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Structural instruments - Regulatory Context in Brief Overview

Structural instruments - Regulatory Context in Brief Overview. Objectives for Community Support of Regional Policy. Objective 1: For NUTS II regions whose per capita GDP (in PPP) is lower than 75% of EU average (94/96 data) Objective 2: For areas affected by socio-economic restructuring

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Structural instruments - Regulatory Context in Brief Overview

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  1. Structural instruments-Regulatory Contextin Brief Overview

  2. Objectives for Community Support of Regional Policy • Objective 1: For NUTS II regions whose per capita GDP (in PPP) is lower than 75% of EU average (94/96 data) • Objective 2: For areas affected by socio-economic restructuring • Objective 3: For regions not covered by Objective 1 - to support all human resources actions across a Member State

  3. Objective 1 • List of eligible regions decided by the European Commission • 22% of EU population • 69.7% of the funds (136 billion EURO) • Outermost and ex-Objective 6 regions included as Objective 1 regions • Transitional period of 6 or 7 years for areas losing eligibility • Objective 1 funds also for PEACE and Swedish coast programmes

  4. Objective 2 • Total coverage = 18% of EU population • 11,6% of the funds (22,5 billion EURO) • Indicative coverage of 4 strands at EU level: • industrial and service areas (10%) • rural areas (5%) • urban areas (2%) • fisheries-dependent areas (1%) • Transitional period of 6 years for areas losing eligibility

  5. Objective 3 • 12.3% of the funds (24 billion EURO) • Adapting and modernising systems of education, training and employment: • accompanying economic and social changes • lifelong education and training systems • active labour market policies to fight unemployment • promoting social inclusion and equal opportunities

  6. Structural Instruments • European Regional Development Fund • European Social Fund • European Agriculture Guarantee and Guidance Fond(EAGGF) • Financial Instrument for Fisheries Guidance • Cohesion Fund

  7. European Regional Development Fund Mission: “to redress regional imbalances in Community” “to promote stable and sustainable development” Fields of intervention: • productive investment to create and/or safeguard permanent jobs • infrastructure • endogenous potential • local development • SMEs • technical assistance

  8. European Social Fund Mission:“human resource development and employment” Fields of intervention: • Support for multi-annual National Action Plans • active labour market policies to promote integration • social inclusion/ equal opportunities • lifelong learning systems • training for innovation and adaptability • improved participation of women • Local development and Territorial Employment Pacts • Information society

  9. European Agriculture Guarantee and Guidance Fund(EAGGF) Mission:“support CAP, rural development and improvement of agricultural structures” Fields of intervention: • ‘Accompanying’ measures • early retirement • agri-environment • forestry • less-favoured areas • Other measures • restructuring of farms • setting up of young farmers • training • processing and marketing • Rural development measures

  10. Financial Instrument for Fisheries Guidance Mission: “balanced resource management and competitive structures” Fields of intervention: • Measures to ensure a sustainable balance to supply and demand • Strengthening competitiveness • Processing and marketing • Revitalisation of fisheries areas

  11. Cohesion Fund • Mission: support for improvement of transport infrastructure and environment • Eligibility criteria: • for countries with a GNP/inhabitant lower than 90% of the EU average • for projects in transport and environment fields • Annual budget: 2,615 billion EURO per year • Review of eligibility in 2003

  12. Planning and use of fundinginstruments (1) Objective 1 • 1 CSF, with 1 OP per region (or SPD if < 1 billion EURO) • funded by the ERDF, ESF, EAGGF-Guidance, FIFG

  13. Planning and use of funding instruments (2) Objective 2 • 1 SPD per region (NUTS II level) • funded by the ERDF, ESF (EAGGF-Guarantee) Objective 3 • 1 SPD per country • funded by the ESF Community Initiatives: one Fund per Initiative

  14. Partnership arrangements (1)A more decentralised cohesion policy • Within the Member States:widening and deepening definition of the partnership • regional and local authorities and other competent authorities • economic and social partners • other competent bodies including NGOs, environmental sector etc. • active involvement of partners in all stages of programming

  15. Partnership arrangements (2)A more decentralised cohesion policy • Between the Commission and the Member States • a clear definition of responsibilities with three key players • the Commission • the programme Management Authority • the Monitoring Committee

  16. Programming: 4 main steps 1. Programme guidance issued by the Commission 2. Development plans submitted by Member States after consultation with partners 3. Adoption of strategy by the Commission: • quantified strategic targets • priorities • funding allocations 4.Detailed programming of measures by Management Authority and Monitoring Committees

  17. Planning and programming timetable • Plans and programmes to cover 7 years (except of transition areas) • Plans submitted by Member States within 4 months after list of eligible regions is concluded • Commission decision within 5 months of receiving plans: CSF or SPD • Commission decision within 5 months of receiving proposed OPs • Member States to submit Programme Complement within 3 months of approval of SPD or OP

  18. Requirements on plans and programmes • Regional Developments Plans: • reinforced ex- ante evaluation • CSF, SPDs: • strategic priorities, financial allocations a. methods of implementation • SPDs and OPs will no longer contain measures, as they did before • Programme Complement: measures, finance by measure, beneficiaries, publicity actions

  19. Programming: who does what? (1) Commission: • determines eligible regions and indicative financial allocations • establishes programme guidance • adopts (modifies) programmes only at the level of strategic priorities • monitories at strategic level • approves large-scale projects (>EURO 50 million)

  20. Programming: who does what? (2) Member State-Managing Authority: • prepares plans • prepares and adopts the programming complement • sub-delegates responsibilities as necessary - global grants • selects projects • prepares annual report • implements the mid-term evaluation • ensures that information and publicity rules are adhered to

  21. Programming: who does what? (3) Member State - Monitoring Committee • agrees on Programming complement • lays down project selection criteria • monitors programme implementation: • proposes programme changes to Management Authority • agrees on proposals to change Programming complement • approves mid-term evaluation • agrees Annual report

  22. Principle of Additionality • ”The Funds may not replace public or other equivalent structural expenditure by the Member State” • Three verifications:ex-ante, mid-term, ex-post • measured against structural expenditures in all Objective 1 regions (for Objective 1)... • ...or expenditures on active labour market policies outside Objective 1 regions (for Objectives 2 and 3)

  23. Ceilings on co-financing rates • calculated at measure level • general conditions unchanged • new ceilings where substantial revenue generated from infrastructure: • Objective 1: 40% + 10% for Cohesion Fund states • Objective 2: 25% • can be 10% higher if not direct grants • and where investment in firms: • Objective 1: 35% • Objective 2: 15% • can be 10% higher for SMEs if not direct grants

  24. Monitoring arrangements:A more transparent implementation • Key annual meetings encounter: • Commission and Management Authority for management questions • Commission and control authorities for control questions • Monitoring of targets for quantified indicators • Mid-term review of implementation • Improved information and publicity system

  25. Evaluation: a tool for better programming • ex-ante evaluation submitted by Member State with plans; new emphasis on • employment situation • environmental impact • equality between men and women • mid-term evaluation implemented by Managing authority using an independent expert: consequences for reprogramming • ex-post evaluation implemented by European Commission by 2009

  26. Financial ManagementCombining simplification and efficiency • Automatic annual commitments • Automatic de-commitment of unused resources • Payment on account of 7% on the adoption of the programme • New system of reimbursements against expenditure incurred • Final payment of 5% at closure of programme • Flat-rate indexation of 2% built into budget with review for 2004-2006

  27. Financial ControlA clearer division of responsibilities • Member States are responsible for: • efficient systems for financial control • prevention of irregularities • correction of irregularities • ensuring compliance with Community law • Commission is responsible for: • checks on efficiency of financial control systems • consequences: possible suspension or cancellation of payments • organisation of annual meetings

  28. The performance reserveA new tool to encourage improved performance • 4% of national resources allocated before 31.3.2004 • Assessment of programme performance based on: • realisation of aims decided ex-ante • the quality of the programme management • the absorption of EU resources and their leverage effect • choice of indicators by Member State, based on proposals by Commission • Member State proposes successful programmes • Allocation of Funds by the Commission

  29. Closing ongoing programmes • Programmes before 1994 • requests for payments until 31.3.2001 • automatic decommitments until 30.9.2001 • Programmes from period 1994-1999: • requests for payments until 31.3.2003 • automatic decommitments until 30.9.2003

  30. Commission implementing decisions • Eligibility of expenditure (article 30) • Use of the EURO (article 33) • Financial control (article 38) • Financial corrections (article 39) • Information and Publicity (article 46) • ….others if necessary

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