Guidance on Ex Ante Conditionalities

Transcription

1 EUROPEAN COMMISSION Directrate-General Reginal and Urban Plicy Plicy and Legislatin Inter-institutinal relatins DRAFT Guidance n Ex Ante Cnditinalities PART II (Based n the Cuncil cmprmise text f 24 April 2012 and Cmmissin reserves) Versin 1 1 March

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3 Table f Cntents A. THEMATIC EX ANTE CONDITIONALITIES... 5 A. 2-1 Digital grwth... 5 A.7-1 Rad A Active and healthy ageing A Early schl leaving A Active inclusin B. GENERAL EX ANTE CONDITIONALITIES B. 5. State aid

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5 A. THEMATIC EX ANTE CONDITIONALITIES A. 2-1 Digital grwth 1 Thematic bjectives Investment pririties Ex ante cnditinality Criteria fr fulfilment Enhancing access t and use and quality f infrmatin and cmmunicatin technlgies (Bradband target) (referred t in Article 9(2)) ERDF: - develping ICT prducts and services, e- cmmerce and enhancing demand fr ICT - strengthening ICT applicatins fr e-gvernment, e-learning, e- inclusin, e- culture and e- health 2.1 Digital grwth : A A strategic plicy framewrk fr digital strategic plicy framewrk grwth, fr instance, within the natinal fr digital grwth t r reginal innvatin strategic plicy stimulate demand fr framewrk fr smart specialisatin is in affrdable, gd quality place that cntains: and interperable ICTenabled private and public budgeting and priritisatin f services and increase actins thrugh a SWOT r similar uptake by citizens, analysis cnsistent with the including vulnerable Screbard f the Digital Agenda fr grups, businesses and Eurpe; public administratins including crss brder an analysis f balancing supprt fr initiatives. demand and supply f infrmatin and cmmunicatin technlgies (ICT) shuld have been cnducted; indicatrs t measure prgress f interventins in areas such as digital literacy, e-inclusin, e-accessibility, and f e-health within the limits f Article 168 TFEU which are aligned with existing relevant sectral natinal r reginal strategies; assessment f needs t reinfrce ICT capacity-building. 1. When t assess applicability? The cnditinality is applicable, if a Member State is planning t allcate funding t the investment pririties 2(a) and 2(b) f the ERDF Regulatin under the thematic bjective n 2 (develping ICT prducts and services, e-cmmerce and enhancing demand fr ICT and strengthening ICT applicatins fr e-gvernment, e-learning, e-inclusin, e-culture and e- health). 1 The table belw is based n the Cuncil cmprmise text. 5

6 2. Definitins The Eurpean Cmmissin has adpted the Digital Agenda fr Eurpe as part f the verall Eurpe 2020 strategy fr smart, sustainable and inclusive grwth. The Digital Agenda prpses 101 specific plicy actins acrss 7 dmains: digital single market; interperability and standards; trust and security; fast and ultra-fast internet access; research and innvatin; digital literacy, skills and inclusin; and ICT-enabled benefits fr EU sciety. This cmbined set f actins is designed t stimulate a virtuus circle f investment in and usage f digital technlgies. A Strategic Plicy Framewrk fr Digital Grwth charts the bstacles and actins needed t vercme them in rder t maximise the scial and ecnmic ptential f ICT, mst ntably the internet. The Strategy is based n evidence and sets bjectives that make pssible t chart them against the Digital Agenda fr Eurpe. It cntains measures ensuring that attractive cntent and services are made available in an interperable internet envirnment t stimulate demand fr higher speeds and capacity as well as measures supprting the deplyment and take-up f faster netwrks that can deliver this cntent and services. These bjectives are agreed and implemented in cperatin with all relevant stakehlders. It can be established in a single plicy dcument (e.g. natinal r reginal "digital agenda", fr instance, within the natinal r reginal innvatin strategic plicy framewrk fr smart specialisatin) r in a set f inter-linked plicy dcuments. Hwever, a strategy is mre than a cllectin f measures. In case measures are cntained in different plicy dcuments, they need t be embedded in a strategic apprach twards the strategy's bjective. A strategy sets ut the scpe, timeframe, cncrete and cmprehensive bjectives, allcatin f resurces, measures t achieve these and mnitring and evaluatin instruments t assess prgress f implementatin. 3. Surce f infrmatin fr assessment Digital Agenda Screbard by cuntry: List f Digital Agenda Screbard Indicatrs: 4. Ratinale fr the ex ante cnditinality ICT is the majr enabling technlgy fr spurring innvatin, ecnmic grwth and imprvements in daily life fr bth citizens and businesses. The Digital Agenda fr Eurpe requires a sustained level f cmmitment at bth EU and Member State levels (including at reginal level). The ex ante cnditinality aims therefre t fster the develpment and implementatin f natinal and reginal digital grwth measures, t assess their cnsistency with the Digital Agenda fr Eurpe's gals and explit natinal/reginal assets in the spirit f smart specialisatin. 6

7 5. Fulfilment and nn-fulfilment f criteria Criteria fr fulfilment A strategic plicy framewrk fr digital grwth, fr instance, within the natinal r reginal innvatin strategic plicy framewrk fr smart specialisatin is in place The relevant peratinal prgramme cntains a reference t the name f the framewrk and indicates where it is r its different elements are published (in frm f a link). that cntains: budgeting and priritisatin f actins thrugh a SWOT r similar analysis cnsistent with the Screbard f the Digital Agenda fr Eurpe: There is evidence that a SWOT r a similar analysis has been cnducted in rder t establish pririties fr investment. There is a descriptin f the methdlgy and data surces used fr the analysis. There is a descriptin f the priritisatin / eliminatin prcess that was used t identify investment pririties, including the invlvement f stakehlders. The framewrk utlines available budgetary resurces fr ICT interventins and indicates varius surces f finance [and indicative amunts] (EU, natinal and ther surces as apprpriate). an analysis f balancing supprt fr demand and supply f infrmatin and cmmunicatin technlgies (ICT) shuld have been cnducted: There is evidence that an analysis f balancing supprt fr demand and supply f infrmatin and cmmunicatin technlgies has been cnducted. There is a descriptin f the methdlgy used fr identifying demand and supply f ICT and fr balancing the supprt fr them. The analysis cvers all the relevant sci-ecnmic issues related t demand fr ICT (such as age structure, educatin, incme, level f ICT training/skills, emplyment status, affrdability f service, prductivity, Internet penetratin and the use f and demand fr ICT services and applicatins in husehlds, businesses and public administratins, increase eskills, etc.) and supply measures (availability f equipment and infrastructures, services and applicatins, and f ICT prfessinals/practiciners). Where apprpriate, the analysis als cvers ICT as a sectr (e.g. a cncentratin f manufacturing f YES / NO Criteria fulfilled? Elements f nn-fulfilment 7

8 ICT hardware and equipment, IT service and applicatin prviders, R&D in ICT, living labs, etc.). There is a summary f the results f this analysis. indicatrs t measure prgress f interventins in areas such as digital literacy, e-inclusin, e-accessibility, and f e-health within the limits f Article 168 TFEU which are aligned with existing relevant sectral natinal r reginal strategies: A mnitring mechanism has been set up t measure the prgress f ICT use and its impact (e.g. prductivity gains) at natinal r reginal level: There is evidence that the mnitring mechanism cvers all the areas f ICT interventins arising frm existing relevant sectral EU, natinal r reginal strategies. When the strategic plicy framewrk fr digital grwth is part f a natinal r reginal innvatin strategic plicy framewrk fr smart specialisatin, its mnitring will be carried ut as part f the mnitring f this framewrk. The mnitring mechanism uses the same indicatrs as thse used by the Digital Agenda Screbard but can cntain additinal indicatrs t track the prgress f the implementatin measures. assessment f needs t reinfrce ICT capacity-building: The strategic plicy framewrk fr digital grwth cntains an analysis f the weaknesses t identify and deliver ICT interventins. It identifies, where apprpriate, an adequate descriptin f measures t be taken r already in place t ensure the capacity f intermediate bdies and beneficiaries t identify and deliver thse interventins. 8

9 Annex: BACKGROUND INFORMATION 1. EU basis fr including the ex ante cnditinality in the CPR prpsal Cmmunicatin frm the Cmmissin t the Eurpean Parliament, the Cuncil, the Eurpean Ecnmic and Scial Cmmittee and the Cmmittee f the Regins: A Digital Agenda fr Eurpe (COM(2010) 245 final/2 f ) Cuncil Cnclusins n the Digital Agenda fr Eurpe (dc /10 f 31 May 2010) The Cuncil f the Eurpean Unin endrsed the establishment f an ambitius actin agenda and invited the Cmmissin and Member States t seek ways t enhance hrizntal crdinatin between cncerned institutins bth at the EU and natinal level in rder t imprve the implementatin f the Digital Agenda fr Eurpe. Cmmunicatin frm the Cmmissin (COM(2012) 784 final) f 18 December 2012 n "The Digital Agenda fr Eurpe - Driving Eurpean grwth digitally" This Cmmunicatin refcuses the Digital Agenda t better stimulate the digital ecnmy thrugh measures in several key areas Extract f relevant dcuments 3. Further reading Digital Agenda Eurpe

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11 A.7-1 Rad 2 Thematic bjectives Investment pririties Ex ante cnditinality Criteria fr fulfilment 7. Prmting sustainable transprt and remving bttlenecks in key netwrk infrastructures (referred t in Article 9(7)) ERDF + CF: supprting a multimdal Single Eurpean Transprt Area by investing in the Trans- Eurpean Transprt Netwrk (TEN-T) netwrk ERDF: enhancing reginal mbility thrugh cnnecting secndary and tertiary ndes t TEN-T infrastructure 7.1. Rad: The existence f a cmprehensive plan(s) r framewrk(s) fr transprt investment in accrdance with the Member States institutinal set-up (including public transprt at reginal and lcal level) which supprts infrastructure develpment and imprves cnnectivity t the TEN-T cmprehensive and cre netwrks. The existence f a cmprehensive transprt plan(s) r framewrk(s) fr transprt investment which fulfills legal requirements fr strategic envirnmental assessment and sets ut: the cntributin t the single Eurpean Transprt Area cnsistent with Article 10 f Regulatin N. [TEN-T], including pririties fr investments in: the cre TEN-T netwrk and the cmprehensive netwrk where investment frm the ERDF and CF is envisaged; and secndary cnnectivity. a realistic and mature pipeline fr prjects envisaged fr supprt frm the ERDF and CF. Measures t ensure the capacity f intermediary bdies and beneficiaries t deliver the prject pipeline. 1. When t assess applicability? The cnditinality is applicable, if a MS is planning t allcate funding: within ERDF/CF t supprt fr multimdal Single Eurpean Transprt Area by investing in the TEN-T netwrk (Art. 5 (7) (a) f the ERDF Regulatin and Art.3 (d) (i) f the CF Regulatin), and/r within ERDF fr enhancing reginal mbility thugh cnnecting secndary and tertiary ndes t TEN-T infrastructure (Art. 5 (7) (b) f the ERDF Regulatin). 2 The table belw is based n the Cuncil cmprmise text. 11

12 2. Definitins Transprt mde means railway, inland waterways, rad, maritime r/and air transprt. Multimdal transprt means the carriage f freight and /r passengers using tw r mre mdes f transprts The cmprehensive netwrk cnstitutes the basic layer f the TENT-T. It cnsists f all existing and planned infrastructure meeting the requirements f the Guidelines. The cmprehensive netwrk is t be in place by 31 December 2050 at the latest. The cre netwrk cnsists f thse parts f the cmprehensive TEN-T netwrk which are f the highest strategic imprtance fr the achievement f the bjectives cncerning the develpment f the trans-eurpean netwrk. It cnstitutes the backbne f the multi-mdal mbility netwrk. It cncentrates n thse cmpnents f TEN-T with the highest Eurpean added value: crss-brder missing links, key bttlenecks and multi-mdal ndes. It is the utcme f a tw-step methdlgy identifying first main ndes within the EU and then cnnecting these ndes by multimdal links (rad, rail, inland waterway) accrding t availability r feasibility, taking int accunt effectiveness and efficiency and preferably using existing infrastructure. The cre netwrk is t be in place by 31 December 2030 at the latest. The cre ndes cnsist f 82 urban main ndes (cmprising all Member States' capitals, all "MEGA" cities accrding t ESPON and all ther large urban areas r cnurbatins, including their entire relevant multimdal infrastructure as far as part f the cmprehensive netwrk), prts which exceed a certain vlume threshld (at least 1 % f the ttal transhipment vlume f all EU seaprts) r prvide the nly access t a castline f a NUTS 1 inland regin and the 46 mst relevant brder crssing pints. Yu will find in the annex belw the list f ndes cncerning each Member State. The Intelligent Transprt Systems (ITS) mean systems using infrmatin, cmmunicatin, navigatin and psitining/lcalizatin technlgies in rder t manage mbility and traffic n the trans-eurpean transprt netwrk and t prvide value added services t citizens and peratrs, including fr safe, secure, envirnmentally sund and capacity efficient use f the netwrk. They may als include n-bard devices, prvided they frm an indivisible system with crrespnding infrastructure cmpnents. The cncept f "realistic and mature prject pipeline" has t be understd in the cntext f the whle prject cycle starting frm planning until the implementatin. It means a list f prjects fr which: - A feasibility study (including ptins analysis and preliminary design) has been cncluded; - There is a psitive sci-ecnmic Cst Benefit Analysis (including detailed estimated csts ) demnstrating financial feasibility and the need fr public financial cntributins; - EIA (envirnmental impact assessment) and ther assessments (e.g. under Habitats and Water Framewrk Directives) ARE ideally finished r AT least sufficiently 12

13 advanced (i.e. cnsultatins with the public and ther authrities finished) and a develpment cnsent is expected withut utstanding envirnmental issues - State aid issues are cleared; - There is a detailed implementatin timetable, detailing prcurement prcedures - call fr tenders can be expected t be cmpleted in accrdance t the timetable and permissin prcedures (these shuld be ready t start : fr instance land exprpriatins are well advanced and can be cmpleted in sufficient time fr the start f the wrks, as prgrammed). 3. Surce f infrmatin fr assessment Detailed maps f the cmprehensive and the cre netwrk, including requirements fr technical and traffic management standards, as defined in the TEN-T Guidelines: 4. Ratinale fr the ex ante cnditinality The netwrk effects f majr transprt investments in TENs netwrks is ften missed due t missing links, ften in brder areas. Investments in secndary transprt infrastructure are ften fragmented and fail t cnnect lcal business t EU markets, thereby undermining their integratin in single market. 13

14 5. The fulfilment and nn-fulfilment f criteria: Criteria fr fulfilment The existence f a cmprehensive transprt plan(s) r framewrk(s) fr transprt investment which: The relevant peratinal prgramme cntains a reference t the name f the framewrk and indicates where it r its different elements are published (in a frm f a link) fulfills legal requirements fr strategic envirnmental assessment : An envirnmental reprt has been carried ut identify, describe and evaluate the likely significant effects n the envirnement f the implementatin f the plan r framewrk fr transprt investments and reasnnable alternatives taking int accunt the bjectives and the gegraphical scpe f the plan r framewrk fr transprt investments. The draft plan r framewrk fr transprt investments and the envirnmental reprt has been made available t the public and the authrities designated by the Member States wh are likely t be cncerned by the envirnemental effects f the implementing plans. Where the implementatin f the plan r framewrk fr transprt investments is likely t have significant effects n the envirnement in anther Member State (transbundary effects), a cpy f the draft plan r framewrk and the relevant envirnmental reprt has been frwarded t the ther Member States. The envirnmental reprt and the pinins expressed in the relevant cnsultatins have been taken int accunt befre the adptin f the plan r framewrk fr transprt investments sets ut the cntributin t the single Eurpean Transprt Area cnsistent with Article 10 f Regulatin N. [TEN-T], including pririties fr investments in the cre TEN-T netwrk and the cmprehensive netwrk where investment frm the ERDF and CF is envisaged; and secndary cnnectivity. The investment pririties included in the plan r framewrk fr transprt investments cnnects the identified main ndes (see the list in annex) and prvides fr cnnectins with neighburing YES / NO Criteria fulfilled? Elements f nn-fulfilment 14

15 cuntries' transprt infrastructure netwrks. The plan r framewrk fr transprt investments includes measures that are necessary fr: ensuring enhanced accessibility fr all regins f the Unin; ensuring ptimal integratin f the transprt mdes ; the plan includes namely detailed reference t integratin f the rad infrastructure with the ther transprt netwrk; bridging missing links and remving bttlenecks, inter alia in crss-brder sectins; prmting the efficient use f the [current and new] infrastructure and, where necessary, increase the capacity; remving administrative and technical barriers, in particular t the interperability f the netwrk and t cmpetitin; imprving r maintaining the quality f infrastructure in terms f safety, security, efficiency, climate and where apprpriate disaster resilience, envirnmental perfrmances, scial cnditins, accessibility fr all users, quality f services and cntinuity f traffic flws; prmting innvative technlgical develpment; implementing and deplying TA; ensuring fuel security by prmting the use f alternative and in particular lw r zer carbn energy surces and prpulsin systems; the plan includes an assessment f the verall impact n energy sectr induced by the transprt sectr; mitigating expsure f urban areas t negative effects f transiting rail and rad transprt. 15

16 sets ut a realistic and mature pipeline fr prjects envisaged fr supprt frm the ERDF and CF The plan r framewrk fr transprt investments includes a table cntaining : a list f priritised prjects (studies, upgrading r wrks) that the Member State envisages launching ver the perid and asking fr supprt frm the ERDF and CF. the name f the authrities and stakehlders invlved in the lead f these prjects, the freseen expenditures and a financing plan, a realistic timetable fr delivery (including design phase, develpment cnsent, prcurement and permissin prcedures, and ptential state aide ntificatin) and fr implementatin (per phase fr bigger prjects). Measures t ensure the capacity f intermediary bdies and beneficiaries t deliver the prject pipeline. The Member State has prvided an adequate descriptin f the measures already in place t ensure the capacity f intermediary bdies and beneficiaries t deliver the prject pipeline: These measures are based n the analysis f bth the bttlenecks and f the weaknesses f intermediary bdies and beneficiaries t deliver timely the prject pipeline (e.g. tendering difficulties, including tenders withut cmpetitrs and irregularities; irregularities, shrtcmings, delays in implementing envirnment requirements; lack f clear priritisatin r mving pririties; lack f mature prject pipeline under develpment; financial unbalance alng the prject cycle, lack f funding r funding prvisins fr maintenance and peratins; lng time t market f prjects; excessive red tape administrative burden, paperwrk; failure in managing cmplex systems (such as ETCS- ERTMS); They include training and apprpriate internal prcedures t mnitr and identifiy ptential delays and t ensure a smth and effective prcurement; A early warning system is in place t identify and slve any difficulties rising frm intermediary bdies and beneficiairies when delivering the prject pipeline; Adequate assistance schemes are in place t help beneficiaries during prcedure and implementatin t be able t replace prjects quickly when implementatin is blcked. 16

17 Annex: BACKGROUND INFORMATION 1. EU basis fr including the ex ante cnditinality in the CPR prpsal TEN-T Regulatin: Prpsal frm the Cmmissin fr a Regulatin n Unin guidelines fr the develpment f the trans-eurpean transprt netwrk (COM/2011/0650 final/2-2011/0294 (COD)) Annex I: Maps f the cmprehensive and the cre netwrk Vl. 2/33: Inland waterways and prts, Railways (freight), prts and rail-rad terminals _i_part02.pdf Annex I: Maps f the cmprehensive and the cre netwrk Vl. 3/33: Railways (passengers) and airprts, rads, prts, rail-rad terminals and airprts _i_part03.pdf Annex II: List f ndes f the cre netwrk Strategic Envirnmental Assessment (SEA) Directive: An envirnmental assessment shall be carried ut fr all plans and prgrammes which are prepared fr transprt and which set the framewrk fr future develpment cnsent f prjects 3. 3 Annex I f the Envirnmental Impact Assessment Directive 85/337/ECC prvides the list f the cncerned prjects: 7. (a) Cnstructin f lines fr lng-distance railway traffic and f airprts with a basic runway length f m r mre; 7. (b) Cnstructin f mtrways and express rads; 7. (c) Cnstructin f a new rad f fur r mre lanes, r realignment and /r widening f an existing rad f tw lanes r less s as t prvide fur r mre lanes, where such new rad r realigned and/r widened sectin f rad wuld be 10km r mre in a cntinuus length; 8. (a) Inland waterways and prts fr inlandwaterway traffic which permit the passage f vessels f ver tnnes; 8 (b) Trading prts, piers fr lading and unlading cnnected t land and utside prts (excluding ferry piers) which can take vessels f ver tnnes. Annex II cmpletes it with a list f infrastructure prjects: 10 (c) Cnstructin f railways r intermdal transhipment facilities and f intermdals terminals; 10. (d) Cnstructin f airfields; 10 (e) Cnstructin f rads, harburs and prt installatins, including fishing harburs; 10 (f) inland-waterway cnstructin, canalisatin and fld-relief wrks. 17

18 2. Extract f relevant dcuments Cuncil cmprmise text n the Unin guidelines fr the develpment f the trans- Eurpean transprt netwrk CHAPTER II THE COMPREHENSIVE NETWORK Article 10 General pririties When develping the cmprehensive netwrk, general pririty shall be given t measures that are necessary fr: (a) (b) (c) (cc) (d) (e) (f) (g) (h) (i) ensuring enhanced accessibility fr all regins f the Unin; ensuring ptimal integratin f the transprt mdes; bridging missing links and remving bttlenecks, inter alia in crss-brder sectins; prmting the efficient use f the infrastructure and, where necessary, increase the capacity; remving administrative and technical barriers, in particular t the interperability f the netwrk and t cmpetitin; imprving r maintaining the quality f infrastructure in terms f safety, security, efficiency, climate and where apprpriate disaster resilience, envirnmental perfrmances, scial cnditins, accessibility fr all users, quality f services and cntinuity f traffic flws; prmting innvative technlgical develpment; implementing and deplying TA; ensuring fuel security by prmting the use f alternative and in particular lw r zer carbn energy surces and prpulsin systems; mitigating expsure f urban areas t negative effects f transiting rail and rad transprt. Prpsal frm the Cmmissin fr a Regulatin n Unin guidelines fr the develpment f the trans-eurpean transprt netwrk (COM/2011/0650 final/2-2011/0294 (COD)) ANNEX II LIST OF NODES OF THE CORE NETWORK 18

19 1a. Urban ndes: AUSTRIA Wien FRANCE Paris Brdeaux Lille BELGIUM Bruxelles/ Brussel Antwerpen Lyn Marseille Nice Tuluse BULGARIA Sfia GERMANY Berlin CYPRUS Lefksia Bielefeld Bremen Düsseldrf CZECH REPUBLIC Praha Ostrava Frankfurt a. M. Hamburg Hannver Köln DENMARK København Aarhus Leipzig Mannheim München Nürnberg ESTONIA Stuttgart Tallinn GREECE FINLAND Helsinki Athina Thessalniki Turku HUNGARY Budapest 19

20 20 IRELAND Dublin Crk ITALY Rma Blgna Genva Milan Napli Trin Venezia Palerm LATVIA Rīga LITHUANIA Vilnius LUXEMBOURG Luxemburg MALTA Valletta THE NETHERLANDS Amsterdam Rtterdam POLAND Warszawa Gdańsk Katwice Kraków Łódź Pznań Szczecin Wrcław PORTUGAL Lisba Prt ROMANIA București Timisara SLOVAKIA Bratislava SLOVENIA Ljubljana SPAIN Madrid Barcelna Bilba Palma de Mallrca Sevilla Valencia

21 SWEDEN Stckhlm Götebrg Malmö UNITED KINGDOM Lndn Birmingham Bristl Edinburgh Glasgw Leeds Manchester Prtsmuth Sheffield 1b. Airprts: AUSTRIA Wien/Schwechat FRANCE Lyn St-Exupéry Nice Côte d'azur BELGIUM Bruxelles/Natinal Brussel/Natinaal Paris Charles-de-Gaulle Paris Orly CZECH REPUBLIC Praha/Ruzyně GERMANY Berlin Brandenburg Internatinal Düsseldrf DENMARK Cpenhagen Kastrup FINLAND Helsinki-Vantaa Frankfurt/Main Hamburg Köln/Bnn München Stuttgart 21

22 GREECE Athens PORTUGAL Lisba HUNGARY Budapest-Ferihegy SPAIN Barcelna Madrid/Barajas IRELAND Palma de Mallrca Dublin SWEDEN ITALY Stckhlm/Arlanda Milan-Linate Milan-Malpensa Rma-Fiumicin UNITED KINGDOM Birmingham Edinburgh THE NETHERLANDS Amsterdam/Schiphl Gatwick Glasgw Heathrw POLAND Warszawa Okęcie Lutn Manchester Stansted 2. Maritime prts: BULGARIA BELGIUM Burgas Antwerpen Gent Ostende, Zeebrugge CYPRUS Lemess 22

23 DENMARK Århus Københavns Havn GREECE Igumenitsa Patras Pireus ESTONIA Thessalniki Tallinn IRELAND FINLAND Helsinki Ktka, Hamina Crk Dublin Limerick Turku ITALY FRANCE Brdeaux Calais, Dunkerque Le Havre Marseille Nantes Saint-Nazaire Ruen Ancna Bari Genva Giia Taur La Spezia Livrn Napli Palerm GERMANY Bremerhaven, Bremen Hamburg Lübeck Ravenna Tarant Trieste Venezia Rstck Wilhelmshaven LATVIA Rīga Ventspils 23

24 LITHUANIA Klaipėda Cartagena Gijón A Cruña MALTA Valletta, Marsaxlkk Las Palmas Palma de Mallrca Sevilla THE NETHERLANDS Amsterdam Tarragna Valencia Rtterdam Terneuzen, Vlissingen SWEDEN Götebrg POLAND Gdánsk, Gdynia Świnujście, Szczecin Luleå Malmö Stckhlm Trellebrg PORTUGAL Leixões (Prt) Lisba Sines UNITED KINGDOM Belfast Bristl Cardiff, Newprt ROMANIA Cnstanța Dver Felixstwe Frth (Edinburgh) SLOVENIA Kper Glasgw Grimsby, Immingham Liverpl SPAIN Algeciras Barcelna Lndn Suthamptn, Prtsmuth Tees and Hartlepl Bilba 24

25 3. Brder crssing pints t neighburing cuntries: EU Member State Neighburing Cuntry Brder Crssing (Rad) Brder Crssing (Rail) BULGARIA SERBIA Kaltina Kaltina FYROM Gueshev Gueshev TURKEY Svilengrad Svilengrad ESTONIA RUSSIA Luhamaa Kidula FINLAND RUSSIA Vaalimaa Vainikkala GREECE ALBANIA Kakavia Krystallpigi FYROM Evzni Idmeni TURKEY Kipi Pythin HUNGARY UKRAINE Beregsurany Zahny CROATIA Letenye Gyekenyes SERBIA Szeged Kelebia LATVIA RUSSIA Terehva Zilupe BELARUS Krāslava-Paternieki Krāslava-Indra LITHUANIA RUSSIA Kybartai Kybartai BELARUS Medininkai Kena POLAND RUSSIA Grzechtki Braniew BELARUS Kukuryki Terespl UKRAINE Krczwa Przemysl ROMANIA UKRAINE Siret Vicsany MOLDOVA Ungheni Ungheni SERBIA Mravitsa Mravitsa SLOVENIA CROATIA Obrezje Dbva SLOVAKIA UKRAINE Cierna nad Tisu Cierna nad Tisu

26 3. Further reading Rad Tlling: Directive 2004/52/EC and Decisin 2009/750/EC yment_en.htm Evaluatins f the prgramming perid: Transprt Investment under Structural and Chesin Funds in prgrammes EU2020 Cuntry Fiches prepared by DG MOVE 26

27 A Active and healthy ageing 4 Thematic bjectives Investment pririties Ex ante cnditinality Criteria fr fulfilment 8.Prmting emplyment and supprting labur mbility (Emplyment target) ESF: - Active and healthy ageing 8.4. Active and healthy ageing: Active ageing plicies are designed in the light f the Emplyment Guidelines. - Actins t deliver n active and healthy ageing challenges: - Relevant stakehlders are invlved in the design and fllw-up f active ageing plicies with a view t retaining elderly wrkers n the labur market and prmte their emplyment. (referred t in Article 9(8)) - A Member State has measures in place t prmte active ageing and t reduce early retirement. 1. When t assess applicability? The applicability f this ex-ante cnditinality has t be assessed if a Member State selects the fllwing investment pririty: - ESF: Active and healthy ageing (Art. 3(1)(a)(iv) ESF Reg.) 2. Definitins Active ageing plicies in this cntext are limited t the labur market and refer t a brad range f measures that bth stimulate and enable wrkers t stay in the wrkfrce, and emplyers t hire and retain lder wrkers. Relevant stakehlders are typically cmpetent ministries and gvernment agencies at natinal and sub-natinal level, scial partners, pensin institutins, training institutins and nn-gvernmental rganisatins representing lder wrkers. 3. Surce f infrmatin fr assessment Member State's Natinal Refrm Prgramme (NRP) including Natinal Jb Plan; Cuncil Recmmendatins (CSRs) n Member State's Natinal Refrm Prgramme 4 The table belw is partly based n the Cuncil cmprmise text and partly n the Cmmissin's initial prpsal (yellw parts). 27

28 Cmmissin Staff Wrking Dcument (SWD) n the assessment f the Natinal Refrm Prgrammes and the Stability/Cnvergence Prgramme; Ratinale fr the ex-ante cnditinality T measure prgress in meeting the Eurpe 2020 gals f smart, sustainable and inclusive grwth, headline targets have been agreed fr the whle EU. The Eurpe 2020 strategy sets a headline target f 75% f the ppulatin aged 20 t 64 years t be in emplyment (emplyment rate). Reaching this emplyment target heavily relies n lder wrkers t remain n the labur market. Pr perfrmance in the area f active ageing can have many causes, i.e. lw retirement age, lw exit age, bslete skills, insufficient cntract flexibility, age discriminatin, pr health, etc. Actins t supprt active ageing will generally aim at maintaining the emplyability f lder wrkers (ex. access t cntinuus vcatinal training, adaptatin f wrking cnditins r wrking envirnments, etc.) and at eliminating bstacles t wrking lnger and/r t create incentives t wrking lnger (ex. flexible wrkingretirement arrangements, fiscal incentives t wrking lnger, phased ut early retirement schemes, measures addressing leaving the labur market early due t pr health, measures addressing health f the lder wrker, etc.). Chesin plicy investment in active and healthy ageing must be supprted by measures supprting the reductin f early retirement and ensuring that the returns n investments in active ageing are nt undermined by cunter-prductive plicies. Invlving relevant stakehlders in the design and implementatin f these plicies will increase and/r cnditin their success and thus the effectiveness f chesin plicy instruments. 28

29 5. The fulfilment and nn-fulfilment f criteria: Criteria fr fulfilment Actins t deliver n active and healthy ageing challenges Relevant stakehlders are invlved in the design and fllw-up f active ageing plicies with a view t retaining elderly wrkers n the labur market and prmte their emplyment There is a clear identificatin f all actrs invlved. Relevant stakehlders are invlved in the design and fllw-up f active ageing plicies. The Member State has measures in place t prmte active ageing and t reduce early retirement There is an analysis f the labur market situatin f lder wrkers and an identificatin f the main reasns fr pr perfrmance in the area f active ageing 5 There is a clear identificatin f, and link with, the measures prpsed. There are measures in place t maintain the emplyability f lder wrkers 6. There are measures in place t eliminate bstacles t wrking lnger and/r there are incentives in place t wrking lnger 7.. YES / NO Criteria fulfilled? Elements f nn-fulfilment 5 See sectin 4 fr examples f reasns fr pr perfrmance. 6 See sectin 4 fr examples. 7 See sectin 4 fr examples 29

30 Annex: BACKGROUND INFORMATION 1. EU basis fr including the ex-ante cnditinality in the CPR prpsal Emplyment Guidelines adpted by Cuncil Decisin 2010/707/EU f 21 Octber 2010: Cuncil Decisin 2012/238/EU f 26 April 2012 prlnging the Emplyment Guidelines fr 2012: 2. Extract f relevant dcuments Emplyment Guidelines adpted by Cuncil Decisin 2010/707/EU f 21 Octber 2010 Guideline 7: Increasing labur market participatin f wmen and men, reducing structural unemplyment and prmting jb quality. Activatin is key t increasing labur market participatin. Member States shuld integrate the flexicurity principles endrsed by the Eurpean Cuncil int their labur market plicies and apply them, making apprpriate use f Eurpean Scial Fund and ther EU funds supprt, with a view t increasing labur market participatin and cmbating segmentatin, inactivity and gender inequality, whilst reducing structural unemplyment. Measures t enhance flexibility and security shuld be bth balanced and mutually reinfrcing. Member States shuld therefre intrduce a cmbinatin f flexible and reliable cntractual arrangements, active labur market plicies, effective lifelng learning, plicies t prmte labur mbility, and adequate scial security systems t secure labur market transitins accmpanied by clear rights and respnsibilities fr the unemplyed t actively seek wrk. Tgether with the scial partners, adequate attentin shuld als be paid t internal flexicurity at the wrk place. Member States shuld step up scial dialgue and tackle labur market segmentatin with measures addressing precarius emplyment, underemplyment and undeclared wrk. Prfessinal mbility shuld be rewarded. The quality f jbs and emplyment cnditins shuld be addressed. Member States shuld cmbat in-wrk pverty and prmte ccupatinal health and safety. Adequate scial security shuld als be ensured fr thse n fixed-term cntracts and the self-emplyed. Emplyment services play an imprtant rle in activatin and matching and they shuld therefre be strengthened with persnalised services and active and preventive labur market measures at an early stage. Such services and measures shuld be pen t all, including yung peple, thse threatened by unemplyment, and thse furthest away frm the labur market. Plicies t make wrk pay remain imprtant. In rder t increase cmpetitiveness and raise participatin levels, particularly fr the lw-skilled, and in line with ecnmic plicy guideline 2, Member States shuld encurage the right framewrk cnditins fr wage bargaining and labur cst develpment cnsistent with price stability and prductivity trends. Member States shuld review tax and benefit systems, and 30

31 public services capacity t prvide the supprt needed, in rder t increase labur frce participatin and stimulate labur demand. They shuld prmte active ageing, gender equality including equal pay, and the integratin in the labur market f yung peple, peple with disabilities, legal migrants and ther vulnerable grups. Wrk-life balance plicies with the prvisin f affrdable care and innvatin in the manner in which wrk is rganised shuld be geared t raising emplyment rates, particularly amng yung peple, lder wrkers and wmen. Member States shuld als remve barriers t labur market entry fr newcmers, prmte self-emplyment, entrepreneurship and jb creatin in all areas including green emplyment and care and prmte scial innvatin. The EU headline target, n the basis f which Member States will set their natinal targets, taking int accunt their relative starting psitins and natinal circumstances, is t aim t raise the emplyment rate fr wmen and men aged t 75 % by 2020, including thrugh the greater participatin f yung peple, lder wrkers and lw-skilled wrkers and the better integratin f legal migrants. Guideline 8: Develping a skilled wrkfrce respnding t labur market needs and prmting lifelng learning. Member States shuld prmte prductivity and emplyability thrugh an adequate supply f knwledge and skills t match current and future demand in the labur market. Quality initial educatin and attractive vcatinal training must be cmplemented with effective incentives fr lifelng learning fr thse wh are in and thse wh are nt in emplyment, thus ensuring every adult the chance t retrain r t mve ne step up in their qualificatin and vercme gender steretypes, as well as by pprtunities fr secndchance learning and by targeted migratin and integratin plicies. Member States shuld develp systems fr recgnising acquired cmpetencies, and shuld remve barriers t ccupatinal and gegraphical mbility f wrkers, prmte the acquisitin f transversal cmpetences t supprt creativity, innvatin and entrepreneurship. In particular, effrts shuld fcus n supprting thse with lw and bslete skills, increasing the emplyability f lder wrkers, enhancing training, skills and experience f highly skilled wrkers, including researchers and wmen in scientific, mathematical and technlgical fields. In cperatin with scial partners and firms, Member States shuld imprve access t training, strengthen educatin and career guidance. These imprvements shuld be cmbined with the prvisin f systematic infrmatin n new jb penings and pprtunities, the prmtin f entrepreneurship and enhanced anticipatin f skill needs. Investment in human resurce develpment, up-skilling and participatin in lifelng learning schemes shuld be prmted thrugh jint financial cntributins frm gvernments, individuals and emplyers. T supprt yung peple and in particular thse nt in emplyment, educatin r training, Member States, in cperatin with the scial partners, shuld enact schemes t help thse peple find initial emplyment, jb experience, r further educatin and training pprtunities, including apprenticeships, and shuld intervene rapidly when yung peple becme unemplyed. Regular mnitring f the perfrmance f up-skilling and anticipatin plicies shuld help identify areas fr imprvement and increase the respnsiveness f educatin and training systems t current and emerging labur market needs, such as the lw-carbn and resurce-efficient ecnmy. The ESF and ther EU funds shuld be mbilised, where apprpriate, by Member States t supprt these bjectives. Plicies stimulating labur demand culd cmplement investments in human capital. Cuncil Decisin 2012/238/EU f 26 April 2012 prlnging the Emplyment Guidelines fr 2012 The guidelines fr the emplyment plicies f the Member States, as set ut in the Annex t Decisin 2010/707/EU, are hereby maintained fr 2012 and shall be taken int accunt by the Member States in their emplyment plicies. 31

32 3. Further reading The Annual Grwth Survey Pririties at EU level The Jint Emplyment Reprt Cuncil Cnclusin n Healthy and Dignified ageing (December 2009) Cuncil cnclusins n Active Ageing (7 June 2010) Cuncil cnclusins n Healthy Ageing acrss the Lifecycle (7 December 2012) Cuncil Declaratin n the Eurpean Year fr Active Ageing and Slidarity between Generatins (2012): The Way Frward (6 December 2012) Eurpean Year fr Active Ageing and Slidarity between Generatins 32

33 A Early schl leaving 8 Thematic bjectives Investment pririties Ex ante cnditinality Criteria fr fulfilment 9. Investing in skills, educatin and lifelng learning (Educatin target) (referred t in Article 9(10)) ESF: - preventing and reducing early schl-leaving ERDF: - investing in educatin, skills and lifelng learning by develping educatin and training infrastructure Early schl leaving: The existence f a cmprehensive strategy t reduce early schl leaving (ESL) in accrdance with the Cuncil recmmendatin f 28 June 2011 n plicies t reduce ESL within the limits f Article 165 TFEU A system fr cllecting and analysing data and infrmatin n ESL at relevant levels is in place that: prvides a sufficient evidencebase t develp targeted plicies and mnitrs develpments. A strategy n ESL is in place that: is based n evidence; cvers relevant educatinal sectrs, including early childhd develpment, and addresses preventin, interventin and cmpensatin measures; invlves all plicy sectrs and stakehlders that are relevant t address ESL. 1. When t assess applicability? The applicability f this ex-ante cnditinality has t be assessed if a Member State invests in preventing and reducing early schl leaving (as set ut in clumn 2 f Annex V) under the fllwing investment pririties: - ESF: Reducing early schl-leaving and prmting equal access t gdquality early-childhd, primary and secndary educatin (Art. 3(1)(b)(i) ESF Reg.) - ERDF: investing in educatin, skills and lifelng learning by develping educatin and training infrastructure (Art. 5(10) ERDF Reg.). It is therefre nt necessary t assess the applicability f this ex-ante cnditinality in case Member States invest nly in imprving the quality f educatin (e.g. teacher training). 8 The table belw is partly based n the Cuncil cmprmise text and partly n the Cmmissin's initial prpsal (yellw parts). Mrever, the Cmmissin suggests that this ex ante cnditinality shuld als be applicable fr ERDF investments. 33

34 2. Definitins A cmprehensive strategy is based n evidence and n lnger-term bjectives which are agreed and implemented in cperatin with relevant stakehlders (gvernment, educatin prviders, labur market stakehlders, scial partners, etc.). It can be established in a single plicy dcument r in a set f inter-linked plicy dcuments. Hwever, a strategy is mre than a cllectin f measures. In case measures are cntained in different plicy dcuments, they need t be embedded in a strategic apprach twards the strategy's bjective. A strategy sets ut the scpe, timeframe, cncrete and cmprehensive bjectives,including mapping f the necessary infrastructure with a view t assuring its lng-term ptimisatin and sustainability, allcatin f resurces, measures t achieve these and mnitring and evaluatin instruments t assess prgress f implementatin. In the case f early schl leaving (ESL), the term cmprehensive strategy refers t the Cuncil Recmmendatin n plicies t reduce early schl leaving 9 and its understanding f cmprehensive and evidence-based plicies t reduce ESL. In this cntext a strategy culd als be an actin plan, guidelines fr the different plicy levels implementing measures against ESL, r even parts f the natinal legislatin n schl educatin. Als a natinal prgramme which supprts an evidence-based and cmprehensive apprach t tackle ESL can indicate a clearly defined plicy t reduce ESL. Depending n the institutinal cntext f the Member State, the strategy n ESL can be natinal r reginal. In case f a reginal OP and reginal cmpetence n ESL, nly the ESL strategy f the regin will need t be assessed. Based n evidence: This means that main characteristics f ESL prcesses in the cuntry (at natinal, reginal and lcal/schl level) are identified and prven by current data and infrmatin, taking int accunt demgraphic factrs. The infrmatin is used as a basis fr targeted plicy develpment and the measures taken r described within the strategy are cnsistent with the specific situatin within the cuntry. Cvers relevant educatinal sectrs: This means that, in general, measures address educatin levels ISCED0 t ISCED3 10, bth general educatin and vcatinal educatin and training and include als special needs educatin r (if systems are inclusive) the needs f students with specific educatinal needs. Hwever, in case evidence shws that there is n ESL prblem in ne r mre f these sectrs, they will nt be cnsidered as relevant sectrs. Early childhd educatin and care is cnceived as an imprtant measure t prvide all children with a gd start int educatin and is accessible especially fr grups at increased risk f ESL (such as sci-ecnmically disadvantaged grups, migrants, Rma). Measures shuld be in place t ensure high quality standards. 9 OJ C 191, ISCED 0: Early childhd educatin; ISCED 1: Primary educatin; ISCED 2: Lwer secndary educatin; ISCED 3: Upper secndary educatin; ISCED 4: Pst-secndary nn-tertiary educatin; ISCED 5: Shrt-cycle tertiary educatin; ISCED 6: Bachelr's r equivalent level; ISCED 7: Master's r equivalent level; ISCED 8: Dctral r equivalent level (see 34

35 Preventin, interventin and cmpensatin measures: Preventative measures seek t tackle the prblem even befre the first symptms f it are visible. They lk at pre-cnditins fr successful schling and the design f educatin and training systems. Ptential bstacles t schl success at system level are e.g. high retentin rates, schl segregatin, limited access t high quality educatin fr disadvantaged grups r in disadvantaged areas, inflexibility f educatinal pathways. Interventin aims t avid ESL by imprving the quality f educatin and training and prviding targeted supprt t pupils r grups f pupils at risk. Measures shall supprt pupils at risk f ESL and are mainly implemented at schl-level and especially in schls mst affected by ESL. They shuld be accessible t all pupils cncerned. Cmpensatin measures create pprtunities fr thse wh left educatin and training prematurely, but want t gain the qualificatins they missed at a later stage in their life. The aim is als t reintegrate yung adults in danger f scial exclusin by ffering a range f tailr-made educatin and training pprtunities (such as secnd chance schls). Invlves all plicy sectrs and stakehlders: This means that the strategy is crdinated acrss different plicy sectrs (e.g. scial plicy, emplyment, yuth, and health) and invlves different stakehlder such as parents, lcal cmmunities, municipalities, emplyers, yuth rganisatins. Measures supprting the reductin f early schl leaving shuld be integrated int all relevant plicies aimed at children and yung peple. A system t cllect sufficient evidence: This is a system that prvides sufficient infrmatin t understand ESL prcesses in the cuntry (at natinal, reginal and lcal level) and t develp targeted plicies against ESL. Relevant infrmatin is fr example - Number, age, sex f schl drp-uts and early schl leavers - Sci-ecnmic status and ethnicity f early schl leavers (either f students r neighburhd) - Infrmatin n pupils r grups f pupils mst at risk f early schl leaving - Reasns fr early schl leaving Data and infrmatin shuld be cllected systematically, at the same mments in the year and with a clear methd in place, nt e.g. n an ad hc basis r limited t the data cllectin f the Labur Frce Survey. Data shuld be cllected at different gegraphical levels and in all types f educatin and training and shuld be available at municipal/lcal, reginal and natinal levels (in aggregated frmat). Data cllectin shuld cver all types f educatin and training (e.g. general educatin, Vcatinal Educatin and Training, special needs educatin, private and public). Currently mst plicies and measures against ESL lack evaluatin and mnitring. Insufficient data cllectin is ne f the reasns fr that. Systems shuld allw fr mnitring develpments; aggregated data and infrmatin shuld preferably be publically available, easy t access and are used fr mnitring measures against ESL. 35

36 3. Surce f infrmatin fr assessment Cuntry-specific Cuncil recmmendatins Natinal Refrm Prgrammes Cmmissin Staff Wrking Dcuments n the assessment f the Natinal Refrm Prgrammes and the Stability/Cnvergence Prgrammes Natinal Educatin and Training 2020 reprts frm Eurydice cuntry reprts licy_develpments Mapping f cuntry practices in cllecting data n early schl leaving (will be published n website in Feb. 2013) Results f the Peer Review n ESL in March 2013 (cvering 8 cuntries) Member States' legislatin and plicy dcuments 4. Ratinale fr the ex-ante cnditinality The success rates f Member States in reducing ESL are different als due t the way plicies against ESL are cnceptualized. Only few Member States fllw a cnsistent and cmprehensive strategy t reduce ESL. Many initiatives against ESL are nt sufficiently linked t ther plicies addressing yung peple. There is als ften a lack f sund analysis f the specific prblems within a regin r target grup. With regard t ESF c-financed measures in six Member States, the Special Reprt f the Curt f Auditrs frm 2006 cncluded that "ESF c-financed activities fr ESL were initiated withut adequate analysis f the existing situatin and the expected r targeted result." The reprt als states that "activities did nt frm part f a strategic plan ( )." (OJ 2006/C99/3 and 7). The ex-ante cnditinality shuld ensure that initiatives are based n a sund analysis f the situatin within the cuntry r regin and are part f a mre strategic apprach t fight ESL. 36

37 5. The fulfilment and nn-fulfilment f criteria: Criteria fr fulfilment A system fr cllecting and analysing data and infrmatin n ESL at relevant levels is in place There is a clear systematic apprach t cllect and analyse data n ESL at the relevant territrial level. It prvides a sufficient evidence-base t develp targeted plicies and mnitrs develpments The system allws fr an identificatin f the main causes triggering ESL, fr an identificatin f the grups mst affected by ESL, and fr mnitring develpments It is pssible t have aggregated data at the schl and relevant territrial levels; data are available at least n an annual basis. Data cver number, age, sex f schl drp-uts and early schl leavers. Infrmatin n reasns fr early schl leaving is available. A strategy n ESL is in place that The self-assessment cntains a reference t the strategy r indicates where it r its different elements are published (in the frm f a link) In case there is n strategy against ESL adpted r published, the self-assessment demnstrates the link between the elements at frming an equivalent t a strategy It is based n evidence The main factrs triggering ESL in the cuntry (at the relevant territrial levels) are identified and prven by current data and infrmatin. The measures taken r described within the strategy are cnsistent with the specific situatin within the cuntry (at the relevant territrial levels) and target the grups at risk f early schl leaving. Infrastructure needs taking int accunt demgraphic trends - t address ESL have been appraised and translated int a lng-term strategy f the infrastructure netwrk, where relevant, with a view t ensuring effectiveness and sustainability. It cvers relevant educatinal sectrs, including early childhd develpment, and addresses preventin, interventin and cmpensatin measures: YES / NO Criteria fulfilled? Elements f nn-fulfilment 37

38 Depending n the identified ESL prblems, measures address: All relevant educatin levels up t ISCED3. Bth general educatin and vcatinal educatin and training. Special needs educatin r (if systems are inclusive) the needs f students with specific educatinal needs. Preventin: Early childhd educatin and care (ECEC) is accessible and there are measures t ensure gd quality. Especially grups at increased risk f ESL have access t gd quality ECEC. Preventin: Ptential bstacles t schl success at system level (e.g. inflexible learning pathways, deficiencies in teacher educatin, segregatin, lack f accessible gd quality infrastructure, etc.) are identified; mid-term r lng-term slutins are under develpment r at implementatin stage. The measures have the ptential t remve the described bstacles Interventin: Measures t supprt pupils at risk f ESL are implemented at schl-level and especially in schls mst affected by it Interventin: Measures t supprt individual pupils at risk f ESL are accessible t all pupils cncerned and especially t grups mst affected by it Interventin: In case f need, measures invlve als actrs utside schl such as scial and yuth services, lcal cmmunity r ther educatin and training prvider Cmpensatin: Yung peple wh drpped ut f educatin and training are ffered pssibilities t return t mainstream educatin r t acquire relevant qualificatins within alternative settings Cmpensatin: Yung peple receive additinal targeted supprt if needed, including financial supprt, but als guidance and cunselling It invlves all plicy sectrs and stakehlders that are relevant t address ESL The strategy is crdinated acrss different plicy sectrs Measures supprting the reductin f early schl leaving are integrated int all relevant plicies aimed at children and yung peple (such as scial plicy and supprt services, emplyment, yuth, family, and integratin plicies.) There is bth a hrizntal crdinatin between different actrs at relevant territrial levels and vertical crdinatin thrugh different levels f gvernment. 38

39 Annex: BACKGROUND INFORMATION 1. EU basis fr including the ex-ante cnditinality in the CPR prpsal Cuncil Recmmendatin f 28 June 2011 n plicies t reduce early schl leaving (OJ C 191 f , p. 1) 2. Extract f relevant dcuments Cuncil Recmmendatin f 28 June 2011 n plicies t reduce early schl leaving HEREBY RECOMMENDS THAT MEMBER STATES: Make use f the framewrk set ut in the Annex t this Recmmendatin, accrding t natinal circumstances, in rder t: 1. Identify the main factrs leading t early schl leaving and mnitr the characteristics f the phenmenn at natinal, reginal and lcal level as the fundatin fr targeted and effective evidencebased plicies. 2. Ensure that cmprehensive strategies n early schl leaving are in place by the end f 2012, and that they are implemented in line with natinal pririties and the Eurpe 2020 bjectives. Cmprehensive strategies are taken t include preventin measures, interventin measures and cmpensatin measures, the latter being aimed at re-engaging peple wh have drpped ut f educatin. 3. Ensure that thse strategies include apprpriate measures fr grups at increased risk f early schl leaving in the Member State, such as children with a sci-ecnmically disadvantaged, migrant r Rma backgrund, r with special educatinal needs. 4. Ensure that thse strategies address in a cherent manner bth general educatin and vcatinal educatin and training, and the challenges specific t each. 5. Integrate measures which supprt the reductin f early schl leaving rates in relevant plicies targeted at children and yung peple, and crdinate activities amng different plicy sectrs Cuncil Recmmendatin f 28 June 2011 n plicies t reduce early schl leaving, Annex Strategies n early schl leaving shuld be based n an analysis at natinal, reginal and lcal level f the cnditins leading t the phenmenn, as average rates ften mask large differences between different regins r cuntries. Early schl leavers are a hetergeneus grup and individual mtivatins t leave 39

40 educatin prematurely differ widely. Family backgrund and wider sci-ecnmic cnditins such as pull frm the labur market are imprtant factrs. Their impact is cnditined by the structure f the educatin and training system, by available learning pprtunities, and by the learning envirnment. The crdinatin f plicies addressing the well-being f children and yung peple, scial security, yuth emplyment and future career perspectives has an imprtant rle t play in reducing early schl leaving. ( ) Cmprehensive strategies n early schl leaving cmprise a mix f plicies, crdinatin acrss different plicy sectrs and the integratin f measures supprting the reductin f early schl leaving int all relevant plicies aimed at children and yung peple. In additin t educatin plicies that prmte highquality schl systems, these are principally scial plicy and supprt services, emplyment, yuth, family, and integratin plicies. Hrizntal crdinatin between different actrs and vertical crdinatin thrugh different levels f gvernment are equally imprtant. Strategies n early schl leaving shuld cmprise preventin, interventin and cmpensatin elements. Member States shuld select the detailed cmpnents f their strategies accrding t their wn circumstances and cntexts. 3. Further reading SWD "Reducing early schl leaving " [SEC(2011)96], 26 January

41 A Active inclusin 11 Thematic bjectives Investment pririties Ex ante cnditinality Criteria fr fulfilment 10. Prmting scial inclusin and cmbating pverty (pverty target) (referred t in Article 9(9)) ESF: - Active inclusin with a view t imprving emplyment pprtunities ERDF: - investing in health and scial infrastructure which cntribute t natinal, reginal and lcal develpment, reducing inequalities in terms f health status, and transitin frm institutinal t cmmunity-based services - supprt fr physical and ecnmic regeneratin f deprived urban and rural cmmunities The existence and the implementatin f a natinal strategic plicy framewrk fr pverty reductin aiming at the active inclusin f peple excluded frm the labur market in the light f the Emplyment guidelines. A natinal strategic plicy framewrk fr pverty reductin, aiming at active inclusin, is in place that: prvides a sufficient evidence base t develp plicies fr pverty reductin and mnitr develpments; is in accrdance with the natinal pverty and scial exclusin target (as defined in the Natinal Refrm Prgramme), which includes the extensin f emplyment pprtunities fr disadvantaged grups; includes measures fr the shift frm institutinal t cmmunity based care; invlves relevant stakehlders in cmbating pverty; Upn request and where necessary relevant stakehlders can be prvided with supprt fr submitting prject applicatins and fr implementing and managing the selected prjects. 1. When t assess applicability? The applicability f this ex-ante cnditinality has t be assessed if a Member State selects the fllwing investment pririties: - ESF: Active inclusin (Art. 3(1)(c)(i) ESF Reg.) - ERDF: investing in health and scial infrastructure which cntribute t natinal, reginal and lcal develpment, reducing inequalities in terms f health 11 The table belw is partly based n the Cuncil cmprmise text and partly n the Cmmissin's initial prpsal (yellw parts). Mrever, the Cmmissin suggests that this ex ante cnditinality shuld be als applicable fr ERDF investments. 41

42 status, and transitin frm institutinal t cmmunity-based services (Art. 5(9)(a) ERDF Reg.) supprt fr physical and ecnmic regeneratin f deprived urban and rural cmmunities (Art. 5(9)(b) ERDF Reg.) 2. Definitins A strategic plicy framewrk is based n evidence and n lnger-term bjectives which are agreed and implemented in cperatin with relevant stakehlders (gvernment, educatin prviders, labur market stakehlders, scial partners, etc.). It can be established in a single plicy dcument r in a set f inter-linked plicy dcuments. It sets ut the scpe, timeframe, cncrete and cmprehensive bjectives, allcatin f resurces, measures t achieve these, including any necessary infrastructure investments, and mnitring and evaluatin instruments t assess prgress f implementatin. In the case f pverty reductin a natinal strategic plicy framewrk fr pverty reductin has the main characteristics f the cmprehensive and integrated active inclusin strategy described in the 2008 Recmmendatin n active inclusin. A fully cmprehensive plicy design defines the right mix f the three strands (adequate incme supprt, labur market activatin, and access t enabling services) f the active inclusin strategy, taking accunt their jint impact n the scial and ecnmic integratin f disadvantaged peple and their pssible interrelatinships, including synergies and trade-ffs. An integrated apprach refers t the jint implementatin (and delivery) f the three strands preferably in the frm f single-access pints. A natinal strategic plicy framewrk shuld als address the vertical crdinatin f plicies amng lcal, reginal, and natinal gvernments. Sufficient evidence base means the state f active inclusin strategy in the respective Member State based n indicatrs n active inclusin 12. The indicatrs have t lk at areas such as adequacy and cverage f adequate incme supprt, jbless husehlds, inwrk pverty, financial disincentives, as well as, access t educatin (fr the lw skilled adults), healthcare, and husing. There has t be evidence f integrated service delivery ("ne-stp-shps"), r credible plans n the implementatin f integrated apprach. An institutin is a residential care where: - residents are islated frm the brader cmmunity and/r cmpelled t live tgether; - residents d nt have sufficient cntrl ver their lives and ver decisins which affect them; - the requirements f the rganisatin itself tend t take precedence ver the residents individualised needs. Cmmunity based services: This term refers t the spectrum f services that enable individuals t live in the cmmunity and, in the case f children, t grw up in a family envirnment as ppsed t institutins. It encmpasses mainstream services such as husing, healthcare, educatin, emplyment, culture and leisure, which shuld be accessible t everyne regardless f the nature f their impairment r the required level 12 See the Fundatins and structures fr a Jint Assessment Framewrk (JAF), including an Emplyment Perfrmance Mnitr (EPM) t mnitr the Emplyment Guidelines under Eurpe

43 f supprt. It als refers t specialised services, such as persnal assistance fr persns with disabilities. In additin, the term includes family-based and family-like care fr children, including substitute family care and preventive measures fr early interventin and family supprt. Deinstitutinalisatin: It refers t the prcess f develping a range f services in the cmmunity, including preventin, in rder t eliminate the need f institutinal care. Measures fr the transitin frm institutinal t cmmunity based care: These measures include the develpment f services based in the cmmunity enabling peple t live independently and preventing the need f institutinalisatin. In the case f children in alternative care, the prvisin f family-based r family-like care which include family supprt shuld be in place. Relevant stakehlders: It refers t active participatin f all relevant actrs, including thse affected by pverty and scial exclusin, the scial partners, nn-gvernmental rganisatins and service prviders, in the develpment, implementatin and evaluatin f strategies. 3. Surce f infrmatin fr assessment Eurpean Cmmissin Staff Wrking Dcument: Fllw-up n the implementatin by the Member States f the 2008 Eurpean Cmmissin recmmendatin n active inclusin f peple excluded frm the labur market Twards a scial investment apprach (SWD(2013)39 f ). Natinal Refrm Prgrammes Cuntry-specific Cuncil recmmendatins Cmmissin Staff Wrking Dcuments n the assessment f the Natinal Refrm Prgrammes and the Stability/Cnvergence Prgrammes EU Netwrk f Independent Experts n Scial Inclusin (Frazer, H. and Marlier, E ) Assessment f the implementatin f the Eurpean Cmmissin recmmendatin n active inclusin 43

44 Natinal Scial Reprts 0&cuntry=0&year=0&advSearchKey=SPCNatinalScialReprt&mde=advancedSub mit&langid=en 4. Ratinale fr the ex-ante cnditinality The varius challenges n the welfare systems (changing demgraphics, as well as, budget cnstraints due t the ecnmic and financial crisis) have led t grwing risks f pverty and scial and labur market exclusin in many cuntries. They nt nly threaten the prspect f reaching the Eurpe 2020 targets, but als risk durably excluding a fringe f Eurpe's ppulatin frm the labur market and mre generally frm sciety. An apprach based n active inclusin is particularly well psitined by fcusing n bth effectiveness (adequate incme supprt cmbined with activatin and access t enabling services) and efficiency (such as ne-stp-shps that reduce administrative burden and fraud). The strategy/strategic plicy framewrk shuld explain hw any infrastructure needs have been appraised and hw resulting investments will be ptimised and sustainable, taking int accunt relevant cnsideratins such as demgraphic and territrial factrs. Mnitring and evaluatin f active inclusin strategies may identify practices that yield mre efficient and effective reductin in pverty (thus chesin plicy investments shuld be targeted t the identified practices). Mnitring f the pverty target in light f the implementatin f Guideline 10 f the Emplyment Guidelines may help t identify natinal challenges, set ut key measures, develp and spread mre effective and innvative methds and instruments. This wuld lead t making better use f chesin plicy investments and thus increase the effectiveness f chesin plicy - t prmte scial inclusin and cmbat discriminatin. 44

45 5. The fulfilment and nn-fulfilment f criteria: Criteria fr fulfilment A natinal strategic plicy framewrk fr pverty reductin aiming at active inclusin is in place. that: The self-assessment cntains a reference t the name f the framewrk and indicates where it r its different elements are published (in the frm f a link). prvides a sufficient evidence base t develp plicies fr pverty reductin and mnitr develpments The natinal strategic plicy framewrk is based n an analysis f the Member State's pverty reductin ptential and is based n indicatrs relevant t active inclusin, The analysis cvers all three pillars 13 f active inclusin separately) and addresses the cmprehensive and integrated nature f the strategy.). The natinal strategic plicy framewrk highlights areas in need f imprvement, as well as the prpsed/implemented measures. is in accrdance with the natinal pverty and scial exclusin target (as defined in the Natinal Refrm Prgramme), which includes the extensin f emplyment pprtunities fr disadvantaged grups; There is a natinal pverty and scial inclusin target. The strategic plicy framewrk is geared twards prgress in achieving the target and there is a tangible link between the verall plicy framewrk and the pverty target. When addressing the challenges f implementing an active inclusin strategic plicy framewrk, there is a cncrete reference n hw tackling challenges (such as lw cverage, inadequate incme supprt, in-wrk pverty, lack f access t services, r lack f integrated apprach) cntributes t the verall pverty reductin target. invlves relevant stakehlders in cmbating pverty; There is evidence that relevant stakehlders are invlved in the design and implementatin f the natinal strategic plicy framewrk. YES / NO Criteria fulfilled? Elements f nn-fulfilment 13 i.e. adequate incme supprt, labur market activatin, and access t enabling services. 45

46 includes measures fr the shift frm institutinal t cmmunity based care; Measures fr the transitin frm institutinal t cmmunity based care are in place 14. Measures fr enabling access t mainstream services in their cmmunity (educatin and training, emplyment, husing, health, transprt, leisure activities) t everyne, regardless the nature f their impairment, are in place. Upn request and where necessary relevant stakehlders can be prvided with supprt fr submitting prject applicatins and fr implementing and managing the selected prjects. Measures are in place t supprt applicants upn their request in preparing and submitting applicatins fr prjects, inter alia by prviding infrmatin and advice n the design f peratins and n the prcedure fr the submissin f applicatins Measures are in place t supprt beneficiaries upn their request t implement and manage the selected prjects, inter alia by prviding infrmatin and advice 14 See sectin 2. 46

47 Annex: BACKGROUND INFORMATION 1. EU basis fr including the ex-ante cnditinality in the CPR prpsal Eurpean Cmmissin Recmmendatin f 3 Octber 2008 n the active inclusin f the peple excluded frm the labur market (OJ L 307, , p. 11) Cnclusins f the Eurpean Cuncil, June 2010 (EUCO 13/10) Cuncil Decisin 2010/707/EU f 21 Octber 2010 n guidelines fr the emplyment plicies f the Member States Eurpean Cuncil Cnclusins f 17 December 2008 n "Cmmn active inclusin principles t cmbat pverty mre effectively" Cuncil decisin f 26 Nvember 2009 cncerning the cnclusin f the United Natins Cnventin n the rights f persns with disabilities. Cmmunicatin frm the Cmmissin t the Eurpean Parliament, the Cuncil, the Eurpean Ecnmic and Scial Cmmittee and the Cmmittee f the Regins Eurpean Disability Strategy : A Renewed Cmmitment t a Barrier-Free Eurpean Cmmissin Cuncil Cnclusin 6 June 2011 n "The Eurpean pact f mental health and wellbeing : results and future actin" United Natins Cnventin n the rights f the child adpted in

48 2. Extract f relevant dcuments Eurpean Cmmissin Recmmendatin f 3 Octber 2008 n the active inclusin f the peple excluded frm the labur market (OJ L 307, , p. 11). The Cmmissin f the Eurpean Cmmunities HEREBY RECOMMENDS THAT THE MEMBER STATES SHOULD: Design and implement an integrated cmprehensive strategy fr the active inclusin f peple excluded frm the labur market cmbining adequate incme supprt, inclusive labur markets and access t quality services. Active inclusin plicies shuld facilitate the integratin int sustainable, quality emplyment f thse wh can wrk and prvide resurces which are sufficient t live in dignity, tgether with supprt fr scial participatin, fr thse wh cannt. 2. Ensure the effectiveness f integrated active inclusin plicies thrugh: (a) cmprehensive plicy design defining the right mix f the three strands f the active inclusin strategy, taking accunt f their jint impact n the scial and ecnmic integratin f disadvantaged peple and their pssible interrelatinships, including synergies and trade-ffs; (b) integrated implementatin acrss the three strands f the active inclusin strategy t effectively address the multifaceted causes f pverty and scial exclusin and enhance crdinatin between public agencies and services which deliver active inclusin plicies; (c) plicy crdinatin amng lcal, reginal, natinal and EU authrities in the light f their particular rles, cmpetences and pririties; (d) active participatin f all ther relevant actrs, including thse affected by pverty and scial exclusin, the scial partners, nn-gvernmental rganisatins and service prviders, in the develpment, implementatin and evaluatin f strategies. United Natin Cnventin n the rights f persns with disabilities Article 19 - Living independently and being included in the cmmunity States Parties t this Cnventin recgnize the equal right f all persns with disabilities t live in the cmmunity, with chices equal t thers, and shall take effective and apprpriate measures t facilitate full enjyment by persns with disabilities f this right and their full inclusin and participatin in the cmmunity, including by ensuring that: a.persns with disabilities have the pprtunity t chse their place f residence and where and with whm they live n an equal basis with thers and are nt bliged t live in a particular living arrangement; b.persns with disabilities have access t a range f in-hme, residential and ther cmmunity supprt services, including persnal assistance necessary t supprt living and inclusin in the cmmunity, and t prevent islatin r segregatin frm the cmmunity; c.cmmunity services and facilities fr the general ppulatin are available n an equal basis t persns with disabilities and are respnsive t their needs. 48

49 United Natins Cnventin n the Rights f the Child Article 3 Preamble Cnvinced that the family, as the fundamental grup f sciety and the natural envirnment fr the grwth and well-being f all its members and particularly children, shuld be affrded the necessary prtectin and assistance s that it can fully assume its respnsibilities within the cmmunity, Recgnizing that the child, fr the full and harmnius develpment f his r her persnality, shuld grw up in a family envirnment, in an atmsphere f happiness, lve and understanding, 1. In all actins cncerning children, whether undertaken by public r private scial welfare institutins, curts f law, administrative authrities r legislative bdies, the best interests f the child shall be a primary cnsideratin. 2. States Parties undertake t ensure the child such prtectin and care as is necessary fr his r her well-being, taking int accunt the rights and duties f his r her parents, legal guardians, r ther individuals legally respnsible fr him r her, and, t this end, shall take all apprpriate legislative and administrative measures. 3. States Parties shall ensure that the institutins, services and facilities respnsible fr the care r prtectin f children shall cnfrm with the standards established by cmpetent authrities, particularly in the areas f safety, health, in the number and suitability f their staff, as well as cmpetent supervisin. United Natins guidelines n the alternative care fr children, adpted in 2009 Chapter II: general Principles 20. Use f residential care shuld be limited t cases where such a setting is specifically apprpriate, necessary and cnstructive fr the individual child cncerned and in his/her best interest. 22. While recgnising that residential care and family based care cmplement each ther in meeting the needs f the children, where large residential care facilities remain, alternatives shuld be develped in the cntext f an verall deinstitutinalisatin strategy with precise gals and bjectives which will allw fr their prgressive eliminatin. T this end states shuld establish care standards t ensure the quality and cnditins that are cnductive t the child's develpment, such as individualised and small-grup care and shuld evaluate existing facilities against these standards. Eurpean Disability Strategy : A Renewed Cmmitment t a Barrier-Free Eurpe Chapter 2 The Cmmissin will wrk t prmte the transitin frm institutinal t cmmunity-based care by: using Structural Funds and the Rural Develpment Fund t supprt the develpment f cmmunity-based services and raising awareness f the situatin f peple with disabilities living in residential institutins, in particular children and elderly peple; 49

50 Cuncil Cnclusin 6 June 2011 n "The Eurpean pact f mental health and wellbeing : results and future actin" The Cuncil f the Eurpean Unin 21. INVITES Member States t: Prmte, where pssible and relevant, cmmunity-based, scially inclusivetreatment and care mdels; 22. INVITES Member States and the Cmmisin t: Managing the evlutin f cmmunity-based and scially-inclusive appraches t mental health; Scial Prtectin Cmmittee's key messages, annexed t the Cuncil cnclusins f 4 Octber 2012 n preventing and tackling child pverty and scial exclusin and prmting children's well-being Supprt children and their families thrugh high quality child prtectin and scial services and preventive measures based n the child s best interest. Where alternative care is necessary, ensure quality care, access t mainstream services and supprt transitin t adulthd thrugh specific services. 3. Further reading Cmmissin Cmmunicatin f n a Cmmissin Recmmendatin n the active inclusin f peple excluded frm the labur market (COM(2008) 639 final). Eurpean Parliament Reslutin f n the active inclusin f peple excluded frm the labur market (2008/2335(INI)) Mental health declaratin f the Eurpean ministerial cnference f the Wrld Health Organisatin f 15 January data/assets/pdf_file/0008/96452/e87301.pdf United Natins guidelines n the alternative care fr children, adpted in Scial Prtectin Cmmittee reprt n tackling and preventing child pverty and child well-being 50

51 Cuncil Cnclusins n preventing and tackling child pverty and scial exclusin and prmting children's well-being, 14437/12 Octber 2012; including key messages frm the Scial Prtectin Cmmittee Reprt f the Ad Hc Expert Grup n the Transitin frm Institutinal t Cmmunity-based Care 51

52 52

53 B. GENERAL EX ANTE CONDITIONALITIES B. 5. State aid 15 AREA Ex ante cnditinality Criteria fr fulfilment 5. State aid The existence f arrangements fr the effective applicatin f EU state aid law in the field f the CSF Funds. Arrangements fr the effective applicatin f EU State aid rules; Arrangements fr training and disseminatin f infrmatin fr staff invlved in the implementatin f the funds; Arrangements t ensure administrative capacity fr implementatin and applicatin f EU State aid rules. 1. When t assess applicability? This cnditinality is linked t ensuring effective implementatin and applicatin f EU State aid law. This cnditinality is relevant and applicable where the supprt granted under a pririty may cnstitute State aid (incl. de minimis aid). In principle, the State aid cnditinality applies t all specific bjectives determined and fr all types f supprt (including grants and financial instrumentsbut it will need t be determined case by case. 2. Definitins (currently applicable sme f the regulatins and guidelines mentined belw are under revisin and might be subject t changes as f 2014) State aid is defined by Article 107(1) TFEU as "any aid granted by a Member State r thrugh State resurces in any frm whatsever which distrts r threatens t distrt cmpetitin by favuring certain undertakings r the prductin f certain gds shall, in s far as it affects trade between Member States." Ntificatin and ex ante authrisatin: Member States are bliged t ntify the Cmmissin f any plan t grant r alter State aid, in accrdance with Article 108(3) TFEU. Member States must nt put the aid measure int effect until the Cmmissin has reached a decisin. 15 The text f the table belw is based n the Cuncil Cmprmise text f 24 April

54 There are hwever sme exceptins. The fllwing types f aid are exempted frm prir ntificatin: de minimis aid, aid granted under the General Blck Exemptin Regulatin (GBER), aid granted under an existing scheme 16, aid fr prjects entrusted as SGEI in accrdance t Cmmissin's SGEI decisin 17, and aid t which Regulatin 1370/ applies. Unlawful (r illegal) aid: New aid put int effect in cntraventin f Article 108(3) TFEU, which means granted by a Member State withut required prir ntificatin t the Cmmissin and/r withut having btained the authrisatin by the Cmmissin. Unlawful aid, after examinatin by the Cmmissin, can be fund t be cmpatible r incmpatible with the internal market. Aid which is bth unlawful and incmpatible aid is subject t a Cmmissin's recvery decisin. Incmpatible aid: State aid which the Cmmissin finds t be incmpatible with the internal market because it des nt fall under ne f the exceptins freseen in the Treaty, in particular Article 107(2) r (3). Incmpatible aid may nt be granted and, in case it has already been unlawfully granted, it can be subject t a recvery decisin. The de minimis Regulatin 19 was intrduced in rder t exempt small aid amunts. It sets a ceiling belw which aid is deemed nt t fall within the scpe f Article 107(1) TFEU and is therefre exempt frm the ntificatin requirement laid dwn in Article 108(3) TFEU. - Aid f n mre than EUR granted ver a perid f three years t ne undertaking (including all undertakings f the same grup) is nt regarded as state aid within the meaning f Article 107(1) TFEU. It is anther requirement that the recipient is duly infrmed that the supprt is granted as de-minimis aid. - A specific ceiling f EUR applies t rad transprt. General Blck Exemptin Regulatin (GBER) 20 : The bligatin fr Member States fr cmpulsry prir ntificatin is remved fr certain types f aid as identified in the GBER. As a result, Member States are able t grant aid that meets the cnditins laid dwn in that Regulatin withut the frmal ntificatin prcedure and nly have t submit infrmatin sheets n the implemented aid. The GBER simplifies the treatment f State aid measures favuring jb creatin and bsting cmpetitiveness, i.e. measures in favur f SMEs. It fresees 26 categries f state aid measures, which are cnsidered t be cmpatible with State aid rules withut requiring prir ntificatin t the Cmmissin, as wuld therwise be freseen under TFEU. The GBER als cntains a series f cnditins which aim t ensure that the aid measures will indeed lead the beneficiary t undertake a prject r activity which he wuld nt have engaged in withut the aid (incentive effect). 16 Fr which the aid amunt is belw the ntificatin threshld Regulatin (EC) N 1370/2007f 23 Octber 2007 n public passenger transprt services by rail and by rad 19 This Regulatin is subject t changes under the State aid mdernisatin initiative. 20 This Regulatin is subject t changes under the State aid mdernisatin initiative. 54

55 Aid schemes: By cmplying with all terms f a State aid scheme, the State aid grantr can prvide State aid withut having it individually ntified t the Cmmissin. Hwever, befre any aid grantr can apply a scheme, it has t ntify the Cmmissin the scheme and the Cmmissin has t apprve it (with the exceptin f blck exempted schemes). Individual aid: ntifiable awards f aid n the basis f an aid scheme (fr instance because the aid amunt is abve a ntificatin threshld). Ad hc aid: State aid nt awarded n the basis f an aid scheme. "Deggendrf" Case (Case C-188/92, TWD Textilwerke Deggendrf GmbH v Germany, ("Deggendrf") ECR [1994], I-00833): when assessing a new aid measure, the Cmmissin shall take int accunt the fact that the beneficiary f this new aid has nt fully repaid earlier aid that is subject t a recvery decisin. As a result, the Cmmissin may decide nt t authrise the Member State t grant therwise cmpatible aid until the previus aid has been fully reimbursed. SME stands fr small and medium-sized enterprises as defined in EU law (Cmmissin Recmmendatin f 6 May 2003). The main factrs determining whether a cmpany is an SME are (1) number f emplyees and (2) either turnver r balance sheet ttal Surce f infrmatin fr assessment DG Cmpetitin website, State aid legislatin: State aid register: 4. Ratinale fr the ex ante cnditinality Under Article 107 TFEU, State aid is incmpatible with the internal market unless its psitive effects (in terms f cntributin t cmmn interest bjectives) utweigh its negative effects aid (in terms f effect n trading cnditins and cmpetitin in the Unin). Member States must ensure that mechanisms are in place t prevent incmpatible aid frm being granted. EU State aid rules prvide a framewrk fr ensuring that aid is well-designed, targeted at identified market failures and bjectives f cmmn interest, and least distrtive. In particular, State aid shuld induce the aid beneficiary t undertake activities it wuld nt have dne withut the aid (incentive 55

56 effect) and cmplement, withut replacing, private spending, while keeping the internal market cmpetitive and pen. Given the rle f Member States in the prper enfrcement f State aid rules in apprved r blckexempted measures, it is essential that apprpriate training and capacity are cnducted at all administrative levels. 56

57 5. Fulfilment and nn-fulfilment f criteria Criteria fr fulfilment Arrangements fr the effective applicatin f EU State aid rules in the field f ESI Funds: Measures are in place t prevent the granting f illegal aid, e.g. respect f cumulatin rules, respect f the "Deggendrf" bligatin, amendments int an existing scheme are systematically subject t a verificatin t ensure that the scheme is still cvered by the Cmmmissin apprval decisin r the General blck exemptin Regulatin; In case f repayable assistance prvided thrugh financial instruments, measures are in place t ensure that the managing authritiy, the fund f funds and the bdies implementing the financial instruments cmply with State aid rules. The cmpliance is required at the level f the fund manager, c-investr(s) and final recipients. Capacity t enfrce recvery rders with respect t bth illegal and incmpatible aid, which cvers: the pssibility t refer, if necessary, t natinal curts in case f illegal aid and recvery rders effectiveness f timely recvery Capacity t ensure prper cntrls f cmpliance the GBER and apprved schemes: There are prcedures and guidelines t ensure that granting authrities prperly check eligibility and cmpatibility cnditins (incentive effect, limitatin f the aid t maximum aid intensities, eligibility cnditins f schemes, SME-status f beneficiaries, etc.) Apprpriate knwledge abut any aid granted, including de minimis There is a system that makes sure that the reprting bligatins are fully cmplied with and in particular the infrmatin f aid granted is cmplete, YES/NO Criteria fulfilled? Elements f nn-fulfilment 57

58 accurate and timely (e.g. central registry fr aid granted, de minimis registry, transparency mechanisms). Arrangements fr training and disseminatin f infrmatin fr staff invlved in the implementatin f the funds: Apprpriate training fr staff applying EU State aid rules at all relevant levels (e.g. fr dedicated desks) has been prvided r is planned; Existence f a system f disseminatin f relevant State aid guidance t managing authrities, intermediate bdies, certifying authrities, audit authrities and beneficiaries, and in case f financial instruments als the fund f funds, and the bdies implementing the financial instruments (via websites, direct mail, etc.) Existence f a system f exchange f infrmatin fr all staff applying State aid rules linked t the implementatin f ESI Funds. Arrangements t ensure administrative capacity fr implementatin and applicatin f EU State aid rules: Existence f a central bdy (r a crdinated netwrk f bdies) having the administrative capacity (sufficient number and qualified staff) t give substantive practical and legal advice n applicatin f EU State aid rules and regularly exercising this capacity in practice; Pssibility fr technical assistance (e.g. technical guidance dcuments) ensured fr all bdies invlved in applying State aid rules. 58

59 Annex: BACKGROUND INFORMATION 1. EU basis fr including the ex ante cnditinality in the CPR prpsal Member States need t cmply with State aid rules. A cmpilatin f State aid legislatin in frce can be fund n the fllwing webpage: including: (1) Cre prvisins f the Treaty n the Functining f the Eurpean Unin (TFEU); (2) General Blck Exemptin Regulatin; (3) de minimis Regulatin; (4) hrizntal rules applying acrss all industries, setting ut the Cmmissin psitin n cmpatibility f aid (e.g. reginal aid guidelines (RAG), risk capital guidelines, envirnmental aid guidelines and R&D&I Framewrk). (5) Sectr-specific cmpatibility rules (e.g. n bradband r transprt) 2. Extract f relevant dcuments Cre prvisins f the Treaty n the Functining f the Eurpean Unin Article 107 TFEU (ex Article 87 TEC) 1. Save as therwise prvided in the Treaties, any aid granted by a Member State r thrugh State resurces in any frm whatsever which distrts r threatens t distrt cmpetitin by favuring certain undertakings r the prductin f certain gds shall, in s far as it affects trade between Member States, be incmpatible with the internal market. 2. The fllwing shall be cmpatible with the internal market: (a) aid having a scial character, granted t individual cnsumers, prvided that such aid is granted withut discriminatin related t the rigin f the prducts cncerned; (b) aid t make gd the damage caused by natural disasters r exceptinal ccurrences; (c) aid granted t the ecnmy f certain areas f the Federal Republic f Germany affected by the divisin f Germany, in s far as such aid is required in rder t cmpensate fr the ecnmic disadvantages caused by that divisin. Five years after the entry int frce f the Treaty f Lisbn, the Cuncil, acting n a prpsal frm the Cmmissin, may adpt a decisin repealing this pint. 3. The fllwing may be cnsidered t be cmpatible with the internal market: (a) aid t prmte the ecnmic develpment f areas where the standard f living is abnrmally lw r where there is serius underemplyment, and f the regins referred t in Article 349, in view f their structural, ecnmic and scial situatin; (b) aid t prmte the executin f an imprtant prject f cmmn Eurpean interest r t remedy a serius disturbance in the ecnmy f a Member State; (c) aid t facilitate the develpment f certain ecnmic activities r f certain ecnmic areas, where such aid des nt adversely affect trading cnditins t an extent cntrary t the cmmn interest; 59

60 (d) aid t prmte culture and heritage cnservatin where such aid des nt affect trading cnditins and cmpetitin in the Unin t an extent that is cntrary t the cmmn interest; (e) such ther categries f aid as may be specified by decisin f the Cuncil n a prpsal frm the Cmmissin. Article 108 (ex Article 88 TEC) 1. The Cmmissin shall, in cperatin with Member States, keep under cnstant review all systems f aid existing in thse States. It shall prpse t the latter any apprpriate measures required by the prgressive develpment r by the functining f the internal market. 2. If, after giving ntice t the parties cncerned t submit their cmments, the Cmmissin finds that aid granted by a State r thrugh State resurces is nt cmpatible with the internal market having regard t Article 107, r that such aid is being misused, it shall decide that the State cncerned shall ablish r alter such aid within a perid f time t be determined by the Cmmissin. If the State cncerned des nt cmply with this decisin within the prescribed time, the Cmmissin r any ther interested State may, in dergatin frm the prvisins f Articles 258 and 259, refer the matter t the Curt f Justice f the Eurpean Unin direct. On applicatin by a Member State, the Cuncil may, acting unanimusly, decide that aid which that State is granting r intends t grant shall be cnsidered t be cmpatible with the internal market, in dergatin frm the prvisins f Article 107 r frm the regulatins prvided fr in Article 109, if such a decisin is justified by exceptinal circumstances. If, as regards the aid in questin, the Cmmissin has already initiated the prcedure prvided fr in the first subparagraph f this paragraph, the fact that the State cncerned has made its applicatin t the Cuncil shall have the effect f suspending that prcedure until the Cuncil has made its attitude knwn. If, hwever, the Cuncil has nt made its attitude knwn within three mnths f the said applicatin being made, the Cmmissin shall give its decisin n the case. 3. The Cmmissin shall be infrmed, in sufficient time t enable it t submit its cmments, f any plans t grant r alter aid. If it cnsiders that any such plan is nt cmpatible with the internal market having regard t Article 107, it shall withut delay initiate the prcedure prvided fr in paragraph 2. The Member State cncerned shall nt put its prpsed measures int effect until this prcedure has resulted in a final decisin. 4. The Cmmissin may adpt regulatins relating t the categries f State aid that the Cuncil has, pursuant t Article 109, determined may be exempted frm the prcedure prvided fr by paragraph 3 f this Article. Article 109 (ex Article 89 TEC) The Cuncil, n a prpsal frm the Cmmissin and after cnsulting the Eurpean Parliament, may make any apprpriate regulatins fr the applicatin f Articles 107 and 108 and may in particular determine the cnditins in which Article 108(3) shall apply and the categries f aid exempted frm this prcedure. 3. Further reading State Aid Mdernisatin Mst State aid rules are subject t review in 2013 in the framewrk f the State Aid Mdernisatin initiative (SAM), and new rules will enter int frce in 2013/2014. Regularly updated infrmatin is available n the fllwing webpage: Reginal aid 60