PART I:Thematic ex ante conditionalities

ERDF:

• All investment priorities under thematic objective no. 1.

• A national or regional smart specialisation strategy is in place that:

  • is based on a SWOT or similar analysis to concentrate resources on a limited set of research and innovation priorities;

  • outlines measures to stimulate private RTD investment;

  • contains a monitoring mechanism.

• A framework outlining available budgetary resources for research and innovation has been adopted.

ERDF:

• Enhancing research and innovation (R&I) infrastructure and capacities to develop R&I excellence, and promoting centres of competence, in particular those of European interest.

ERDF:

• Developing ICT products and services, e-commerce, and enhancing demand for ICT.

• Strengthening ICT applications for e-government, e-learning, e-inclusion, e-culture and e-health.

ERDF:

• Extending broadband deployment and the roll-out of high-speed networks and supporting the adoption of emerging technologies and networks for the digital economy.

ERDF:

• Promoting entrepreneurship, in particular by facilitating the economic exploitation of new ideas and fostering the creation of new firms, including through business incubators.

• Supporting the capacity of SMEs to grow in regional, national and international market, and to engage in innovation processes.

ERDF + Cohesion Fund:

• Supporting energy efficiency, smart energy management and renewable energy use in public infrastructure, including in public buildings, and in the housing sector.

ERDF + Cohesion Fund:

• Promoting the use of high-efficiency co-generation of heat and power based on useful demand.

ERDF + Cohesion Fund:

• Promoting the production and distribution of energy derived from renewable sources.

• Transparent support schemes, priority in grid access or guaranteed access and priority in dispatching, as well as standard rules relating to the bearing and sharing of costs of technical adaptations which have been made public are in place consistent with Article 14(1), Article 16(2) and 16(3) of Directive 2009/28/EC of the European Parliament and of the Council52.

• A Member State has adopted a national renewable energy action plan consistent with Article 4 of Directive 2009/28/EC.

ERDF + Cohesion Fund:

• Promoting investment to address specific risks, ensuring disaster resilience and developing disaster management systems.

ERDF + Cohesion Fund:

• Investing in the water sector to meet the requirements of the Union's environmental acquis and to address needs, identified by the Member States for investment that goes beyond those requirements.

• In sectors supported by the ERDF and the Cohesion Fund, a Member State has ensured a contribution of the different water uses to the recovery of the costs of water services by sector consistent with the first indent of Article 9(1) of Directive 2000/60/EC having regard, where appropriate, to the social, environmental and economic effects of the recovery as well as the geographic and climatic conditions of the region or regions affected.

• The adoption of a river basin management plan for the river basin district consistent with Article 13 of Directive 2000/60/EC

ERDF + Cohesion Fund:

• Investing in the waste sector to meet the requirements of the Union's environmental acquis and to address needs, identified by the Member States, for investment that goes beyond those requirements.

• An implementation report as requested by Article 11(5) of Directive 2008/98/EC has been submitted to the Commission on progress towards meeting the targets set out in Article 11 of Directive 2008/98/EC.

• The existence of one or more waste management plans as required under Article 28 of Directive 2008/98/EC;

• The existence of waste prevention programmes, as required under Article 29 of Directive 2008/98/EC;

• Necessary measures to achieve the targets on preparation for re-use and recycling by 2020 consistent with Article 11(2) of Directive 2008/98/EC have been adopted.

ERDF + Cohesion Fund:

• Supporting a multimodal Single European Transport Area by investing in the TEN-T.

• Developing and rehabilitating comprehensive, high quality and interoperable railway systems, and promoting noise-reduction measures.

• Developing and improving environmentally-friendly (including low-noise) and low-carbon transport systems, including inland waterways and maritime transport, ports, multimodal links and airport infrastructure, in order to promote sustainable regional and local mobility.

ERDF:

• Enhancing regional mobility by connecting secondary and tertiary nodes to TEN-T infrastructure, including multimodal nodes.

• The existence of a comprehensive transport plan or plans or framework or frameworks for transport investment which complies with legal requirements for strategic environmental assessment and sets out:

  • the contribution to the single European Transport Area consistent with Article 10 of Regulation (EU) No 1315/2013 of the European Parliament and of the Council53, including priorities for investments in:

    • the core TEN-T network and the comprehensive network where investment from the ERDF and the Cohesion Fund is envisaged; and

    • secondary connectivity;

  • a realistic and mature pipeline for projects for which support from the ERDF and the Cohesion Fund is envisaged;

• Measures to ensure the capacity of intermediary bodies and beneficiaries to deliver the project pipeline.

ERDF + Cohesion Fund:

• Supporting a multimodal Single European Transport Area by investing in the TEN-T.

• Developing and rehabilitating comprehensive, high quality and interoperable railway systems, and promoting noise-reduction measures.

• Developing and improving environmentally-friendly (including low-noise) and low-carbon transport systems, including inland waterways and maritime transport, ports, multimodal links and airport infrastructure, in order to promote sustainable regional and local mobility.

ERDF:

• Enhancing regional mobility by connecting secondary and tertiary nodes to TEN-T infrastructure, including multimodal nodes.

• The existence of a section on railway development within the transport plan or plans or framework or frameworks as set out above which complies with legal requirements for strategic environmental assessment (SEA) and sets out a realistic and mature project pipeline (including a timetable and budgetary framework);

• Measures to ensure the capacity of intermediary bodies and beneficiaries to deliver the project pipeline.

ERDF + Cohesion Fund:

• Supporting a multimodal Single European Transport Area by investing in the TEN-T.

• Developing and rehabilitating comprehensive, high quality and interoperable railway systems, and promoting noise-reduction measures.

• Developing and improving environmentally-friendly (including low-noise) and low-carbon transport systems, including inland waterways and maritime transport, ports, multimodal links and airport infrastructure, in order to promote sustainable regional and local mobility.

ERDF:

• Enhancing regional mobility through connecting secondary and tertiary nodes to TEN-T infrastructure, including multimodal nodes.

• The existence of a section on inland-waterways and maritime transport, ports, multimodal links and airport infrastructure within the transport plan or plans or framework or frameworks which:

  • complies with legal requirements for strategic environmental assessment;

  • sets out a realistic and mature project pipeline (including a timetable and budgetary framework);

• Measures to ensure the capacity of intermediary bodies and beneficiaries to deliver the project pipeline.

ERDF:

• Improving energy efficiency and security of supply through the development of smart energy distribution, storage and transmission systems and through the integration of distributed generation from renewable sources.

• Comprehensive plans describing the national energy infrastructure priorities are in place that are:

  • in accordance with Article 22 of Directive 2009/72/EC and of Directive 2009/73/EC, where applicable, and

  • consistent with the relevant regional investment plans under Article 12 and with the Union-wide ten-year network development plan in accordance with point (b) of Article 8(3) of Regulation (EC) No 714/2009 of the European Parliament and of the Council54 and with Regulation (EC) No 715/2009 of the European Parliament and of the Council55, and

  • compatible with Article 3(4) of Regulation (EU) No 347/2013 of the European Parliament and of the Council56;.

• Those plans shall contain:

  • a realistic and mature project pipeline for projects for which support from the ERDF is envisaged;

  • measures to achieve the objectives of social and economic cohesion and environmental protection, in line with Article 3(10) of Directive 2009/72/EC and Article 3(7) of Directive 2009/73/EC;

  • measures to optimise the use of energy and promote energy efficiency, in line with Article 3(11) of Directive 2009/72/EC and Article 3(8) of Directive 2009/73/EC.

ESF:

• Access to employment for job-seekers and inactive people, including the long-term unemployed and people far from the labour market, also through local employment initiatives and support for labour mobility.

• Employment services have the capacity to, and do, deliver:

  • personalised services and active and preventive labour market measures at an early stage, which are open to all jobseekers while focusing on people at highest risk of social exclusion, including people from marginalised communities;

  • comprehensive and transparent information on new job vacancies and employment opportunities taking into account the changing needs of the labour market.

• Employment services have set up formal or informal cooperation arrangements with relevant stakeholders.

ESF:

• Self employment, entrepreneurship and business creation including innovative micro, small and medium-sized enterprises.

ERDF:

• Supporting the development of business incubators and investment support for self-employment, micro-enterprises and business creation.

ESF:

• Modernisation of labour market institutions, such as public and private employment services, and improving the matching of labour market needs, including through actions that enhance transnational labour mobility as well as through mobility schemes and better cooperation between institutions and relevant stakeholders.

ERDF:

• Investing in infrastructure for employment services.

• Actions to reform employment services, aiming at providing them with the capacity to deliver:

  • personalised services and active and preventive labour market measures at an early stage, which are open to all jobseekers while focusing on people at highest risk of social exclusion, including people from marginalised communities;

  • comprehensive and transparent information on new job vacancies and employment opportunities taking into account the changing needs of the labour market.

• Reform of employment services will include the creation of formal or informal cooperation networks with relevant stakeholders.

ESF:

• Active and healthy ageing.

• Relevant stakeholders are involved in the design and follow-up of active ageing policies with a view to retaining elderly workers on the labour market and promoting their employment;

• A Member State has measures in place to promote active ageing.

ESF:

• Adaptation of workers, enterprises and entrepreneurs to change.

ESF:

• Sustainable integration into the labour market of young people, in particular those not in employment, education or training, including young people at risk of social exclusion and young people from marginalised communities, including through the implementation of the Youth Guarantee.

ESF:

• Active inclusion, including with a view to promoting equal opportunities and active participation, and improving employability.

ERDF:

• Investing in health and social infrastructure which contributes to national, regional and local development, reducing inequalities in terms of health status, promoting social inclusion through improved access to social, cultural and recreational services and the transition from institutional to community-based services.

• Providing support for physical, economic and social regeneration of deprived communities in urban and rural areas.

• A national strategic policy framework for poverty reduction, aiming at active inclusion, is in place that:

  • provides a sufficient evidence base to develop policies for poverty reduction and monitor developments;

  • contains measures supporting the achievement of the national poverty and social exclusion target (as defined in the National Reform Programme), which includes the promotion of sustainable and quality employment opportunities for people at the highest risk of social exclusion, including people from marginalised communities;

  • involves relevant stakeholders in combating poverty;

  • depending on the identified needs, includes measures for the shift from institutional to community based care;

• Upon request and where justified, relevant stakeholders will be provided with support for submitting project applications and for implementing and managing the selected projects.

ESF:

• Socio-economic integration of marginalised communities such as the Roma.

ERDF:

• Investing in health and social infrastructure which contributes to national, regional and local development, reducing inequalities in terms of health status, promoting social inclusion through improved access to social, cultural and recreational services and the transition from institutional to community-based services.

• Providing support for physical, economic and social regeneration of deprived communities in urban and rural areas.

• Investing in education, training and vocational training for skills and lifelong learning by developing education and training infrastructure.

• A national Roma inclusion strategic policy framework is in place that:

  • sets achievable national goals for Roma integration to bridge the gap with the general population. These targets should address the four EU Roma integration goals relating to access to education, employment, healthcare and housing;

  • identifies where relevant those disadvantaged micro-regions or segregated neighbourhoods, where communities are most deprived, using already available socio-economic and territorial indicators (i.e. very low educational level, long-term unemployment, etc);

  • includes strong monitoring methods to evaluate the impact of Roma integration actions and a review mechanism for the adaptation of the strategy;

  • is designed, implemented and monitored in close cooperation and continuous dialogue with Roma civil society, regional and local authorities.

• Upon request and where justified, relevant stakeholders will be provided with support for submitting project applications and for implementing and managing the selected projects.

ESF:

• Enhancing access to affordable, sustainable and high-quality services, including health care and social services of general interest.

ERDF:

• Investing in health and social infrastructure which contributes to national, regional and local development, reducing inequalities in terms of health status, promoting social inclusion through improved access to social, cultural and recreational services and the transition from institutional to community-based services.

• A national or regional strategic policy framework for health is in place that contains:

  • coordinated measures to improve access to health services;

  • measures to stimulate efficiency in the health sector, through deployment of service delivery models and infrastructure;

  • a monitoring and review system.

• A Member State or region has adopted a framework outlining available budgetary resources on an indicative basis and a cost-effective concentration of resources on prioritised needs for health care.

ESF:

• Reducing and preventing early school-leaving and promoting equal access to good quality early-childhood, primary and secondary education, including formal, non-formal and informal learning pathways for reintegrating into education and training.

ERDF:

• Investing in education, training and vocational training for skills and lifelong learning by developing education and training infrastructure.

• A system for collecting and analysing data and information on ESL at relevant levels is in place that:

  • provides a sufficient evidence-base to develop targeted policies and monitors developments.

• A strategic policy framework on ESL is in place that:

  • is based on evidence;

  • covers relevant educational sectors including early childhood development, targets in particular vulnerable groups that are most at risk of ESL including people from marginalised communities, and addresses prevention, intervention and compensation measures;

  • involves all policy sectors and stakeholders that are relevant to addressing ESL.

ESF:

• Improving the quality and efficiency of, and access to, tertiary and equivalent education with a view to increasing participation and attainment levels, especially for disadvantaged groups.

ERDF:

• Investing in education, training and vocational training for skills and lifelong learning by developing education and training infrastructure.

ESF:

• Enhancing equal access to lifelong learning for all age groups in formal, non-formal and informal settings, upgrading the knowledge, skills and competences of the workforce, and promoting flexible learning pathways including through career guidance and validation of acquired competences.

ERDF:

• Investing in education, training and vocational training for skills and lifelong learning by developing education and training infrastructure.

ESF:

• Improving the labour market relevance of education and training systems, facilitating the transition from education to work, and strengthening vocational education and training (VET) systems and their quality, including through mechanisms for skills anticipation, adaptation of curricula and the establishment and development of work-based learning systems, including dual learning systems and apprenticeship schemes.

ERDF:

• Investing in education, training and vocational training for skills and lifelong learning by developing education and training infrastructure

ESF:

• Investment in institutional capacity and in the efficiency of public administrations and public services at the national, regional and local levels with a view to reforms, better regulation and good governance.

ERDF:

• Enhancing institutional capacity of public authorities and stakeholders and efficient public administration through actions to strengthen the institutional capacity and the efficiency of public administrations and public services related to the implementation of the ERDF, and in support of actions under the ESF to strengthen the institutional capacity and the efficiency of public administration.

Cohesion Fund:

• Enhancing institutional capacity of public authorities and stakeholders and efficient public administration through actions to strengthen the institutional capacity and the efficiency of public administrations and public services related to the implementation of the Cohesion Fund.

PART II:General ex ante conditionalities

The existence of administrative capacity for the implementation and application of Union anti-discrimination law and policy in the field of ESI Funds

• Arrangements in accordance with the institutional and legal framework of Member States for the involvement of bodies responsible for the promotion of equal treatment of all persons throughout the preparation and implementation of programmes, including the provision of advice on equality in ESI fund-related activities;

• Arrangements for training for staff of the authorities involved in the management and control of the ESI Funds in the fields of Union anti-discrimination law and policy.

The existence of administrative capacity for the implementation and application of Union gender equality law and policy in the field of ESI Funds

• Arrangements in accordance with the institutional and legal framework of Member States for the involvement of bodies responsible for gender equality throughout the preparation and implementation of programmes, including the provision of advice on gender equality in ESI Fund-related activities;

• Arrangements for training for staff of the authorities involved in the management and control of the ESI Funds in the fields of Union gender equality law and policy as well as on gender mainstreaming.

The existence of administrative capacity for the implementation and application of the United Nations Convention on the rights of persons with disabilities (UNCRPD) in the field of ESI Funds in accordance with Council Decision 2010/48/EC57

• Arrangements in accordance with the institutional and legal framework of Member States for the consultation and involvement of bodies in charge of protection of rights of persons with disabilities or representative organisations of persons with disabilities and other relevant stakeholders throughout the preparation and implementation of programmes;

• Arrangements for training for staff of the authorities involved in the management and control of the ESI Funds in the fields of applicable Union and national disability law and policy, including accessibility and the practical application of the UNCRPD as reflected in Union and national legislation, as appropriate;

• Arrangements to ensure monitoring of the implementation of Article 9 of the UNCRPD in relation to the ESI Funds throughout the preparation and the implementation of the programmes.

The existence of arrangements for the effective application of Union public procurement law in the field of the ESI Funds.

• Arrangements for the effective application of Union public procurement rules through appropriate mechanisms;

• Arrangements which ensure transparent contract award procedures;

• Arrangements for training and dissemination of information for staff involved in the implementation of the ESI funds;

• Arrangements to ensure administrative capacity for implementation and application of Union public procurement rules.

The existence of arrangements for the effective application of Union State aid rules in the field of the ESI Funds.

• Arrangements for the effective application of Union State aid rules;

• Arrangements for training and dissemination of information for staff involved in the implementation of the ESI funds;

• Arrangements to ensure administrative capacity for implementation and application of Union State aid rules.

The existence of arrangements for the effective application of Union environmental legislation related to EIA and SEA.

• Arrangements for the effective application of Directive 2011/92/EU of the European Parliament and of the Council58 (EIA) and of Directive 2001/42/EC of the European Parliament and of the Council59 (SEA);

• Arrangements for training and dissemination of information for staff involved in the implementation of the EIA and SEA Directives;

• Arrangements to ensure sufficient administrative capacity.

The existence of a statistical basis necessary to undertake evaluations to assess the effectiveness and impact of the programmes.

The existence of a system of result indicators necessary to select actions, which most effectively contribute to desired results, to monitor progress towards results and to undertake impact evaluation.

• Arrangements for timely collection and aggregation of statistical data with the following elements are in place:

  • the identification of sources and mechanisms to ensure statistical validation;

  • arrangements for publication and public availability of aggregated data;

• An effective system of result indicators including:

  • the selection of result indicators for each programme providing information on what motivates the selection of policy actions financed by the programme;

  • the establishment of targets for these indicators;

  • the consistency of each indicator with the following requisites: robustness and statistical validation, clarity of normative interpretation, responsiveness to policy, timely collection of data;

• Procedures in place to ensure that all operations financed by the programme adopt an effective system of indicators.