided for in this Regulation,
should cover the obligations of the Member States as
and within the prescribed periods. In order to render the
regards administrative and on-the-spot checks, the
management of direct payments more flexible, Member
purpose of which is to check compliance with the
States should be allowed to make payments covered by
provisions of the CAP measures, and should cover the
the integrated system in up to two instalments per year.
rules on the recovery of aid, and the reduction and
exclusion of aid. Rules on checks of obligations not
necessarily linked to the payment of an aid should be
laid down as well.
(47) Scrutiny
of
the
commercial
documents
of
undertakings
that are receiving or making payments can be a very
effective means of surveillance of transactions forming
part of the system of financing by the EAGF. The
(42) Various
provisions
of
the
sectoral
agricultural
legislation
provisions on the scrutiny of the commercial
require that a security be lodged to ensure the payment
documents are laid down in Council Regulation (EC)
of a sum due if an obligation is not met. In order to
No 485/2008 (
strengthen the framework for securities, a single hori

2 ). That scrutiny supplements other
checks already carried out by the Member States.
zontal rule should apply to all those provisions.
Furthermore, where national provisions relating to
scrutiny are more extensive than those provided for in
that Regulation, they are not affected by it.
(43) Member
State
should
set
up
and
operate
an
integrated
administration and control system (the "integrated
system") for certain payments provided for in Regulation
(EU) No
1307/2013 and in Regulation (EU)
(48) Under
Regulation (EC) No
485/2008, Member States
No 1305/2013. In order to improve the effectiveness
should take the measures necessary to ensure effective
and monitoring of Union support, Member States
protection of the financial interests of the Union
should be authorised to make use of the integrated
budget, and in particular, in order to check the genu
system for other Union support schemes.
ineness and compliance of operations financed by the
EAGF. In the interests of clarity and rationalisation, the
relevant provisions should be integrated into the same
act. Regulation (EC) No 485/2008 should therefore be
(44) The
main
elements
of
the
integrated
system
and,
in
repealed.
particular, the provisions concerning a computerised
( 2 ) Council Regulation (EC) No 485/2008 of 26 May 2008 on scrutiny
( 1 ) Council Regulation (EC, Euratom) No 2988/95 of 18 December
by Member States of transactions forming part of the system of
1995 on the protection of the European Communities financial
financing by the European Agricultural Guarantee Fund (OJ L 143,
interests (OJ L 312, 23.12.1995, p. 1).
3.6.2008, p. 1).

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L 347/556
EN
Official Journal of the European Union
20.12.2013
(49) The
documents
used
as
a
basis
for
such
scrutiny
should
compliance with rules relating to land management, agri
be determined in such a way as to enable a full scrutiny
cultural production and agricultural activity. That
to be carried out. The undertakings to be scrutinised
principle was subsequently reflected in Council Regu
should be selected on the basis of the nature of the
lation (EC) No 1698/2005 ( 2 ) and Council Regulation
transactions carried out under their responsibility and
(EC) No 1234/2007 ( 3 ).
the breakdown per sector of the undertakings receiving
or making payments should be selected according to
their financial importance in the system of financing by
Under the resulting 'cross-compliance' system Member
the EAGF.
States are to impose penalties in the form of the
reduction or exclusion of support received under the
CAP in whole or in part.
(50) The
powers
of
the
officials
responsible
for
scrutiny
and
the obligations on undertakings to make commercial
(54) That
cross-compliance
system
incorporates
in
the
CAP
documents available to such officials for a specified
basic standards concerning the environment, climate
period, as well as to supply such information as may
change, good agricultural and environmental condition
be requested by them, should be defined. It should be
of land, public health, animal health, plant health and
possible for commercial documents to be seized in
animal welfare. Cross-compliance aims to contribute to
certain cases.
the development of sustainable agriculture through better
awareness on the part of beneficiaries of the need to
respect those basic standards. It aims also to contribute
to make the CAP more compatible with the expectation
of society through improving consistency of that policy
(51) Having
regard
to
the
international
structure
of
agri
with the environment, public health, animal health, plant
cultural trade and in the interest of the functioning of
health and animal welfare policies. The cross-compliance
the internal market, it is necessary to organise
system forms an integral part of the CAP and should
cooperation among the Member States. It is also
therefore be maintained. Its scope, however, which
necessary to set up a centralised documentation system
consists so far in separate lists of statutory management
at Union level concerning undertakings receiving or
requirements and standards of good agricultural and
making payments established in third countries.
environmental condition of land should be streamlined
so that consistency of the cross-compliance system is
ensured and made more visible. For this purpose, the
requirements and standards should be organised in a
single list and grouped by areas and issues. Experience
(52) While it is the responsibility of the Member States to
has also shown that a number of the requirements within
adopt their scrutiny programmes, it is necessary for
the scope of cross-compliance are not sufficiently
those programmes to be communicated to the
relevant to farming activity or the area of the holding
Commission so that it can assume its supervisory and
or concern national authorities rather than beneficiaries.
coordinating role, in order to ensure that the
Consequently, that scope should be adjusted. Provision
programmes are adopted on the basis of appropriate
should furthermore be made for the maintenance of
criteria and to guarantee that the scrutiny is concentrated
permanent pasture in 2015 and 2016.
on sectors or undertakings where the risk of fraud is
high. It is essential that each Member State has a
special department responsible for monitoring the
scrutiny of commercial documents provided for in this
(55) Statutory
management
requirements
need
to
be
fully
Regulation or for coordinating that scrutiny. Those
implemented by Member States in order to become oper
special departments should be organised independently
ational at farm level and ensure the necessary equal
of the departments carrying out scrutiny prior to
treatment of farmers.
payment. Information collected during that scrutiny
should be protected by professional confidentiality.
(56) According to Article 22 of Directive 2000/60/EC,
Council Directive 80/68/EEC ( 4 ) is to be repealed on
23 December 2013. In order to maintain the same
cross-compliance rules relating to protection of
(53) Council
Regulation
(EC)
No
1782/2003
( 1 ), which was
groundwater as those laid down in Directive 80/68/EEC
replaced by Regulation (EC) No 73/2009, established
as at the last day of the validity of that Directive, it is
the principle that the full payment to beneficiaries of
some supports under the CAP should be linked to
( 2 ) Council Regulation (EC) No 1698/2005 of 20 September 2005 on
support for rural development by the European Agricultural Fund
( 1 ) Council Regulation (EC) No 1782/2003 of 29 September 2003
for Rural Development (EAFRD) (OJ L 277, 21.10.2005, p. 1).
establishing common rules for direct support schemes under the
( 3 ) Council Regulation (EC) No 1234/2007 of 22 October 2007 estab
common agricultural policy and establishing certain support
lishing a common organisation of agricultural markets and on
schemes for farmers and amending Regulations (EEC) No 2019/93,
specific provisions for certain agricultural products (Single CMO
(EC) No 1452/2001, (EC) No 1453/2001, (EC) No 1454/2001, (EC)
Regulation) (OJ L 299, 16.11.2007, p. 1).
1868/94, (EC) No
1251/1999, (EC) No
1254/1999, (EC)
( 4 ) Council Directive 80/68/EEC of 17 December 1979 on the
No 1673/2000, (EEC) No 2358/71 and (EC) No 2529/2001 (OJ
protection of groundwater against pollution caused by certain
L 270, 21.10.2003, p. 1).
dangerous substances (OJ L 20, 26.1.1980, p. 43).

---

EN
20.12.2013 Official
Journal
of
the
European
Union L
347/557
appropriate to adjust the scope of cross-compliance and
beneficiaries. Where a Member State decides to make use
to define a standard of good agricultural and environ
of the option not to apply a reduction or exclusion
mental condition that encompasses the requirements of
where the amount concerned is less than EUR 100, the
Articles 4 and 5 of that Directive.
competent control authority should, for a sample of
beneficiaries in the following year, verify that the non-
compliance concerned has been remedied.
(57) The
cross-compliance
system
implies
certain
adminis
trative constraints for both beneficiaries and national
administrations since record keeping has to be ensured,
(61) To ensure harmonious cooperation between the
checks have to be carried out and where necessary
Commission and the Member States regarding the
penalties have to be applied. Those penalties should be
financing of CAP expenditure and, more particularly, to
proportionate, effective and dissuasive. Such penalties
allow the Commission to monitor the financial
should be without prejudice to other penalties laid
management by the Member States and to clear the
down under Union or national law. For the sake of
accounts of the accredited paying agencies, it is
consistency, it is appropriate to merge the relevant
necessary for certain information to be communicated
Union provisions into one single legal instrument. For
by the Member States or to be kept available to the
farmers participating in the small farmers scheme
Commission.
referred to in Title V of Regulation (EU) No 1307/2013,
the efforts to be made under the cross-compliance
system might be considered to exceed the benefit of
keeping those farmers under that system. For reasons
(62) For the purposes of compiling the data to be sent to the
of simplification, those farmers should therefore be
Commission, and to allow the Commission to have full
exempted from cross-compliance and in particular from
immediate access to expenditure data in both paper and
its control system and from the risk of cross-compliance
electronic form, suitable rules on the presentation and
penalties. However, that exemption should be without
transmission of data, including rules on time limits,
prejudice to the obligation to respect the applicable
need to be laid down.
provisions of the sectoral law or to the possibility to
be checked and to be imposed penalties under that law.
(63) As
personal
data
or
business
secrets
might
be
involved
in
the application of the national control systems and the
(58) Regulation
(EC)
No
1782/2003
established
a
framework
of standards of good agricultural and environmental
conformity clearance, the Member States and the
condition of the land within which Member States are
Commission should guarantee the confidentiality of the
to adopt national standards taking account of the specific
information received in that context.
characteristics of the areas concerned, including soil and
climatic conditions and existing farming systems (land
use, crop rotation, farming practices) and farm structures.
Those standards of good agricultural and environmental
(64) In
the
interests
of
sound
financial
management
of
the
Union's budget and impartiality of treatment at both
condition of the land aim to contribute to preventing soil
Member State and beneficiary level, rules on the use of
erosion, maintaining soil organic matter and soil
the euro should be laid down.
structure, ensuring a minimum level of maintenance,

avoiding the deterioration of habitats and protecting
and managing water. The wider scope of the cross-
compliance system as laid down in this Regulation
(65) The rate of exchange of the euro into national currencies
should therefore include a framework within which
may vary in the course of the period during which an
Member States are to adopt national standards of good
operation is carried out. Therefore, the rate applicable to
agricultural and environmental condition. The Union
the amounts concerned should be determined taking into
framework should also include rules to better address
account the event through which the economic objective
water, soil, carbon stock, biodiversity and landscape
of the operation is achieved. The rate of exchange applied
issues as well as minimum level of maintenance of the
should be that applicable for the date on which that
land.
event occurs. It is necessary to specify this operative
event or to waive its application, whilst complying
with certain criteria and in particular those concerning
(59) Beneficiaries should understand their compliance
the rapidity with which currency movements are passed
obligations clearly in relation to the rules on cross-
on. Those criteria are laid down in Council Regulation
compliance. For that purpose, all requirements and
(EC) No
2799/98
( 1 ) and they complete similar
standards forming part of those rules should be
provisions of Regulation (EC) No 1290/2005. In the
communicated by Member States in an exhaustive,
interests of clarity and rationalisation, the relevant
understandable and explanatory way, including, where
provisions should be integrated into the same act and
possible, by electronic means.
Regulation (EC) No
2799/98 should therefore be
repealed.
( 1 ) Council Regulation (EC) No 2799/98 of 15 December 1998 estab
(60) An
effective
implementation
of
cross-compliance
requires
lishing agrimonetary arrangements for the euro (OJ L 349,
verification that obligations are respected at the level of
24.12.1998, p. 1).

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L 347/558
EN
Official Journal of the European Union
20.12.2013
(66) Special
rules
should
be
laid
down
for
dealing
with
excep
Article 44a of Regulation (EC) No 1290/2005 and
tional monetary situations arising either within the Union
Commission Regulation (EC) No 259/2008 ( 4 ) to be
or on the world market and requiring immediate action
invalid in so far as, with regard to natural persons bene
to ensure that the arrangements established under the
fiting from the European agricultural funds, those
CAP operate effectively.
provisions imposed an obligation to publish personal
data relating to each beneficiary without drawing a
distinction based on relevant criteria such as the
periods during which those persons have received such
(67) Member
States
that
have
not
adopted
the
euro
should
aid, the frequency of such aid or the nature and amount
have the option of making payments for expenditure
thereof.
resulting from the CAP legislation in euro rather than
in national currency. Specific rules are needed to ensure
that this option does not lead to any unjustified
advantage for parties making or receiving payment.
(71) Following
that
judgment
and
pending
the
adoption
of
new rules taking account of the objections expressed
by the Court, Regulation (EC) No
259/2008 was
amended by Commission Implementing Regulation (EU)
(68) Each
measure
under
the
CAP
should
be
subject
to
moni
No 410/2011 (
toring and evaluation in order to improve its quality and

5 ) in order to expressly lay down that the
obligation to publish the information is not to apply to
to demonstrate its achievements. In this context a list of
natural persons.
indicators should be determined and the performance of
the CAP should be assessed by the Commission in
relation to the policy objectives of viable food
production, the sustainable management of natural
(72) In
September
2011,
the
Commission
organised
a
consul
resources and climate action and balanced territorial
tation of stakeholders that brought together represen
development. In assessing, in particular, the performance
tatives of professional agricultural and trade organi
of the CAP in relation to the objective of viable food
sations, representatives of the food industry and
production, all relevant factors, including the evolution of
workers, as well as representatives of civil society and
input prices, should be taken into account. The
Union institutions. In the course of that consultation
Commission should set up a framework for a common
different options were put forward concerning the
monitoring and evaluation system ensuring inter alia that
publication of data of natural persons benefiting from
relevant data, including information from Member States
Union agricultural funds and concerning respect for the
is available on a timely manner. In so doing it should
principle of proportionality when making relevant
take account of the data needs and of the synergies
information available to the public. That conference
between potential data sources. Moreover, the
discussed the need to publish the names of natural
Commission Communication on A Budget for Europe
persons in order to respond to the objective of better
2020 - Part II stated that the climate related expenditure
protection of the Union's financial interests, to enhance
in the overall Union budget should increase to at least
transparency and to highlight the achievements of bene
20 %, with contributions from different policies. The
ficiaries in providing public goods while ensuring that
Commission should therefore be able to assess the
that publication does not go beyond what is necessary
impact of the Union's support within the framework of
for achieving these legitimate aims.
the CAP, for climate objectives.
(73) In
its
judgment
in Volker und Markus Schecke GbR and
(69) Union
law
concerning
the
protection
of
individuals
with
Hartmut Eifert v Land Hessen, the Court did not contest
regard to the processing of personal data and on the free
the legitimacy of the objective of reinforcing public
movement of such data is applicable, in particular
control of the use of the money from the Funds.
Directive 95/46/EC of the European Parliament and of
However, the Court did emphasise the need to consider
the Council ( 1 ) and Regulation (EC) No 45/2001 of the
methods of publishing information relating to the bene
European Parliament and of the Council ( 2 ).
ficiaries concerned which are consistent with the
objective of such publication while at the same time
causing less interference with those beneficiaries' right
to respect for their private life in general and to
(70) In its judgment of 9 November 2010 in Joined Cases C-
protection of their personal data in particular.
92/09 and 93/09 ( 3 ) Volker und Markus Schecke GbR and
Hartmut Eifert v Land Hessen the Court of Justice of the
European Union declared point (8b) of Article 42 and
( 4 ) Commission Regulation (EC) No 259/2008 of 18 March 2008
laying down detailed rules for the application of Council Regulation
(EC) No 1290/2005 as regards the publication of information on the
( 1 ) Directive 95/46/EC of the European Parliament and of the Council
beneficiaries of funds deriving from the European Agricultural
of 24 October 1995 on the protection of individuals with regard to
Guarantee Fund (EAGF) and the European Agricultural Fund for
the processing of personal data and on the free movement of such
Rural Development (EAFRD) (OJ L 76, 19.3.2008, p. 28).
data (OJ L 281, 23.11.1995, p. 31).
( 5 ) Commission Implementing Regulation (EU) No 410/2011 of
( 2 ) Regulation (EC) No 45/2001 of the European Parliament and of the
27 April 2011 amending Regulation (EC) No 259/2008 laying
Council of 18 December 2000 on the protection of individuals with
down detailed rules for the application of Council Regulation (EC)
regard to the processing of personal data by the Community insti
No 1290/2005 as regards the publication of information on the
tutions and bodies and on the free movement of such data (OJ L 8,
beneficiaries of funds deriving from the European Agricultural
12.1.2001, p. 1).
Guarantee Fund (EAGF) and the European Agricultural Fund for
( 3 ) [2010] ECR I-11063.
Rural Development (EAFRD) (OJ L 108, 28.4.2011, p. 24).

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/559
(74) The
objective
of
reinforcing
public
control
in
respect
of
with the beneficiaries' right to respect for their private
individual beneficiaries should be analysed in the light of
life, in general, and to their right to protection of their
the new financial management and control framework to
personal data, in particular, both rights which are
be applied from 1 January 2014 and in the light of
recognised in Articles 7 and 8 of the Charter of Funda
experience gained in Member States. Within that new
mental Rights of the European Union.
framework, it is not possible for the controls by the
national administrations to be exhaustive, in particular,
since for almost all schemes, only a limited part of the
(80) In
order
to
ensure
that
this
Regulation
complies
with
the
population can be checked on-the-spot. Moreover, that
principle of proportionality, the legislator has explored all
new framework provides that, subject to certain
the alternative means of attaining the objective of public
conditions, Member States may reduce the number of
control of the use of the money from the Funds, as
on-the-spot checks.
analysed in a memorandum set out in the Annex to
Council document 6370/13, and has chosen the one
which would cause the least interference with the indi
A sufficient increase of the minimum control rates
vidual rights concerned.
would, in the present context, put such an additional
financial and administrative burden on the national
administrations that those administrations would be
(81) Publishing details about the measure entitling the farmer
unable to cope.
to receive aid or support and about the nature and the
purpose of the aid or support provides the public with
concrete information on the subsidised activity and the
(75) Against that background, the publication of the name of
purpose for which the aid or support was granted. This
the beneficiaries of the Funds provides a means of
would also contribute to the preventive and deterrent
reinforcing the public control of the use of the Funds
effect of the public control in the protection of the
and, therefore, is a useful addition to the existing
financial interest.
management and control framework and is necessary
to ensure an adequate level of protection of the
Union's financial interest. That is achieved partly by the
(82) In
order
to
strike
a
balance
between
the
objective
of
the
preventive and deterrent effect of such publication, partly
public control of the use of the money from the Funds,
by discouraging individual beneficiaries from irregular
on the one hand, and the beneficiaries' right to respect
behaviour and also partly by reinforcing the personal
for their private life, in general, and to protection of their
accountability of the farmers for use of public funds
personal data, in particular, on the other hand, the
received.
importance of the aid should be taken into account.
Following extensive analysis and consultation with the
stakeholders it appears that, in order to reinforce the
(76) In
this
context
the
role
played
by
civil
society,
including
effectiveness of such publication and to limit the inter
by the media and non-governmental organisations and
ference with the beneficiaries' rights, it is necessary to set
their contribution to reinforcing the administrations'
a threshold expressed in terms of the amount of aid
control framework against fraud and any misuse of
received, below which the name of the beneficiary
public funds, should be properly recognised.
should not be published.
(77) The publication
of the relevant information is also
consistent with the approach as set out in Regulation
(83) That threshold should be de-minimis and should reflect
(EU, Euratom) No 966/2012.
and be based on the level of the support schemes set up

within the framework of the CAP. As the structures of
the Member States' agricultural economies vary
(78) Alternatively,
the
objective
of
reinforcing
public
control
considerably and may differ significantly from the
in respect of individual beneficiaries could be served by
average Union farm structure, the application of
providing for an obligation on Member States to ensure
different minimum thresholds that reflect the particular
public access to the relevant information upon request,
situation of the Member States should be allowed. Regu
without publication. This would however be less effective
lation (EU) No 1307/2013 sets out a simple and specific
and run the risk of creating unwanted divergencies in
scheme for small farms. Article 63 of that Regulation
implementation. Consequently, national authorities
lays down criteria for calculating the amount of aid.
should be enabled to rely on the public control in
For reasons of consistency, in the case of Member
respect of individual beneficiaries through the publication
States applying the scheme, the threshold to be taken
of their names and other relevant data.
into account should be set at the same level as the
amounts fixed by the Member State as referred to in
the second subparagraph of Article 63(1) or the second
(79) If the objective of the public control of the use of the
subparagraph of Article 63(2) of that Regulation. In the
money from the Funds is to be achieved, a certain level
case of Member States deciding not to apply that scheme,
of information about beneficiaries needs to be brought to
the threshold to be taken into account should be set at
the attention of the public. That information should
the same level as the maximum amount of aid possible
include data on the identity of the beneficiary, the
under the scheme, as provided for in Article 63 of Regu
amount awarded and the fund from which it comes
lation (EU) No 1307/2013. Below that specific threshold
and the purpose and the nature of the measure
1307the publication should contain all the relevant
concerned. The publication of that information should
information, except for the name, in order to allow the
be made in such a way as to cause less interference
taxpayers to have an accurate image of the CAP.

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L 347/560
EN
Official Journal of the European Union
20.12.2013
(84) Making
that
information
accessible
to
the
public,
in
them, to be drawn up by those bodies. Those imple
combination with the general information to the public
menting powers should be exercised in accordance with
provided for in this Regulation, enhances transparency
Regulation (EU) No
182/2011 of the European
regarding the use of Union funds in the CAP, thus
Parliament and of the Council ( 1 ).
contributing to the visibility and better understanding
of that policy. It enables citizens to participate more
closely in the decision-making process and guarantees
that the administration enjoys greater legitimacy, and is
(90) The
implementing
powers
of
the
Commission
should
more effective and is more accountable to the citizen. It
also cover: the audit principles on which the opinions
also brings concrete examples of the provision of "public
of the certification bodies are based, including an
goods" by farming to the attention of citizens, thereby
assessment of the risks, internal controls and the level
underpinning the legitimacy of state support for the agri
of audit evidence required, the audit methods to be used
cultural sector.
by the certification bodies, having regard to international
standards on auditing to deliver their opinions, including,
where appropriate, the use of a single integrated sample
for each population and, where appropriate, the possi
(85) Therefore
it
must
be
considered
that
providing
for
the
bility of accompanying paying agencies when they carry
general publication of the relevant information does not
out on-the-spot checks.
go beyond what is necessary in a democratic society in
view of the need to protect the Union's financial interests
as well as, the overriding weight of the objective of the
public control of the use of the money from the Funds.
(91) They
should
also
cover:
rules
for
the
uniform
implemen
tation of the farm advisory system, the determination of
the EAGF monthly payments to the Member States; the
setting of the amounts for the financing of public inter
(86) In
order
to
comply
with
the
data
protection
require
vention measures; rules relating to the financing of the
ments, beneficiaries of the Funds should be informed
acquisition by the Commission of the satellite images
of the publication of their data before that publication
required for the checks and the measures taken by the
takes place. They should also be informed that that data
Commission through remote-sensing applications used
may be processed by auditing and investigating bodies of
for the monitoring of agricultural resources; the
the Union and Member States for the purpose of safe
procedure for the carrying out of the acquisition by the
guarding the Union's financial interests. Furthermore, the
Commission of those satellite images and the monitoring
beneficiaries should be informed about their rights under
of agricultural resources, the framework governing the
Directive 95/46/EC and the procedures applicable for
acquisition, enhancing and utilisation of satellite images
exercising these rights.
and meteorological data, and the applicable deadlines.
(87) Consequently, after having conducted an in-depth
(92) They
should
also
cover:
in
the
context
of
the
financial
analysis and assessment of the most appropriate way to
discipline procedure, the adjustment rate for the direct
observe the right to protection of personal data of the
payments as well as its adaptation as well as the terms
beneficiaries, based, moreover, on the information
and conditions applicable to appropriations carried over
provided by the Commission during the negotiations of
in accordance with Article 169(3) of Regulation (EU,
this Regulation, new rules on the publication of
Euratom) No 966/2012 in order to finance the direct
information on all beneficiaries of the Funds should be
payments; in the context of the budget discipline
laid down in this Regulation.
procedure, the provisional setting of the amount of the
payments and the provisional distribution of the available
budget among the Member States.
(88) In
order
to
ensure
uniform
conditions
for
the
implemen
tation of this Regulation, implementing powers should be
conferred on the Commission.
(93) Furthermore, the implementing powers of the
Commission should cover: the setting of the period
within which the accredited paying agencies must
establish and forward, to the Commission, intermediate
(89) In
order
to
ensure
uniform
conditions
for
the
implemen
declarations of expenditure relating to rural development
tation of this Regulation, implementing powers should be
programmes; the reduction or suspension of the monthly
conferred on the Commission relating to: the procedures
or interim payments to Member States; details on the
for the issuing, withdrawing and reviewing accreditation
keeping of separate accounts by the paying agencies;
of paying agencies and coordinating bodies as well as for
specific conditions applying to the information to be
the supervision of the accreditation of paying agencies;
booked in the accounts kept by the paying agencies;
the rules on the work and checks underlying the
rules on the financing and accounting of intervention
management declaration of the paying agencies, the func
tioning of the coordinating body and the notification of
information to the Commission by that coordinating
( 1 ) Regulation (EU) No 182/2011 of the European Parliament and of
body; the rules concerning the tasks of the certification
the Council of 16 February 2011 laying down the rules and general
principles concerning mechanisms for control by Member States of
bodies, including the checks, and on the certificates and
the Commission's exercise of implementing powers (OJ L 55,
the reports, together with the documents accompanying
28.2.2011, p. 13).

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measures in the form of public storage, and other expen
for submission of applications, the requirements as to the
diture financed by the Funds, the terms and conditions
minimum amount of information to be included in the
governing the implementation of the automatic decom
applications, provisions for amendments to or the with
mitment procedure, the procedure and other practical
drawal of aid applications, exemption from the
arrangements for the proper functioning of the
requirement to submit aid applications and provisions
suspension of payments by the Commission to Member
which allow Member States to apply simplified
States in the case of late submission of information by
procedures or to correct obvious errors.
Member States.
(97) Likewise, the implementing powers of the Commission
(94) Moreover, the implementing powers of the Commission
should cover: rules on the carrying out of checks in order
should cover: the procedures relating to the specific
to verify compliance with obligations, and the
obligations which the Member States have to comply
correctness and completeness of the information
with in relation to checks; the procedures relating to
provided in the aid application or payment claim,
the cooperation obligations to be complied with by the
including rules on measurement tolerances for on-the-
Member States as regards the on-the-spot checks carried
spot checks, technical specifications needed for the
out by the Commission and access to information; the
purpose of the uniform implementation of the integrated
procedures and other practical arrangements relating to
administration and control system; rules on situations of
the obligation to report irregularities and fraud, the
transfer of holdings accompanied by the transfer of any
conditions under which the supporting documents
obligation concerning eligibility in respect of the aid in
relating to payments made and documents relating to
question which still needs to be fulfilled; and rules on the
the performance of the administrative and physical
payment of advances. They should also cover: rules
checks required by the Union law must be kept; the
aiming at ensuring a uniform application of the rules
clearance of accounts and the conformity clearance, the
on the scrutiny of commercial documents; the
exclusion from Union financing of sums charged to the
procedures relating to Member States' own databanks
Union's budget, the procedures for the recovery of undue
and to the analytical databank of isotopic data that will
payments and interest and the forms of notification and
help detect fraud; the procedures relating to cooperation
communication to be made by the Member States to the
and assistance between control authorities and bodies,
Commission in relation to irregularities.
rules for performing the checks for compliance with
marketing standards, rules on the authorities responsible
for performing the checks, as well as on the content, the
frequency and the marketing stage to which those checks
(95) The
implementing
powers
of
the
Commission
should
are to apply.
also cover: rules aiming at reaching a uniform application
of Member States' obligations regarding the protection of
the financial interests of the Union, the necessary rules
aiming at reaching a uniform application of checks in the
Union, the application and calculation of the partial or
(98) The
implementing
powers
of
the
Commission
should
total withdrawal of payments or payment entitlements;
also cover: in the context of the checks related to desig
the recovery of undue payments and penalties as well as
nation of origin and geographical indications and
in respect of unduly allocated payment entitlements and
protected traditional terms, the communications to be
the application of interest. They should also cover: the
made by the Member States to the Commission; the
application and the calculation of the administrative
rules on the authority responsible for the verification of
penalties, the detailed rules for identifying a non-
compliance with the product specification, including
compliance as minor, the rules identifying the cases in
where the geographical area is a third country, the
which, due to the nature of the penalties, Member States
actions to be implemented by the Member States to
may retain the penalties recovered; and the suspension of
prevent the unfaithful use of protected designations of
monthly payments in specific cases covered by Regu
origin, protected geographical indications and protected
lation (EU) No 1308/2013.
traditional terms, the checks and verifications to be
carried out by Member States, including testing.
(96) The
implementing
powers
of
the
Commission
should
cover: the form of the securities to be lodged and the
They should also cover: rules on the carrying out of
procedure for lodging the securities, for accepting them,
checks in order to verify compliance with the cross-
and for replacing the original securities; the procedures
compliance obligations; detailed procedural and
for the release of securities and the notification to be
technical rules concerning the calculation and application
made by Member States or by the Commission in the
of administrative penalties for non-compliance with
context of securities; They should also cover: rules which
cross-compliance requirements; rules pertaining to
are both necessary and justifiable in an emergency in
communication of information by Member States to
order to resolve specific problems in relation to
the Commission as referred to in Article 104; and
payment periods and the payment of advances; rules
measures to safeguard the application of Union law if
on the aid applications and payments claims, the appli
exceptional monetary practices related to national
cations for payment entitlements, including the final date
currency are likely to jeopardise it;.

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(99) Furthermore, the implementing powers of the
financial year "N" beginning on 16 October of year "N-
Commission should cover: the set of indicators specific
1" and ending on 15 October of year "N", the provisions
to the monitoring and evaluation of the CAP; rules on
relating to the accreditation and withdrawal of accredi
the information to be sent by the Member States to the
tation of paying agencies and coordinating bodies and
Commission for the purposes of the monitoring and
the Commission's relevant powers, to the financial
evaluation of the CAP; rules on the form and the
management of the Funds such as the budget ceiling,
calendar of the publication of the beneficiaries of the
the reserve for crises in the agricultural sector, the
Funds, the uniform application of the obligation to
financial discipline, and to the assignment of revenue
inform the beneficiaries that their data will be made
should apply as from an earlier date corresponding to
public, and the cooperation between the Commission
the beginning of the financial year 2014 (i.e. 16 October
and Member States in the context of the publication of
2013). For the same reason, the provisions relating to the
the beneficiaries of the Funds.
procedure for monthly payments made by the
Commission to Member States and the compliance by
the paying agencies with the payment deadlines should
apply to the expenditure effected as of the beginning of
(100) The advisory procedure should be used for the adoption
of certain implementing acts. With regard to the imple
the financial year 2014 (i.e. 16 October 2013).
menting acts involving the calculation of amounts by the
Commission the advisory procedure enables the
(105) The European Data Protection Supervisor was consulted
Commission to fully assume its responsibility of
and adopted an opinion (
managing the budget and aims to increase efficiency,

1 ).
predictability and rapidity, when complying with the
time limits and the budgetary procedures. With regard
(106) Since the objectives of this Regulation cannot be suffi
to the implementing acts related to payments made to
ciently achieved by the Member States given the links
the Member States and the operation of the clearance of
between it and the other instruments of the CAP and
accounts procedure, the advisory procedure enables the
the limits on the financial resources of the Member States
Commission to fully assume its responsibility of
in an enlarged Union, but can rather, by reason of the
managing the budget and verifying the annual accounts
multiannual guarantee of Union finance and by concen
of the national paying agencies with a view to accepting
trating on its priorities, be better achieved at Union level,
such accounts or, in the case of expenditure not effected
the Union may adopt measures, in accordance with the
in compliance with Union rules, to excluding such
principle of subsidiarity as set out in Article 5 of the
expenditure from Union financing. In other cases, the
Treaty on European Union (TEU). In accordance with
examination procedure should be used for the adoption
the principle of proportionality, as set out in that
of implementing acts.
Article, this Regulation does not go beyond what is
necessary in order to achieve those objectives,
(101) The Commission should be empowered to adopt imple
menting acts without the application of Regulation (EU)
HAVE ADOPTED THIS REGULATION:
No 182/2011 concerning the setting of the net balance
available for EAGF expenditure and making supple
mentary payments or deductions in the context of the
TITLE I
procedure for monthly payments.
SCOPE AND DEFINITIONS
Article 1
(102) Since the transition from the system under the Regu
Scope
lations repealed by this Regulation to the system in
This Regulation lays down the rules on:
this Regulation could give rise to practical and specific
difficulties, provision should be made for the
Commission to adopt the necessary and duly justified
(a) the financing of expenditure under the Common Agri
measures.
cultural Policy (CAP), including expenditure on rural devel
opment;
(103) Due to the urgency of preparing the smooth implemen
tation of the measures envisaged, this Regulation should
(b) the farm advisory system;
enter into force on the day of its publication in the
Official Journal of the European Union.
(c) the management and control systems to be put in place by
the Member States;
(104) As the programming period for the rural development
programmes financed on the basis of this Regulation
(d) the cross-compliance system;
runs from 1 January 2014, this Regulation should be
applicable as from that date. However, since the agri
cultural financial year covers expenditure paid and
(e) clearance of accounts.
revenue received and entered in the accounts of the
Funds budget by the paying agencies in respect of
( 1 ) OJ C 35, 9.2.2012, p. 1.

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Article 2
TITLE II
Terms used in this Regulation
GENERAL PROVISIONS ON AGRICULTURAL FUNDS
1. For
the
purpose
of
this
Regulation:
CHAPTER I
Agricultural Funds
(a) "farmer", means a farmer within the meaning of Article 4 of
Article 3
Regulation (EU) 1307/2013;
Funds financing agricultural expenditure
1. In order to achieve the objectives of the CAP as set out in
(b) "agricultural activity" means an agricultural activity within
the TFEU, the financing of the various measures falling under
the meaning of Article 4 of Regulation (EU) 1307/2013;
that policy, including rural development shall be made by:
(c) "agricultural area" means an agricultural area within the
(a) the European Agricultural Guarantee Fund (EAGF);
meaning of Article 4 of Regulation (EU) 1307/2013;
(b) the European Agricultural Fund for Rural Development
(d) "holding" means holding within the meaning of Article 4 of
(EAFRD).
Regulation (EU) 1307/2013, save as provided for in
Article 91(3);
2. The
EAGF
and
the
EAFRD
(the "Funds") shall come under
the general budget of the European Union (the Union's budget).
(e) "direct payments" means direct payments within the
meaning of Article 1 of Regulation (EU) 1307/2013;
Article 4
EAGF expenditure
(f) "sectoral agricultural legislation" means any applicable acts
1. The
EAGF
shall
be
implemented
in
shared
management
adopted within the framework of the CAP on the basis of
between the Member States and the Union. It shall finance the
Article 43 TFEU as well as, where applicable, any delegated
following expenditure, which shall be effected in accordance
or implementing acts adopted on the basis of such acts, and
with Union law:
Part Two of Regulation (EU) No 1303/2013 insofar as it
applies to the EAFRD;
(a) measures regulating or supporting agricultural markets;
(g) "irregularity" means an irregularity within the meaning of
Article 1(2) of Regulation (EC, Euratom) No 2988/95.
(b) direct payments to farmers under the CAP;
(c) the Union's financial contribution to information and
2.
For the purposes of the financing, management and moni
promotion measures for agricultural products on the
toring of the CAP, "force majeure" and "exceptional circum
internal market of the Union and in third countries,
stances" may, in particular, be recognised in the following cases:
undertaken by Member States on the basis of programmes
other than those referred to in Article 5 and which are
selected by the Commission;
(a) the death of the beneficiary;
(d) the Union's financial contribution to the Union School Fruit
(b) long-term professional incapacity of beneficiary;
and Vegetables Scheme as referred to in Article 23 of Regu
lation (EU) No 1308/2013 and to the measures related to
animal diseases and loss of consumer confidence as referred
(c) a severe natural disaster gravely affecting the holding;
to in Article 155 of that Regulation.
(d) the accidental destruction of livestock buildings on the
2. The
EAGF
shall
finance
the
following
expenditure
in
a
holding;
direct manner and in accordance with Union law:
(a) promotion of agricultural products, undertaken either
(e) an epizootic or a plant disease affecting part or all of the
directly by the Commission or through international organi
beneficiary's livestock or crops respectively;
sations;
(f) expropriation of all or a large part of the holding if that
(b) measures, taken in accordance with Union law, to ensure
expropriation could not have been anticipated on the day of
the conservation, characterisation, collection and utilisation
lodging the application.
of genetic resources in agriculture;

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(c) the establishment and maintenance of agricultural
(i) measures required for the development, registration and
accounting information systems;
protection of logos within the framework of the Union
quality policies and for the protection of intellectual
(d) agricultural survey systems, including surveys on the
property rights linked to it, as well as the necessary
structure of agricultural holdings.
information technology (IT) developments.
Article 5
CHAPTER II
EAFRD expenditure
Paying agencies and other bodies
The EAFRD shall be implemented in shared management
between the Member States and the Union. It shall finance
Article 7
the Union's financial contribution to rural development
Accreditation and withdrawal of accreditation of paying
programmes implemented in accordance with the Union law
agencies and coordinating bodies
on support for rural development.
1. Paying
agencies
shall
be
departments
or
bodies
of
the
Article 6
Member States responsible for the management and control
of expenditure referred to in Article 4(1) and Article 5.
Other expenditure, including technical assistance
The Funds may each, finance, in a direct manner, on the
initiative of the Commission and/or on its behalf, the
With the exception of payment, the carrying out of those tasks
preparatory, monitoring, administrative and technical support
may be delegated
activities, as well as evaluation, audit and inspection measures
required to implement the CAP. Those measures shall include,
in particular:
2. Member States shall accredit as paying agencies
departments or bodies which have an administrative organi
(a) measures required for the analysis, management, moni
sation and a system of internal control which provide sufficient
toring, information exchange and implementation of the
guarantees that payments are legal and regular, and properly
CAP, as well as measures relating to the implementation
accounted for. To this end, paying agencies shall comply with
of control systems and technical and administrative
minimum conditions for the accreditation with regard to
assistance;
internal environment, control activities, information and
communication and monitoring laid down by the Commission
pursuant to point (a) of Article 8(1).
(b) the acquisition by the Commission of the satellite images
required for the checks in accordance with Article 21;
Each Member State shall, taking into account its constitutional
(c) the measures taken by the Commission through remote-
provisions, restrict the number of its accredited paying agencies
sensing applications used for the monitoring of agricultural
to no more than one at national level or, where applicable, to
resources in accordance with Article 22;
one per region. However, where paying agencies are established
at regional level, Member States shall, in addition, either accredit
(d) measures required to maintain and develop methods and
a paying agency at national level for aid schemes which, by
technical means for information, interconnection, moni
their nature, have to be managed at national level or shall
toring and control of the financial management of the
confer the management of these schemes on their regional
funds used to finance the CAP;
paying agencies.
(e) provision of information on the CAP in accordance with
Article 45;
By way of derogation from the second subparagraph, Member
States may maintain the number of paying agencies which have
(f) studies on the CAP and evaluations of measures financed by
been accredited before 20 December 2013.
the Funds, including improvement of evaluation methods
and exchange of information on practices under the CAP;
Before the end of 2016, the Commission shall present a report
(g) where relevant, executive agencies that are set up in
to the European Parliament and to the Council on the operation
accordance with Council Regulation (EC) No 58/2003 (
of the system of paying agencies in the Union accompanied,

1 ),
acting in connection with the CAP;
where appropriate, by legislative proposals.
(h) measures relating to dissemination of information, raising
awareness, promoting cooperation and exchanging
3. By 15 February of the year following the financial year
experience at Union level, taken in the context of rural
concerned, the person in charge of the accredited paying agency
development, including the networking of the parties
shall draw up:
concerned;
(a) the annual accounts for the expenditure effected in carrying
( 1 ) Council Regulation (EC) No 58/2003 of 19 December 2002 laying
out the tasks entrusted to their accredited paying agencies,
down the statute for executive agencies to be entrusted with certain
tasks in the management of Community programmes (OJ L 11,
accompanied by the requisite information for their clearance
16.1.2003, p. 1).
in accordance with Article 51;

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(b) a management declaration as to the completeness, accuracy
(b) the obligations of the paying agencies as regards public
and veracity of the accounts and the proper functioning of
intervention, as well as the rules on the content of their
the internal control systems, based on objective criteria, as
management and control responsibilities.
well as to the legality and regularity of the underlying trans
actions;
2. The
Commission
shall
adopt
implementing
acts
laying
down rules on:
(c) an annual summary of the final audit reports and of
controls carried out, including an analysis of the nature
and extent of the errors and of weaknesses in systems
(a) the procedures for issuing, withdrawing and reviewing
identified, as well as corrective action to be taken or
accreditation of paying agencies and coordinating bodies,
planned.
as well as the procedures for the supervision of the accredi
tation of paying agencies;
The deadline of 15 February may be exceptionally extended by
the Commission to 1 March at the latest, upon communication
by the Member State concerned.
(b) the work and checks underlying the management
declaration of the paying agencies;
4. Where
more
than
one
paying
agency
is
accredited,
the
Member State shall designate a public body ("the coordinating
(c) the functioning of the coordinating body and the notifi
body"), to which it shall assign the following tasks:
cation of information to the Commission as referred to in
Article 7(4).
(a) to collect the information to be made available to the
Commission and to send that information to the
Those implementing acts shall be adopted in accordance with
Commission;
the examination procedure referred to in Article 116(3).
(b) to take or coordinate, as the case may be, actions with a
Article 9
view to resolving any deficiencies of a common nature and
keep the Commission informed of any follow-up;
Certification bodies
1. The
certification
body
shall
be
a
public
or
private
audit
(c) to promote and, where possible, ensure harmonised appli
body designated by the Member State. Where it is a private
cation of the Union rules.
audit body, and the applicable Union or national law so
requires, it shall be selected by the Member State by means of
a public tendering procedure. It shall provide an opinion, drawn
As regards the processing of the financial information referred
up in accordance with internationally accepted audit standards,
to in point (a) of the first subparagraph, the coordinating body
on the completeness, accuracy and veracity of the annual
shall be subject to specific accreditation by the Member States.
accounts of the paying agency, on the proper functioning of
its internal control system and on the legality and regularity of
the expenditure for which reimbursement has been requested
5. Where
an
accredited
paying
agency
does
not
meet
or
no from the Commission. That opinion shall also state whether the
longer meets one or more of the accreditation criteria referred
examination puts in doubt the assertions made in the
to in paragraph 2, the Member State, acting on its own initiative
management declaration.
or at the request of the Commission, shall withdraw that
accreditation unless the paying agency makes the necessary
changes within a period to be determined depending on the
The certification body shall have the necessary technical
severity of the problem.
expertise. It shall be operationally independent from the
paying agency and the coordinating body concerned as well
6. The paying agencies shall manage and ensure the control
as from the authority which has accredited that agency.
of the operations linked to public intervention for which they
are responsible and they shall retain overall responsibility in
that field.
2. The
Commission
shall
adopt
implementing
acts
laying
down rules on the tasks of the certification bodies, including
the checks, and on the certificates and the reports, together with
Article 8
the documents accompanying them, to be drawn up by those
bodies. In view of the need for maximum efficiency, for trans
Commission powers
action testing and for professional audit judgment, in the
1. To ensure the sound operation of the system provided for
context of an integrated approach, the implementing acts
in Article 7, the Commission shall be empowered to adopt
shall also lay down:
delegated acts in accordance with Article 111 concerning:
(a) the audit principles on which the opinions of the certifi
(a) the minimum conditions for the accreditation of paying
cation bodies are based, including an assessment of the
agencies and of the coordinating bodies referred to in
risks, internal controls and the level of audit evidence
Article 7(2) and in Article 7(4), respectively;
required;

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(b) the audit methods to be used, by the certification bodies,
(d) requirements, at the level of beneficiaries as defined by
having regard to international standards on auditing, to
Member States for implementing Article 11(3) of Directive
deliver their opinions, including, where appropriate, the
2000/60/EC;
use of a single integrated sample for each population and,
where appropriate, the possibility to accompany paying
agencies' on-the-spot checks
(e) requirements at the level of beneficiaries as defined by
Member States for implementing Article 55 of Regulation
(EC) No 1107/2009, in particular the requirement referred
to in Article 14 of Directive 2009/128/EC.
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 116(3).
3. The
farm
advisory
system
may
also
cover,
in
particular:
Article 10
(a) the promotion of conversions of farms and the diversifi
Admissibility of payments made by the paying agencies
cation of their economic activity;
The expenditure referred to in Article 4(1) and in Article 5 may
be covered by Union financing only if it has been effected by
accredited paying agencies.
(b) risk management and the introduction of appropriate
preventive actions to address natural disasters, catastrophic
events and animal and plant diseases;
Article 11
Payment in full to beneficiaries
(c) the minimum requirements established by national law, as
referred to in Article 28(3) and 29(2) of Regulation (EU)
Except where otherwise explicitly provided for in Union law,
No 1305/2013;
payments relating to the financing provided for in this Regu
lation shall be disbursed in full to the beneficiaries.
(d) the information related to climate change mitigation and
adaptation, biodiversity and protection of water, as set out
in Annex I to this Regulation.
TITLE III
FARM ADVISORY SYSTEM
Article 13
Article 12
Specific requirements relating to the farm advisory system
Principle and scope
1. Member
States
shall
ensure
that
advisors
working
within
1. Member
States
shall
establish
a
system
for
advising
bene
the farm advisory system are suitably qualified and regularly
ficiaries on land management and farm management ('farm
trained.
advisory system'). That farm advisory system shall be operated
by designated public bodies and/or selected private bodies.
2. Member
States
shall
ensure
the
separation
between
advice
and checks. In that respect, and without prejudice to national
2. The
farm
advisory
system
shall
cover
at
least
the law concerning public access to documents, Member States shall
following:
ensure that the selected and designated bodies as referred to in
Article 12(1) do not disclose any personal or individual
information or data they obtain in the course of their
advisory activity to persons other than the beneficiary who is
(a) obligations at farm level resulting from the statutory
managing the holding concerned, with the exception of any
management requirements and the standards for good agri
irregularity or infringement found in the course of their
cultural and environmental condition of land as laid down
activity which is covered by an obligation laid down in
in Chapter I of Title VI;
Union or national law to inform a public authority, in particular
in the case of criminal offences.
(b) the agricultural practices beneficial for the climate and the
3. The
national
authority
concerned
shall
provide,
primarily
environment as laid down in Chapter 3 of Title III of Regu
by electronic means, the potential beneficiary with the appro
lation (EU) No 1307/2013 and the maintenance of the agri
priate list of selected and designated bodies as referred in
cultural area as referred to in point (c) of Article 4(1) of
Article 12(1).
Regulation (EU) No 1307/2013;
Article 14
(c) measures at farm level provided for in rural development
Access to the farm advisory system
programmes for farm modernisation, competitiveness
building, sectoral integration, innovation and market orien
Beneficiaries and farmers not receiving support under the CAP
tation, as well as for the promotion of entrepreneurship;
may use the farm advisory system on a voluntary basis.

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Without prejudice to the fourth subparagraph of Article 99(2),
Article 18
Member States may, however, determine in accordance with
objective criteria, the categories of beneficiaries that have
Procedure for monthly payments
priority access to the farm advisory system, including
1. Without
prejudice
to
the
application
of
Articles
51
and
networks operating with limited resources within the meaning
52, monthly payments shall be made by the Commission for
of Articles 53, 55 and 56 of Regulation (EU) No 1305/2013.
expenditure effected by accredited paying agencies during the
reference month.
In such cases, Member States shall ensure that priority is given
to those farmers with the most limited access to an advisory
service other than the farm advisory system.
2. Monthly
payments
shall
be
made
to
each
Member
State
at
the latest on the third working day of the second month
following that in which the expenditure is effected. Expenditure
The farm advisory system shall ensure that beneficiaries have
effected by Member States between 1 and 15 October shall
access to advice reflecting the specific situation of their holding.
count as having been made in the month of October. Expen
diture effected between 16 and 31 October shall count as
Article 15
having been made in the month of November.
Commission powers
The Commission may adopt implementing acts laying down
3. The
Commission
shall
adopt
implementing
acts
deter
rules on the uniform implementation of the farm advisory
mining the monthly payments which it makes on the basis of
system in order to render that system fully operational.
a declaration of expenditure from the Member States and the
information supplied in accordance with Article 102(1), taking
account of reductions or suspensions applied under Article 41
Those implementing acts shall be adopted in accordance with
or any other corrections. Those implementing acts shall be
the examination procedure referred to in Article 116(3).
adopted in accordance with the advisory procedure referred to
in Article 116(2).
TITLE IV
FINANCIAL MANAGEMENT OF THE FUNDS
4. The
Commission
may
adopt,
implementing
acts
without
applying the procedure referred to in Article 116, determining
CHAPTER I
supplementary payments or deductions. In such cases, the
EAGF
committee referred to in Article 116(1) shall be informed at
its next meeting.
S e c t i o n 1
F i n a n c i n g o f e x p e n d i t u r e
Article 19
Article 16
Administrative and personnel costs
Budget ceiling
Expenditure relating to administrative and personnel costs
1. The
annual
ceiling
for
EAGF
expenditure
shall
be effected by Member States and by beneficiaries of aid from
constituted by the maximum amounts set for it under Regu
the EAGF shall not be borne by the Fund.
lation (EU, Euratom) No 1311/2013.
2. In
the
event
that
Union
law
provides
for
sums
to
be
Article 20
deducted from or added to the amounts referred to in
Public intervention expenditure
paragraph 1, the Commission shall adopt implementing acts
without applying the procedure referred to in Article 116,
1. Where, within the framework of the common organi
setting the net balance available for EAGF expenditure on the
sation of the markets, a sum per unit is not determined in
basis of the data referred to in Union law.
respect of a public intervention, the EAGF shall finance the
measure concerned on the basis of standard amounts uniform
throughout the Union, in particular as regards funds originating
Article 17
in the Member States used for buying-in products, for material
Monthly payments
operations arising from storage and, where appropriate, for the
processing of intervention products.
1. The
appropriations
necessary
to
finance
the
expenditure
referred to in Article 4(1) shall be made available to Member
States by the Commission in the form of monthly payments, on
2. In order to ensure the funding by the EAGF of the public
the basis of the expenditure effected by the accredited paying
intervention expenditure the Commission shall be empowered
agencies during a reference period.
to adopt delegated acts in accordance with Article 115
concerning:
2. Until transfer of the monthly payments by the
Commission, the resources required to undertake expenditure
shall be mobilised by the Member States according to the
(a) the type of measures eligible for Union financing and the
needs of their accredited paying agencies.
reimbursement conditions;

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(b) the eligibility conditions and calculation methods based on
The measures financed pursuant to point (c) of Article 6
the information actually observed by the paying agencies or
concern the collection or purchase of data needed to
based on flat-rates determined by the Commission, or based
implement and monitor the CAP, including satellite data and
on flat-rate or non-flat-rate amounts provided for by the
meteorological data, the creation of a spatial data infrastructure
sectoral agricultural legislation.
and a website, the carrying out of specific studies on climatic
conditions, remote sensing used to assist in the monitoring of
soil health and the updating of agri-meteorological and econ
3. In order to ensure the proper management of the appro
ometric models. Where necessary, those measures shall be
priations entered in the Union's budget for the EAGF, the
carried out in collaboration with national laboratories and
Commission shall be empowered to adopt delegated acts in
bodies.
accordance with Article 115, laying down rules on the
valuation of operations in connection with public intervention,
the measures to be taken in the case of loss or deterioration of
products under the public intervention, and on the deter
Article 23
mination of the amounts to be financed.
Implementing powers
The Commission may adopt implementing acts, laying down:
4. The
Commission
shall
adopt
implementing
acts,
fixing
the
amounts referred to in paragraph 1. Those implementing acts
shall be adopted in accordance with the advisory procedure
(a) rules relating to the financing pursuant to points (b) and (c)
referred to in Article 116(2).
of Article 6,
Article 21
(b) the procedure under which the measures referred to in
Acquisition of satellite images
Articles 21 and 22 shall be carried out in order to meet
The list of the satellite images required for checks shall be
the objectives assigned,
agreed by the Commission and the Member States in
accordance with the specification prepared by each Member
State.
(c) the framework governing the acquisition, enhancing and
utilisation of satellite images and meteorological data, and
the applicable deadlines.
The Commission shall supply those satellite images free of
charge to the control bodies or to suppliers of services auth
orised by those bodies to represent them.
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 116(3).
The Commission shall remain the owner of the satellite images
and shall recover them on completion of the work. It may also
provide that work be carried out on enhancing techniques and
S e c t i o n 2
working methods in connection with the inspection of agri
cultural areas by remote sensing.
B u d g e t d i s c i p l i n e
Article 24
Article 22
Compliance with the ceiling
Monitoring of agricultural resources
1.
Throughout the budget procedure and the implementation
The measures financed pursuant to point (c) of Article 6 shall
of the budget, appropriations relating to EAGF expenditure shall
aim to give the Commission the means to:
not exceed the amount referred to in Article 16.
(a) manage Union agricultural markets in a global context;
All legislative instruments proposed by the Commission and
adopted by the European Parliament and the Council, the
(b) ensure agri-economic and agri-environmental monitoring of
Council or the Commission and that have an influence on
agricultural land, including agro-forestry, and monitoring of
the EAGF budget shall comply with the amount referred to in
the condition of crops so as to enable estimates to be made,
Article 16.
in particular as regards yields and agricultural production;
2. Where
Union
law
provides
for
a
financial
ceiling
in
euro
(c) share the access to such estimates in an international
for agricultural expenditure in respect of a Member State, such
context, such as those initiatives coordinated by United
expenditure shall be reimbursed subject to that limit set in euro,
Nations organisations or other international agencies;
and, where Article 41 applies, with any necessary adjustments.
(d) contribute to transparency of world markets; and
3. National
ceilings
for
direct
payments
referred
to
in
Article 7 of Regulation (EU) No 1307/2013, corrected by the
(e) ensure technological follow-up of the agri-meteorological
adjustments laid down in Article 26 of this Regulation, shall be
system.
deemed to be financial ceilings in euro.

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Article 25
referred to in Article 4(1)(b) of this Regulation. Those imple
menting acts shall be adopted in accordance with the advisory
Reserve for crises in the agricultural sector
procedure referred to in Article 116(2).
A reserve intended to provide additional support for the agri
cultural sector in the case of major crises affecting the agri
cultural production or distribution ("the reserve for crises in
7. When applying this Article, the amount of the reserve for
the agricultural sector") shall be established by applying, at
crises in the agricultural sector referred to in Article 25 shall be
the beginning of each year, a reduction to direct payments
included in the determination of the adjustment rate. Any
with the financial discipline mechanism referred to in
amount not made available for crisis measures by the end of
Article 26.
the financial year shall be disbursed in accordance with
paragraph 5 of this Article.
The total amount of the reserve shall be EUR 2 800 million
with equal annual instalments of EUR 400 million (at 2011
prices) for the period 2014-2020 and shall be included under
Article 27
Heading 2 of the Multiannual Financial Framework as set out in
Budget discipline procedure
the Annex to Regulation (EU, Euratom) No 1311/2013.
1. The
Commission
shall
present
to
the
European
Parliament
Article 26
and to the Council, at the same time as the draft budget
for financial year N, its forecasts for financial years N - 1, N
Financial discipline
and N + 1.
1. In order to ensure that the annual ceilings set out in
Regulation (EU, Euratom) No 1311/2013 for the financing of
2. If, on drawing up the draft budget for financial year N,
the market related expenditure and direct payments are
there appears to be a risk that the amount referred to in
respected, an adjustment rate for direct payments ("the
Article 16 for financial year N will be exceeded, the
adjustment rate") shall be determined when the forecasts for
Commission shall propose to the European Parliament and to
the financing of the measures financed under that sub-ceiling
the Council or to the Council, the measures necessary to ensure
for a given financial year indicate that the applicable annual
compliance with that amount.
ceilings will be exceeded.
2. The
Commission
shall
present
a
proposal
to
the
European 3. At
any
time,
if
the
Commission
considers
that
there
is
a
Parliament and to the Council concerning the adjustment rate
risk that the amount referred to in Article 16 will be exceeded
no later than 31 March of the calendar year in respect of which
and that it cannot take adequate measures to remedy the
that adjustment rate applies.
situation under its powers, it shall propose other measures to
ensure compliance with that amount. Those measures are
3. If
in
any
year
the
adjustment
rate
has
not
been
set
by
the adopted by the Council where the legal basis of the relevant
European Parliament and the Council by 30 June, the
measure is Article 43(3) TFEU or by the European Parliament
Commission shall adopt implementing acts fixing the
and the Council where the legal basis of the relevant measure is
adjustment rate and shall inform the European Parliament and
Article 43(2) TFEU.
the Council immediately thereof. Such implementing acts shall
be adopted in accordance with the advisory procedure referred
to in Article 116(2).
4. If,
at
the
end
of
financial
year
N,
reimbursement
requests
from the Member States exceed or are likely to exceed the
4. Until 1 December, the Commission may, on the basis of
amount referred to in Article 16, the Commission shall:
new information in its possession, adopt implementing acts
adapting the adjustment rate set in accordance with paragraphs
2 or 3. Those implementing acts shall be adopted in accordance
(a) consider the requests presented by Member States pro rata
with the advisory procedure referred to in Article 116(2).
and within the limit of the available budget, and shall, adopt
implementing acts, setting provisionally the amount of the
payments for the month concerned;
5. By
way
of
derogation
from
the
fourth
subparagraph
of
Article 169(3) of Regulation (EU, Euratom) No 966/2012,
Member States shall reimburse the appropriations carried over
(b) determine, for all Member States, at the latest by 28
in accordance with Article 169(3) of Regulation (EU, Euratom)
February of financial year N + 1, their situation with
No 966/2012 to the final recipients who are subject, in the
regard to Union financing for the financial year N;
financial year to which the appropriations are carried over, to
the adjustment rate.
(c) adopt implementing acts setting the total amount of Union
The reimbursement referred to in the first subparagraph shall
financing broken down by Member State, on the basis of a
only apply to final beneficiaries in those Member States where
single rate of Union financing, within the limit of the
financial discipline applied in the preceding financial year.
budget which was available for the monthly payments;
6. The
Commission
may
adopt
implementing
acts,
laying
down the terms and conditions applicable to appropriations
(d) effect, at the latest when the monthly payments are made
carried over in accordance with Article 169(3) of Regulation
for March of year N+1, any compensation to be carried out
(EU, Euratom) No 966/2012 in order to finance the expenditure
with respect to Member States.

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The implementing acts provided for in points (a) and (c) of the
Article 31
first subparagraph shall be adopted in accordance with the
advisory procedure referred to in Article 116(2).
Provisions applying to all payments
1. In
accordance
with
Article
77(1)
of
Regulation
(EU)
Article 28
No 1303/2013 payments by the Commission of the EAFRD
contribution as referred to in Article 5 of this Regulation
Early-warning and monitoring system
shall not exceed the budget commitments.
In order to ensure that the budget ceiling referred to in
Article 16 is not exceeded, the Commission shall implement a
Those payments shall be assigned to the earliest open budget
monthly early-warning and monitoring system in respect of
commitment
EAGF expenditure.
2. Article
84
of
Regulation
(EU,
Euratom)
No
966/2012
shall
To that end, at the beginning of each financial year, the
apply.
Commission shall determine monthly expenditure profiles
based, where appropriate, on average monthly expenditure
S e c t i o n 2
during the previous three years.
F i n a n c i n g o f r u r a l d e v e l o p m e n t
p r o g r a m m e s
The Commission shall periodically present to the European
Parliament and to the Council a report examining the devel
Article 32
opment of expenditure effected in relation to the profiles and
containing an assessment of the forecasted implementation for
Financial contribution from the EAFRD
the current financial year.
The financial contribution from the EAFRD towards expenditure
under rural development programmes shall be determined for
Article 29
each programme, within the ceilings established by Union law
concerning support for rural development by the EAFRD.
Reference exchange rates
1. When
adopting
the
draft
budget,
or
a
letter
of
amendment
Article 33
to the draft budget which concerns agricultural expenditure, the
Commission shall use for EAGF budget estimates the average
Budget commitments
euro/US dollar exchange rate recorded on the market during the
As regards the Union's budget commitments for rural devel
latest quarter ending at least 20 days before adoption of the
opment programmes, Article 76 of Regulation (EU)
budget document by the Commission.
No 1303/2013 shall apply.
2. When
adopting
a
draft
amending
and
supplementary
S e c t i o n 3
budget or a letter of amendment thereto, the Commission
shall, in so far as those documents concern appropriations
F i n a n c i a l c o n t r i b u t i o n t o r u r a l d e v e l
relating to the measures referred to in point (a) of Article 4(1),
o p m e n t p r o g r a m m e s
use:
Article 34
(a) the average euro/US dollar exchange rate actually recorded
Provisions applying to payments for rural development
on the market from 1 August of the previous financial year
programmes
until the end of the latest quarter ending at least 20 days
1. The
appropriations
necessary
to
finance
the
expenditure
before adoption of the budget document by the
referred to in Article 5 shall be made available to Member States
Commission and at the latest on 31 July of the current
in the form of prefinancing, interim payments and the payment
financial year, and
of a balance, as described in this Section.
(b) the average exchange rate actually recorded during the latest
2. The
combined
total
of
prefinancing
and
interim
payments
quarter ending at least 20 days before adoption of the
shall not exceed 95 % of the EAFRD's contribution to each rural
budget document by the Commission, as a forecast for
development programme.
the remainder of the financial year.
When the ceiling of 95 % is reached, the Member States shall
CHAPTER II
continue transmitting requests for payments to the
Commission.
EAFRD
S e c t i o n 1
Article 35
G e n e r a l p r o v i s i o n s f o r e a f r d
Prefinancing arrangements
Article 30
1. Following
its
decision
to
approve
the
rural
development
No double funding
programme, the Commission shall pay an initial prefinancing
amount to the Member State for the whole programming
Expenditure financed under the EAFRD shall not be the subject
period. This initial pre-financing amount shall be paid in
of any other financing under the Union's budget.
instalments as follows:

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(a) in 2014: 1 % of the amount of support from the EAFRD for
Article 41, make interim payments in order to reimburse the
the entire programming period to the programme and
expenditure effected by accredited paying agencies in imple
1,5 % of the amount of support from the EAFRD for the
menting the programmes.
entire programming period to the programme, where a
Member State has been receiving financial assistance since
2010, either in accordance with Articles 122 and 143
3. Each
interim
payment
shall
be
made
by
the
Commission,
TFEU, or from the European Financial Stability Facility
subject to compliance with the following requirements:
(EFSF), or is receiving financial assistance on 31 December
2013 in accordance with Articles 136 and 143 TFEU;
(a) transmission to the Commission of a declaration of expen
diture signed by the accredited paying agency, in accordance
(b) in 2015: 1 % of the amount of support from the EAFRD for
with Article 102(1)(c);
the entire programming period to the programme and
1,5 % of the amount of support from the EAFRD for the
(b) no overrun of the total EAFRD contribution to each
entire programming period to the programme where a
measure for the entire period covered by the programme
Member State has been receiving financial assistance since
concerned;
2010, either in accordance with Articles 122 and 143
TFEU, or from the EFSF, or is receiving financial assistance
on 31 December 2014 in accordance with Articles 136 and
(c) transmission to the Commission of the last annual progress
143 TFEU;
report on the implementation of the rural development
programme.
(c) in 2016: 1 % of the amount of support from the EAFRD for
the entire programming period to the programme.
4.
If one of the requirements laid down in paragraph 3 is not
met, the Commission shall forthwith inform the accredited
paying agency or the coordinating body, where one has been
If a rural development programme is adopted in 2015 or later,
appointed. If one of the requirements laid down in point (a) or
the earlier instalments shall be paid in the year of such
in point (c) of paragraph 3 is not respected, the declaration of
adoption.
expenditure shall be inadmissible.
5. Without
prejudice
to
the
application
of
Articles
51
and
2. The
total
amount
paid
as
prefinancing
shall
be
reimbursed 52, the Commission shall make interim payments within 45
to the Commission if no expenditure is effected and no
days of registering a declaration of expenditure which meets the
declaration of expenditure for the rural development
requirements set out in paragraph 3 of this Article.
programme is sent within 24 months of the date on which
the Commission pays the first instalment of the prefinancing
amount.
6. Accredited
paying
agencies
shall
establish
and
forward
to
the Commission, either directly or via the intermediary of the
coordinating body, where one has been appointed, intermediate
3. Interest
generated
on
the
prefinancing
shall
be
posted
to declarations of expenditure relating to rural development
the rural development programme concerned and deducted
programmes, within periods to be set by the Commission.
from the amount of public expenditure indicated on the final
declaration of expenditure.
The Commission shall adopt implementing acts laying down
the periods for accredited paying agencies to forward those
intermediate declarations of expenditure. Those implementing
4. The
total
prefinancing
amount
shall
be
cleared
in acts shall be adopted in accordance with the examination
accordance with the procedure referred to in Article 51 of
procedure referred to in Article 116(3).
this Regulation before the rural development programme is
closed.
Declarations of expenditure shall cover expenditure that the
paying agencies have effected during each of the periods
Article 36
concerned. However, in cases in which expenditure referred to
in Article 65(9) of Regulation (EU) No 1303/2013 cannot be
Interim payments
declared to the Commission in the period concerned due to
1. Interim
payments
shall
be
made
for
each
rural
devel
pending approval by the Commission of an amendment to
opment programme. They shall be calculated by applying the
the programme, it may be declared in subsequent periods.
co-financing rate for each measure to the public expenditure
effected pertaining to it as referred to in Article 59 of Regu
Intermediate declarations of expenditure in respect of expen
lation (EU) No 1305/2013.
diture effected from 16 October onwards shall be booked to
the following year's budget.
2. Subject to the availability of resources, the Commission
shall, taking account of reductions or suspensions applied under
7. Article
83
of
Regulation
(EU)
No
1303/2013
shall
apply.

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Article 37
reimbursement has been reduced or suspended by the
Commission at 31 December of year N + 3;
Payment of the balance and closure of the programme
1. After receiving the last annual progress report on the
implementation of a rural development programme, the
(b) that part of the budget commitments which a paying
Commission shall pay the balance, subject to the availability
agency has been unable to disburse for reasons of force
of resources, on the basis of the financial plan in force, the
majeure seriously affecting the implementation of the rural
annual accounts for the last execution year for the relevant
development programme. National authorities claiming
rural development programme and of the corresponding
force majeure shall demonstrate the direct consequences
clearance decision. Those accounts shall be presented to the
on the implementation of all or part of the programme.
Commission no later than six months after the final eligibility
date of expenditure as referred to in Article 65(2) of Regulation
(EU) No 1303/2013 and shall cover the expenditure effected by
By 31 January, the Member State shall send to the Commission
the paying agency up to the last eligibility date of expenditure.
information on the exceptions referred to in the first
subparagraph concerning the amounts declared by the end of
2. The balance shall be paid no later than six months after
the preceding year.
the information and documents referred to in paragraph 1 of
this Article are considered to be receivable by the Commission
and the last annual account has been cleared. Without prejudice
5. The
Commission
shall
inform
Member
States
in
good
time
to Article 38(5) the amounts still committed after the balance is
if there is a risk of automatic decommitment. It shall inform
paid shall be decommitted by the Commission within a period
them of the amount involved as indicated by the information in
of six months.
its possession. The Member States shall have two months from
receiving this information to agree to the amount in question or
present observations. The Commission shall carry out the
3. If, by the time limit set out in paragraph 1, the
automatic decommitment not later than nine months after
Commission has not been sent the last annual progress report
the last time-limit resulting from the application of paragraphs
and the documents needed for clearance of the accounts of the
1 to 3.
last execution year for the programme the balance shall be
automatically decommitted in accordance with Article 38.
6. In the event of automatic decommitment, the EAFRD
Article 38
contribution to the rural development programme concerned
shall be reduced, for the year in question, by the amount auto
Automatic decommitment for rural development
matically decommitted. The Member State shall produce a
programmes
revised financing plan splitting the reduction of the aid
between the measures for approval by the Commission. If it
1. The
Commission
shall
automatically
decommit
any does not do so, the Commission shall reduce the amounts
portion of a budget commitment for a rural development
allocated to each measure pro rata.
programme that has not been used for the purpose of prefi

nancing or for making interim payments or for which no
declaration of expenditure fulfilling the requirements laid
down in Article 36(3) has been presented to it in relation to
CHAPTER III
expenditure effected by 31 December of the third year following
Common Provisions
that of the budget commitment.
Article 39
2. The
part
of
budget
commitments
that
is
still
open
on
the
Agricultural financial year
last eligibility date for expenditure as referred to in Article 65(2)
Without prejudice to special provisions on declarations of
of Regulation (EU) No 1303/2013 for which no declaration of
expenditure and revenue relating to public intervention laid
expenditure has been made within six months of that date shall
down by the Commission pursuant to point (a) of Article 46(6),
be automatically decommitted.
the agricultural financial year shall cover expenditure paid and
revenue received and entered in the accounts of the Funds'
3. In the event of legal proceedings or of an administrative
budget by the paying agencies in respect of financial year "N"
appeal having suspensory effect, the period for automatic
beginning on 16 October of year "N-1" and ending on 15
decommitment referred to in paragraph 1 or paragraph 2
October of year "N".
shall, in respect of the amount relating to the operations
concerned, be interrupted for the duration of those proceedings
or that administrative appeal, provided that the Commission
Article 40
receives a substantiated notification from the Member State by
31 December of year N + 3.
Compliance with payment deadlines
Where payment deadlines are laid down by Union law, any
4. The
following
shall
be
disregarded
in
calculating
the payment made by the paying agencies to the beneficiaries
automatic decommitment:
before the earliest possible date of payment and after the
latest possible date of payment shall make the payments
ineligible for Union financing, except in the cases, conditions
(a) that part of the budget commitments for which a
and limits to be determined taking into account the principle of
declaration of expenditure has been made but for which
proportionality.

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In order to make expenditure effected before the earliest
The reduction or suspension shall be applied to the relevant
possible date of payment or after the latest possible date of
expenditure effected by the paying agency where the deficiencies
payment eligible for Union financing, while limiting the
exist for a period to be determined in the implementing acts
financial impact of doing so, the Commission shall be
referred to in this paragraph, which shall not exceed twelve
empowered to adopt delegated acts in accordance with
months. If the conditions for the reduction or suspension
Article 115, derogating from the rule contained in the first
continue to be met, the Commission may adopt implementing
paragraph.
acts prolonging that period for further periods not exceeding
twelve months in total. The reduction and suspension shall not
be continued if those conditions are no longer met.
Article 41
Reduction and suspension of monthly and interim
payments
The implementing acts provided for in this paragraph shall be
1. Where
the
declarations
of
expenditure
or
the
information adopted in accordance with the advisory procedure referred to
referred to in Article 102 enable the Commission to establish
in Article 116(2).
that expenditure has been effected by bodies which are not
accredited paying agencies, that payment periods or financial
ceilings set by Union law have not been respected or that
Before adopting the implementing acts referred to in this para
expenditure has otherwise not been effected in accordance
graph, the Commission shall inform the Member State
with Union rules, the Commission may reduce or suspend the
concerned of its intention and shall ask it to react within a
monthly or interim payments to the Member State concerned in
period which shall not be less than 30 days.
the framework of the implementing acts concerning the
monthly payments referred to in Article 18(3) or in the
framework of the interim payments referred to in Article 36,
after giving the Member State an opportunity to submit its
The implementing acts determining the monthly payments
comments.
referred to in Article 18(3) or the interim payments referred
to in Article 36 shall take account of the implementing acts
adopted under this paragraph.
Where the declarations of expenditure or the information
referred to in Article 102 do not enable the Commission to
establish that the expenditure has been effected in accordance
3. Reductions
and
suspensions
under
this
Article
shall
be
with Union rules, the Commission shall ask the Member State
applied in accordance with the principle of proportionality
concerned to supply further information and to submit
and shall be without prejudice to the application of Articles
comments within a period which shall not be less than 30
51 and 52.
days. If the Member State fails to respond to the Commission
request within the period set or if the response is considered
unsatisfactory or demonstrates that the expenditure has not
been effected in accordance with Union rules, the Commission
4. Reductions
and
suspensions
under
this
Article
shall
be
may reduce or suspend the monthly or interim payments to the
without prejudice to Articles 19, 22 and 23 of Regulation
Member State concerned in the framework of the implementing
(EU) No 1303/2013.
acts concerning the monthly payments referred to in
Article 18(3) or in the framework of the interim payments
referred to in Article 36.
The suspensions referred to in Articles 19 and 22 of Regulation
(EU) No 1303/2013 shall be in accordance with the procedure
2. The
Commission
may
adopt
implementing
acts,
reducing laid down in paragraph 2 of this Article.
or suspending the monthly or interim payments to a Member
State if one or more of the key components of the national
control system in question do not exist or are not effective due
Article 42
to the gravity or persistence of the deficiencies found, or if there
are similar serious deficiencies in the system for the recovery of
Suspension of payments in the case of late submission
irregular payments and if one of the following conditions is
Where sectoral agricultural legislation requires Member States to
met:
submit, within a specific period of time, information on the
number of checks carried out under Article 59 and their
(a) the deficiencies referred to in the first subparagraph are of a
outcomes and where the Member States overrun that period,
continuous nature and have been the reason for at least two
the Commission may suspend the monthly payments referred
implementing acts pursuant to Article 52, excluding from
to in Article 18 or the interim payments referred to in Article 36
Union financing expenditure from the Member State
provided that the Commission has made available to the
concerned; or
Member States in good time prior to the start of the
reference period all the information, forms and explanations
they need to compile the relevant statistics. The amount to be
(b) the Commission concludes that the Member State
suspended shall not exceed 1,5 % of the expenditure for which
concerned is not in a position to implement in the
the relevant statistical information has not been sent in time. In
immediate future the necessary remedial measures in
applying the suspension, the Commission shall act in
accordance with an action plan with clear progress indi
accordance with the principle of proportionality, taking
cators, to be established in consultation with the
account of the extent of the delay. In particular, account shall
Commission.
be taken of whether the late submission of information places

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the annual budget discharge mechanism at risk. Before
Article 45
suspending the monthly payments the Commission shall
notify the Member State concerned in writing. The Commission
Information measures
shall reimburse the suspended amounts when it receives the
1. The
provision
of
information
financed
pursuant
to
point
statistical information from the Member States concerned,
(e) of Article 6 shall aim, in particular, to help explain,
provided that the date of receipt is not later than 31 January
implement and develop the CAP and to raise public
of the following year.
awareness of its content and objectives to reinstate consumer
confidence following crises through information campaigns, to
Article 43
inform farmers and other parties active in rural areas and to
promote the European model of agriculture, as well as to help
Assignment of revenue
citizens understand it.
1. The
following
shall
be "assigned revenue" within the
meaning of Article 21 of Regulation (EU, Euratom)
It shall supply coherent, objective and comprehensive
No 966/2012
information, both inside and outside the Union, in order to
give an accurate overall picture of the CAP.
(a) sums which, under Articles 40 and Article 51 as regards
expenditure under EAGF, and under Articles 52 and 54,
2. The
measures
referred
to
in
paragraph
1
may
consist
of:
must be paid to the Union's budget, including interest
thereon;
(a) annual work programmes or other specific measures
presented by third parties;
(b) sums which are collected or recovered under Section III of
Chapter III of Title I of Part II of Regulation (EC)
No 1234/2007;
(b) activities implemented on the initiative of the Commission.
(c) sums which have been collected as a consequence of
Those measures which are required by law or those measures
penalties in accordance with the specific rules laid down
already receiving financing under another Union action shall be
in Union sectoral agricultural legislation, save if that legis
excluded.
lation explicitly provides that those amounts may be
retained by the Member States;
In order to implement activities as referred to in point (b) the
Commission may be assisted by external experts.
(d) amounts corresponding to penalties applied in accordance
with the rules on cross-compliance laid down in Chapter II
of Title VI, as regards expenditure under EAGF;
The measures referred to in the first subparagraph shall also
contribute to the corporate communication of the Union's
(e) any security, deposit or guarantee furnished pursuant to
political priorities in so far as those priorities are related to
Union law adopted within the framework of the CAP,
the general objectives of this Regulation.
excluding rural development, and subsequently forfeited.
However, forfeited securities lodged when issuing export
3. By
31
October
of
each
year,
the
Commission
shall
publish
or import licences or under a tendering procedure for the
a call of proposal respecting the conditions set out in Regu
sole purpose of ensuring that tenderers submit genuine
lation (EU, Euratom) No 966/2012.
tenders shall be retained by the Member States.
2. The sums referred to in paragraph 1 shall be paid to the
4. The
Committee
referred
to
in
Article
116(1)
shall
be
Union's budget and, in the event of reuse, shall be used
notified of measures envisaged and taken pursuant to this
exclusively to finance EAGF or EAFRD expenditure.
Article.
3. This
Regulation
shall
apply
mutatis
mutandis
to
assigned 5. The
Commission
shall
present
a
report
on
the
implemen
revenue referred to in paragraph 1.
tation of this Article to the European Parliament and the
Council every two years.
4. As
regards
the
EAGF,
Articles
170
and
171
of
Regulation
(EU, Euratom) No 966/2012 shall apply mutatis mutandis to
Article 46
the keeping of accounts on assigned revenue referred to in
Commission powers
this Regulation.
1. In order to take account of revenue collected by paying
agencies for the Union's budget when making payments on the
Article 44
basis of the expenditure declarations submitted by Member
Keeping of separate accounts
States, the Commission shall be empowered to adopt
delegated acts in accordance with Article 115 concerning the
Each paying agency shall keep a set of separate accounts for the
conditions under which certain types of expenditure and
appropriations entered in the Union's budget for the Funds.
revenue under the Funds are to be compensated.

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2. In order to enable the equitable distribution of the appro
Those implementing acts shall be adopted in accordance with
priations available between the Member States, if the Union's
the examination procedure referred to in Article 116(3).
budget has not been adopted by the beginning of the financial
year or if the total amount of the commitments scheduled
exceeds the threshold laid down in Article 170(3) of Regulation
CHAPTER IV
(EU, Euratom) No
966/2012, the Commission shall be
Clearance of accounts
empowered to adopt delegated acts in accordance with
Article 115 of this Regulation concerning the method
S e c t i o n I
applicable to the commitments and the payment of the
G e n e r a l p r o v i s i o n s
amounts.
Article 47
On-the-spot checks by the Commission
3. In order to verify the consistency of the data notified by
the Member States in relation to the expenditure or other
1. Without
prejudice
to
the
checks
carried
out
by
Member
information provided for in this Regulation, the Commission
States under national law, regulations and administrative
shall be empowered, in the case of non-compliance with the
provisions or Article 287 TFEU or to any check organised
obligation to notify the Commission pursuant to Article 102, to
under Article 322 TFEU or based on Council Regulation
adopt delegated acts in accordance with Article 115 on the
(Euratom, EC) No 2185/96 ( 1 ), the Commission may organise
deferral of monthly payments to Member States referred to in
on-the-spot checks in Member States with a view to verifying in
Article 42 with regard to expenditure under the EAGF and
particular:
laying down the conditions under which it will reduce or
suspend interim payments to Member States under the
(a) compliance of administrative practices with Union rules;
EAFRD referred to in that Article.
(b) the existence of the requisite supporting documents and
their correlation with the operations financed by the
4. When
applying
Article
42
in
order
to
ensure
that
EAGF or the EAFRD;
principle of proportionality is respected, the Commission shall
be empowered to adopt delegated acts in accordance with
Article 115 pertaining to rules on:
(c) the terms on which the operations financed by the EAGF or
the EAFRD were undertaken and checked.
(a) the list of measures which fall under Article 42;
(d) whether a paying agency complies with the accreditation
criteria laid down in Article 7(2) and whether the Member
State correctly applies the provisions of Article 7(5).
(b) the rate of suspension of payments referred to in that
Article.
Persons authorised by the Commission to carry out on-the-spot
checks on its behalf, or Commission agents acting within the
scope of the powers conferred on them, shall have access to the
5. The
Commission
may
adopt
implementing
acts
laying books and all other documents, including documents and
down further rules on the obligation laid down in Article 44
metadata drawn up or received and recorded on an electronic
as well as the specific conditions applying to the information to
medium, relating to expenditure financed by the EAGF or the
be booked in the accounts kept by the paying agencies. Those
EAFRD.
implementing acts shall be adopted in accordance with the
examination procedure referred to in Article 116(3).
The powers to carry out on-the-spot checks shall not affect the
application of national provisions which reserve certain acts for
agents specifically designated by national law. Without prejudice
6. The
Commission
may
adopt
implementing
acts
laying to the specific provisions of Regulation (EU, Euratom)
down rules on:
No 883/2013 ( 2 ) of the European Parliament and of the
Council and Regulation (Euratom, EC) No 2185/96, persons
authorised by the Commission to act on its behalf shall not
take part, inter alia, in home visits or the formal questioning of
(a) the financing and accounting of intervention measures in
persons on the basis of law of the Member State concerned.
the form of public storage, and other expenditure financed
However, they shall have access to information thus obtained.
by the Funds;
( 1 ) Council Regulation (Euratom, EC) No 2185/96 of 11 November
1996 concerning on-the-spot checks and inspections carried out
(b) the terms and conditions governing the implementation of
by the Commission in order to protect the European Communities'
the automatic decommitment procedure;
financial interests against fraud and other irregularities (OJ L 292,
5.11.1996, p. 2).
( 2 ) Regulation (EU, Euratom) No 883/2013 of the European Parliament
and of the Council of 11 September 2013 concerning investigations
(c) the procedure and other practical arrangements for the
conducted by the European Anti-Fraud Office (OLAF) and repealing
Regulation (EC) No 1073/1999 of the European Parliament and of
proper functioning of the mechanism provided for in
the Council and Council Regulation (Euratom) No 1074/1999
Article 42.
(OJ L 248, 18.9.2013, p. 1).

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2. The
Commission
shall
give
sufficient
prior
notice
of
an
Article 50
on-the-spot check to the Member State concerned or to the
Member State within whose territory the check is to take
Commission powers
place, taking into account the administrative impact on
1. In
order
to
ensure
the
correct
and
efficient
application
of
paying agencies when organising checks. Agents from the
the provisions relating to on-the-spot checks and access to
Member State concerned may take part in such checks.
documents and information set out in this Chapter, the
Commission shall be empowered to adopt delegated acts in
accordance with Article 115 supplementing specific obligations
At the request of the Commission and with the agreement of
to be complied with by the Member States under this Chapter.
the Member State, additional checks or inquiries into the oper
ations covered by this Regulation shall be undertaken by the
2. The
Commission
may
adopt
implementing
acts
laying
competent bodies of that Member State. Commission agents or
down rules on:
persons authorised by the Commission to act on its behalf may
take part in such checks.
(a) the procedures relating to the specific obligations which the
Member States have to comply with in relation to the
checks provided for in this Chapter;
In order to improve checks, the Commission may, with the
agreement of the Member States concerned, request the
assistance of the authorities of those Member States for
(b) the procedures relating to the cooperation obligations to be
certain checks or inquiries.
complied with by the Member States for the implemen
tation of Articles 47 and 48;
Article 48
(c) the procedures and other practical arrangements relating to
the reporting obligation referred to in Article 48(3);
Access to information
1. Member
States
shall
make
available
to
the
Commission
all (d) the conditions under which the supporting documents
information necessary for the smooth operation of the Funds
referred to in Article 49 are to be kept, including their
and shall take all appropriate measures to facilitate the checks
form and the time period of their storage.
which the Commission deems appropriate in connection with
the management of Union financing, including on-the-spot
checks.
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 116(3).
2. Member
States
shall
communicate
to
the
Commission
at
S e c t i o n I I
its request the laws, regulations and administrative provisions
C l e a r a n c e
which they have adopted in order to implement the Union legal
acts relating to the CAP, where those acts have a financial
Article 51
impact on the EAGF or the EAFRD.
Clearance of accounts
Prior to 31 May of the year following the budget year in
3. Member
States
shall
make
available
to
the
Commission question and on the basis of the information transmitted in
information about irregularities and suspected fraud cases
accordance with point (c) of Article 102(1), the Commission
detected, as well as information about the steps taken
shall adopt implementing acts, containing its decision on the
pursuant to Section III of this Chapter to recover undue
clearance of the accounts of the accredited paying agencies.
payments in connection with those irregularities and frauds.
Those implementing acts shall cover the completeness,
accuracy and veracity of the annual accounts submitted and
shall be without prejudice to the content of decisions
Article 49
subsequently adopted pursuant to Article 52.
Access to documents
Those implementing acts shall be adopted in accordance with
The accredited paying agencies shall keep supporting documents
the advisory procedure referred to in Article 116(2).
relating to payments made and documents relating to the
performance of the administrative and physical checks
Article 52
required by Union law, and shall make the documents and
information available to the Commission. Those supporting
Conformity clearance
documents may be kept in electronic form under the conditions
1. Where
it
finds
that
expenditure
falling
within
the
scope
of
laid down by the Commission on the basis of Article 50(2).
Article 4(1) and Article 5 has not been effected in conformity
with Union law and, in respect of the EAFRD, has not been
effected in conformity with the applicable Union and national
Where those documents are kept by an authority acting under
law referred to in Article 85 of Regulation (EU) No 1303/2013,
delegation from a paying agency and responsible for authorising
the Commission shall adopt implementing acts determining the
expenditure, that authority shall send reports to the accredited
amounts to be excluded from Union financing. Those imple
paying agency on the number of checks made, their content
menting acts shall be adopted in accordance with the advisory
and the measures taken in the light of their results.
procedure referred to in Article 116(2).

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2. The
Commission
shall
assess
the
amounts
to
be
excluded (b) national aids for which the Commission has initiated the
on the basis of the gravity of the non-conformity recorded. It
procedure laid down in Article 108(2) TFEU or
shall take due account of the nature of the infringement and of
infringements which the Commission has notified to the
the financial damage caused to the Union. It shall base the
Member State concerned by a letter of formal notice in
exclusion on the identification of amounts unduly spent and,
accordance with Article 258 TFEU;
where these cannot be identified with proportionate effort, may
apply extrapolated or flat-rate corrections. Flat-rate corrections
shall only be applied where, due to the nature of the case or
(c) infringements by Member States of their obligations under
because the Member State has not provided the Commission
Chapter III of Title V of this Regulation, provided that the
with the necessary information, it is not possible with propor
Commission notifies the Member State in writing of its
tionate effort to identify more precisely the financial damage
inspection findings within 12 months following receipt of
caused to the Union.
the Member State's report on the results of its checks on the
expenditure concerned.
3. Before
the
adoption
of
any
decision
to
refuse
financing,
Article 53
the findings from the Commission's inspection and the Member
State's replies shall be notified in writing, following which the
Commission powers
two parties shall attempt to reach agreement on the action to
1. The
Commission
shall
adopt
implementing
acts
laying
be taken. At that point in the procedure the Member States
down rules on:
shall be given the opportunity to demonstrate that the actual
extent of the non-compliance is less than in the Commission's
assessment.
(a) the clearance of accounts provided for in Article 51 with
regard to the measures to be taken in connection with the
adoption of the decision and its implementation, including
If agreement is not reached, the Member State may request the
the information exchange between the Commission and the
opening of a procedure aimed at reconciling, within a period of
Member States and the deadlines to be respected;
four months, each party's position. A report of the outcome of
the procedure shall be submitted to the Commission. The
(b) the conformity clearance provided for in Article 52 with
Commission shall take into account the recommendations in
regard to the measures to be taken in connection with
the report before deciding on any refusal of financing and
the adoption of the decision and its implementation,
shall give reasons if it decides not to follow those recommen
including the information exchange between the
dations.
Commission and the Member States and the deadlines to
be respected as well as the conciliation procedure provided
for in that Article, including the establishment, tasks,
4. Financing
may
not
be
refused
for:
composition and working arrangements of the conciliation
body.
(a) expenditure as indicated in Article 4(1) which is effected
2. Those
implementing
acts
shall
be
adopted
in
accordance
more than 24 months before the Commission notifies the
with the examination procedure referred to in Article 116(3).
Member State in writing of its inspection findings;
3. In order to enable the Commission to protect the financial
interest of the Union and to ensure the provisions relating to
(b) expenditure on multiannual measures falling within the
the conformity clearance provided for in Article 52 are applied
scope of Article 4(1) or within the scope of the programmes
efficiently, the Commission shall be empowered to adopt
as indicated in Article 5, where the final obligation on the
delegated acts in accordance with Article 115, concerning the
recipient occurs more than 24 months before the
criteria and methodology for applying corrections.
Commission notifies the Member State in writing of its
inspection findings;
S e c t i o n I I I
I r r e g u l a r i t i e s
(c) expenditure on measures in programmes, as indicated in
Article 5, other than those referred to in point (b) of this
Article 54
paragraph, for which the payment or, as the case may be,
the final payment, by the paying agency, is made more than
Common Provisions
24 months before the Commission notifies the Member
1. For
any
undue
payment
following
the
occurrence
of
State in writing of its inspection findings.
irregularity or negligence, Member States shall request
recovery from the beneficiary within 18 months after the
approval and, where applicable, reception, by the paying
5. Paragraph
4
shall
not
apply
in
the
case
of:
agency or body responsible for the recovery, of a control
report or similar document, stating that an irregularity has
taken place. The corresponding amounts shall be recorded at
the time of the recovery request in the debtors' ledger of the
(a) irregularities covered by Section III of this Chapter;
paying agency.

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2. If
recovery
has
not
taken
place
within
four
years
from
the The Commission shall check that this has been done and make
date of the recovery request, or within eight years where
any adjustments needed in the implementing act referred to in
recovery is taken in the national courts, 50 % of the financial
Article 51.
consequences of the non-recovery shall be borne by the
Member State concerned and 50 % by the Union's budget,
without prejudice to the requirement that the Member State
5. The
Commission
may,
provided
that
the
procedure
laid
concerned must pursue recovery procedures in compliance
down in Article 52(3) has been followed, adopt, implementing
with Article 58.
acts, excluding from Union financing sums charged to the
Union's budget in the following cases:
Where, in the context of the recovery procedure, the absence of
any irregularity is recorded by an administrative or legal
(a) if the Member State has not respected the time limits
instrument of a final nature, the Member State concerned
referred to in paragraph 1;
shall declare as expenditure to the Funds the financial burden
borne by it under the first subparagraph.
(b) if it considers that the decision not to pursue recovery taken
by a Member State pursuant to paragraph 3 is not justified;
However, if for reasons not attributable to the Member State
concerned, it is not possible for recovery to take place within
the time limit specified in the first subparagraph, and the
(c) if it considers that an irregularity or lack of recovery is the
amount to be recovered exceeds EUR
1 million, the
outcome of irregularity or negligence attributable to the
Commission may, at the request of the Member State, extend
administrative authorities or another official body of the
the time-limit by a period of up to half of the original period.
Member State.
3. On
duly
justified
grounds,
Member
States
may
decide
not
Those implementing acts shall be adopted in accordance with
to pursue recovery. A decision to this effect may be taken only
the advisory procedure referred to in Article 116(2).
in the following cases:
Article 55
(a) where the costs already and likely to be effected total more
Provisions specific to the EAGF
than the amount to be recovered, which condition shall be
considered to have been met if:
Sums recovered following the occurrence of irregularity or
negligence and the interest thereon shall be made over to the
paying agency and booked by it as revenue assigned to the
EAGF in the month in which the money is actually received.
(i) the amount to be recovered from the beneficiary in the
context of an individual payment for an aid scheme or
support measure, not including interest, does not exceed
When the Union's budget is credited as referred to in the first
EUR 100; or
paragraph, the Member State may retain 20 % of the
corresponding amounts as flat rate recovery costs, except in
cases of irregularity or negligence attributable to its adminis
(ii) the amount to be recovered from the beneficiary in the
trative authorities or other official bodies.
context of an individual payment for an aid scheme or
support measure, not including interest, falls between
EUR
100 and EUR
150 and the Member State
Article 56
concerned applies a threshold equal to or higher than
the amount to be recovered under its national law for
Provisions specific to the EAFRD
not pursuing national debts.
Where irregularities or negligence are detected in rural devel
opment operations or programmes, Member States shall make
financial adjustments by totally or partially cancelling the Union
(b) where recovery proves impossible owing to the insolvency,
financing concerned. Member States shall take into
recorded and recognised under national law, of the debtor
consideration the nature and gravity of the irregularities
or the persons legally responsible for the irregularity.
detected and the level of the financial loss to the EAFRD.
Where the decision referred to in the first subparagraph of this
Amounts of the Union financing under the EAFRD which are
paragraph is taken before the outstanding amount has been
cancelled and amounts recovered, as well as the interest
subject to the rules referred to in paragraph 2, the financial
thereon, shall be reallocated to the programme concerned.
consequence of non-recovery shall be borne by the Union's
However, the cancelled or recovered Union funds may be
budget.
reused by Member States only for an operation under the
same rural development programme and provided the funds
are not reallocated to operations which have been the subject
4. Member
States
shall
enter
in
the
annual
accounts
to
be of a financial adjustment. After the closure of a rural devel
sent to the Commission under point (c)(iv) of Article 102(1) the
opment programme, the Member State shall refund the sums
amounts to be borne by them under paragraph 2 of this Article.
recovered to the Union's budget.

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Article 57
2. Member
States
shall
set
up
efficient
management
and
control systems in order to ensure compliance with the legis
Commission powers
lation governing Union support schemes aimed at minimising
1. In
order
to
ensure
correct
and
efficient
application
of
the the risk of financial damage to the Union.
provisions relating to the conditions for the recovery of undue
payments and interest thereon, the Commission shall be
empowered to adopt delegated acts in accordance with
3. Member
States
shall
inform
the
Commission
of
the
Article 115 concerning specific obligations to be complied
provisions adopted and measures taken under paragraphs 1
with by the Member States.
and 2.
2. The
Commission
shall
adopt
implementing
acts
laying Any conditions established by Member States to supplement the
down rules on:
conditions laid down by Union rules for receiving support
financed by the EAGF or the EAFRD shall be verifiable.
(a) the procedures for the recovery of undue payments and
interest as set out in this Section and for keeping the
4. The
Commission
may
adopt
implementing
acts,
laying
Commission apprised of pending recoveries;
down rules necessary for the uniform application of this
Article relating to the following:
(b) the forms of notification and communication to be made by
the Member States to the Commission in relation to the
(a) the procedures, deadlines, exchange of information in
obligations set out in this Section.
relation to the obligations as set out in paragraphs 1 and 2;
Those implementing acts shall be adopted in accordance with
(b) the notification and communication to be made by the
the examination procedure referred to in Article 116(3).
Member States to the Commission in relation to the
obligation set out in paragraph 3.
TITLE V
Those implementing acts shall be adopted in accordance with
CONTROL SYSTEMS AND PENALTIES
the examination procedure referred to in Article 116(3).
CHAPTER I
General rules
Article 59
Article 58
General principles of checks
Protection of the financial interests of the Union
1. Except
where
otherwise
provided,
the
system
set
up
by
the
Member States in accordance with Article 58(2) shall include
1. Member
States
shall,
within
the
framework
of
the
CAP, systematic administrative checking of all aid applications and
adopt all legislative, regulatory and administrative provisions
payment claims. That system shall be supplemented by on-
and take any other measures necessary to ensure effective
the-spot checks.
protection of the financial interests of the Union, in particular
to:
2. As regards the on-the-spot checks, the authority
responsible shall draw its check sample from the entire popu
(a) check the legality and regularity of operations financed by
lation of applicants comprising, where appropriate, a random
the Funds;
part in order to obtain a representative error rate and a risk-
based part, which shall target the areas where the risk of errors
is the highest.
(b) ensure effective prevention against fraud, especially in areas
with a higher level of risk, and which will act as a deterrent,
having regard to the costs and benefits as well as the
3. The
authority
responsible
shall
draw
up
a
report
on
each
proportionality of the measures;
on-the-spot check.
(c) prevent, detect and correct irregularities and fraud;
4. Where
appropriate,
all
on-the-spot
checks
provided
for
in
Union rules regarding agricultural aid and rural development
support shall be carried out at the same time.
(d) impose penalties which are effective, dissuasive and propor
tionate in accordance with Union law, or failing this,
national law, and bring legal proceedings to that effect, as
5. Member
States
shall
ensure
a
minimum
level
of
on-the-
necessary;
spot checks needed for an effective management of the risks,
and shall increase that minimum level where necessary. Member
States may reduce that minimum level where the management
(e) recover undue payments plus interest, and bring legal
and control systems function properly and the error rates
proceedings to that effect as necessary.
remain at an acceptable level.

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6. In
cases
to
be
provided
for
by
the
Commission
on
the 2. The
Commission
shall
adopt
implementing
acts,
laying
basis of point (h) of Article 62(2), aid applications and payment
down rules necessary for the uniform application of this
claims or any other communications, claims or requests may be
Chapter, and in particular:
corrected and adjusted after their submission in cases of obvious
errors recognised by the competent authority.
(a) rules on administrative and on-the-spot checks to be
conducted by the Member States with regard to the
7. An
aid
application
or
payment
claim
shall
be
rejected
if
respect of obligations, commitments and eligibility criteria
the beneficiary or his representative prevents an on-the-spot
resulting from the application of Union law;
check from being carried out, except in cases of force
majeure or in exceptional circumstances.
(b) rules on the minimum level of on-the-spot checks and on
the obligation to increase it or the possibility of reducing it
Article 60
as set out in Article 59(5);
Circumvention clause
(c) the rules and methods applicable to the reporting of the
Without prejudice to specific provisions, no advantage provided
checks and verifications carried out and their results;
for under sectoral agricultural legislation shall be granted in
favour of a natural or legal person in respect of whom it is
established that the conditions required for obtaining such
(d) the authorities responsible for performing the checks for
advantages were created artificially, contrary to the objectives
compliance as well as to the content, the frequency and
of that legislation.
the marketing stage to which those checks are to apply;
Article 61
(e) with regard to hemp as referred to in Article 52 of Regu
lation (EU) No 1307/2013, rules on the specific control
Compatibility of support schemes for the purposes of
measures and methods for determining tetrahydrocan
checks in the wine sector
nabinol levels;
For the purposes of applying the support schemes in the wine
sector as referred to in Regulation (EU) No 1308/2013, Member
(f) with regard to cotton as referred to in Article 56 of Regu
States shall ensure that the administration and control
lation (EU) No 1307/2013, a system for checks of the
procedures applied to those schemes are compatible with the
approved interbranch organisations;
integrated system referred to in Chapter II of this Title as
regards the following elements:
(g) with regard to wine as referred to in Regulation (EU)
No 1308/2013, rules on the measurement of areas, on
(a) the computerised database;
checks and on rules governing the specific financial
procedures for the improvement of checks;
(b) the identification systems for agricultural parcels;
(h) the cases in which aid applications and payments claims or
any other communications, claims or requests may be
(c) the administrative checks.
corrected and adjusted after their submission, as referred
to in Article 59(6);
The procedures shall allow a common functioning or the
(i) the tests and methods to be applied in order to establish the
exchange of data with the integrated system.
eligibility of products for public intervention and private
storage, as well as the use of tendering procedures, both
for public intervention and for private storage.
Article 62
Commission powers as regards checks
Those implementing acts shall be adopted in accordance with
1. In order to ensure that the checks are carried out correctly
the examination procedure referred to in Article 116(3).
and efficiently and that the eligibility conditions are verified in
an efficient, coherent and non-discriminatory manner which
protects the financial interest of the Union, the Commission
Article 63
shall be empowered to adopt delegated acts in accordance
Undue payments and administrative penalties
with Article 115, laying down, where the proper management
of the system so requires, additional requirements with respect
1. Where
it
is
found
that
a
beneficiary
does
not
comply
with
to customs procedures, and in particular to those laid down in
the eligibility criteria, commitments or other obligations relating
Regulation (EC) No 952/2013 of the European Parliament and
to the conditions for the granting of the aid or support, as
of the Council ( 1 ).
provided for in the sectoral agricultural legislation, the aid
shall not be paid or shall be withdrawn in full or in part
and, where relevant, the corresponding payment entitlements
( 1 ) Regulation (EU) No 952/2013 of the European Parliament and of
the Council of 9 October 2013 laying down the Union Customs
as referred to in Article 21 of Regulation (EU) No 1307/2013
Code (OJ L 269, 10.10.2013, p. 1).
shall not be allocated or shall be withdrawn.

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2. Moreover, where sectoral agricultural legislation so
(e) where the non-compliance is of a minor nature, including
provides, Member States shall also impose administrative
where expressed in the form of a threshold, to be set by the
penalties, in accordance with the rules laid down in Article 64
Commission in accordance with point (b) of paragraph 7;
and Article 77. This shall be without prejudice to the provisions
set out in Articles 91 to 101 of Title VI.
(f) other cases in which the imposition of a penalty is not
appropriate, to be defined by the Commission in accordance
3. Without
prejudice
to
Article
54(3),
the
amounts,
including
with point (b) of paragraph 6.
interest thereon, and payment entitlements, concerned by the
withdrawal referred to in paragraph 1 and by the penalties
referred to in paragraph 2 shall be recovered.
3. Administrative
penalties
may
be
imposed
on
the
bene
ficiary of the aid or support and on other natural or legal
persons, including groups or associations of such beneficiaries
4. The
Commission
shall
adopt
delegated
acts
in
accordance or other persons, bound by the obligations laid down in the
with Article 115 laying down the conditions for the partial or
rules referred to in paragraph 1.
total withdrawal referred to in paragraph 1.
4. The
administrative
penalties
may
take
one
of
the
5. The
Commission
shall
adopt
implementing
acts
laying following forms:
down detailed procedural and technical rules on:
(a) a reduction in the amount of aid or support to be paid in
relation to the aid application or payment claim affected by
(a) the application and calculation of the partial or total with
the non-compliance or further applications; however as
drawal referred to in paragraph 1;
regards rural development support, this shall be without
prejudice to the possibility of suspending the support
(b) the recovery of undue payments and penalties as well as in
where it can be expected that the non-compliance can be
respect of unduly allocated payment entitlements and the
addressed by the beneficiary within a reasonable time;
application of interest.
(b) payment of an amount calculated on the basis of the
Those implementing acts shall be adopted in accordance with
quantity and/or the period concerned by the non-
the examination procedure referred to in Article 116(3).
compliance;
(c) suspension or withdrawal of an approval, recognition or
Article 64
authorisation;
Application of administrative penalties
1. As
regards
the
administrative
penalties
referred
to
in
(d) exclusion from the right to participate in or benefit from
Article 63(2), this Article shall apply in cases of non-compliance
the aid scheme or support measure or other measure
in relation to eligibility criteria, commitments or other
concerned;
obligations resulting from the application of sectoral agricultural
legislation, with the exception of those referred to in Articles 67
5. The
administrative
penalties
shall
be
proportionate
and
to 78 of Chapter II of this Title and in Articles 91 to 101 of
graduated according to the severity, extent, duration and reoc
Title VI and of those subject to the penalties provided for in
currence of the non-compliance found, and shall respect the
Article 89(3) and 89(4).
following limits:
2. No
administrative
penalties
shall
be
imposed:
(a) the amount of the administrative penalty as referred to in
point (a) of paragraph 4 shall not exceed 200 % of the
amount of the aid application or payment claim;
(a) where the non-compliance is due to force majeure;
(b) notwithstanding point (a), as regards rural development, the
(b) where the non-compliance is due to obvious errors as
amount of the administrative penalty, as referred to in point
referred to in Article 59(6);
(a) of paragraph 4, shall not exceed 100 % of the eligible
amount;
(c) where the non-compliance is due to an error of the
competent authority or another authority, and where the
(c) the amount of the administrative penalty, as referred to in
error could not reasonably have been detected by the
point (b) of paragraph 4, shall not exceed an amount
person concerned by the administrative penalty;
comparable to the percentage referred to in point (a) of
this paragraph;
(d) where the person concerned can demonstrate to the satis
faction of the competent authority that he or she is not at
(d) the suspension, withdrawal or exclusion referred to in
fault for the non-compliance with the obligations referred to
points (c) and (d) of paragraph 4 may be set at a
in paragraph 1 or if the competent authority is otherwise
maximum of three consecutive years which may be
satisfied that the person concerned is not at fault;
renewed in the case of any new non-compliance.

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6. In order to take account of the deterrent effect of charges
Article 115 concerning the market measures falling under the
and penalties to be imposed on the one hand, and the special
suspension and the rate and period of suspension of payments
characteristics of each aid scheme or support measure covered
referred to in paragraph 1.
by sectoral agricultural legislation on the other hand, the
Commission shall be empowered to adopt delegated acts in
accordance with Article 115:
3. The
Commission
shall
adopt
implementing
acts
laying
down detailed rules on the procedure and other practical
arrangements for the proper functioning of the suspension of
(a) identifying, for each aid scheme or support measure and
monthly payments referred to in the paragraph 1. Those imple
person concerned as referred to in paragraph 3, from the
menting acts shall be adopted in accordance with the exam
list set out in paragraph 4 and within the limits laid down
ination procedure referred to in Article 116(3).
in paragraph 5, the administrative penalty and determining
the specific rate to be imposed by Member States including
Article 66
in cases of non-quantifiable non-compliance;
Securities
(b) identifying the cases in which the administrative penalties
1. The
Member
States
shall,
when
the
sectoral
agricultural
are not to be imposed, as referred to in point (f) of
legislation so provides, request the lodging of a security giving
paragraph 2.
the assurance that a sum of money will be paid or forfeited to a
competent authority if a particular obligation under sectoral
agricultural legislation is not fulfilled.
7. The
Commission
shall
adopt
implementing
acts,
laying
down detailed procedural and technical rules for the uniform
2. Except
in
cases
of
force
majeure,
the
security
shall
be
application of this Article on:
forfeited in whole or in part where the execution of a particular
obligation is not carried out, or is carried out only partially.
(a) the application and calculation of the administrative
penalties;
3. The
Commission
shall
be
empowered
to
adopt
delegated
acts in accordance with Article 115 laying down rules which
ensure a non discriminatory treatment, equity and the respect of
(b) the detailed rules for identifying a non-compliance as minor,
proportionality when lodging a security, and:
including the setting of a quantitative threshold expressed as
a nominal value or a percentage of the eligible amount of
(a) specifying the responsible party in the event that an
aid or support, which as regards rural development support
obligation is not met;
shall not be less than 3 % and which as regards all other aid
or support shall not be less than 1 %;
(b) laying down the specific situations in which the competent
authority may waive the requirement of a security;
(c) the rules identifying the cases in which, due to the nature of
the penalties, Member States may retain the penalties
recovered.
(c) laying down the conditions applying to the security to be
lodged and the guarantor and the conditions for lodging
and releasing that security;
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 116(3).
(d) laying down the specific conditions related to the security
lodged in connection with advance payments;
Article 65
(e) setting out the consequences of breaching the obligations
Suspension of payments to the Member States in specific
for which a security has been lodged, as provided for in
cases covered by Regulation (EU) No 1308/2013
paragraph 1, including the forfeiting of securities, the rate of
1. Where
Regulation
(EU)
No
1308/2013
requires
Member
reduction to be applied on release of securities for refunds,
States to submit, within a set period, specific information and
licences, offers, tenders or specific applications and when an
the Member States fail to send that information within that
obligation covered by that security has not been met either
period or at all, or send incorrect information, the Commission
wholly or in part, taking into account the nature of the
may suspend the monthly payments referred to in Article 18
obligation, the quantity for which the obligation has been
provided that the Commission has made available to the
breached, the period exceeding the time limit by which the
Member States in good time the information, forms and expla
obligation should have been met and the time by which
nations needed. The amount to be suspended shall relate to the
evidence that the obligation has been met is produced.
expenditure for the market measures for which the required
information was not sent or was not sent in time or is
4. The
Commission
may
adopt
implementing
acts
laying
incorrect.
down rules on:
2. In order to ensure the respect of the proportionality
(a) the form of the security to be lodged and the procedure for
principle when applying paragraph 1, the Commission shall
lodging the security, for accepting it, and for replacing the
be empowered to adopt delegated acts in accordance with
original security;

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(b) the procedures for the release of a security;
measures for agriculture in the outermost regions of the
Union as referred to in Chapter IV of Regulation (EU)
No 228/2013 of the European Parliament and of the Coun
(c) the notifications to be made by Member States and by the
cil ( 1 ), where support is paid per hectare; and specific
Commission.
measures for agriculture in favour of the smaller Aegean
islands as referred to in Chapter IV of Regulation (EU)
No 229/2013 of the European Parliament and of the Coun
Those implementing acts shall be adopted in accordance with
cil (
the examination procedure referred to in Article 116(3).

2 ), where the support is paid per hectare.

Article 68
CHAPTER II
Integrated Administration and Control System
Elements of the integrated system
Article 67
1. The
integrated
system
shall
comprise
the
following
elements:
Scope and terms used
1. Each
Member
State
shall
set
up
and
operate
an
integrated (a) a computerised database;
administration and control system (the 'integrated system').
(b) an identification system for agricultural parcels;
2. The
integrated
system
shall
apply
to
the
support
schemes
listed in Annex I of Regulation (EU) No 1307/2013 and to the
support granted in accordance with points (a) and (b) of
(c) a system for the identification and registration of payment
Article 21(1) and Articles 28 to 31, 33, 34 and 40 of Regu
entitlements;
lation 1305/2013 and where applicable points (b) and (c) of
Article 35(1) of Regulation (EU) 1303/2013.
(d) aid applications and payment claims;
This Chapter shall not, however, apply to measures referred to
in Article 28(9) of Regulation (EU) No 1305/2013. Nor shall it
(e) an integrated control system;
apply to, measures under points (a) and (b) of Article 21(1) of
that Regulation as far as the establishment cost is concerned.
(f) a single system to record the identity of each beneficiary of
the support referred to in Article 67(2) who submits an aid
3. To the extent necessary, the integrated system shall
application or a payment claim.
also apply to the control of cross-compliance as laid down in
Title VI.
2. Where
applicable,
the
integrated
system
shall
include
a
system, set up in accordance with Regulation (EC)
4. For
the
purpose
of
this
Chapter:
No 1760/2000 of the European Parliament and of the Coun
cil ( 3 ) and Council Regulation (EC) No 21/2004 ( 4 ) for the
identification and registration of animals.
(a) "agricultural parcel" means a continuous area of land,
declared by one farmer, which does not cover more than
one single crop group; however, where a separate
3. Without prejudice to the responsibilities of the Member
declaration of the use of an area within a crop group is
States for the implementation and application of the integrated
required in the context of Regulation (EU) No 1307/2013,
system, the Commission may seek the assistance of specialised
that specific use shall if necessary further limit the agri
bodies or persons in order to facilitate the establishment, moni
cultural parcel; Member States may lay down additional
toring and operation of the integrated system, in particular, with
criteria for further delimitation of an agricultural parcel;
a view to providing the competent authorities of the Member
States with technical advice, should they request it.
(b) "area-related direct payment" means the basic payment
(
scheme; the single area payment scheme and the redis

1 ) Regulation (EU) No 228/2013 of the European Parliament and of
the Council of 13 March 2013 laying down specific measures for
tributive payment referred to in Chapter 1 of Title III of
agriculture in the outermost regions of the Union and repealing
Regulation (EU) No 1307/2013; the payment for agri
Council Regulation (EC) No 247/2006 (OJ L 78, 20.3.2013, p. 23).
cultural practices beneficial for the climate and the
( 2 ) Regulation (EU) No 229/2013 of the European Parliament and of
environment referred to in Chapter 3 of Title III of Regu
the Council of 13 March 2013 laying down specific measures for
lation (EU) No 1307/2013; the payment for areas with
agriculture in favour of the smaller Aegean islands and repealing
Council Regulation (EC) No 1405/2006 (OJ L 78, 20.3.2013, p. 41).
natural constraints referred to in Chapter 4 of Title III of
( 3 ) Regulation (EC) No 1760/2000 of the European Parliament and of
Regulation (EU) No 1307/2013; the payment for young
the Council of 17 July 2000 establishing a system for the identifi
farmers referred to in Chapter 5 of Title III of Regulation
cation and registration of bovine animals and regarding the labelling
(EU) No 1307/2013; the voluntary coupled support referred
of beef and beef products and repealing Council Regulation (EC)
to in Chapter 1 of Title IV, where the support is paid per
No 820/97 (OJ L 204, 11.8.2000, p. 1).
hectare; the crop specific payment for cotton referred to in
( 4 ) Council Regulation (EC) No 21/2004 of 17 December 2003 estab
lishing a system for the identification and registration of ovine and
Chapter 2 of Title IV; the small farmers scheme as referred
caprine animals and amending Regulation (EC) No 1782/2003 and
to in Title V of Regulation (EU) No 1307/2013; specific
Directives 92/102/EEC and 64/432/EEC (OJ L 5, 9.1.2004, p. 8).

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4. Member
States
shall
take
all
further
measures
required
for standard that guarantees a level of accuracy that is at least
the proper application of the integrated system and shall give
equivalent to that of cartography at a scale of 1:10 000 and,
one another the mutual assistance needed for the purposes of
as from 2016, at a scale of 1:5 000, while taking into account
the checks required under this Regulation.
the outline and condition of the parcel. This shall be fixed in
accordance with existing Union standards.
Notwithstanding the first subparagraph, Member States may
Article 69
continue to make use of such techniques including aerial or
spatial orthoimagery, with a homogenous standard that guar
Computerised database
antees a level of accuracy that is at least equivalent to that of
1. The
computerised
database
("the database") shall record,
cartography at a scale of 1:10 000 where they were acquired on
for each beneficiary of the support referred to in Article 67(2),
the basis of long-term contracts that were agreed before
the data obtained from aid applications and payment claims.
November 2012.
2. Member
States
shall
ensure
that
the
identification
system
for agricultural parcels contains a reference layer to accom
modate ecological focus areas. That reference layer shall, in
The database shall, in particular, allow consultation through the
particular, cover the relevant specific commitments and/or envi
competent authority of the Member State, of the data relating to
ronmental certification schemes referred to in Article 43(3) of
the current calendar and/or marketing years and to the previous
Regulation (EU) No 1307/2013 that are equivalent to the
ten such years. Where the support level of farmers is affected by
practices in Article 46 of that Regulation before the application
the data relating to earlier calendar and/or marketing years,
forms referred to in Article 72 of this Regulation for payments
starting with 2000, the database shall also allow consultation
for agricultural practices beneficial for the climate and the
of the data relating to those years. The database shall also allow
environment referred to in Articles 43 to 46 of Regulation
direct and immediate consultation of the data relating to at least
(EU) No 1307/2013 are provided in respect of claim year
the previous four consecutive calendar years and for data related
2018 at the latest.
to "permanent pasture" as defined in point (c) of Article 2 of
Commission Regulation (EC) No 1120/2009 ( 1 ) in its original
Article 71
version and, for periods as from its date of application, "per
manent grassland and permanent pasture" as defined in point
System for the identification and registration of payment
(h) of Article 4(1) of Regulation (EU) No 1307/2013, relating to
entitlements
at least the previous five consecutive calendar years.
1. The
system
for
the
identification
and
registration
of
payment entitlements shall allow for verification of the
entitlements and for cross-checks with the aid applications
and the identification system for agricultural parcels.
By way of derogation from the second subparagraph, the
Member States which acceded to the Union in or after 2004,
2. The
system
referred
to
in
paragraph
1
shall
allow
direct
shall only be required to ensure consultation of the data as from
and immediate consultation, through the competent authority
the year of their accession.
of the Member State, of the data relating to at least the previous
four consecutive calendar years.
Article 72
2. Member
States
may
set
up
decentralised
databases
on
condition that these, and the administrative procedures for
Aid applications and payment claims
recording and accessing data, are designed to be homogeneous
1. Each
year,
a
beneficiary
of
the
support
referred
to
in
throughout the territory of the Member State and are
Article 67(2) shall submit an application for direct payments
compatible with one another in order to allow for cross-checks.
or a payment claim for the relevant area and animal-related
rural development measures respectively indicating, where appli
cable:
Article 70
(a) all the agricultural parcels on the holding, as well as the
Identification system for agricultural parcels
non-agricultural area for which support referred to in
Article 67(2) is claimed;
1. The
identification
system
for
agricultural
parcels
shall
be
established on the basis of maps, land registry documents or
(b) the payment entitlements declared for activation;
other cartographic references. Use shall be made of
computerised geographical information system techniques,
(c) any other information provided for in this Regulation or
including aerial or spatial orthoimagery, with a homogenous
required with a view to the implementation of the relevant
sectoral agricultural legislation or by the Member State
( 1 ) Commission Regulation (EC) No 1120/2009 of 29 October 2009
concerned.
laying down detailed rules for the implementation of the single
payment scheme provided for in Title III of Council Regulation
As regards the area-related direct payment, each Member State
(EC) No 73/2009 establishing common rules for direct support
shall determine the minimum size of agricultural parcels in
schemes for farmers under the common agricultural policy and
establishing certain support schemes for farmers (OJ L 316,
respect of which an application may be made. However, the
2.12.2009, p. 1).
minimum size shall not exceed 0,3 ha.

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2. By way of derogation from point (a) of paragraph 1,
Article 74
Member States may decide that agricultural parcels of an area
of up to 0,1 ha on which an application for payment is not
Verification of eligibility conditions and reductions
made, do not need to be declared, provided that the sum of
1. In
accordance
with
Article
59,
Member
States,
through
the
such parcels does not exceed 1 ha, and/or may decide that a
paying agencies or the bodies delegated by them, shall carry out
farmer who does not apply for any area-based direct payment
administrative checks on the aid application to verify the eligi
does not have to declare his agricultural parcels in the case
bility conditions for the aid. Those checks shall be supple
where the total area does not exceed 1 ha. In all cases, the
mented by on-the-spot checks.
farmer shall, indicate in his application that he has agricultural
parcels at his disposal and at the request of the competent
authorities, shall indicate their location.
2. For
the
purpose
of
on-the-spot
checks
Member
States
shall
draw up a sampling plan of agricultural holdings and/or bene
ficiaries.
3. Member States shall provide, inter alia through electronic
means, pre-established forms based on the areas determined in
the previous year as well as graphic material indicating the
3. Member
States
may
use
remote
sensing
and
Global
Navi
location of those areas.
gation Satellite System (GNSS) techniques as a means of
carrying out on-the-spot checks on agricultural parcels.
A Member State may decide that the aid application and the
4. In the case of non -compliance with the eligibility
payment claim:
conditions Article 63 shall apply.
(a) are valid if the beneficiary confirms the absence of changes
Article 75
with respect to the aid application and the payment claim
submitted the previous year,
Payment to beneficiaries
1. The
payments
under
the
support
schemes
and
the
measures referred to in Article 67(2) shall be made within the
(b) need to contain only changes with respect to the aid appli
period from 1 December to 30 June of the following calendar
cation and the payment claim submitted for the previous
year.
year.
Payments shall be made in a maximum of two instalments
However, with regard to the small farmers scheme provided for
within that period.
in Title V of Regulation (EU) No 1307/2013, that possibility
shall be given to all farmers concerned.
Notwithstanding the first and second subparagraphs, Member
States may, prior to 1 December but not before 16 October,
pay advances of up to 50 % for direct payments and of up to
4. A
Member
State
may
decide
that
a
single
application
shall 75 % for the support granted under rural development as
cover a number of or all support schemes and measures referred
referred to in Article 67(2).
to in Article 67 or other support schemes and measures.
With regard to support granted under rural development, as
5. By
way
of
derogation
from
Council
Regulation
(EEC, referred to in Article 67(2), this paragraph shall apply in
Euratom) No 1182/71 ( 1 ), the calculation of the date for the
respect of the aid applications or payment claims submitted
submission or the amendment of an aid application, of a
from claim year 2018, except as regards the payment of
payment claim or of any supporting documents, contracts or
advances of up to 75 % provided for in the third subparagraph
declarations under this Chapter shall be adapted to the specific
of this paragraph.
requirements of the integrated system. The Commission shall be
empowered to adopt delegated acts in accordance with
Article 115 concerning rules applicable to periods, dates and
2. Payments
referred
to
in
the
paragraph
1
shall
not
be
made
time limits where the final date for submission of applications
before the verification of eligibility conditions, to be carried out
or amendments is a public holiday, a Saturday or a Sunday.
by the Member States pursuant to Article 74, has been finalised.
By way of derogation from the first subparagraph, advances for
Article 73
support granted under rural development as referred to in
System for the identification of beneficiaries
Article 67(2) may be paid after the administrative checks
pursuant to Article 59(1) have been finalised.
The single system for recording the identity of each beneficiary
of the support as referred to in Article 67(2) shall guarantee
that all aid applications and payment claims submitted by the
3.
In the event of an emergency, the Commission shall adopt
same beneficiary can be identified as such.
implementing acts which are both necessary and justifiable, in
order to resolve specific problems in relation to the application
of this Article. Such implementing acts may derogate from
( 1 ) Regulation (EEC, Euratom) No 1182/71 of the Council of 3 June
1971 determining the rules applicable to periods, dates and time
paragraphs 1 and 2, but only to the extent that, and for such
limits (OJ L 124, 8.6.1971, p. 1).
a period, as is strictly necessary.

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Those implementing acts shall be adopted in accordance with
be automatically part of the eligible area without a
the examination procedure referred to in Article 116(3).
requirement to map them for that purpose.
Article 77
Article 76
Application of administrative penalties
Delegated powers
1. As
regards
the
administrative
penalties
referred
to
in
1. In order to ensure that the integrated system provided for
Article 63(2), this Article shall apply in the case of non-
in this Chapter is implemented in an efficient, coherent and
compliance with relation to eligibility criteria, commitments
non-discriminatory way which protects the financial interests
or other obligations resulting from the application of the
of the Union, the Commission shall be empowered to adopt
rules on support referred to in Article 67(2).
delegated acts in accordance with Article 115 concerning:
2. No
administrative
penalty
shall
be
imposed:
(a) specific definitions needed to ensure a harmonised imple
mentation of the integrated system, in addition to those
(a) where the non-compliance is due to force majeure;
provided for in Regulation (EU) No 1307/2013 and Regu
lation (EU) No 1305/2013;
(b) where the non-compliance is due to obvious errors as
referred to in Article 59(6);
(b) with regards to Articles 67 to 75, rules on further measures
necessary to ensure the compliance with control
(c) where the non-compliance is due to an error of the
requirements laid down in this Regulation or in sectoral
competent authority or another authority, and where the
agricultural legislation to be taken by the Member States
error could not reasonably have been detected by the
in respect of producers, services, bodies, organisations or
person concerned by the administrative penalty;
other operators, such as slaughterhouses or associations
involved in the procedure for the granting of the aid,
where this Regulation does not provide for relevant admin
(d) where the person concerned can demonstrate to the satis
istrative penalties; such measures shall as far as possible,
faction of the competent authority that he or she is not at
follow, mutatis mutandis, the provisions on penalties set
fault for the non-compliance with the obligations referred to
out in paragraphs (1) to (5) of Article 77.
in paragraph 1 or if the competent authority is otherwise
satisfied that the person concerned is not at fault;
2. In
order
to
ensure
a
correct
distribution
of
the
funds
(e) where the non-compliance is of a minor nature, including
resulting from the aid applications provided for in Article 72
where expressed in the form of a threshold, to be set by the
to the entitled beneficiaries and to allow for verification of the
Commission in accordance with point (b) of paragraph 7;
fulfilment by them of the obligations related thereto, the
Commission shall be empowered to adopt delegated acts in
accordance with Article 115 concerning:
(f) other cases in which the imposition of a penalty is not
appropriate, to be defined by the Commission in accordance
with point (b) of paragraph 7.
(a) the basic features, technical rules, including, for the update
of reference parcels, appropriate tolerance margins taking
3. Administrative
penalties
may
be
imposed
on
the
bene
into account the outline and condition of the parcel, and
ficiary of the aid or support, including groups or associations
including rules on the inclusion of landscape features
thereof, bound by the obligations laid down in the rules referred
located adjacent to a parcel, and quality requirements for
to in paragraph 1.
the identification system for agricultural parcels provided for
in Article 70 and for the identification of the beneficiaries as
provided for in Article 73;
4. The
administrative
penalties
may
take
the
following
forms:
(a) a reduction in the amount of aid or support paid or to be
(b) the basic features, technical rules and quality requirements
paid in relation to the aid applications or payment claims
of the system for the identification and registration of
affected by the non-compliance and/or in relation to aid
payment entitlements provided for in Article 71;
applications or payment claims for previous or subsequent
years;
(c) the rules to establish the definition of the basis for the
(b) payment of an amount calculated on the basis of the
calculation of aid, including rules on how to deal with
quantity and/or the period concerned by the non-
certain cases in which eligible areas contain landscape
compliance;
features or trees; such rules shall allow Member States for
areas under permanent grassland to consider scattered
landscape features and trees, the total area of which does
(c) exclusion from the right to participate in the aid scheme or
not exceed a certain percentage of the reference parcel, to
support measure concerned.

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/587
5. The
administrative
penalties
shall
be
proportionate
and (a) rules on the application and calculation of the adminis
graduated according to the severity, extent, duration and reoc
trative penalties;
currence of the non-compliance found and shall respect the
following limits:
(b) the detailed rules for identifying a non-compliance as minor,
including the setting of a quantitative threshold expressed as
(a) the amount of the administrative penalty for a given year, as
a nominal value or a percentage of the eligible amount of
referred to in point (a) of paragraph 4, shall not exceed
aid or support which shall not be less than 0,5 %.
100 % of the amounts of the aid applications or payment
claims;
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 116(3).
(b) the amount of the administrative penalty for a given year, as
referred to in point (b) of paragraph 4, shall not exceed
Article 78
100 % of the amount of the aid applications or payment
Implementing powers
claims to which the penalty is applied;
The Commission shall adopt implementing acts laying down
the following:
(c) the exclusion referred to in point (c) of paragraph 4 may be
set at a maximum of three consecutive years, which may
apply again in the case of any new non-compliance.
(a) the basic features, technical rules and quality requirements
for the computerised database provided for in Article 69;
6. Notwithstanding
paragraphs
4
and
5,
as
regards
the (b) rules on the aid applications and payments claims provided
payment referred to in Chapter 3 of Title III of Regulation
for in Article 72, and applications for payment entitlements,
(EU) No 1307/2013, administrative penalties shall take the
including the final date for submission of applications, the
form of a reduction in the amount of payments made or to
requirements as to the minimum amount of information to
be made under that Regulation.
be included in applications, provisions for amendments to
or the withdrawal of aid applications, exemption from the
The administrative penalties referred to in this paragraph shall
requirement to submit aid applications and provisions
be proportionate and graduated according to the severity,
which allow Member States to apply simplified procedures
extent, duration and reoccurrence of the non-compliance
or to correct obvious errors;
concerned.
(c) rules on the carrying out of checks in order to verify
The amount of such administrative penalties for a given year
compliance with obligations, and the correctness and
shall not exceed 0 % for the first two years of application of
completeness of the information provided in the aid appli
Chapter 3 of Title III of Regulation (EU) No 1307/2013 (claim
cation or payment claim, including rules on measurement
years 2015 and 2016), 20 % for the third year of application
tolerances for on-the-spot checks;
(claim year 2017) and 25 % starting with the fourth year of
application (claim year 2018), of the amount of the payment
(d) technical specifications needed for the purpose of the
referred to in Chapter 3 of Title III of Regulation (EU)
uniform implementation of this Chapter;
No 1307/2013 to which the farmer concerned would be
entitled if the farmer met the conditions for that payment.
(e) rules on situations of transfer of holdings accompanied by
the transfer of any obligation concerning eligibility in
respect of the aid in question which still needs to be
7.
In order to take account of the deterrent effect of penalties
fulfilled;
to be imposed on the one hand, and the specific characteristics
of each aid scheme or support measure referred to in
Article 67(2) on the other, the Commission shall be
(f) rules on the payment of the advances referred to in
empowered to adopt delegated acts in accordance with
Article 75.
Article 115:
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 116(3).
(a) identifying, for each aid scheme or support measure and

person concerned as referred to in paragraph 3 from the
list set out in paragraph 4 and within the limits laid down
CHAPTER III
in paragraphs 5 and 6, the administrative penalty and deter
Scrutiny of transactions
mining the specific rate to be imposed by Member States,
including in cases of non-quantifiable non-compliance;
Article 79
Scope and definitions
(b) identifying, the cases in which the administrative penalties
are not to be imposed, as referred to in point (f) of
1. This
Chapter
lays
down
specific
rules
on
the
scrutiny
of
paragraph 2.
the commercial documents of those entities receiving or making
payments relating directly or indirectly to the system of
financing by the EAGF, or their representatives ('undertakings')
8. The
Commission
shall
adopt
implementing
acts,
laying in order to ascertain whether transactions forming part of the
down detailed procedural and technical rules for the uniform
system of financing by the EAGF have actually been carried out
application of this Article on:
and have been executed correctly.

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2. This
Chapter
shall
not
apply
to
measures
covered
by
the (b) physical checks, where appropriate, upon the quantity and
integrated system referred to in Chapter II of this Title. In order
nature of stocks;
to respond to changes in sectoral agricultural legislation and to
ensure the efficiency of the system of ex-post controls estab
lished by this Chapter, the Commission shall be empowered to
(c) comparison with the records of financial flows leading to or
adopt delegated acts in accordance with Article 115 establishing
consequent upon the transactions carried out within the
a list of measures which, due to their design and control
financing system by the EAGF; and
requirements, are unsuited for additional ex-post controls by
way of scrutiny of commercial documents and, therefore, are
not to be subject to such scrutiny under this Chapter.
(d) checks, in relation to bookkeeping, or records of financial
movements showing, at the time of the scrutiny, that the
documents held by the paying agency by way of justifi
3. For
the
purposes
of
this
Chapter
the
following
definitions
cation for the payment of aid to the beneficiary are accurate.
shall apply:
2. In
particular,
where
undertakings
are
required
to
keep
(a) "commercial document" means all books, registers, vouchers
particular book records of stock in accordance with Union or
and supporting documents, accounts, production and
national provisions, scrutiny of those records shall, in appro
quality records, and correspondence relating to the under
priate cases, include a comparison with the commercial
taking's business activity, as well as commercial data, in
documents and, where appropriate, with the actual quantities
whatever form they may take, including electronically
in stock.
stored data, in so far as these documents or data relate
directly or indirectly to the transactions referred to in
paragraph 1;
3. In
the
selection
of
transactions
to
be
checked,
full
account
shall be taken of the degree of risk presented.
(b) "third party" means any natural or legal person directly or
indirectly connected with transactions carried out within the
Article 82
financing system by the EAGF.
Access to commercial documents
1. The
persons
responsible
for
the
undertaking,
or
a
third
Article 80
party, shall ensure that all commercial documents and
Scrutiny by Member States
additional information are supplied to the officials responsible
for the scrutiny or to the persons authorised to carry it out on
1. Member
States
shall
carry
out
systematic
scrutiny
of
the their behalf. Electronically stored data shall be provided on an
commercial documents of undertakings taking account of the
appropriate data support medium.
nature of the transactions to be scrutinised. Member States shall
ensure that the selection of undertakings for scrutiny gives the
best possible assurance of the effectiveness of the measures for
2. The officials responsible for the scrutiny or the persons
preventing and detecting irregularities. The selection shall take
authorised to carry it out on their behalf may require that
account, inter alia, of the financial importance of the under
extracts or copies of the documents referred to in paragraph
takings in that system and of other risk factors.
1 be supplied to them.
2. In
appropriate
cases,
the
scrutiny
provided
for
in 3. Where,
during
scrutiny
carried
out
pursuant
to
this
paragraph 1 shall be extended to natural and legal persons
Chapter, the commercial documents maintained by the under
with whom undertakings are associated and to such other
taking are considered inadequate for scrutiny purposes, the
natural or legal persons as may be relevant for the pursuit of
undertaking shall be directed to maintain in future such
the objectives set out in Article 81.
records as are required by the Member State responsible for
the scrutiny, without prejudice to obligations laid down in
other Regulations relating to the sector concerned.
3. The
scrutiny
carried
out
pursuant
to
this
Chapter
shall
not
prejudice the checks undertaken pursuant to Articles 47 and 48.
Member States shall determine the date from which such
records are to be established.
Article 81
Objectives of the scrutiny
Where some or all of the commercial documents required to be
1. The
accuracy
of
primary
data
under
scrutiny
shall
be scrutinised pursuant to this Chapter are located with an under
verified by a number of cross-checks, including, where
taking in the same commercial group, partnership or
necessary, the commercial documents of third parties, appro
association of undertakings managed on a unified basis as the
priate to the degree of risk presented, including:
undertaking scrutinised, whether located inside or outside the
territory of the Union, the undertaking shall make those
commercial documents available to officials responsible for
(a) comparisons with the commercial documents of suppliers,
the scrutiny, at a place and time to be determined by the
customers, carriers and other third parties;
Member States responsible for carrying out the scrutiny.

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/589
4. Member
States
shall
ensure
that
officials
responsible
for (a) the number of undertakings to be scrutinised and their
scrutiny are entitled to seize commercial documents, or have
breakdown by sector on the basis of the amounts relating
them seized. This right shall be exercised with due regard to the
to them;
relevant national provisions and shall be without prejudice to
the application of rules governing proceedings in criminal
matters concerning the seizure of documents.
(b) the criteria adopted for drawing up the programme.
Article 83
3. The
programmes
established
by
the
Member
States
and
forwarded to the Commission shall be implemented by the
Mutual assistance
Member States, if, within eight weeks, the Commission has
1. Member
States
shall
assist
each
other
for
the
purposes
of not made known its comments.
carrying out the scrutiny provided for in this Chapter in the
following cases:
4. Paragraph
3
shall
apply
mutatis
mutandis
to
the
amendments to the programme made by the Member States.
(a) where an undertaking or third party is established in a
Member State other than that in which payment of the
amount in question has or should have been made or
5. At any stage, the Commission may request the inclusion
received;
of a particular category of undertaking in the programme of a
Member States.
(b) where an undertaking or third party is established in a
Member State other than that in which the documents
6. Undertakings for which the sum of the receipts or
and information required for scrutiny are to be found.
payments amounted to less than EUR
40
000 shall be
scrutinised in accordance with this Chapter only for specific
reasons to be indicated by the Member States in their annual
The Commission may coordinate joint actions involving mutual
programme referred to in paragraph 1 or by the Commission in
assistance between two or more Member States.
any proposed amendment to that programme. In order to take
account of economic developments, the Commission shall be
empowered to adopt delegated acts in accordance with
2. During the first three months following the EAGF
Article 115 modifying the threshold of EUR 40 000.
financial year of payment, Member States shall send the
Commission a list of undertakings established in a third
country for which payment of the amount in question has or
Article 85
should have been made or received in that Member State.
Special departments
1. In
each
Member
State,
a
special
department
shall
be
3. If
additional
information
is
required
in
another
Member responsible for monitoring the application of this Chapter.
State as part of the scrutiny of an undertaking in accordance
Those departments shall, in particular, be responsible for:
with Article 80, and in particular cross-checks in accordance
with Article 81, specific scrutiny requests may be made indi
cating the reasons for the request. An overview of such specific
(a) the performance of the scrutiny provided for in this Chapter
requests shall be sent to the Commission on a quarterly basis
by officials employed directly by that special department; or
within one month after the end of each quarter. The
Commission may require that a copy of individual requests be
provided.
(b) the coordination and general surveillance of the scrutiny
carried out by officials belonging to other departments.
The scrutiny request shall be fulfilled not later than six months
after its receipt; the results of the scrutiny shall be
Member States may also provide that scrutiny to be carried out
communicated without delay to the requesting Member State
pursuant to this Chapter is allocated between the special
and to the Commission. The communication to the
departments and other national departments, provided that
Commission shall be on a quarterly basis within one month
the former is responsible for its coordination.
after the end of each quarter.
2. The
department
or
departments
responsible
for
the
appli
Article 84
cation of this Chapter shall be organised in such a way as to be
Programming
independent of the departments or branches of departments
responsible for the payments and the scrutiny checks carried
1. Member
States
shall
draw
up
programmes
for
scrutiny
to out prior to payment.
be carried out pursuant to Article 80 during the subsequent
scrutiny period.
3. In
order
to
ensure
that
this
Chapter
is
properly
applied,
the special department referred to in paragraph 1 shall take all
2. Each
year,
before
15
April,
Member
States
shall
send
the the measures necessary, and it shall be entrusted by the Member
Commission their programme as referred to in paragraph 1 and
State concerned with all the powers necessary, to perform the
shall specify:
tasks referred to in this Chapter.

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4. Member
States
shall
adopt
appropriate
measures
to
Article 88
penalise natural or legal persons who fail to fulfil their
obligations under this Chapter.
Commission powers
The Commission shall, where necessary, adopt implementing
acts laying down rules for the uniform application of this
Article 86
Chapter and in particular relating to the following:
Reports
(a) the performance of the scrutiny referred to in Article 80 as
1. Before
1
January,
following
the
scrutiny
period,
Member
regards the selection of undertakings, rate and the calendar
States shall send the Commission a detailed report on the appli
for the scrutiny;
cation of this Chapter.
(b) the conservation of commercial documents and the types of
documents to maintain or data to record;
2. The
Member
States
and
the
Commission
shall
have
regular
exchanges of views on the application of this Chapter.
(c) the performance and coordination of joint actions referred
to in Article 83(1);
Article 87
(d) the details and specifications regarding the content, form
and means of submission of requests, the content, form
Access to information and scrutiny by the Commission
and means of notification, submission and exchange of
information required in the framework of this Chapter;
1. In accordance with the relevant national laws,
Commission officials shall have access to all documents
prepared either with a view to or following the scrutiny
(e) conditions and means of publication or specific rules and
organised under this Chapter and to the data held, including
conditions for the diffusion or making available by the
those stored in the data-processing systems. That data shall be
Commission to the competent authorities of the Member
provided upon request on an appropriate data support medium.
States of the information needed in the framework of this
Regulation;
2. The scrutiny referred to in Article 80 shall be carried out
(f) the responsabilities of the special department referred to in
by the officials of the Member States. Officials of the
Article 85;
Commission may participate in that scrutiny. They may not
themselves exercise the powers of scrutiny accorded to
(g) the content of reports referred to in Article 86.
national officials. However, they shall have access to the same
premises and to the same documents as the officials of the
Those implementing acts shall be adopted in accordance with
Member States.
the examination procedure referred to in Article 116(3).
CHAPTER IV
3. In
the
case
of
scrutiny
taking
place
under
Article
83,
officials of the requesting Member State may be present, with
Other provisions on checks and penalties
the agreement of the requested Member State, at the scrutiny in
Article 89
the requested Member State and have access to the same
premises and the same documents as the officials of that
Other checks and penalties related to marketing rules
Member State.
1. Member
States
shall
take
measures
to
ensure
that
the
products referred to in Article 119(1) of Regulation (EU)
No 1308/2013 which are not labelled in conformity with the
Officials of the requesting Member State present at scrutiny in
provisions of that Regulation are not placed on, or are
the requested Member State shall at all time be able to furnish
withdrawn from, the market.
proof of their official capacity. The scrutiny shall at all times be
carried out by officials of the requested Member State.
2. Without
prejudice
to
any
specific
provisions
which
may
be adopted by the Commission, imports into the Union of the
products specified in points (a) and (b) of paragraph 1 of
4. Without
prejudice
to
the
provisions
of
Regulations
(EU, Article 189 of Regulation (EU) No 1308/2013 shall be subject
Euratom) 883/2013 and (Euratom, EC) No 2185/96, where
to checks to determine whether the conditions provided for in
national provisions concerning criminal procedure reserve
paragraph 1 of that Article are met.
certain acts for officials specifically designated by the national
law, neither the officials of the Commission, nor the officials of
3. Member
States
shall
carry
out
checks,
based
on
a
risk
the Member State referred to in paragraph 3, shall take part in
analysis, in order to verify whether products referred to in
these acts. In any event, they shall, in particular not take part in
Annex I to Regulation (EU) No 1308/2013 conform to the
home visits or the formal interrogation of persons in the
rules laid down in Section I of Chapter I of Title II of Part II
context of the criminal law of the Member State concerned.
of Regulation (EU) No …/2013 and shall apply administrative
They shall, however, have access to information thus obtained.
penalties as appropriate.

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/591
4. Without
prejudice
to
acts
regarding
the
wine
sector of the European Parliament and of the Council ( 1 ) and shall
adopted on the basis of Article 64, in the event of infringement
ensure that any operator complying with those obligations is
of Union rules in the wine sector, Member States shall apply
entitled to be covered by a system of checks.
proportionate, effective and dissuasive administrative penalties.
Such penalties shall not apply in the cases set out in points (a)
3. Within
the
Union,
annual
verification
of
compliance
with
to (d) of Article 64(2) and where the non-compliance is of a
the product specification, during the production and during or
minor nature.
after conditioning of the wine shall be ensured by the
competent authority referred to in paragraph 2 or by one or
more control bodies within the meaning of point 5 of the
5. In
order
to
protect
Union
funds
and
the
identity,
prov
second subparagraph of Article 2 of Regulation (EC)
enance and quality of Union wine, the Commission shall be
No 882/2004 operating as a product certification body in
empowered to adopt delegated acts in accordance with
accordance with the criteria laid down in Article 5 of that
Article 115 relating to:
Regulation.
(a) the establishment of an analytical databank of isotopic data
4. The Commission shall, adopt implementing acts
to help detect fraud to be constructed on the basis of
concerning the following:
samples collected by Member States;
(a) the communications to be made by the Member States to
the Commission;
(b) rules on control bodies and the mutual assistance between
them;
(b) rules on the authority responsible for the verification of
compliance with the product specification, including
where the geographical area is in a third country;
(c) rules on the common use of the findings of Member States;
(c) the actions to be implemented by the Member States to
prevent the unlawful use of protected designations of
6. The
Commission
may
adopt
implementing
acts
laying
origin, protected geographical indications and protected
down all measures necessary for:
traditional terms;
(a) the procedures relating to Member States' own databanks
(d) the checks and verification to be carried out by the Member
and to the analytical databank of isotopic data that will help
States, including testing.
detect fraud;
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 116(3).
(b) the procedures relating to cooperation and assistance
between control authorities and bodies;
TITLE VI
CROSS-COMPLIANCE
(c) as regards the obligation referred to in paragraph 3, rules
CHAPTER I
for performing the checks of compliance with marketing
standards, rules on the authorities responsible for
Scope
performing the checks, as well as on the content, the
frequency and the marketing stage to which those checks
Article 91
are to apply.
General principle
1. Where
a
beneficiary
referred
to
in
Article
92
does
not
Those implementing acts shall be adopted in accordance with
comply with the rules on cross-compliance as laid down in
the examination procedure referred to in Article 116(3).
Article 93, an administrative penalty shall be imposed on that
beneficiary.
Article 90
2. The
administrative
penalty
referred
to
in
paragraph
1
shall
only apply where the non-compliance is the result of an act or
Checks related to designation of origin and geographical
omission directly attributable to the beneficiary concerned; and
indications and protected traditional terms
where one, or both, of the following additional conditions are
1. Member
States
shall
take
the
necessary
steps
to
stop met:
unlawful use of protected designations of origin, protected
geographical indication and protected traditional terms
(a) the non-compliance is related to the agricultural activity of
referred to in Regulation (EU) No 1308/2013.
the beneficiary;
(b) the area of the holding of the beneficiary is concerned.
2. Member
State
shall
designate
the
competent
authority
responsible for carrying out the checks in respect of the
obligations laid down in Section II of Chapter I of Title II of
( 1 ) Regulation (EC) No 882/2004 of the European Parliament and of the
Council of 29 April 2004 on official controls performed to ensure
Part 2 of Regulation (EU) No 1308/2013 in accordance with the
the verification of compliance with feed and food law, animal health
criteria laid down in Article 4 of Regulation (EC) No 882/2004
and animal welfare rules (OJ L 165, 30.4.2004, p. 1).

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With regard to forest areas, however, this penalty shall not
area aid applications for 2003 is maintained under permanent
apply in so far as no support is claimed for the area
pasture within defined limits. The Member States which became
concerned in accordance with point (a) of Article 21(1), and
Member of the Union in 2004 shall ensure that land which was
Articles 30 and 34 of Regulation (EU) No 1305/2013.
under permanent pasture on 1 May 2004 is maintained under
permanent pasture within defined limits. Bulgaria and Romania
shall ensure that land which was under permanent pasture on
3. For the purpose of this Title the following definitions shall
1 January 2007 is maintained under permanent pasture within
apply:
defined limits. Croatia shall ensure that land which was under
permanent pasture on 1 July 2013 is maintained under
(a) 'holding' means all the production units and areas managed
permanent pasture within defined limits.
by the beneficiary referred to in Article 92 situated within
the territory of the same Member State;
The first subparagraph shall not apply to land under permanent
pasture to be afforested if such afforestation is compatible with
(b) "requirement" means each individual statutory management
the environment and with the exclusion of plantations of
requirement under Union law referred to in Annex II within
Christmas trees and fast growing species cultivated in the
a given act, differing in substance from any other
short term.
requirements of the same act.
Article 92
4. In
order
to
take
account
of
paragraph
3,
the
Commission
Beneficiaries concerned
shall be empowered to adopt delegated acts in accordance with
Article 115 laying down the rules on maintenance of
Article 91 shall apply to beneficiaries receiving direct payments
permanent pasture, in particular in order to ensure that
under Regulation (EU) No 1307/2013, payments under Articles
measures are taken to maintain the land under permanent
46 and 47 of Regulation (EU) No 1308/2013 and the annual
pasture at the level of farmers, including individual obligations
premia under points (a) and (b) of Article 21(1), Articles 28 to
to be respected such as obligation to reconvert areas into
31, 33 and 34 of Regulation (EU) No 1305/2013.
permanent pasture where it is established that the ratio of
land under permanent pasture is decreasing.
However, Article 91 shall not apply to beneficiaries partici
pating in the small farmers scheme as referred to in Title V
of Regulation (EU) No 1307/2013. The penalty provided for in
In order to ensure a correct application of the obligations of the
that Article shall also not apply to the support as referred to in
Member States on the one hand and individual farmers on the
Article 28(9) of Regulation (EU) No 1305/2013.
other hand, as regards the maintenance of permanent pasture,
the Commission shall be empowered to adopt delegated acts in
accordance with Article 115 to establish the conditions and
Article 93
methods for the determination of the ratio of permanent
pasture and agricultural land that has to be maintained.
Rules on cross-compliance
1. The
rules
on
cross-compliance
shall
consist
of
the
statutory management requirements under Union law and the
5. For
the
purpose
of
paragraphs
3
and
4, "permanent
standards for good agricultural and environmental condition of
pasture" means permanent pasture as defined in point (c) of
land established at national level as listed in Annex II, relating
Article 2 of Regulation (EC) No 1120/2009 in its original
to the following areas:
version.
(a) environment, climate change and good agricultural
condition of land;
Article 94
Obligations of Member States relating to good agricultural
(b) public, animal and plant health;
and environmental condition
Member States shall ensure that all agricultural area, including
(c) animal welfare.
land which is no longer used for production purposes, is main
tained in good agricultural and environmental condition.
Member States shall define, at national or regional level,
2. The
legal
acts
referred
to
in
Annex
II
concerning
the minimum standards for beneficiaries for good agricultural and
statutory management requirements shall apply in the version
environmental condition of land on the basis of Annex II,
in force and, in the case of Directives, as implemented by the
taking into account the specific characteristics of the areas
Member States.
concerned, including soil and climatic condition, existing
farming systems, land use, crop rotation, farming practices,
and farm structures.
3. In
addition,
as
regards
the
years
2015
and
2016,
the
rules
on cross-compliance shall also include the maintenance of
permanent pasture. The Member States which were Members
of the Union on 1 January 2004 shall ensure that land which
Member States shall not define minimum requirements which
was under permanent pasture on the date provided for in the
are not established in Annex II.

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Article 95
Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 116(3).
Information to beneficiaries
Member States shall provide the beneficiaries concerned, where
appropriate by the use of electronic means, with the list of the
Article 97
requirements and standards to be applied at farm level, as well
Application of the administrative penalty
as clear and precise information thereon.
1. The
administrative
penalty
provided
for
in
Article
91
shall
be imposed where the rules on cross-compliance are not
complied with at any time in a given calendar year ('the
CHAPTER II
calendar year concerned'), and where the non-compliance in
Control system and administrative penalties in relation to
question is directly attributable to the beneficiary who
cross-compliance
submitted the aid application or the payment claim in the
calendar year concerned.
Article 96
Checks of cross-compliance
The first subparagraph shall apply mutatis mutandis to bene
1. Member
States
shall
make
use,
where
appropriate,
of
the ficiaries who are found not to have complied with the rules on
integrated system laid down in Chapter II of Title V and in
cross-compliance, at any time during three years from 1 January
particular of points (a), (b), (d), (e) and (f) of Article 68(1).
of the year following the calendar year in which the first
payment was granted under the support programmes for
restructuring and conversion or at any time during one year
Member States may make use of their existing administration
from 1 January of the year following the calendar year in which
and control systems to ensure compliance with the rules on
the payment was granted under the support programmes for
cross-compliance.
green harvesting referred to in Regulation (EU) No 1308/
2013('the years concerned').
Those systems, and notably the system for the identification and
2. In cases in which the land is transferred during the
registration of animals set up in accordance with Council
calendar year concerned or the years concerned, paragraph 1
Directive 2008/71/EC ( 1 ) and Regulations (EC) No 1760/2000
shall also apply where the non-compliance in question is the
and (EC) No 21/2004, shall be compatible with the integrated
result of an act or omission directly attributable to the person
system referred to in Chapter II of Title V of this Regulation.
to whom or from whom the agricultural land was transferred.
By way of derogation from the first sentence, where the person
to whom the act or omission is directly attributable has
2.
Depending on the requirements, standards, acts or areas of
submitted an aid application or a payment claim in the
cross-compliance in question, Member States may decide to
calendar year concerned or the years concerned, the adminis
carry out administrative checks, in particular those already
trative penalty shall be imposed on the basis of the total
provided for under the control systems applicable to the
amounts of the payments referred to in Article 92 granted or
respective requirement, standard, act or area of cross-
to be granted to that person.
compliance.
For the purpose of this paragraph, 'transfer' means any type of
transaction whereby the agricultural land ceases to be at the
3. Member
States
shall
carry
out
on-the-spot
checks
to
verify disposal of the transferor.
whether a beneficiary complies with the obligations laid down
in this Title.
3. Notwithstanding
paragraph
1,
and
subject
to
the
rules
to
be adopted pursuant to Article 101, Member States may decide
4. The
Commission
shall
adopt
implementing
acts,
laying not to apply an administrative penalty per beneficiary and per
down rules on the carrying out of checks in order to verify
calendar year when the amount of the penalty is EUR 100 or
compliance with the obligations referred to under this Title,
less.
including rules allowing that risk analysis takes account of the
following factors:
Where a Member State decides to make use of the option
provided for in the first subparagraph, the competent
(a) a farmer's participation in the farm advisory system as
authority shall, for a sample of beneficiaries, take in the
provided for in Title III of this Regulation;
following year the actions necessary to verify that the bene
ficiary has remedied the findings of non-compliance concerned.
The finding and the obligation to take remedial action shall be
notified to the beneficiary.
(b) a farmer's participation in a certification system, if it covers
the requirements and standards concerned.
4. The
imposition
of
an
administrative
penalty
shall
not
( 1 ) Council Directive 2008/71/EC of 15 July 2008 on the identification
affect the legality and regularity of the payments to which it
and registration of pigs (OJ L 213, 8.8.2008, p. 31).
applies.

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Article 98
3. In the case of intentional non-compliance, the percentage
reduction shall in principle not be less than 20 % and may go
Application of the administrative penalty in Bulgaria,
as far as total exclusion from one or several aid schemes and
Croatia and Romania
may apply for one or more calendar years.
For Bulgaria and Romania, the administrative penalties referred
to in Article 91 shall be applied at the latest from 1 January
4. In
any
event,
the
total
amount
of
reductions
and
2016 as regards the statutory management requirements in the
exclusions for one calendar year shall not be more
area of animal welfare referred to in Annex II.
than the total amount referred to in the first subparagraph of
paragraph 1.
For Croatia, the penalties referred to in Article 91 shall be
applied in accordance with the following time schedule as
Article 100
regards the statutory management requirements (SMR) referred
Amounts resulting from cross-compliance
to in Annex II:
Member States may retain 25 % of the amounts resulting from
the application of the reductions and exclusions referred to in
(a) from 1 January 2014 for SMR 1 to SMR 3 and SMR 6 to
Article 99.
SMR 8;
Article 101
(b) from 1 January 2016 for SMR 4, SMR 5, SMR 9 and
SMR 10;
Commission powers in relation to the application and
calculation of administrative penalties
(c) from 1 January 2018 for SMR 11 to SMR 13.
1. In
order
to
ensure
a
correct
distribution
of
the
funds
to
the entitled beneficiaries and that cross-compliance is carried
out in an efficient, coherent and non-discriminatory way, the
Article 99
Commission shall be empowered to adopt delegated acts in
accordance with Article 115:
Calculation of the administrative penalty
1. The
administrative
penalty
provided
for
in
Article
91
shall (a) establishing a harmonised basis for calculation of adminis
be applied by means of reduction or exclusion of the total
trative penalties due to cross-compliance referred to in
amount of the payments listed in Article 92 granted or to be
Article 99, taking into account reductions due to financial
granted to the beneficiary concerned in respect of aid appli
discipline;
cations he has submitted or will submit in the course of the
calendar year of the finding.
(b) laying down the conditions for the application and calcu
lation of the administrative penalties due to cross-
For the calculation of those reductions and exclusions, account
compliance, including in the case of non-compliance
shall be taken of the severity, extent, permanence and reoc
directly attributable to the beneficiary concerned.
currence of the non-compliance found as well as of the
criteria set out in paragraphs 2, 3 and 4.
2. The
Commission
shall
adopt
implementing
acts
laying
down detailed procedural and technical rules concerning the
calculation and application of administrative penalties referred
2. In
the
case
of
non
compliance
due
to
negligence,
the to in Articles 97 to 99, including as regards beneficiaries
percentage of reduction shall not exceed 5 % and, in the case
consisting of a group of persons under Articles 28 and 29 of
of reoccurrence, shall not exceed 15 %.
Regulation (EU) No 1305/2013.
Member States may set up an early warning system that applies
Those implementing acts shall be adopted in accordance with
to cases of non-compliance which, given their minor severity,
the examination procedure referred to in Article 116(3).
extent and duration, shall not, in duly justified cases, lead to a
reduction or exclusion. Where a Member State decides to make
use of this option, the competent authority shall send an early
TITLE VII
warning to the beneficiary, notifying the beneficiary of the
COMMON PROVISIONS
finding and the obligation to take remedial action. In case a
subsequent check establishes that the non-compliance has not
CHAPTER I
been remedied, the reduction pursuant to the first subparagraph
Communication
shall be applied retroactively.
Article 102
However, cases of non-compliance which constitute a direct risk
Communication of information
to public or animal health shall always lead to a reduction or
1. In addition to the provisions laid down in the sectoral
exclusion.
Regulations, Member States shall send to the Commission the
following information, declarations and documents:
Member States may give priority access to the farm advisory
system to the beneficiaries who have received for the first time
(a) for accredited paying agencies and accredited coordinating
an early warning.
bodies:

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(i) their accreditation document;
2. Without prejudice to national provisions relating to legal
proceedings, information collected in the course of scrutiny as
provided for in Chapter III of Title V shall be protected by
(ii) their function (accredited paying agency or accredited
professional secrecy. It shall not be communicated to any
coordinating body);
persons other than those who, by reason of their duties in
the Member States or in the institutions of the Union, are
(iii) where relevant, the withdrawal of their accreditation,
required to have knowledge thereof for the purposes of
performing those duties.
(b) for certification bodies:
Article 104
(i) their name;
Commission powers
The Commission may adopt implementing acts laying down
(ii) their address,
rules on:
(c) for measures relating to operations financed by the Funds:
(a) the form, content, intervals, deadlines and arrangements for
transmitting or making available to the Commission:
(i) declarations of expenditure, which also act as payment
requests, signed by the accredited paying agency or the
accredited coordinating body and accompanied by the
(i) declarations of expenditure and estimates of expen
requisite information;
diture and their updates, including assigned revenue;
(ii) estimates of their financial requirements, with regard to
(ii) management declaration and annual accounts of the
the EAGF and, with regard to the EAFRD, an update of
paying agencies, as well as the results of all available
estimated declarations of expenditure which will be
audits and controls carried out;
submitted during the year and estimated declarations
of expenditure in respect of the following financial year;
(iii) the account certification reports;
(iii) the management declaration and the annual accounts of
the accredited paying agencies;
(iv) the names and particulars of accredited paying
agencies, accredited coordinating bodies and certifi
(iv) an annual summary of the results of all available audits
cation bodies;
and checks carried out in accordance with the schedule
and detailed provisions laid down in the sector specific
rules.
(v) arrangements for taking account of and paying expen
diture financed by the Funds;
The annual accounts of accredited paying agencies relating to
EAFRD expenditure shall be submitted at the level of each
(vi) notifications of financial adjustments made by Member
programme.
States in connection with rural development operations
or programmes, and summary reports on the recovery
procedures undertaken by the Member States in
2. Member
States
shall
inform
the
Commission
in
detail
of
response to irregularities;
the measures taken to implement the good agricultural and
environmental condition referred to in Article 94 and the
details of the farm advisory system referred to in Title III.
(vii) information on the measures taken pursuant to
Article 58.
3. Member
State
shall
inform
the
Commission
regularly
of
the application of the integrated system referred to in Chapter II
of Title V. The Commission shall organise exchanges of views
(b) the arrangements governing exchanges of information and
on this subject with the Member States.
documents between the Commission and the Member
States, and the implementation of information systems,
including the type, format and content of data to be
Article 103
processed by these systems and the corresponding data
storage rules;
Confidentiality
1. Member
States
and
the
Commission
shall
take
all
necessary steps to ensure the confidentiality of the information
(c) the notification to the Commission by Member States of
communicated or obtained under inspection and clearance of
information, documents, statistics and reports, as well as
accounts measures implemented under this Regulation.
the deadlines and methods for their notification.
The rules laid down in Article 8 of Regulation (Euratom, EC)
Those implementing acts shall be adopted in accordance with
No 2185/96 shall apply to that information.
the examination procedure referred to in Article 116(3).

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CHAPTER II
organisation or the amount in question, the Commission shall
be empowered to adopt delegated acts in accordance with
Use of the euro
Article 115, containing rules on those operative events and
Article 105
the exchange rate to be used. The specific operative event
shall be determined taking account of the following criteria:
General principles
1. The
amounts
given
in
the
Commission
decisions
adopting (a) actual applicability as soon as possible of adjustments to the
rural development programmes, the amounts of commitments
exchange rate;
and payments by the Commission and the amounts of expen
diture attested or certified and amounts in declarations of
expenditure by the Member States shall be expressed and paid
(b) similarity of the operative events for analogous operations
in euro.
carried out under the market organisation;
2. The
prices
and
amounts
fixed
in
the
sectoral
agricultural (c) coherence in the operative events for the various prices and
legislation shall be expressed in euro.
amounts relating to the market organisation;
They shall be granted or collected in euro in the Member States
(d) practicability and effectiveness of checks on the application
which have adopted the euro and in the national currency in
of suitable exchange rates.
the Member States which have not.
6. In
order
to
avoid
the
application
by
the
Member
States
Article 106
which have not adopted the euro of different exchange rates in
Exchange rate and operative event
accounts of revenue received or aid paid to beneficiaries in a
currency other than the euro, on the one hand, and in the
1. The
prices
and
amounts
referred
to
in
Article
105(2)
shall establishment of the declaration of expenditure drawn up by
be converted in the Member States which have not adopted the
the paying agency, on the other, the Commission shall be
euro into the national currency by means of an exchange rate.
empowered to adopt delegated acts in accordance with
Article 115 laying down rules on the exchange rate applicable
when declarations of expenditure are drawn up and when
2. The
operative
event
for
the
exchange
rate
shall
be:
public storage operations are recorded in the accounts of the
paying agency.
(a) the completion of customs import or export formalities in
the case of amounts collected or granted in trade with third
Article 107
countries;
Safeguard measures and derogations
(b) the event whereby the economic objective of the operation
1. The
Commission
may
adopt
implementing
acts
safe
is attained in all other cases.
guarding the application of Union law if exceptional
monetary practices related to national currency are likely to
jeopardise it. Those implementing acts may only derogate
3. Where
a
direct
payment
as
provided
for
in
Regulation from the existing rules for a period of time which is strictly
(EU) No 1307/2013 is made to a beneficiary in a currency
necessary.
other than the euro, Member States shall convert the amount
of aid expressed in euro into the national currency on the basis
of the most recent exchange rate set by the European Central
Those implementing acts shall be adopted in accordance with
Bank prior to 1 October of the year for which the aid is
the examination procedure referred to in Article 116(3).
granted.
The European Parliament, the Council and the Member States
By way of derogation from the first subparagraph, Member
shall be notified forthwith of the measures referred to in the
States may decide, in duly justified cases, to carry out the
first subparagraph.
conversion on the basis of the average of the exchange rates
set by the European Central Bank during the month prior to 1
October of the year for which the aid is granted. Member States
2. Where
exceptional
monetary
practices
concerning
a
that choose that option shall set and publish that average rate
national currency are liable to jeopardise the application of
before 1 December of that year.
Union law, the Commission shall be empowered to adopt
delegated acts in accordance with Article 115 derogating from
this Section, in particular in the following cases:
4. As
regards
EAGF,
when
drawing
up
their
declarations
of
expenditure, Member States which have not adopted the euro
shall apply the same exchange rate as that which they used to
(a) where a country uses abnormal exchange techniques such as
make payments to beneficiaries or receive revenue, in
multiple exchange rates or operates barter agreements;
accordance with the provisions of this Chapter.
(b) where countries have currencies which are not quoted on
5. In order to specify the operative event referred to in
official foreign exchange markets or where the trend in such
paragraph 2 or to fix it for reasons peculiar to the market
currencies is likely to create distortion in trade.

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Article 108
(a) viable food production, with a focus on agricultural income,
agricultural productivity and price stability;
Use of the euro by non-euro Member States
1. If a Member State which has not adopted the euro decides
(b) sustainable management of natural resources and climate
to pay the expenditure resulting from sectoral agricultural legis
action, with a focus on greenhouse gas emissions, biodi
lation in euro rather than in its national currency, the Member
versity, soil and water;
State shall take measures to ensure that the use of the euro does
not provide a systematic advantage compared with the use of
national currency.
(c) balanced territorial development, with a focus on rural
employment, growth and poverty in rural areas.
2. The
Member
State
shall
notify
the
Commission
of
the
measures planned before they come into effect. The measures
The Commission shall adopt implementing acts, laying down
may not take effect until the Commission has notified its
the set of indicators specific to the objectives referred to in the
agreement thereto.
first subparagraph. Those implementing acts shall be adopted in
accordance with the examination procedure referred to in
Article 116(3).
CHAPTER III
Report and evaluation
The indicators shall be linked to the structure and objectives of
Article 109
the policy and shall allow for the assessment of the progress,
effectiveness and efficiency of the policy against objectives.
Annual financial report
By end September of each year following the budget year, the
3. The
monitoring
and
evaluation
framework
shall
reflect
the
Commission shall draw up a financial report on the adminis
structure of the CAP in the following way:
tration of the Funds during the previous financial year, which it
shall submit to the European Parliament and the Council.
(a) for the direct payments provided for in Regulation (EU)
No 1307/2013, the market measures provided for in Regu
Article 110
lation (EU) No 1308/2013 and the provisions of this Regu
Monitoring and evaluation of the CAP
lation, the Commission shall monitor these instruments
based on reporting by Member States in accordance with
1. A
common
monitoring
and
evaluation
framework
shall
be
the rules laid down in these regulations. The Commission
established with a view to measuring the performance of the
shall establish a multi-annual evaluation plan with periodic
CAP, and in particular of:
evaluations of specific instruments to be carried out under
Commission responsibility. Evaluations shall be carried out
timely and by independent evaluators.
(a) the direct payments provided for in Regulation (EU)
No 1307/2013;
(b) the monitoring and evaluation of rural development policy
intervention will be carried out according to Articles 67 to
(b) the market measures provided for in Regulation (EU)
79 of Regulation (EU) No 1305/2013.
No 1308/2013;
The Commission shall ensure that the combined impact of all
(c) the rural development measures provided for in Regulation
CAP instruments referred to in paragraph 1 is measured and
(EU) No 1305/2013 and of,
assessed in relation to the common objectives referred to in
paragraph 2. The performance of the CAP in achieving its
(d) the provisions of this Regulation.
common objectives shall be measured and assessed on the
basis of common impact indicators, and the underlying
specific objectives on the basis of result indicators. Based on
The Commission shall monitor these policy measures based on
evidence provided in evaluations on the CAP, including evalu
reporting by Member States in accordance with the rules laid
ations on rural development programmes, as well as other
down in the Regulations referred to in the first subparagraph.
relevant information sources, reports on measuring and
The Commission shall establish a multiannual evaluation plan
assessing the joint performance of all CAP instruments shall
including periodic evaluations of specific instruments which it
be prepared by the Commission.
will carry out.
4. Member
States
shall
provide
the
Commission
with
all
the
In order to ensure an effective performance measurement, the
information necessary to permit the monitoring and evaluation
Commission shall be empowered to adopt delegated acts in
of the measures concerned. As far as possible, such information
accordance with Article 115 regarding the content and
shall be based on established sources of data, such as the Farm
construction of that framework.
Accountancy Data Network and Eurostat.
2. The
performance
of
the
CAP
measures
referred
to
in The Commission shall take into account the data needs and
paragraph 1 shall be measured in relation to the following
synergies between potential data sources, in particular their
objectives:
use for statistical purposes when appropriate.

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The Commission shall adopt implementing acts, laying down
subparagraph of paragraph 1, the amounts to be published shall
rules on the information to be sent by the Member States,
correspond to the total public funding, including both the
taking into account the need to avoid any undue administrative
Union and the national contribution.
burden, as well as rules on the data needs and synergies
between potential data sources. Those implementing acts shall
Article 112
be adopted in accordance with the examination procedure
referred to in Article 116(3).
Threshold
Member States shall not publish the name of a beneficiary as
5. The
Commission
shall
present
an
initial
report
on
the provided for in point (a) of the first subparagraph of
implementation of this Article, including first results on the
Article 111(1) of this Regulation in the following situations:
performance of the CAP, to the European Parliament and the
Council by 31 December 2018. A second report including an
(a) in the case of Member States establishing the Small farmers
assessment of the performance of the CAP shall be presented by
scheme provided for in Title V of Regulation (EU)
31 December 2021.
No 1307/2013, where the amount of aid received in one
year by a beneficiary is equal to or less than the amount
fixed by the Member State as referred to in the second
CHAPTER IV
subparagraph of Article 63(1) or the second subparagraph
Transparency
of Article 63(2) of that Regulation;
Article 111
(b) in the case of Member States not establishing the Small
Publication of beneficiaries
farmers scheme provided for in Title V of Regulation (EU)
1. Member
States
shall
ensure
annual
ex-post
publication
of
No 1307/2013, where the amount of aid received in one
the beneficiaries of the Funds. The publication shall contain:
year by a beneficiary is equal to or less than EUR 1 250.
Where point (a) of the first subparagraph applies, the amounts
(a) without prejudice to the first paragraph of Article 112 of
fixed by the Member States pursuant to Article 63 of Regulation
this Regulation, the name of the beneficiary, as follows:
(EU) No 1307/2013 and notified to the Commission under that
Regulation shall be made public by the Commission in
accordance with the rules adopted under Article 114.
(i) the first name and the surname where the beneficiary is
a natural person;
Where the first paragraph of this Article applies the Member
States shall publish the information referred to in points (b), (c)
(ii) the full legal name as registered where the beneficiary is
and (d) of the first subparagraph of Article 111(1) and the
a legal person with the autonomous legal personality
beneficiary shall be identified by a code. Member States shall
pursuant to the legislation of the Member State
decide on the form of that code.
concerned;
Article 113
(iii) the full name of the association as registered or
Information of the beneficiaries
otherwise officially recognised where the beneficiary is
an association without an own legal personality;
Member States shall inform the beneficiaries that their data will
be made public in accordance with Article 111 and that the
data may be processed by auditing and investigating bodies of
(b) the municipality where the beneficiary is resident or is
the Union and the Member States for the purpose of safe
registered and, where available, the postal code or the part
guarding the Union's financial interests.
thereof identifying the municipality;
In accordance with the requirements of Directive 95/46/EC,
(c) the amounts of payment corresponding to each measure
where personal data is concerned, the Member States shall
financed by the Funds received by each beneficiary in the
inform the beneficiaries of their rights under the data protection
financial year concerned;
rules and of the procedures applicable for exercising those
rights.
(d) the nature and the description of the measures financed by
either of the Funds and under which the payment referred
Article 114
to in point (c) is awarded.
Commission powers
The Commission shall adopt implementing acts laying down
The information referred to in the first subparagraph shall be
rules on:
made available on a single website per Member State. It shall
remain available for two years from the date of the initial
(a) the form, including the way of presentation by measure,
publication.
and the calendar of the publication foreseen in Articles
111 and 112;
2. As
regards
the
payments
corresponding
to
the
measures
financed by the EAFRD as referred to in point (c) of the first
(b) the uniform application of Article 113;

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20.12.2013 Official
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of
the
European
Union L
347/599
(c) the cooperation between the Commission and Member
For the purposes of Articles 15, 58, 62, 63, 64, 65, 66, 75, 77,
States.
78, 89, 90, 96, 101 and 104, as regards matters relating to
direct payments, rural development and/or the common organi
sation of markets, the Commission shall be assisted by the
Those implementing acts shall be adopted in accordance with
Committee on the Agricultural Funds, the Committee for
the examination procedure referred to in Article 116(3).
Direct Payments, the Rural Development Committee and/or
the Committee for the Common Organisation of the Agri
TITLE VIII
cultural Markets established by this Regulation, Regulation
(EU) No 1307/2013, Regulation (EU) No 1305/2013 and Regu
FINAL PROVISIONS
lation (EU) No 1308/2013, respectively. Those committees shall
be committees within the meaning of Regulation (EU)
Article 115
No 182/2011.
Exercise of the delegation
1. The power to adopt delegated acts referred to in Articles
2. Where
reference
is
made
to
this
paragraph,
Article
4
of
8, 20, 40, 46, 50, 53, 57, 62, 63, 64, 65, 66, 72, 76, 77, 79,
Regulation (EU) No 182/2011 shall apply.
84, 89, 93, 101, 106, 107, 110 and 120 is conferred on the
Commission subject to the conditions laid down in this Article.
3. Where
reference
is
made
to
this
paragraph,
Article
5
of
2. The power to adopt delegated acts referred to in Articles
Regulation (EU) No 182/2011 shall apply.
8, 20, 40, 46, 50, 53, 57, 62, 63, 64, 65, 66, 72, 76, 77, 79,
84, 89, 93, 101, 106, 107, 110 and 120 shall be conferred on
the Commission for a period of seven years from the date of
In the case of acts referred to in Article 8, where the committee
entry into force of this Regulation. The Commission shall draw
delivers no opinion, the Commission shall not adopt the draft
up a report in respect of the delegation of power not later than
implementing act and the third subparagraph of Article 5(4) of
nine months before the end of the seven-year period. The
Regulation (EU) No 182/2011 shall apply.
delegation of power shall be tacitly extended for periods of
an identical duration, unless the European Parliament or the
Council opposes such extension not later than three months
Article 117
before the end of each period.
Processing and protection of personal data
3. The delegation of powers referred to in Articles 8, 20, 40,
1. Member
States
and
the
Commission
shall
collect
personal
46, 50, 53, 57, 62, 63, 64, 65, 66, 72, 76, 77, 79, 84, 89, 93,
data for the purpose of carrying out their respective
101, 106, 107, 110 and 120 may be revoked at any time by
management, control, audit as well as monitoring and
the European Parliament or by the Council. A decision to
evaluation obligations under this Regulation and, in particular,
revoke shall put an end to the delegation of the power
those laid down in Chapter II of Title II, Title III, Chapters III
specified in that decision. It shall take effect the day following
and IV of Title IV, Titles V and VI and Chapter III of Title VII, as
the publication of the decision in the Official Journal of the
well as for statistical purposes, and shall not process this data in
European Union or at a later date specified therein. It shall not
a way that is incompatible with that purpose.
affect the validity of any delegated acts already in force.
2. Where
personal
data
are
processed
for
monitoring
and
4. As
soon
as
it
adopts
a
delegated
act,
the
Commission
shall evaluation purposes under Chapter III of Title VII, as well as
notify it simultaneously to the European Parliament and to the
for statistical purposes, they shall be made anonymous and
Council.
processed in aggregated form only.
5. A
delegated
act
adopted
pursuant
to
in
Articles
8,
20,
40,
46, 50, 53, 57, 62, 63, 64, 65, 66, 72, 76, 77, 79, 84, 89, 93,
3. Personal
data
shall
be
processed
in
accordance
with
the
101, 106, 107, 110 and 120 shall enter into force only if no
rules of Directive 95/46/EC and Regulation (EC) No 45/2001. In
objection has been expressed either by the European Parliament
particular, such data shall not be stored in a form which enables
or the Council within a period of two months of notification of
data subjects to be identified for longer than is necessary for the
that act to the European Parliament and the Council or if,
purposes for which those data were collected or for which they
before the expiry of that period, the European Parliament and
are further processed, taking into account the minimum
the Council have both informed the Commission that they will
retention periods laid down in the applicable national and
not object. That period shall be extended by two months on the
Union law.
initiative of the European Parliament of the Council.
4. Member
States
shall
inform
the
data
subjects
that
their
Article 116
personal data may be processed by national and Union bodies
in accordance with paragraph 1 and that in this respect they
Committee procedure
enjoy the rights set out in the respective data protection rules of
1. The
Commission
shall
be
assisted
by
a
committee
named Directive 95/46/EC and Regulation (EC) No 45/2001.
the Committee on the Agricultural Funds. That committee shall
be a committee within the meaning of Regulation (EU)
No 182/2011.
5. This Article shall be subject to Articles 111 to 114.

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L 347/600
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Official Journal of the European Union
20.12.2013
Article 118
Article 120
Level of implementation
Transitional measures
Member States shall be responsible for implementing
In order to ensure the smooth transition from the arrangements
programmes and carrying out their tasks under this Regulation
provided for in the repealed Regulations referred to in
at the level they deem appropriate, in accordance with the
Article 118 to those laid down in this Regulation, the
institutional, legal and financial framework of the Member
Commission shall be empowered to adopt delegated acts in
State and subject to compliance with this Regulation and
accordance with Article 115 concerning the cases in which
other relevant Union rules.
derogations from, and additions to, the rules provided for in
this Regulation may apply.
Article 119
Article 121
Repeal
Entry into force and application
1.
Regulations (EEC) No 352/78, (EC) No 165/94, (EC)
1. This
Regulation
shall
enter
into
force
on
the
day
of
its
No 2799/98, (EC) No 814/2000, (EC) No 1290/2005 and (EC)
publication in the Official Journal of the European Union.
No 485/2008 are repealed.
It shall apply from 1 January 2014.
However, Article 31 of Regulation (EC) No 1290/2005 and the
2. However,
the
following
provisions
shall
apply
as
follows:
relevant implementing rules shall continue to apply until
31 December 2014.
(a) Articles 7, 8, 16, 25, 26 and 43 from 16 October 2013;
(b) Articles 18 and 40, for expenditure effected, from
2. References
to
the
repealed
Regulations
shall
be
construed
16 October 2013;
as references to this Regulation and shall be read in accordance
with the correlation table set out in Annex III.
(c) Article 52 from 1 January 2015.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 17 December 2013.
For the European Parliament
For the Council
The President
The President
M. SCHULZ
V. JUKNA

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20.12.2013 Official
Journal
of
the
European
Union L
347/601
ANNEX I
INFORMATION IN THE FIELD OF CLIMATE CHANGE MITIGATION AND ADAPTATION, BIODIVERSITY
AND THE PROTECTION OF WATER AS LAID DOWN IN POINT (D) OF ARTICLE 12(3)
Climate change mitigation and adaptation:
— Information on the prospective impact of climate change in the relevant regions, of the green house gas emissions of
the relevant farming practices and on the contribution of the agricultural sector to mitigation through improved
farming and agroforestry practices and through the development of renewable energy projects on farm and energy
efficiency improvement on farm.
— Information helping farmers to plan how best to invest in "climate-proofing" their farm systems, and which Union
funds they can use to do so; and in particular, information on adapting farmland to climatic fluctuations and longer
term changes and information on how to adopt practical agronomic measures to increase the resilience of farming
systems to floods and droughts as well as information on how to improve and optimise soil carbon levels.
Biodiversity:
— Information on the positive correlation between biodiversity and agro-ecosystem resilience, and the spreading of risk,
and also the link between monocultures and susceptibility to crop failure/damage from pests and extreme climatic
events
— Information on how to best prevent the spread of alien invasive species and why this is important for the effective
functioning of the ecosystem and for its resilience to climate change, including information on access to funding for
eradication schemes where additional costs are implied
Protection of water:
— Information on sustainable, low-volume irrigation systems and how to optimise rain-fed systems, in order to promote
efficient water use.
— Information on reducing water use in agriculture, including crop choice, on improving soil humus to increase water
retention and on reducing the need to irrigate.
General:
— Exchange of best practice, training and capacity building (applicable to Climate change mitigation and adaptation,
Biodiversity and Protection of water as mentioned above in this Annex).

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L 347/602
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Official Journal of the European Union
20.12.2013
ANNEX II
RULES ON CROSS-COMPLIANCE PURSUANT TO ARTICLE 93
SMR: Statutory
management
requirement
GAEC: Standards for good agricultural and environmental condition of land
Area Main
Issue Requirements
and
standards
Environment,
Water SMR
1 Council
Directive
91/676/EEC
of
12
December
1991
Articles 4 and
climate change,
concerning the protection of waters against pollution 5
good agri
caused by nitrates from agricultural sources (OJ L 375,
cultural
31.12.1991, p. 1)
condition of
land
GAEC 1 Establishment
of
buffer
strips
along
water
courses
( 1 )
GAEC 2 Where
use
of
water
for
irrigation
is
subject
to
authori
sation, compliance with authorisation procedures
GAEC 3 Protection
of
ground
water
against
pollution:
prohibition
of direct discharge into groundwater and measures to
prevent indirect pollution of groundwater through
discharge on the ground and percolation through the
soil of dangerous substances, as listed in the Annex to
Directive 80/68/EEC in its version in force on the last
day of its validity, as far as it relates to agricultural
activity
Soil and
GAEC 4 Minimum
soil
cover
carbon stock
GAEC 5 Minimum
land
management
reflecting
site
specific
conditions to limit erosion
GAEC 6 Maintenance
of
soil
organic
matter
level
through
appro
priate practices including ban on burning arable stubble,
except for plant health reasons ( 2 )
Biodiversity SMR
2 Directive
2009/147/EC
of
the
European
Parliament
and
Article 3(1),
of the Council of 30 November 2009 on the conser Article 3(2)(b),
vation of wild birds (OJ L 20, 26.1.2010, p. 7)
Article 4(1),
(2) and (4)
SMR 3 Council
Directive
92/43/EEC
of
21
May
1992
on
the
Article 6(1)
conservation of natural habitats and of wild flora and and (2)
fauna (OJ L 206, 22.7.1992, p. 7)
Landscape,
GAEC 7 Retention
of
landscape
features,
including
where
appro
minimum
priate, hedges, ponds, ditches, trees in line, in group or
level of
isolated, field margins and terraces, and including a ban
maintenance
on cutting hedges and trees during the bird breeding and
rearing season and, as an option, measures for avoiding
invasive plant species
Public health,
Food safety SMR
4 Regulation
(EC)
No
178/2002
of
the
European
Articles 14
animal health
Parliament and of the Council of 28 January 2002 and 15,
and plant
laying down the general principles and requirements of Article17(1) ( 3 )
health
food law, establishing the European Food Safety and Articles
Authority and laying down procedures in matters of 18, 19 and 20
food safety (OJ L 31, 1.2.2002, p. 1)

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20.12.2013 Official
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European
Union L
347/603
Area Main
Issue Requirements
and
standards
SMR 5 Council
Directive
96/22/EC
of
29
April
1996
Article 3(a),
concerning the prohibition on the use in stockfarming (b), (d) and (e)
of certain substances having a hormonal or thyrostatic and Articles 4,
action and beta-agonists, and repealing Directives 5 and 7
81/602/EEC, 88/146/EEC and 88/299/EEC (OJ L 125,
23.5.1996, p. 3)
Identification SMR 6 Council
Directive
2008/71/EC
of
15
July
2008
on
Articles 3, 4
and regis
identification and registration of pigs (OJ L 213, and 5
tration of
8.8.2005, p. 31)
animals
SMR 7 Regulation
(EC)
No
1760/2000
of
the
European
Articles 4 and
Parliament and of the Council of 17 July 2000 estab 7
lishing a system for the identification and registration of
bovine animals and regarding the labelling of beef and
beef products and repealing Council Regulation (EC)
No 820/97(OJ L 204, 11.8.2000, p. 1)
SMR 8 Council
Regulation
(EC)
No
21/2004
of
17
December
Articles 3, 4
2003 establishing a system for the identification and and 5
registration of ovine and caprine animals and
amending Regulation (EC) No 1782/2003 and Directives
92/102/EEC and 64/432/EEC (OJ L 5, 9.1.2004, p. 8)
Animal
SMR 9 Regulation
(EC)
No
999/2001
of
the
European
Articles 7, 11,
diseases
Parliament and of the Council of 22 May 2001 laying 12, 13 and 15
down rules for the prevention, control and eradication of
certain transmissible spongiform encephalopathies (OJ
L 147, 31.5.2001, p. 1)
Plant
SMR 10 Regulation
(EC)
No
1107/2009
of
the
European
Article 55,
protection
Parliament and of the Council of 21 October 2009 first and
products
concerning the placing of plant protection products on second
the market and repealing Council Directives 79/117/EEC sentence
and 91/414/EEC (OJ L 309, 24.11.2009, p. 1)
Animal welfare Animal
SMR 11 Council
Directive
2008/119/EC
of
18
December
2008
Articles 3
welfare
laying down minimum standards for the protection of and 4
calves (OJ L 10, 15.1.2009, p. 7)
SMR 12 Council
Directive
2008/120/EC
of
18
December
2008
Article 3 and
laying down minimum standards for the protection of Article 4
pigs (OJ L 47, 18.2.2009, p. 5)
SMR 13 Council
Directive
98/58/EC
of
20
July
1998
concerning
Article 4
the protection of animals kept for farming purposes(OJ
L 221, 8.8.1998, p. 23)
( 1 ) The GAEC buffer strips must respect, both within and outside vulnerable zones designated pursuant to Article 3(2) of Directive
91/676/EEC, at least the requirements relating to the conditions for land application of fertiliser near water courses, referred to in point
A.4 of Annex II to Directive 91/676/EEC to be applied in accordance with the action programmes of Member States established under
Article 5(4) of Directive 91/676/EEC.
( 2 ) The requirement can be limited to a general ban on burning arable stubble, but a Member State may decide to prescribe further
requirements.
( 3 ) As implemented in particular by:
— Article 14 of Regulation (EC) No 470/2009 and the Annex of Regulation (EC) No 37/2010,
— Regulation (EC) No 852/2004: Article 4(1) and Annex I part A (II 4 (g, h, j), 5 (f, h), 6; III 8 (a, b, d, e), 9 (a, c)),
— Regulation (EC) No 853/2004: Article 3(1) and Annex III Section IX Chapter 1 (I-1 b, c, d, e; I-2 a (i, ii, iii), b (i, ii), c; I-3; I-4; I-5;
II-A 1, 2, 3, 4; II-B 1(a, d), 2, 4 (a, b)), Annex III Section X Chapter 1(1),
— Regulation (EC) No 183/2005: Article 5(1) and Annex I, part A (I-4 e, g; II-2 a, b, e), Article 5(5) and Annex III (1, 2), Article 5(6),
and
— Regulation (EC) No 396/2005: Article 18.

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L 347/604
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Official Journal of the European Union
20.12.2013
ANNEX III
CORRELATION TABLE
1. Regulation (EEC) No 352/78
Regulation (EEC) No 352/78 This
Regulation
Article 1 Article
43(1)(e)
Article 2 Article
43(2)
Article 3 Article
46(1)
Article 4
—
Article 5
—
Article 6
—
2. Regulation (EC) No 2799/98
Regulation (EC) No 2799/98 This
Regulation
Article 1
—
Article 2 Article
105(2)
and
106
Article 3 Article
106
Article 4
—
Article 5
—
Article 6
—
Article 7 Article
107
Article 8 Article
108
Article 9
—
Article 10
—
Article 11
—
3. Regulation (EC) No 814/2000
Regulation (EC) No 814/2000 This
Regulation
Article 1 Article
45(1)
Article 2 Article
45(2)
Article 3
—
Article 4
—
Article 5
—
Article 6
—
Article 7
—
Article 8 Article
45(5)
Article 9
—
Article 10 Articles
45(4)
and
116
Article 11
—

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4. Regulation (EC) No 1290/2005
Regulation (EC) No 1290/2005 This
Regulation
Article 1 Article
1
Article 2 Article
3
Article 3 Article
4
Article 4 Article
5
Article 5 Article
6
Article 6 Article
7
Article 7 Article
9
Article 8 Article
102
Article 9 Article
58
Article 10 Article
10
Article 11 Article
11
Article 12 Article
16
Article 13 Article
19
Article 14 Article
17
Article 15 Article
18
Article 16 Article
40
Article 17 Article
41(1)
Article 17a Article
41(2)
Article 18 Article
24
Article 19 Article
27
Article 20 Article
28
Article 21 Article
29
Article 22 Article
32
Article 23 Article
33
Article 24 Article
34
Article 25 Article
35
Article 26 Article
36
Article 27 Article
41(1)
Article 27a Article
41(2)
Article 28 Article
37
Article 29 Article
38
Article 30 Article
51
Article 31 Article
52
Article 32 Article
54
and
55
Article 33 Article
54
and
56
Article 34 Article
43

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Official Journal of the European Union
20.12.2013
Regulation (EC) No 1290/2005 This
Regulation
Article 35
—
Article 36 Article
48
Article 37 Article
47
Article 38
—
Article 39
—
Article 40
—
Article 41 Article
116
Article 42
—
Article 43 Article
109
Article 44 Article
103
Article 44a Article
113(1)
Article 45
Article 105(1) and 106(3) and (4)
Article 46
—
Article 47 Article
119
Article 48 Article
120
Article 49 Article
121
5. Regulation (EC) No 485/2008
Regulation (EC) No 485/2008 This
Regulation
Article 1 Article
79
Article 2 Article
80
Article 3 Article
81
Article 4
—
Article 5 Article
82(1),
(2)
and
(3)
Article 6 Article
82(4)
Article 7 Article
83
Article 8 Article
103(2)
Article 9 Article
86
Article 10 Article
84
Article 11 Article
85
Article 12 Article
106(3)
Article 13
—
Article 14
—
Article 15 Article
87
Article 16
—
Article 17
—

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EN
20.12.2013 Official
Journal
of
the
European
Union L
347/607
Joint statement by the European Parliament and the Council on cross-compliance
The Council and the European Parliament invite the Commission to monitor the transposition and the
implementation by the Member States of Directive 2000/60/EC of 23 October 2000 establishing a
framework for Community action in the field of water policy and Directive 2009/128/EC of the
European Parliament and of the Council of 21 October 2009 establishing a framework for Community
action to achieve the sustainable use of pesticides and, where appropriate, to come forward, once these
Directives have been implemented in all Member States and the obligations directly applicable to farmers
have been identified, with a legislative proposal amending this regulation with a view to including the
relevant parts of these Directives in the system of cross-compliance.

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Document Outline

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