Draft Guidance
on ex-ante conditionalities
Ad hoc expert meeting
6 March 2013
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Aim of the meeting
• To receive feed-back on draft guidance for exante conditionalities (EAC).
• Interventions should focus on the main issues,
other comments should be sent in writing by 15
March.
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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• The draft guidance on ex-ante conditionalities is based on the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).
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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
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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
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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
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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
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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)
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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
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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.
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Part II of the Guidance
• A common template:
1.
2.
3.
4.
5.
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
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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
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Thank you for your attention!
Written comments can be sent by 15 March to:
[email protected]
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