Transcript Slide 1

Recent initiatives at EU level in
support of ex ante social impact
assessment
Peter Lelie – Policy Officer
DG Employment, Social Affairs and Equal Opportunities
European Commission
17-Jul-15
Conference on Poverty Impact Assessment – Luxembourg – 27 April 2010
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European Commission
In recent years ex ante social impact assessment has increasingly come to the
fore within the Social Open Method of Coordination, the reference process for
European cooperation and coordination in the area of social protection and social
inclusion.
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Commission Communication July 2008 on Reinforcing the Social OMC:
Strengthening the positive interaction with other EU policies / Mainstreaming:
“The Commission will pursue its own efforts to produce robust impact assessments on
each new policy initiative, and in this context pay particular attention to social impacts.
The Social Protection Committee has already paid increasing attention to
mainstreaming of social objectives, also drawing on the specific experience already
gained in the EU on gender mainstreaming. The Commission will further work with the
Social Protection Committee in order to strengthen the shared impact assessment
capacity.’
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European Commission
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Joint Report on Social Protection and Social Inclusion 2009
“Increased attention should be given to the quality and continuity of stakeholder
involvement and to the mainstreaming of social considerations inter alia via the
evaluation of social impacts as a vital part of integrated impact assessments”.
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Joint Report on Social Protection and Social Inclusion 2010
“Given that pressure aimed at limiting public expenditures is to be expected in most of
the Member States in the coming years, the development of an adequate ex ante
social impact assessment capacity in the context of integrated impact
assessment arrangements should be encouraged. Strengthening such 'social'
component can contribute to more effective and efficient social policy measures.
Applied to non social policy measures, it can contribute to avoiding unintended negative
social impacts and to better exploiting possibilities for positive synergies
(mainstreaming). In this respect, the Social OMC can be used as a forum for
exchanging know how between the Member States and between the Member States
and the European Commission. The latter has recently taken initiatives to strengthen its
own capacity to assess social impacts.”
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European Commission
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The principle of ‘good governance’ is part of the common objectives of the
Social OMC (agreed by all Member States). Social protection and inclusion
policy should be:
- integrated (need for strategic approach, ‘mainstreaming’);
- based on facts (evidence based policy, policy evaluation);
- involve stakeholders.
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Ex ante social impact assessment seems an interesting ‘technique’ that can
promote progress related to these objectives.
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The need for ex ante social impact assessment, also of non social policies
is increasingly emphasized as it becomes clear that 10 years of Lisbon
strategy have led to insufficient progress on social protection and inclusion.
Economic growth and employment policies do not automatically bring
substantial progress in this area.
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At EU level, support for the principle of ex ante social impact assessment
can be found in the horizontal social clause of the new Lisbon treaty.
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European Commission
Paradox
If ex ante social impact assessment is such a great idea in principle,
why isn’t it done more and why is there so little enthusiasm about its
implementation in practice?
Building on the ‘mandate’ that was just described, two initiatives have been
taken to promote ex ante social impact assessment in the EU Member States:
- A study on social impact assessment as a tool for mainstreaming social
protection and social inclusion concerns in public policy in the EU Member
States was commissioned at the start of 2008.
- A peer review on social impact assessment was held in Bratislava (Slovakia)
in October 2008.
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European Commission
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The peer review was held in Bratislava at the occasion of the launch of a
new integrated impact assessment system in Slovakia (pilot stage).
The seminar, in which seven Member States and two EU stakeholder
networks participated, was intended as a first general discussion of the
issue.
The peer review results are well documented. See:
http://www.peer-review-social-inclusion.eu/peer-reviews/2008/social-impactassessment .
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The study was launched approximately at the time the peer review was
organized. It was intended to draw up a detailed state of play with regard to
the practice of ex ante social impact assessment in the EU Member States
at national and regional level.
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European Commission
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The study was awarded to a consortium of the Evaluation Partnership and
the Centre for European Policy Studies (CEPS). It runs from October 2008
to April 2010 (it is currently being finalized).
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It should lead to recommendations on how ex ante social impact
assessment in the Member States can be promoted, based on three
research stages:
- A mapping of social impact assessment systems in the 27 Member States
of the European Union (panorama);
- A detailed analysis of ten well developed or especially interesting systems;
- A detailed analysis of a set (+/- 50) of ex ante social impact assessments.
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What follows is an overview of a number of tentative conclusions that can
be drawn on the basis of provisional results. The final results will be
published in the near future.
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European Commission
Definition of ex ante social impact assessment
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In the study, ex ante impact assessment is understood as ‘the formal
analysis of the potential effects of new policies before their adoption’.
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As far as the definition of ‘social’ is concerned, the classification used in the
Commission’s integrated ex ante impact assessment system (before the
recent reform) was used as point of departure:
- employment and labour markets;
- standards and rights related to job quality;
- social inclusion and protection of particular groups;
- equality of treatment and opportunities, non discrimination;
- private and family life, personal data;
- ‘governance’, participation, good administration, access to justice, media
and ethics;
- public health and safety;
- crime, terrorism and security;
- access to and effects on social protection, health and educational
systems.
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European Commission
An initially positive picture…
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From the mapping stage of the study one can conclude that at the end of
2009 21 of the 27 Member States had some kind of integrated ex ante
impact assessment system in place, while 5 Member States had specific
(non integrated) ex ante impact assessment systems. In at least 8 Member
States some kind of integrated impact assessment system was found at the
regional level.
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25 Member States had some kind of ex ante social impact assessment
system (not BG and LU), which means that they were assumed to assess
at least one aspect of social impact (definition EU Commission).
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It quickly became clear that the study was not going to be easy:
- Systems have often been set up only recently and they are still being
developed (moving target).
- There is little transparency and the systems come in many shapes. They
are embedded in the political-administrative setting of the Member State /
region.
- It is difficult to see the reality through the theory.
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European Commission
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The mapping exercise has shown that ex ante social impact assessment can
be found in three basic forms:
- as a component of an integrated impact assessment system;
- as a specific impact assessment test;
- as a combination of an integrated impact assessment system and one or
more specific impact assessment tests.
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In the framework of integrated systems, typically the economic, social and
environmental impact of measures is assessed:
- Regulatory Impact Assessment (RIA)
- Sustainable Development Impact Assessment
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A few examples of specific social impact assessment tests:
- Equality Impact Assessment (UK, NI…)
- Gender Impact Assessment (DK, NL…)
- Poverty Impact Assessment (IE…)
- Youth Impact Assessment (FL…)
- Income Effects Test (NL…)
- Human Rights Impact Assessment (UK)
- Rural proofing (UK, IE, NI…)
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European Commission
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Equality Impact Assessment: a few examples of criteria used:
- Gender
- Age
- Disability
- Ethnicity/race
- Cultural or linguistic minorities
- Religious belief
- Political opinion
- Sexual orientation
- Marital status
- Family / dependency status
- Unemployment
- Homelessness
- Rural communities
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Ex ante social impact assessment is sometimes mandatory, sometimes
voluntary.
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European Commission
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The following systems have been examined in detail:
- Integrated Impact Assessment: CZ, PL, FI, IT
- Specific Impact Assessment tests: NL, DK
- Combination of integrated Impact Assessment and (a) specific test(s):
IE, UK, NI, FL
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It was concluded that not all systems show the same degree of internal and
external orientation. The Dutch and Danish systems seem to be more
internally focused, intended to improve decision making within the
administration (less aimed at external transparency, accountability).
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European Commission
Overview of the impact assessments that were examined
Policy area
IIA
CZ
Employment and social
rights
FI
1
Economy, tax and finance
EQUIA
IE
PL
UK
NI
1
3
3
1
1
Environment, consumers
and health
Energy and natural
resources
1
Justice and citizens’
rights
1
UK
IET
CIA
Sum
NI
IE
NL
FL
Total
1
1
1
1
Culture, education and
youth
FL
PIA
1
1
1
1
2
11
1
1
2
4
1
1
4
3
1
2
Travel and transport
Sum
3
5
3
2
3
5
2
2
3
2
3
1
1
1
1
30
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European Commission
Integrated impact assessments (1)
•
•
Culture, education and youth
FI
FL
Government proposition to Parliament proposing a change to law on basic education
Final exam of foreign languages for secondary education and development objectives
of Dutch for newcomers
UK
Apprenticeship, skills, children and learning bill
Economy, finance and tax
FI
NI
•
Government proposition to Parliament proposing changes to vehicle taxes
Northern Ireland Executive Review of the Domestic Rating System
Employment and social rights
CZ
IE
PL
PL
PL
UK
UK
UK
NI
Amendment to the Law 108/2006 on social services
Regulatory Impact Assessment: Implementation of proposals on trusteeships – Social
Welfare and Pensions Bill 2008
Proposed legislation on state support to newly unemployed / to support mortgage payments
Proposed legislation on the extent of family benefits
Proposed legislation on bridging pensions / early retirement
Welfare Reform Bill
Child Poverty Bill
Child Support Collection and Enforcement. Amendment Regulations 2009
Addressing the Economic Downturn: The Case for Increased Investment in Social Housing
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European Commission
Integrated impact assessments (2)
•
Energy and natural resources
CZ
FI
UK
•
Environment, consumers and health
FL
IE
•
Assessment of goal- achievement and social impact of the implementation of the State
Energy Strategy
Climate and Energy Strategy for the Long Term
Climate Change Act
RIA on the access to building for disabled people
Regulatory Impact Assessment: Revisions of the Standards Regulations Applying
to the Private Rented Sector
Justice and citizens' rights
CZ
The final report on RIA for the white paper on free legal assistance
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European Commission
Equality impact assessments
•
Culture, education and youth
UK
•
Employment and social rights
NI
•
Equality Impact Assessment of the Pensions Bill
Environment, consumers and health
UK
UK
•
Play Strategy
Cancer Reform Strategy Equality IA
A Better Deal for Consumers: Delivering Real Help Now and Change for the Future
Justice and citizens' rights
NI
Equality Impact Assessment of a Policy on the arrangements for the delivery of support
services to victims of crime (core funding of Victims Support NI)
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European Commission
Other types of social impact assessment
•
Poverty Impact assessment
Economy, finance and tax
IE
IE
•
Employment and social rights
IE
•
Poverty Impact Assessment of One Parent Family Payment
Youth Impact assessment
Transport and travel
FL
•
Analysis of Poverty Impact of Budget 2009
Poverty Impact Assessment of Budget 2009 income tax measures
Child IA on the draft legislative measure on accommodations and organisations in the field of
tourism/ Toerisme voor Allen
Income impact assessment
Economy, finance and tax
NL
Reform of tax credit for the chronically ill
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European Commission
General picture: far from positive, but there is a basis to build
on…
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Ex ante social impact assessment is not well developed in the Member
States (more theory than reality). In the existing integrated impact assessment
systems the assessment of economic / administrative burden and budgetary
impact dominates. Specific impact tests are often voluntary and seem to have
little impact on policy making.
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Most attention is paid to the obvious direct social benefits of policies.
Less attention is paid to indirect social benefits and direct and indirect
(unintended) social costs.
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Especially the third stage of the study (analysis of impact assessments)
showed that:
- far fewer impact assesments with social content could be found than had
originally been hoped for (long list was eventually limited to approx. 80
examples);
- where the original intention was to focus on social impact assessments of
‘Lisbon’ policies (economic- and employment policies) mostly social impact
assessments of social policies were found.
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Nevertheless, the study has pointed to a number of good practices and
critical success factors could be identified.
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European Commission
Aims of ex ante social impact assessment
Interviews with producers and users of social impact assessments have
allowed to distinguish different reasons why assessments are done:
1. It is done simply because it is mandatory to do the assessment;
2. The impact assessment is used to selectively defend a specific political
decision;
3. The impact assessment is used to explain why a certain policy option was
preferred to others (transparency);
4. There is a real intention to acquire new knowledge, to choose the right
policy option, to improve the proposed policy;
Sometimes the assessment is done too late in the policy process so that it
cannot possibly have an immediate impact, but it can influence policy in the
longer run (later decisions).
It is difficult to demonstrate that a specific ex ante impact assessment
has contributed to better policy.
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European Commission
Definition of social impact
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There is no general consensus on what should be understood as ‘social
impact’. This must be clarified in the guidelines, certainly when social impact
assessment is new and producers are used to focusing on economic and
budgetary impact. It appears that only seldom external social policy expertise
is used (academics, consultants).
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Some systems are very prescriptive, while others remain very general or
only provide some examples of social impacts. It seems, however, that the
level of detail of the guidelines per se is not correlated to the quality of the
impact assessments. Rigid, very prescriptive systems that provide long
checklists can put people off and lead to routine box ticking. A compromise
seems most indicated (some detail but not too much).
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In the course of the study the team has had to develop its own definition of
social impacts. Impacts are not always ‘labelled’ in the same way by
everybody (e.g. employment effects are sometimes considered to be
economic impacts / health effects are sometimes considered to be
environmental impacts).
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European Commission
Social impact assessment as part of an integrated impact
assessment system or as a separate test
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If the aim is to mainstream social objectives in general policy it seems better
to integrate social impact assessment in integrated impact assessment, but
one should try to avoid that the social impact component is excessively
overshadowed by the other components.
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Separate, specific social impact tests will ensure that social impacts are
more thoroughly examined, but tend to have a limited impact on the decision
making process. Such tests are often voluntary. When they are mandatory
they are sometimes done in a superficial manner.
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A trend of increasing integration of ex ante impact assessment can be
observed.
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European Commission
Proportionality of the analysis
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The level of detail of the analysis should be proportionate to the likelihood and
the intensity of the expected impacts.
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In several systems a two step process has been developed in which an
initial screening has to provide guidance on whether a (more) thorough
analysis is needed.
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An adequate first step analysis is very important.
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Provisions with respect to quality assurance should be put in place to assess
decisions taken in this respect.
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European Commission
Consultation as part of the impact assessment process
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Consultation of stakeholders can lead to better quality impact assessments.
NGO’s, social partners a.o. are in close contact with social reality. They can
also contribute to quality assurance. Transparency of the impact assessment
process is important.
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Consultation is often part of impact assessment but it can take different
shapes, also depending on the political-administrative culture (e.g. formal
open consultation (via the internet), through advisory councils or informal
consultation). In some countries consultation standards apply (codes).
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Consultation is likely to have a bigger impact when it takes place early on in
the assessment process and when it is done on the basis of an early version
of the impact assessment (rather than on the policy proposal itself).
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Expectations on both sides (impact assessment producer and consulted)
have to be matched.
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European Commission
The problem of the quantification of social impacts
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Integrated impact assessment systems are often quantification or
monetisation oriented (cost benefit analysis).
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It is not always self evident how social impacts (other than direct income and
employment effects) can be quantified. In the case of social policy short term
costs are often immediately visible, while benefits often only become visible in
the longer term and are difficult or even impossible to quantify.
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It is a challenge to try and quantify social impacts as much as possible (this
implies the development of data sources, models etc..), but there should also
be room for the use of good qualitative research. Certain methods allow
systematic consideration of qualitative information.
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Social impact assessments should go further than just mentioning social
impacts without any substantiation.
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European Commission
Other preconditions…
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a political and administrative culture that considers policy evaluation and
ex ante impact assessment as an added value, not as an administrative
burden.
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political will to make social impact a priority. Producers have to experience
that social impact assessment is valued and that quality of the assessments is
screened.
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technical capacity for social impact assessment is needed: databases,
methods and models, analytical capacity. This implies adequate guidelines,
toolboxes, ad hoc support, training.
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an adequate impact assessment process: impact assessment has to be
done early in the decision making process.
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From the perspective of quality assurance it is important that ex ante social
impact assessment is followed by ex post evaluation.
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European Commission
Next steps…
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It seems indicated to start and support a process of mutual learning on this
issue between Member States (and regions).
From the EU level support could be provided in case there is an interest to put
in place a new or improve an existing social impact assessment systeem.
Such a system will only work if it is adapted to the specific politicaladministrative setting (no ‘one size fits all’).
After the study will have been finalized a library of ex ante social impact
assessment guidelines and impact assessments will be available for further
reference.
Maybe in the future thematic toolkits could be developed that indicate possibly
relevant social impacts of specific policies, pointing to databases, instruments,
models, examples…
Links could be created with new developments regarding the assessment of
social impact within the Commission’s integrated impact assessment system.
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European Commission
Initiatives by the European Commission in support of ex ante
social impact assessment at EU level
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Study: Assessing the employment and social impacts of selected strategic
Commission policies (ECORYS) January 2009
http://ec.europa.eu/social/main.jsp?langId=en&catId=89&newsId=485
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Study: Review of methodologies applied for the assessment of employment
and social impacts (ECORYS-IZA) (publication planned in the near future)
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Guidance for assessing social impacts within the Commission Impact
Assessment system
http://ec.europa.eu/social/BlobServlet?docId=4215&langId=en
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Impact assessment system of the European Commission:
http://ec.europa.eu/governance/impact/index_en.htm
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European Commission
Thank you for your attention
[email protected]
For more information on the Sociale Open Method of Coordination:
http://ec.europa.eu/social/main.jsp?langId=en&catId=750
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European Commission