Transcript Ilse De Mecheleer.(pptx

Ex-ante
conditionality –
General guidance
Workshop on strategic
programming, monitoring and
evaluation
Ilse De Mecheleer, DG EMPL
Madrid, 22 February 2013
Overview of the presentation
• Introduction
• Main principles of ex-ante conditionality
• Assessment of ex-ante conditionalities:
• By Member States
• By Commission
• Suspension of interim payments
• Lifting of suspension of interim payments
Introduction
Types of conditionality proposed by the
Commission
• Ex-ante conditionality:
o Art. 17 CPR and Annex V CPR (Cohesion policy)
• Macroeconomic conditionality:
o Art. 21 CPR
• Ex post conditionality (achievement of
targets set in performance framework):
o Art. 20 (4) CPR
Types of ex-ante conditionality
• Thematic ex-ante conditionalities are linked to
investment priorities. Only those thematic ex-ante
conditionalities need to be assessed which are linked to
investment priorities selected by Member States.
• General ex-ante conditionalities are linked to
horizontal aspects of programme implementation. They
only apply to those programmes for which their fulfilment
is relevant to the efficiency and effectiveness of
investments in their programmes.
Main principles of exante conditionality
How does it work: main principles (1)
• Ex-ante conditionalities are set out in the Fund-specific rules:
 Cohesion policy: Annex V CPR
• Thematic ex-ante conditionalities are linked to investment
priorities
• Applicability
• link to specific objective (SO) (see Art. 2 CPR for definition SO)
• introduction of definition of ‘applicable ex ante conditionality’:
‘A precisely predefined critical factor which is a necessary
prerequisite for and has a direct and genuine link to and direct
impact on the effective and efficient achievement of the specific
objective for an investment priority or a Union priority’.
• Fulfilment
• limited to criteria for fulfilment in fund-specific rules
How does it work: main principles (2)
• Applicable ex-ante conditionalities: to be fulfilled before
the start of the programming period
• If not fulfilled, to be fulfilled at the latest by 31.12.2016 
Action plan
• Non-fulfilment of ex-ante conditionalities may lead to the
suspension of all or part of interim payments:
o at the time of the adoption of the programmes in case of
significant prejudice
o by the deadline for fulfilment (action plan)
• Ex-ante conditionality does not apply to European
Territorial Cooperation Programmes
Steps of Art. 17 CPR (for all ESI Funds)
1. Self-assessment by Member State on applicability
and fulfilment + action plan in case applicable ex-ante
conditionalities are not fulfilled
2. Commission assessment of adequacy and
consistency of information provided by MS
3. Suspension of interim payments:
1. Upon adoption of the OP
2. In case of non-fulfilment of the actions by the deadline
4. Lifting of suspension
Self-assessment by
Member States
Self-assessment by MS (Art. 17(2) CPR)
• When ? in the framework of establishment of PA
and programmes  already in informal dialogue
• Who in MS ? Depending on the specific
institutional arrangements: level that is
responsible for fulfilment (national/regional)
• What ? Applicability and fulfilment. In case of
non-fulfilment : action plan
• Important to start early, inform and involve the
relevant Ministries
How to assess applicability ?
• For thematic ex-ante conditionalities: check
Annex V CPR: conditionality linked to a selected
IP ?
• For thematic and general ex-ante
conditionalities:
• Art. 17 CPR: definition of applicability: check
applicability in relation to specific objective
How to assess fulfilment?
• For thematic and general ex-ante
conditionalities: limited to the criteria in fundspecific rules
• Need to assess fulfilment of each and every
criterion
•  Provide reference to relevant documents
demonstrating fulfilment
Action plan
• The action plan has to contain:
• Actions to be taken for each criterion that is not
fulfilled
• Timetable for the actions: max. deadline
31.12.2016
• Bodies responsible for fulfilment of the actions
• Need to report on fulfilment of actions not later
than:
• Annual Implementation Report submitted in 2017
or
• Progress report submitted in 2017
Where to provide the information on
self-assessment ?
Partnership
Agreement
(Art. 14(1)(b)(iii) CPR)
• - Summary
• - Fulfilment of
applicable ex-ante
conditionalities at
national level
• - Action plan
• Not: programmes to
which they apply
• and priorities affected
OP (Art. 87(6)(b) CPR
- - Information to be in
accordance with
summary in PA
- - Fulfilment of
applicable ex-ante
conditionalities of the
OP (always in OP)
- - Priorities which are
affected
- - Action Plan
- - Quid information on
applicability ?
Advice for self-assessment
(based on test in ESF TWG)
• Start early
• Common understanding: share draft selfassessment and discuss on informal basis with
the Geo Units
• Be short and to the point: do not include nonrelevant information, but ensure that the (non)
fulfilment of each criterion is motivated.
• Action plan: in case of applicable ex-ante
conditionality which is not fulfilled: prepare action
plan and start its implementation, possibly cofinanced by the ESF.
Assessment by
Commission
Assessment by Commission (Art.
17(4a) CPR)
• What ? Consistency and adequacy of the
information provided by MS on applicability and
fulfilment of applicable ex-ante conditionalities,
i.e. self-assessment of MS, but also action plan
• When ? in the framework of assessment of PA
and programmes  already in informal dialogue
• What if Commission disagrees with MS?
Commission has burden of proof (Art. 17(4b)
CPR)
Assessment of applicability by
Commission
• Same as MS : check whether definition of
applicability is fulfilled in relation to the specific
objective.
Assessment of fulfilment by
Commission
• Limited to the criteria for fulfilment
• Respect national and regional competences
to decide on the specific and adequate policy
measures including the content of strategies
• BUT need to assess fulfilment of criteria
• Basis for assessment: i.a. CSRs, SWD on NRP
Assessment of fulfilment by
Commission – Preparatory action (to
be) taken
• General guidance (forthcoming)
• Specific guidance on all ex-ante
conditionalities (forthcoming)
• Discussion with MS in informal dialogue (cfr.
position papers): come to mutual
understanding
Assessment of action plan by
Commission
• Adequacy of action plan: will it lead to
fulfilment of the ex-ante conditionality criteria ?
• Deadline of 31.12.2016: maximum
• Commission accepts proportionality for
action plan
•  Important if not all criteria for fulfilment of an
applicable ex-ante conditionality are ‘relevant’ for
efficiency and effectiveness of achievement of the
specific objective
Suspension of interim
payments
Suspension of interim payments:
upon adoption of the OP
• In which case? to avoid significant prejudice to
the effectiveness and efficiency of the
achievement of a specific objective
• What ? All or part of the interim payments
related to the relevant priority axis 
proportionality: actions to be taken and funds at
risk
• Option for the Commission, no obligation
Suspension of interim payments: failure to
complete the actions by the deadline
• What ? All or part of the interim payments
related to the relevant priority axis 
proportionality: actions to be taken and funds at
risk
• Basis for suspending interim payments: no
obligation
• Information on fulfilment to be provided at
the latest in AIR in 2017 or Progress Report
in 2017
• Need for Commission observations within 60
days of submission of the report (Art. 17(5a)
CPR)
Lifting of suspension
of interim payments
Lifting of suspension of interim
payments
o Upon completion of the actions to fulfil
applicable ex-ante conditionalities
o Upon OP amendment leading to nonapplicability of ex-ante conditionalities
THANK YOU !