Draft Guidance on ex-ante conditionalities Ad hoc expert meeting 6 March 2013

Aim of the meeting To receive feed-back on draft guidance for ex-ante conditionalities (EAC). Interventions should focus on the main issues, other comments should be sent in writing by 15 March.

Introduction - State of play The draft guidance on ex-ante conditionalities is based on the Danish PRES compromise of 24 April 2012 and Commission reserves, and on COREPER compromise text of 19 December 2012. On-going trilogues on ex-ante conditionalities On-going informal dialogue on ex-ante conditionalities with Member States. Guidance is addressed to the desk officers dealing with ESI Funds. Structure of the guidance: 2 parts (part 1 focuses on processes and part 2 contains assessment grids for EAC of Annex V CPR).

Self-assessment by Member State, applicability (1) For thematic EAC, the link between EAC an investment priorities is established in ANNEX V CPR (for Cohesion Policy) For general EAC, it is necessary to verify their applicability in relation to the specific objectives of all investment/union priorities of the programme. In practise, the applicability can be limited to checking whether the relevant provisions of Union law constitute applicable Union law for the interventions. Applicable ex-ante conditionalities have a direct impact on the effective and efficient achievement of the specific objectives

Self-assessment by Member State, fulfilment (2) The fulfilment of an applicable ex-ante conditionality requires that ALL the corresponding criteria are fulfilled In case where relevant criteria are not fulfilled: MS should provide an action plan to ensure fulfilment by the end of 2016

Commission's assessment (1) Applicability of ex-ante conditionalities Check if the MS has identified ALL ex-ante conditionalities applying to its PA / relevant programmes. The Commission may request additional information from the Member State in order to carry out its assessment. The better the assessment by the Member State, the easier the task for the Commission

Commission's assessment (2) Fulfilment of ex-ante conditionalities and actions to be taken Identify all the non-fulfilled or partially fulfilled criteria Check whether an action plan has been provided in the PA / programmes for ALL relevant and non-fulfilled criteria Assess whether the action plans contain all the required information (set of actions, responsible bodies, timetable) The Commission may request additional information from the Member State in order to carry out its assessment. Only the criteria for fulfilment in the regulation will apply Actions should be realistic, proportionate and as concrete as possible

Commission's assessment of significant prejudice In case where NOT ALL RELEVANT CRITERIA are fulfilled at the time of submission of PA / programmes: COM will examine whether it could give rise to a significant prejudice to the effectiveness and the efficiency of the achievement of the specific objective of the investment priority concerned In case of HIGH RISK (i.e. when the quality of spending would be significantly affected) COM may decide to suspend payments at the adoption of a programme (expenditure and bodies most at risk)

Resolution of disagreements between the Commission and a Member State Burden of proof is on the Commission The Commission shall therefore be able to justify its assessment Important to build on information provided by Member State The informal dialogue is to be used to solve main issues at stake and discuss/agree on any action plans to achieve fulfilment

Types of ex-ante conditionality (Annex V CPR for Cohesion Policy) Thematic ex-ante conditionalities are linked to the thematic objectives and investment priorities proposed for cohesion policy. General ex-ante conditionalities are linked to horizontal aspects of programme implementation. NB: They do not apply to European territorial cooperation.

Part II of the Guidance A common template: When to assess applicability ? Definitions Source of information for assessment Rationale for the ex-ante conditionality Fulfilment and non-fulfilment of criteria (assessment grid) Annex: Background information

Part II of the Guidance - Examples of fiches Thematic EAC 2.1 : Digital growth Thematic EAC 7.1:Road Thematic EAC 8.4: Active and healthy ageing Thematic EAC 9.1: Early school leaving Thematic EAC 10.1: Active inclusion General EAC 5: State aid

Thank you for your attention! Written comments can be sent by 15 March to: REGIO-DGA1.01-WORKSHOPS-AND-SEMINARS@ec.europa.eu