1. 11/06/20161 Transport sector - Preparing for next programming period: SEA as part of ex-ante conditionality and ex-ante evaluation Adina Relicovschi Senior Environmental expert

2. Content Legal framework - SEA as part of ex-ante evaluation; Legal framework - Ex-ante conditionality – Transport Sector and SEA; Key challenges on implementation (timing, avoidance of duplication of assessment/overlapping) 11/06/20162

3. Legal Framework – SEA and ex-ante evaluation Art 48 (3) of the draft Common Provisions Regulation on Structural Funds lists different elements of the operational programmes which must be appraised by the ex ante evaluations; The tasks of an ex-ante evaluation are grouped into five components: Programme strategy Indicators, monitoring and evaluation Consistency of financial allocations Contribution to Europe 2020 strategy Strategic Environmental Assessment 11/06/20163

4. Ex-ante conditionalities and SEA Art 17 of the draft Common Provisions Regulation on Structural Funds introduce the requirements of defining the applicable ex-ante conditionality for each OP and a self-assessment of the MS on the status of their fulfilment; Where ex-ante conditionalities are not fulfilled at the date of transmission of the Partnership Contract, MS shall set out the detailed actions relating to the fulfilment of ex ante conditionalities, including the timetable for their implementation, in the relevant programmes by a certain deadline – 31 December 2016; 11/06/20164

5. Ex-ante conditionalities and SEA Ex-ante conditionalities – two types: Thematic – for transport sector is TO 7 – Promoting sustainable transport and removing bottlenecks in key network infrastructures requiring the existence of a comprehensive national transport plan which contains an appropriate prioritisation of investments; General – 7 ex-ante conditionalities on anti- discrimination, gender equity, disability, public procurement, state aid, environmental legislation related to EIA and SEA and statistics; 11/06/20165

6. Ex-ante conditionalities and SEA Thematic ex-ante conditionality on transport sector – criteria for fulfilment - a comprehensive transport plan is in place that contains: prioritisation of investments in the core TEN-T network, the comprehensive network and secondary connectivity taking into account the contribution of investments to mobility, sustainability, the reduction of greenhouse gas emissions and to the Single European transport area; a realistic and mature project pipeline (including timetable, budgetary framework); a strategic environmental assessment fulfilling the legal requirements for the transport plan; measures to strengthen capacity of intermediary bodies and beneficiaries to deliver the project pipeline. 11/06/20166

7. Ex-ante conditionalities and SEA General ex-ante conditionality on environmental legislation on EIA and SEA – criteria for fulfilment - effective implementation and application of Union environmental legislation is ensured through: Arrangements for the effective application of EIA and SEA Directives; Arrangements for training and dissemination of information for staff involved in the implementation of EIA and SEA Directives; Arrangements to ensure sufficient administrative capacity; 11/06/20167

8. Key challenges for implementation Timing: For preparing a comprehensive transport plan (CTP) that will contain a prioritisation of investments to be used for defining the list of major projects to be included in the operational programmes, if not yet available. In some countries, it might not be possible to fulfil all the requirements beforehand, therefore a phased approach is likely to be needed (if agreed with EC), whereby in: Phase 1: a minimal content of the (CTP) is accomplished in time for the purpose of negotiation of the respective OPs (2013-2014); Phase 2: the CTP, meeting all the requirements, is finalised by the final deadline (31 December 2016). 11/06/20168

9. Key challenges for implementation SEA – avoiding duplication of assessment/overlapping: SEA for the CTP – phased approach: Phase 1 – a full SEA meeting all legal requirements of SEA Directive and Appropriate Assessment under art. 6 (3) of Habitats Directive, if applicable; Phase 2 – screening under SEA Directive to see if the modifications introduced by second phase qualify for an environmental assessment – art 3(3) of SEA Directive SEA for OP – undergoes, in general, in same period with SEA for CTP (Phase 1) – if the OP is dedicated only to finance projects in the transport sector, projects which are identified as priorities under Phase 1 development of CTP – avoiding duplication of assessment – might art. 4 (3) of SEA Directive be applicable? 11/06/20169

10. Key challenges for implementation SEA – avoiding duplication of assessment/overlapping: Art 4 (3) of SEA Directive – “where plans and programmes form part of a hierarchy, MS shall, with a view to avoiding duplication of the assessment, take into account the fact that the assessment will be carried out, in accordance with this Directive, at different levels of the hierarchy. For the purpose of, inter alia, avoiding duplication of assessment, MS shall apply art 5 (2) and (3)” (which refers to the information included in the environmental reports and obtained at other levels of decision-making and their use). 11/06/201610

11. Guidance More information Guidance document on ex-ante evaluation – January 2013 http://ec.europa.eu/regional_policy/sources/docoffic/2014/workin g/ex_ante_en.pdf Draft guidance on ex-ante conditionalities - March 2013  Part I: approach to ex-ante conditionalities (assessment and suspension)  Part II: detailed guidance for thematic and general conditionalities 11/06/201611