Transport sector - Preparing for next
programming period: SEA as
part of ex-ante conditionality and ex-ante
evaluation
Adina Relicovschi
Senior Environmental expert
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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)
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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
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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;
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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 antidiscrimination, gender equity, disability, public
procurement, state aid, environmental legislation related
to EIA and SEA and statistics;
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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.
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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;
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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).
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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?
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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).
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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
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