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 Draft Guidance on ex-ante conditionalities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

2. 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To receive feed-back on draft guidance for ex-ante conditionalities (EAC).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.

3. 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The draft guidance on ex-ante conditionalities is based on the Danish PRES compromise of 24 April 2012 and Commission reserves, and on COREPER compromise text of 19 December
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).

4. 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

5. 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

6. 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

7. 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

8. 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)

9. 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

10. 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.

11. 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

12. 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

13. Thank you for your attention!
Written comments can be sent by 15 March to: