Training Ex-Ante Conditionality 19 March

8/13/2019 Training Ex-Ante Conditionality 19 March

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European UnionRegional Policy Employment, Social Affairs and Inclusion

Ex-ante conditionalityEx-ante conditionality

Commissions proposals for 2014-2020Commissions proposals for 2014-2020

March 2012


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Rationale and past experiences


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Sovereign debt crisis: need to increase the quality of public expenditure.

MFF:New conditionality provisions will be introduced to ensure that EU funding is

focused on results and creates strong incentives for Member States to ensure the

effective delivery of Europe 2020 objectives and targets through ohesion policy!"

Fifth Cohesion Report: onditionality provisions would help countries and regions to

tac#le the problems that past e$perience has shown to be particularly relevant to policy

implementation"!

%heir main purpose would be to help countries and regions to tac#le the problems that

past e$perience has shown to be particularly relevant to policy implementation! %hese

principles could be lin#ed to& for e$ample& transposition of specific EU legislation& the

financing of strategic EU projects& or administrative& evaluation and institutional

capacity!"

EU policy context


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Ex ante conditionality : Art. 17 and Annex IV C!

"acroecono#ic conditionality : Art. $1 C!

Ex post conditionality %achie&e#ent of tar'ets set in

perfor#ance fra#e(or)* : Art. $+ %,* C!

Types of conditionality proposed by theCommission


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Effectiveness of investments undermined by unsound policy frameor!s

and regulatory" institutional and administrative bottlenec!s

-tructural chan'e:

need to e#bed in&est#ents in lon'ter# policy efforts/ransport: ad#inistrati&e constraints in relation to rail(ay in&est#ents difficulties in relation to strate'ic plannin' and i#ple#entation

En&iron#ent and cli#ate chan'e: (ea) institutional capacities

unclear le'al fra#e(or)s0 delays in co#plyin' (ith E directi&es. &a'ue strate'ies a#on' the #ain (ea)ness of en&iron#ental #easures

"ana'e#ent and i#ple#entation syste#s: effecti&eness (ill lar'ely depend on co#pletion of broader public

ad#inistration refor#s and on the achie&e#ent of a #ore stable politicaland institutional settin'

Lessons from ex-post evaluations


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#ey to ensure that all conditions for effective investment

are in place hich re$uires a combination of:

Appropriate re'ulatory fra#e(or)

Effecti&e policies (ith clear policy ob2ecti&es

-ufficient ad#inistrati&e3institutional capacity

Rationale


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Conditionality is not a ne concept in the policy

Existing conditions relate to" for example:

4 5ulfil#ent of E en&iron#ental le'islation

4 I#ple#entation of sectoral strate'ies

4 Ad#inistrati&e and institutional structures

%oever" past use as discretionary" a more

systematic application is needed

&ast experiences ' cohesion policy


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6reat &ariations in ter#s of application of the co##it#ents

across sectors and pro'ra##es

Co##it#ents often a'reed in broad and nonbindin' ter#s(hich li#ited their i#pact

Variations in ter#s of deadlines set and follo(up

-o#e case of isolated in&est#ents due to late appro&al of

specific sectoral fra#e(or)s

( more transparent and systematic application of ex)

ante conditionality is therefore *ustified.

Past experiences cohesion policy(4)


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+nternational experience

,orld -an!: public sector refor# in particular tostren'then public financial #ana'e#ent0 conditionality in

the social and en&iron#ental sectors0 rural and urbande&elop#ent0 trade and econo#ic de&elop#ent

E-R.: conditions on loans co&erin' credit0 en&iron#entaland social issues

Sit/erland: ali'n#ent (ith priorities of econo#ic

de&elop#ent strate'y0 and additional specific conditionsfor different inter&ention types

Canada: co#pliance (ith re'ulations0 in particularapplyin' to en&iron#ent0 and ethical standards


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+nternational experience 012

,orld -an! 3principles of best practice4:

5nership: reinforce o(nership by relyin' on cleare&idence

%armonisation: coordinated fra#e(or) includin' bothpolicy actions and outco#e indicators

Customisation: custo#ise to country circu#stances0 donot use to le&era'e refor#s outside 'o&ern#ents a'enda

Criticality: only actions critical to achie&in' results

Transparency and predictability: conduct transparentpro'ress re&ie(s


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+nternational experience 062

,orld -an! 7roup:

!e&ie( of 8orld 9an) conditionality

http:33siteresources.(orldban).or'3!;EC/-3!esources3,+


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Ex)ante conditionality in the

regulatory proposals


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-road support for ex)ante conditionality hich respects the folloingprinciples:

irectly lin)ed to factors (hich deter#ine effecti&eness

Bi#ited in nu#ber /a)in' into account subsidiarity0 tailored to context and based on stron' o(nership

9ased on 2oint a'ree#ent bet(een "e#ber -tates and the Co##ission and

ob2ecti&ely &erifiable criteria

5pposition to conditionality lin!ed to structural reforms

Concerns over administrative burden and delays and need

to exploit potential of existing conditionalities

Conclusions from Conditionality TaskForce


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Types of ex)ante conditionality

& Thematic ex-ante conditionality are lin'ed to t(et(ematic o)*ecti+es and in+estment priorities proposedfor co(esion policy -nly t(ose t(ematic e./anteconditionalities need to )e fulfilled 0(ic( are lin'ed toin+estment priorities selected )y em)er States

& General ex-ante conditionalitiesare lin'ed to

(oriontal aspects of programme implementation(ey only apply to t(ose programmes for 0(ic( t(eirfulfilment is rele+ant to t(e efficiency and effecti+enessof in+estments in t(eir programmes


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.raft regulatory provisions

(rticle 89of the draft co##on pro&isions !e'ulationpro&ides 'eneral pro&isions on exante conditionality in

particular on the application #echanis#

(nnex +of the abo&e draft !e'ulation lays do(n thethe#atic and 'eneral exante conditionalities and thecriteria for assessin' their fulfil#ent


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%o does it or! ;

Exante conditionalities are lin)ed to in&est#ent priorities andonly need to be fulfilled if a "e#ber -tate in&ests in a 'i&en

area eed to be fulfilled at the ad#inistrati&e le&el (here

responsibility for their i#ple#entation lies %national orre'ional*

-hould be in place before start of the pro'ra##in' period

If not I place0 to be fulfilled (ithin t(o years of the appro&al ofthe artnership Contract or by end $+1=

onfulfil#ent of conditionalities at the ti#e of the adoption ofthe pro'ra##es or by the deadline outlined abo&e #ay leadto the suspension of all or part of interi# pay#ents


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Negotiation and agreement on commitments: The agreed commitments are set

out in the programmes and synthesised in the Partnership Contract.

Regulation:Thematic and general ex-ante conditionalities set out in the Regulation

Preparation of programming documents: Member States undertake a self-assessment erifying

!hether the ex-ante conditionality criteria hae been met.

Conditionality respected:"raft programmes explain that

no further action needs to be

taken

Not respected:"raft programmes lay do!n

commitments for fulfilment#

payments could be made only

upon fulfilment

Partially respect:"raft programmes lay do!n

commitments for fulfilment

Submission of programming documents: The results of the self-assessment and commitments are

synthesised in the Partnership Contract are included in the draft programmes.


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(ssessment by the Commission

-ased on existing assessments and reporting re$uirements:

European -e#ester : assess#ent of ational !efor#

ro'ra##es 4 basis for C-!s4 I#ple#entation of -#all 9usiness Act based on Europe

$+$+ the#atic sur&eillanceD

4 I#ple#entin' #ini#u# require#ents related to ener'y

perfor#ance of buildin's based on "- reportin' related toEner'y Efficiency Action lans

4 8ater pricin' published in !i&er 9asin "ana'e#ent lans


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Thematic ex)ante

conditionalities


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Research and Innoation

Ex-ante conditionality& (e e.istence of a national or regional researc( and inno+ation strategy

for smart specialisation in line 0it( t(e 5ational Reform Program, tole+erage pri+ate researc( and inno+ation e.penditure, 0(ic( complies0it( t(e features of 0ell/performing national or regional researc( andinno+ation systems

Criteria for f!lfilment"& A national or regional researc( and inno+ation strategy for smart

specialisation is in place t(at& is )ased on a S6- analysis to concentrate resources on a limited set of

researc( and inno+ation priorities7

& outlines measures to stimulate pri+ate R8 in+estment7& contains a monitoring and re+ie0 system

& A em)er State (as adopted a frame0or' outlining a+aila)le)udgetary resources for researc( and inno+ation7

& A em)er State (as adopted a multi/annual plan for )udgeting andprioritiation of in+estments lin'ed to EU priorities 9/ES:RI;


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#i$ital $ro%th

Ex-ante conditionality& (e e.istence 0it(in t(e national or regional inno+ation strategy for

smart specialisation of an e.plicit c(apter for digital gro0t( tostimulate demand for afforda)le, good


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&ext Generation 'ccess (&G') Infrastr!ct!re

Ex-ante conditionality"

& (e e.istence of national 5>A Plans 0(ic( ta'e account of regionalactions in order to reac( t(e EU (ig(/speed Internet access targets ,

focusing on areas 0(ere t(e mar'et fails to pro+ide an openinfrastructure at an afforda)le cost and to an ade


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*ME competitieness

Ex-ante conditionality& Specific actions (a+e )een carried out for t(e effecti+e

implementation of t(e Small ?usiness Act 9S?A; and its Re+ie0 of 23:e)ruary 2%11 including t(e @(in' Small :irst@ principle

Criteria for f!lfilment"& (e specific actions include

a monitoring mec(anism to ensure t(e implementation of t(e S?Aincluding a )ody in c(arge of coordinating SE issues acrossdifferent administrati+e le+els 9SE En+oyB;7

measures to reduce t(e time to set/up )usiness to 3 0or'ing days

and t(e cost to C1%%7 measures to reduce t(e time needed to get licenses and permits

to ta'e up and perform t(e specific acti+ity of an enterprise to 3mont(s7

a mec(anism for systematic assessment of t(e impact oflegislation on SEs using an @SE test@ 0(ile ta'ing into accountdifferences in t(e sie of enterprises, 0(ere rele+ant


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*ME competitieness (2)

Ex-ante conditionality

& ransposition into national la0 of 8irecti+e 92%11D"DEU; of t(eEuropean Parliament and of t(e =ouncil of 1! :e)ruary 2%11 on

com)ating late payment in commercial transactions

Criteria for f!lfilment"

& ransposition of t(at 8irecti+e in accordance 0it( Article 12 of t(e8irecti+e 9)y 1! arc( 2%13;


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Ener$y efficiency

& Ex-ante conditionality"ransposition of 8irecti+e 92%1%D31DEU; on t(e energyperformance of )uildings=ompliance 0it( >> reporting re


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Rene%a+le Ener$y

E./ante conditionality

& ransposition of 8irecti+e 2%%$D2#DE= on t(e promotion of t(euse of energy from rene0a)le sources

=riteria for fulfillment

& ransparent support sc(emes, priority in grid access and indispatc(ing, standard rules relating to t(e )earing and s(aringof costs of tec(nical adaptations 0(ic( (a+e )een made

pu)lic7& Adopted national rene0a)le energy action plan 9Article 4 of

8irecti+e 2%%$D2#DE=;


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Ris, preention and ris,

mana$ement


& (e e.istence of national or regional assessments for disaster

management ta'ing into account climate c(ange adaptation


& A description of t(e process, met(odology, met(ods and non/sensiti+e data used for national ris' assessment

& A description of single ris' and multi/ris' scenarios& a'ing into account 0(ere appropriate national climate c(ange

strategies

E U i


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aste sector


& Implementation of 8irecti+e 2%%#D$#DE= on 0aste


& A S (as reported to t(e =ommission on progress to0ards targets ofArticle 11 of a)o+e 8irecti+e, reasons for failure, and intended actionsto meet t(e targets

& A S (as ensured t(at its competent aut(orities esta)lis(, inaccordance 0it( Article 1,4, 13 and 1! of 8irecti+e, one or more0aste management plans as re


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ater sector


& (e e.istence of 9a; 0ater pricing policy 0(ic( ensuresade


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Road

Ex-ante conditionality"& =ompre(ensi+e national transport plan containing appropriate

prioritisation of in+estments in core and compre(ensi+e E5/,and in secondary connecti+ity

Criteria for f!lfillment"& prioritisation of in+estments ta'ing into account t(e

contri)ution of in+estments to mo)ility, sustaina)ility, t(ereduction of >> emissions and contri)ution to t(e SingleEuropean transport area

& a realistic and mature pro*ect pipeline 9including timeta)le,)udgetary frame0or';& strategic en+ironmental assessment& measures to strengt(en capacity of intermediary )odies and

)eneficiaries to deli+er t(e pro*ect pipeline

European Union


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Rail%ay

Ex-ante conditionality"& 6it(in compre(ensi+e national transport plan of a c(apter on

rail0ay de+elopment 0it( appropriate prioritisation ofin+estments in t(e core and compre(ensi+e E5/ and insecondary connecti+ity

& in+estments co+er mo)ile assets, interopera)ility and capacity)uilding

Criteria for f!lfillment"& prioritisation of in+estments ta'ing into account t(e

contri)ution of in+estments to mo)ility, sustaina)ility, t(ereduction of >> emissions and contri)ution to t(e SingleEuropean transport area7

& a realistic and mature pro*ect pipeline 9including a timeta)le,)udgetary frame0or';

& strategic en+ironmental assessment& measures to strengt(en capacity of intermediary )odies and

)eneficiaries to deli+er t(e pro*ect pipeline

European Union


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'ccess to employment for .o+-see,ers and inactie

people


& Acti+e la)our mar'et policies are designed and deli+ered in co(erence0it( t(e Employment guidelines and t(e ?road >uidelines for t(e

economic policies of t(e em)er States and of t(e Union regardingt(e ena)ling conditions for *o) creation


& Employment ser+ices (a+e t(e capacity to and do deli+er

personalised ser+ices and acti+e and pre+enti+e la)our mar'et measuresat an early stage, 0(ic( are open for all *o)see'ers7

anticipating and counselling on long/term employment opportunitiescreated )y structural s(ifts in t(e la)our mar'et suc( as t(e s(ift to a lo0car)on economy7

transparent and systematic information on ne0 *o) +acancies

Employment ser+ices (a+e set up net0or's 0it( employers and educationinstitutes

European Union


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*elf-employment/ entreprene!rship and +!sinesscreation

Ex-ante conditionality& (e e.istence of a compre(ensi+e strategy for inclusi+e start/up

support in accordance 0it( t(e Small ?usiness Act and in co(erence

0it( t(e Employment guidelines and t(e ?road >uidelines for t(eeconomic policies of t(e em)er States and of t(e Union , regardingt(e ena)ling conditions for *o) creation

Criteria for f!lfilment& A compre(ensi+e strategy in place 0(ic( 0ill includes

measures to reduce t(e time to set up )usinesses to t(ree0or'ing days and t(e cost to EUR 1%%7

measures to reduce t(e time needed to get licenses and permitsto ta'e up and perform t(e specific acti+ity of an enterprise)usiness to t(ree mont(s7

actions lin'ing suita)le )usiness de+elopment ser+ices and

financial ser+ices 9access to capital;, including t(e outreac( todisad+anta ed rou s and areas

European Union


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Modernisation and stren$thenin$ of

la+o!r mar,et instit!tionsEx-ante conditionality& Fa)our mar'et institutions are modernised and strengt(ened in accordance

0it( t(e Employment >uidelines7

& Reforms of la)our mar'et institutions 0ill )e preceded )y a clear strategy and

e. ante assessment including t(e gender dimension

Criteria for f!lfilment& Actions to reform employment ser+ices, aiming at pro+iding t(em t(e capacity

to deli+er

personalised ser+ices and acti+e and pre+enti+e la)our mar'et measures

at an early stage, 0(ic( are open for all *o)see'ers7 counselling on long/term employment opportunities created )y structural

s(ifts in t(e la)our mar'et suc( as s(ift t(e lo0 car)on economy7

transparent and systematic information on ne0 *o) opening accessi)le atUnion le+el

Reform of employment ser+ices 0ill include t(e creation of net0or's 0it(employers and education institutes

European Union


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'ctie and healthy a$ein$


& Acti+e ageing policies are designed and deli+ered inaccordance 0it( t(e Employment >uidelines

Criteria for f!lfilment

& Actions to deli+er on acti+e and (ealt(y ageing c(allenges

Rele+ant sta'e(olders are in+ol+ed in t(e design andimplementation of acti+e ageing policies7

A em)er State (as measures in place to promote acti+eageing to reduce early retirement

European Union


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'daptation of %or,ers/ enterprises andentreprene!rs to chan$e


& (e e.istence of policies aimed at fa+ouring anticipationand good management of c(ange and restructuring at allrele+ant le+els 9national, regional, local and sectoral;


& Effecti+e instruments are in place to support socialpartners and pu)lic aut(orities to de+elop proacti+eapproac(es to0ards c(ange and restructuring

European Union


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Early school leain$Ex-ante conditionality"& (e e.istence of a compre(ensi+e strategy to reduce early sc(ool

lea+ing 9ESF; in accordance 0it( =ouncil Recommendation of 2# Gune2%11 on policies to reduce early sc(ool lea+ing

Criteria for f!lfilment"& A system for collecting and analysing data and information on ESF at

national, regional and local le+el is in place t(at pro+ides a sufficient e+idence/)ase to de+elop targeted policies7 is used systematically to monitor de+elopments at t(e respecti+e le+el

& A strategy on ESF is in place t(at

is )ased on e+idence and compre(ensi+e co+ering all educational sectorsincluding early c(ild(ood de+elopment;

sets out o)*ecti+es t(at are consistent 0it( t(e =ouncil Recommendationon policies to reduce early sc(ool lea+ing7

cuts across/sectors, and in+ol+es and coordinates all policy sectors andsta'e(olders t(at are rele+ant to address ESF

European Union


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i$her ed!cation

Ex-ante conditionality"& (e e.istence of national or regional strategies for increasing tertiary

education attainment,


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'ctie incl!sion

Ex-ante conditionality& (e e.istence of a national strategy for po+erty reduction in

accordance 0it( =ouncil Recommendation of 3 -cto)er 2%%# on t(eacti+e inclusion of people e.cluded from t(e la)our mar'et and t(eEmployment >uidelines

Criteria for f!lfilment"& ?ased on e+idence 0(ic( re


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Roma inclusion

Ex-ante conditionality& A national Roma inclusion strategy in place in accordance 0it(

t(e EU frame0or' for national Roma integration strategies

Criteria for f!lfilment& Sets ac(ie+a)le national goals for Roma integration addressing, as a minimum,

t(e four EU Roma integration goals relating to access to education,employment, (ealt( care and (ousing

& =o(erent 0it( t(e 5ational Reform Programme& Identifies, 0(ere rele+ant t(ose disad+antaged micro/regions or segregated

neig()our(oods, 0(ere communities are most depri+ed, using already

a+aila)le socio/economic and territorial indicators& Allocates a sufficient funding from national )udgets, 0(ic( 0ill )e

complemented, 0(ere appropriate, )y international and EU funding& Includes strong monitoring met(ods to e+aluate t(e impact of Roma

integration actions and a re+ie0 mec(anism for t(e adaptation of t(e strategy& Is designed, implemented and monitored in close cooperation and continuous

dialogue 0it( Roma ci+il society and regional and local sta'e(olders

European Union


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ealth


& A national or regional strategy for (ealt( is in place t(atcontains t(e follo0ing elements


& =oordinated measures to impro+e access to


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pRegional Policy Employment, Social Affairs and Inclusion

'dministratie efficiency

Ex-ante conditionality"& (e e.istence of a strategy for reinforcing t(e em)er StatusHs

administrati+e efficiency including pu)lic administration reform


& an analysis and strategic planning of legal, organisational andDorprocedural reform actions

& t(e de+elopment of


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7eneral ex)ante

conditionalities

European Union


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(nti)discrimination


& (e e.istence of a mec(anism 0(ic( ensures effecti+eimplementation of and application of 8irecti+e 2%%%D"#DE= and8irecti+e 2%%%D43DE= on non/discrimination


& Institutional arrangements for t(e implementation, applicationand super+ision of t(e EU 8irecti+es on non/discrimination

& A strategy for training and dissemination of information forstaff in+ol+ed in t(e implementation of t(e funds

& easures to strengt(en administrati+e capacity forimplementation and application of t(e EU 8irecti+es on non/discrimination

European Union


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7ender e$uality


& (e e.istence of a strategy for t(e promotion of gendere


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Regional Policy Employment, Social Affairs and Inclusion

.isability

Ex-ante conditionality& (e e.istence of a mec(anism 0(ic( ensures effecti+e

implementation and application of t(e U5 =on+ention on t(e rig(ts ofpeople 0it( disa)ilities

Criteria for f!lfilment& Implementation of measures in line 0it( Article $ of t(e U5

=on+ention to pre+ent, identify and eliminate o)stacles and )arriersto t(e accessi)ility of persons 0it( disa)ilities

& Institutional arrangements for t(e implementation and super+ision oft(e U5 =on+ention in line 0it( Article 33 of t(e =on+ention

& A plan for training and dissemination of information for staff in+ol+edin t(e implementation of t(e funds

& easures to strengt(en administrati+e capacity for implementationand application of t(e U5 =on+ention including appropriatearrangements for monitoring compliance 0it( accessi)ilityre


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&ublic procurement

Ex-ante conditionality& (e e.istence of a mec(anism 0(ic( ensures effecti+e

implementation and application of 8irecti+es 2%%4D1#DE= and2%%4D1"DE=

Criteria for f!lfilment& =omplete transposition of a)o+e 8irecti+es& Institutional arrangements for t(e implementation, application and

super+ision of EU pu)lic procurement la0& easures 0(ic( ensure ade


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State aid


& (e e.istence of a mec(anism 0(ic( ensures effecti+eimplementation and application of EU State aid la0


& Institutional arrangements for t(e implementation, applicationand super+ision of EU State aid la0

& A strategy for training and dissemination of information forstaff in+ol+ed in t(e implementation of t(e funds

& easures to strengt(en administrati+e capacity forimplementation and application of EU state aid rules

European Union


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Environmental legislation: E+( and

SE(Ex-ante conditionality

& (e e.istence of a mec(anism 0(ic( ensures effecti+eimplementation and application of Union en+ironmentallegislation related to En+ironmental Impact Assessment 9EIA;and Strategic En+ironmental Assessment 9SEA; in accordance0it( 8irecti+e #D33"DEE= and 2%%1D42DE=


& =omplete and correct transposition of a)o+e directi+es

& Institutional arrangements for t(e implementation, applicationand super+ision of a)o+e directi+es

& A strategy for training and dissemination of information forstaff in+ol+ed in t(e implementation of a)o+e directi+es

European UnionR i l P li E l S i l Aff i d I l i


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&ext steps

& 5egotiations on regulatory proposals in t(e =ounciland European Parliament

& Readiness c(ec'B on t(e state/of/play of t(efulfilment of e./ante conditionalities 0it( ot(er 8>s

& Preparation of negotiation mandates 0it( ot(er 8>s

& 5egotiation process

European UnionR i l P li E l t S i l Aff i d I l i


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5urther infor#ation on ne'otiation process:

(ttpDD000cccecDdgintranetDregioD(tmlDregionalJpoli

European UnionR i l P li E l t S i l Aff i d I l i
http://www.cc.cec/dgintranet/regio/html/regional_policy/policy_areas/beyond2013/beyond2013_en.cfmhttp://www.cc.cec/dgintranet/regio/html/regional_policy/policy_areas/beyond2013/beyond2013_en.cfm


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Than! you for your attention=

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Training Ex-Ante Conditionality 19 March