(PA) for the European Structural and Investments Funds (ESI Funds

Report
Draft template for
the Partnership Agreement (PA) for
the European Structural and
Investments Funds
(ESI Funds)
Workshop on strategic
programming
Madrid 22.02.13
DG REGIO & DG EMPL
1
I. Introduction
• Templates are provisional: based on agreement
EP and Council on strategic programming bloc,
but ‘nothing is agreed until everything is agreed’
• Two parts:
• Structure based on regulatory requirements
• Guidance on the presentation of content
• Aim:
• Common understanding on expectations on
content  consistent approach
• Facilitate informal dialogue
• Basis for developing SFC 2014-2020 (structured
data)
• Not implementing act
2
Role of the Partnership Agreement
(PA)
• Joint strategy at national level for the ESI Funds, consistent
with the EU 2020 strategy
• It should:
• provide assurance for the Commission and for the
partners/public, that the strategic choices are justified
• promote cooperation and coordination between
relevant authorities and upstream agreements on
coordination arrangements to facilitate implementation
later on
• provide for transparency by including commitments not
only vis-à-vis the Commission but also with respect to the
partners and beneficiaries
3
Important steps towards PA adoption
Commission services position paper
Informal dialogue
Adoption of Regulations
Submission of PA: 4 months following entry
into force of CPR (Art. 13(4) CPR)
• Commission observations: 3 months following
PA submission
• Adoption of (parts of) PA (i.e. elements of Art.
14(1) CPR) by decision: 4 months following PA
submission
•
•
•
•
4
Structure of the draft PA template
1. A. Arrangements to ensure alignment with the Europe
2020 strategy as well as the Fund specific missions
pursuant to their Treaty-based objectives, including
economic, social and territorial cohesion (Art. 14(1)(a)
CPR)
B. The application of horizontal principles and policy
objectives for the implementation of the ESI Funds + list
of programmes
2. Arrangements to ensure effective implementation (Art.
14(1)(b) CPR)
3. Integrated approach to territorial development (Art.
14(2)(a) CPR)
4. Arrangements to ensure efficient implementation (Art.
14(2)(b) CPR)
5
Section 1.A.
Alignment with the Europe
2020 strategy as well as the
Fund specific missions
(Art. 14(1)(a) CPR)
6
1.1. Analysis of disparities, development needs
and growth potentials (1)
• Analysis to be based on:
• Relevant country-specific Council
Recommendations (CSRs)
• Distance to national Europe 2020 targets
• National Reform Programme (NRP)
• Common Strategic Framework
• Experience 2007-2013
• Other national, macro-regional strategies and seabasin strategies which are relevant to the MS NRP
and to TOs
• Analysis to be consistent with position paper
• Analysis to underpin the selection of TOs
7
1.1. Analysis of disparities, development needs,
and growth potentials (2)
• Analysis taking into account the specific institutional
context of the MS and its territorial challenges:
• territorial imbalances, development needs and
bottlenecks to be addressed in relation to CSR and the
national Europe 2020 targets;
• challenges of regions in particular situations;
• specific development needs and growth potentials of
urban, rural and coastal areas;
• cross-border coordination challenges, particularly in
the context of macro-regional and sea-basin
strategies.
1.2. Summary of ex-ante evaluations of
programmes or of the PA
1.3. Thematic objectives and main expected results
For each selected thematic objective and each
Fund:
• Set out main development needs and funding
priorities for each thematic objective
• If a development need (as e.g. expressed in the CSR
or ex ante) has not been addressed, how does MS
intend to address it?
• Outline the main results sought for each Fund.
Possible to aggregate the respective targets
• Provide evidence supporting the allocation across
9
thematic objectives
1.4.1. Indicative allocation of EU support
by TO at national level by ESI Fund
ERDF
ESF CF EAFRD EMFF TOTAL
1.Strengthening
research,
technological development and
innovation
…
8. Promoting employment and
supporting labour mobility
9. Promoting social inclusion and
combating poverty
10. Investing in education, skills
and lifelong learning
11.
Enhancing
institutional
capacity and an efficient public
administration
Technical assistance
TOTAL
10
1.4.2. Amount of support foreseen for
climate change objectives
• Figure generated automatically by SFC based on
tables available for programmes already encoded
in SFC.
• Methodology to be established through an
implementing Act – Based on the categorisation
• For ERDF, different coefficient applied to the
categories
• For ESF, secondary themes
11
Section 1.B.
Application of horizontal
principles and policy
objectives for implementation
of ESI Funds
List of programmes
12
1.5.1. Arrangements for the partnership
principle (Art. 5 CPR and Code of Conduct Partnership) (1)
• MS have to organise a partnership in accordance with
their institutional and legal framework with:
• competent regional and local authorities
• competent urban and other public authorities
• economic and social partners
• relevant bodies representing civil society, including
environmental partners, NGOs, and bodies
responsible for promoting social inclusion, gender
equality and non-discrimination
• Partners to be involved in the preparation of PA and
progress report
1.5.1. Arrangements for the partnership
principle (Art. 5 CPR and Code of Conduct Partnership) (2)
PA to include:
• A description of the involvement of the partners
referred to in Art. 5 CPR in the preparation of the PA:
•
•
•
•
How partners have been selected
List of partners involved
Actions taken to facilitate a wide involvement of partners
Main results of the consultation with partners
• A description of the partners’ role in the preparation of
the progress report (Art. 46 CPR) and in the
implementation of the PA
1.5.2. Promotion of equality between men and
women, non-discrimination and accessibility
• Cfr. Art. 7 CPR: principles to be taken into account and
promoted in preparation and implementation
• Overview of the general approach to ensure the
promotion of those principles, including:
• arrangements in different types of programmes;
• arrangements for monitoring at national level;
• role of national (and/or regional) equality bodies in
programming, implementation, monitoring and
evaluation
• identification of any permanent or temporary structures
or functions to provide the necessary expertise
1.5.3. Sustainable development
• Article 8 CPR
• The PA should provide an overview of:
• how the "polluter pays" principle will be implemented;
• any national or other arrangements cutting across several
or all programmes to promote sustainable development
• Other relevant measures should be highlighted, where
applicable (e.g. application of green public procurement).
1.6. List of programmes (except ETC)
with indicative allocations/ESIF/yr
Prog.
title
Categ
ESI Fund
of
region
(ERDF,
ESF,
Cohesion
Fund,
EAFRD or
EMFF)
Total
2014
…
2019
2020
Total
17
Section 2
Arrangements to ensure
effective implementation
(Art. 14(1)(b) CPR)
18
2.1. Arrangements ensuring coordination
One of the key messages of CSF
• Between ESI Funds
• Between ESI Funds and other Union and
national funding instruments and EIB
• See Common Strategic Framework (CSF)
• Identify complementarities
• Mechanisms and structures to coordinate
interventions, promote complementarities, avoid
duplication of effort
• Coordination mechanisms aimed at applicants &
beneficiaries
19
2.2. Ex-ante verification of additionality
2.3. Ex-ante conditionalities
2.4. How to ensure consistency of the
performance framework across programmes
and Funds ?
2.5. Need to reinforce the administrative
capacity of the authorities involved in
management and control of programmes and
beneficiaries ?
2.6. Actions planned in the programmes to
achieve a reduction in the administrative
burden for beneficiaries
20
Section 3
Integrated approach to
territorial development
supported by the ESI Funds
(Art. 14(2)(a) CPR)
21
Introduction of section 3 – description of
the integrated approach
• synthetic description taking into account the
analysis under section 1, outlining:
- the main elements of the territorial strategy,
including the means to achieve an integrated
approach at regional and sub-regional level;
- the contribution of the integrated territorial
approach to the Europe 2020 strategy and to the
achievement of the selected thematic objectives.
• Description of the different territorial development
tools to be used, in the following sub-sections.
3.1.1.
CLLD
• Outline of the approach to community-led local development
(CLLD), including:
• main challenges, objectives and priorities to be tackled with
the CLLD approach;
• types of territories where CLLD would be implemented;
• funds to be used for CLLD, for what, where and with an
approximate planned budget allocation;
• multi-funded or mono-funded CLLD;
• Coordination of and administrative set-up for CLLD;
• Use of a lead fund;
• Arrangements for preparatory support;
3.1.2. Integrated territorial investments (ITI)
• An overview of the types of territories where
ITIs will be used, identifying the ESI Funds that
shall be used for ITIs.
• The implementation arrangements to carry out
integrated territorial strategies as ITI, including:
- coordination arrangements between ESI Funds
and managing authorities
- arrangements for the delegation of management
and implementation tasks of an ITI.
3.1.3.
Sustainable urban development
• The PA should provide:
• principles for identifying the urban areas where
integrated actions for SUD are to be implemented
• implementation arrangements for integrated
actions for SUD, including the use of ITI, where
applicable, and the funds used;
• role of the SUD strategies in promoting urbanrural linkages.
3.1.4.
The main priority areas for
cooperation, under the ESI Funds
• A description setting out:
• where appropriate, how macro-regional and seabasin strategies have been taken into account;
• the main priorities for European Territorial
Cooperation;
• Priority areas where complementary intervention
under the "Investment in growth and jobs goal"
and the European Territorial Cooperation goal is
considered necessary.
3.1.5. Integrated approach to address the
specific needs of geographical areas most
affected by poverty or of target groups at
highest risk of discrimination or exclusion
• An identification of the areas or groups and
description of their specific needs
• Special regard to marginalised communities,
persons with disabilities, LTU and NEET
• Overall strategy and integrated approach
• How the specific needs will be addressed
• Specific targets where appropriate
• The role of each ESI fund
3.1.6. Integrated approach to address
demographic challenges of regions or needs of
specific geographical areas
• relevant where the Member State has highlighted
in section 1 specific development needs
• brief summary of how the ESI Funds will be used
to tackle those specific development needs of
these regions, insofar as the approach is specific
to these regions.
Section 4
Arrangements to ensure
efficient implementation
(Art. 14(2)(b) CPR)
29
4.1. Assessment of existing systems for data
exchange and a summary of actions planned for
E-Cohesion
• Assessment to take account of the existing stage of
development
• MS has to make clear commitments as regards the steps
needed to fulfil the legal requirement to establish systems
for electronic exchange with beneficiaries – not only vis-àvis the Commission, but also with respect to partners and
beneficiaries
• MS need to develop a concrete plan on how to meet the
2014 (or 2016) deadline
• Need for timely coordination between authorities (possibly
beyond cohesion policy authorities) and a review of existing
procedures
30
Draft template on the
Operational programmes
under cohesion policy
Art. 24 and 87 CPR
31
Role of the operational programme
(OP)
• Set out a coherent intervention strategy
It should also:
• Entail firm commitments as regards
objectives, performance and funding
• Take into account both sectoral challenges and
territorial imbalances
• Be consistent with the Partnership
Agreement and complement it with a
sectoral/regional perspective, but not repeat it
• Be clear and concise
32
Important steps towards OP adoption
• Submission of OP: at the latest 3 months
following submission PA (Art. 23(3) CPR) (for ETC:
9 months after entry into force CPR)
• Commission observations: 3 months following OP
submission
• Adoption of (parts of) OP by decision (Art 87(10
CPR): 6 months following OP submission (Art. 25(3)
CPR)
• Art. 87(8)CPR: if max. 1 OP for each of ESF, ERDF
and Cohesion Fund: option to include info solely in PA
(see * )
33
Structure of the draft OP template (1)
1. Preparation of the OP and involvement of partners
2. OP strategy for contributing to the Europe 2020
Strategy
3. Description of the priority axes
4. Financial plan
5. Integrated approach to territorial development
6. Specific needs of geographical areas most affected by
poverty or target groups at highest risk of discrimination or
social exclusion
7. Specific needs of geographical areas which suffer from
severe and permanent natural or demographic handicaps
34
Structure of the draft OP template (2)
8. Authorities and bodies responsible for MCA - role of
partners
9. Coordination
10. Ex-ante conditionalities
11.Reduction of the administrative burden for
beneficiaries
12. Horizontal principles
13. Annexes (generated by SFC):
•
•
Major projects
Performance framework (OP)
35
Section 1
Preparation of the OP and
involvement of partners
(Art. 23(2) and 87(5)(c) CPR)
36
Section 1: preparation of the OP and involvement
of partners
• Summary of the preparation of the OP
• authority which has coordinated and public
institutions directly involved;
• the key stages of the preparation process;
• a description of the involvement of the partners in the
preparation
• overview of the organisation of the ex-ante
evaluation process and how the results of this
process have been taken into account;
• where appropriate, an overview of the use of studies
and expert groups.
Section 2
OP strategy for contributing to
the Europe 2020 Strategy
(Art. 24(1) and 87(2)(a) CPR)
38
2.1. Strategy for the OP’s contribution to Europe 2020
• Description of the strategy
• * Justification for selection of thematic objectives (TOs) and
investment priorities (Ips)
 Need for consistency with:
• Common Strategic Framework
• Partnership Agreement
• Position paper
2.2. *Relevant identified needs not addressed by the
OP:
why not ? How will they be addressed ?
2.3. * Justification of the financial allocation to TOs and
IPs
39
Section 3
Description of the priority
axes:
A. Other than TA
B. TA
(Art. 87(2)(b) and (c) CPR)
40
3.A. Description of priority axis (not TA)(1)
• General rule: a priority axis
• is mono-fund
• covers only one TO
• covers a single category of region
• But exceptions - Art. 87(1) CPR. A priority axis
can cover:
•
•
•
•
•
more than one Fund
more than one category of region
complementary IPs from different TOs
For ESF: combine IPs from TO 8 to 11
or a combination of two or more of these
options
41
3.A. Description of priority axis (not TA) (2)
• In case use is made of Art. 87(1) CPR : info to be
broken down by Fund + by category of region
(some exceptions for specific cases)
• OP needs to contain an explanation why use is
made of Art. 87(1) CPR.
42
3.A.1. An Investment Priority sets out…
• Specific objective(s)
 One specific objective should not cover more
than on category of region
• A description of the reference situation
linked to the specific objectives
• The results
 This should not contain a list of result indicators
but only the overall results expected.
• The indicators
 Difference between ESF and ERDF indicator
system
3.A.2. Actions to be supported under the IP
1. Description of the type and examples
of actions and expected contribution to
the corresponding specific objectives
2. Guiding principles for the selection of
operations
3. The planned use of financial
instruments
4. The planned use of major projects
5. Output indicators
44
3.A.3. Specific provisions for the ESF, where
applicable (by priority axis, broken down by
category of region)
• Description of the contribution of the planned actions of
the priority axis to:
• thematic objectives of Article 9(1) to (7) CPR;
• social innovation (if not covered by dedicated PA).
Indication of the themes for social innovation (not compulsory)
• transnational cooperation (if not covered by dedicated
PA).
Non-exhaustive list of themes and stakeholders involved
3.A.5. Categories of intervention
• By priority axis
• Based on a nomenclature to be adopted by IA
Table 7:
Dimension 1
Intervention field
Code
Table 8:
Dimension 2
Form of finance
€ amount Code
€ amount
Table 9:
Dimension 3
Territory
Code
€ amount
Table 10: Dimension 6
ESF secondary theme
(ESF only)
Code
€ amount
• € amount = indicative breakdown of the EU
support
• Dim. 1 corresponds to the investment priorities and
46
the types of actions (Fund specific).
3.A.6. Planned use of TA by priority axis
• Where appropriate, by priority axis
• Identify specific gaps in the administrative
capacity of authorities / beneficiaries who
implement this priority axis.
• Set out specific actions to be supported to
reinforce the administrative capacity of
authorities and beneficiaries to ensure an
effective implementation of the priority axis
• Specific actions to be supported by TA, not by
this axis
47
3.B. Priority axi(e)s for TA
More or less the same as 'normal' priorities but
simplified and adapted to TA:
• No reference to IPs (no IPs for TA)
• No reference to principles for selection of
operations, identification of target groups,
territories, major projects, financial instruments
• No reference to performance framework
• Proportionality: if TA does not exceed EUR 15
million/OP, no need to set out results.
48
NB: Possible to have one or several TA priority axes
Section 4
Financial plan
(Art. 87(2)(d) CPR)
49
4. A financing plan with two tables (1)
• Total appropriation from each of the Funds/year
Category of region
ERDF
ERDF
ERDF
ERDF
ESF
ESF
ESF
ESF
2014
…
2020
Total
less developed
transition
more developed
Total
less developed
transition
more developed
Total
Cohesion Fund
Total
50
4. A financing plan with two tables (2)
• Appropriations of the Funds & national co-financing for the
period, by priority axis
Priority Fund
axis
Categ
of
region
Basis for
calc. of
the EU
support
Total vs
public
EU
Nation
support al
count
erpart
(a)
Indicative
breakdown of
the national
counterpart
Public
(c)
(b) =
(c) +
(d)
Total
Co- For
funding financi
Inform
ng
rate ation,
EIB
contrib
Private
(d)
(e) = (f) =
(a) + (a)/(e)
(b)
• Essential data= EU cofinancing rate, by Priority
• Caution: Possibility of multi Fund / multi category / multi
TO priorities that make financial management,monitoring,
reporting more complex (with gaps in the regulation …)
51
4. A financing plan with two tables (3)
• Breakdown by PA, Fund and TO for PAs
combining IPs from different Pos
Priority axis
Priority axis 1
Priority axis 2
TOTAL
Fund
Thematic
objective
TO 1
TO 2
TO 3
EU
National
counter
part
Total
funding
• Mainly useful to verify ERDF/CF concentration
52
4. Climate change objectives
Priority axis
1.
The indicative
amount of support
to be used for
climate change
objectives (EUR)
Share of the total
allocation to the
operational
programme (%)
Total
53
Section 8
Authorities and bodies
responsible for MCA - role of
partners
(Art. 87(5) CPR)
54
8.1. Identification of the relevant
authorities and bodies
Authority/bo
dy
MA
Name of
the
authority
/body
Head of
the
authority
/body
Address Teleph e-mail
one
address
CA,
where
applicable
AA
Body to
whom
payments
will be made
by the
Commission
55
8.2. Involvement of partners
• Description of how the partners will be involved in the
implementation, monitoring and evaluation of the OP (reference
to the code of conduct)
• For ESF: Global grants (Article 6 (1) ESF)
Identification of the part of the programme concerned by global
grants (including indicative financial allocation)
• For ESF : Earmarking of appropriate amount for capacity
building social partners and NGOs (Art. 6(2) and (3) ESF) :
OP covering a less developed region, a transition region or a
Member State that is eligible for the Cohesion Fund
Section 11
*Reduction of the
administrative burden for
beneficiaries
(Art. 87(6)(c) CPR)
57
11. Reduction of the administrative burden for
beneficiaries
• A summary of the assessment of the administrative
burden for beneficiaries
 identification of main sources of administrative burden
in the period 2007-2013
 the main actions already taken to reduce that
burden for the period 2014-2020 and potential scope for
further reduction, referring, where possible, to statistical
data, results of evaluations and studies.
• Where necessary, the actions planned to reduce
administrative burden accompanied by an indicative
timeframe
Key messages
59
Key messages (1)
The OP should enable confirming that:
• the identification of development needs is based on
analysis and evidence, and addresses the challenges
identified by the relevant country-specific Council
recommendation;
• the choice of thematic objectives and investment
priorities, and the definition of specific objectives is
driven by the main development needs
• the specific objectives are consistent with the selected
investment priorities and thematic objectives
• the results sought are reflected in the specific objectives
• the types of actions should correspond to the results
sought, i.e. these actions are likely to contribute (most
effectively) to the attainment of specific objectives and
results
• the financial allocation corresponds to the results sought
Key messages (2)
• Financial management: in case of multi-fund/multicategory of region priority axis: need to break down the
info by Fund/category of region
• Priority axis: IPs, specific objectives with indicators
• Need to respect horizontal principles at all stages
• SFC 2014-2020: structured data for PA and OP
• Info in OP to complement PA + option of Art. 87(8) CPR
in case of max 1 OP for each Fund (i.e. ESF, ERDF, CF) to
include info in PA instead of OP
61
•

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