Europaudvalget 2017
KOM (2017) 0755
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EUROPEAN
COMMISSION
Brussels, 13.12.2017
SWD(2017) 452 final
COMMISSION STAFF WORKING DOCUMENT
Accompanying the document
REPORT FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE
COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE
COMMITTEE OF THE REGIONS
Strategic report 2017 on the implementation of the European Structural and Investment
Funds
{COM(2017) 755 final}
EN
EN
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STAFF WORKING DOCUMENT
ACCOMPANYING THE 2017 STRATEGIC REPORT
ON THE EUROPEAN STRUCTURAL AND INVESTMENT FUNDS
Table of Contents
1.
INTRODUCTION ....................................................................................................... 4
PART 1: IMPLEMENTATION OF ESIF PROGRAMMES 2014-2020
..................... 5
2.
OVERVIEW NARRATIVE ON IMPLEMENTATION ............................................ 5
Box 1: Overview of support to enterprises across ESI Funds
.................................. 5
3.
R&I, ICT AND SME COMPETITIVENESS: IMPLEMENTATION
NARRATIVE ON PROGRESS .................................................................................. 6
3.1. Research, technological development and innovation ...................................... 6
3.2. ICT access and exploitation .............................................................................. 8
3.3. Improving SME competitiveness ...................................................................... 9
Box 2: Implementation of Financial Instruments under the ESI Funds
................ 9
4.
EMPLOYMENT,
SOCIAL
INCLUSION
AND
EDUCATION:
IMPLEMENTATION NARRATIVE ON PROGRESS ........................................... 11
4.1. Employment .................................................................................................... 12
Box 3: ESF Support to the Work-Life Balance Initiative
...................................... 13
Box 4: Youth Employment Initiative (YEI)
............................................................. 14
4.2. Social inclusion ............................................................................................... 15
Box 5: Integrated urban development
..................................................................... 18
4.3. Education ......................................................................................................... 18
Box 6: ESF Support to the New Skills Agenda
....................................................... 20
5.
LOW CARBON ECONOMY, CLIMATE CHANGE, ENVIRONMENT AND
TRANSPORT AND ENERGY NETWORKS: IMPLEMENTATION
NARRATIVE ON PROGRESS ................................................................................ 22
Box 7: Mainstreaming of climate action into ESIF 2014-2020:
............................ 22
5.1. Low carbon economy ...................................................................................... 22
5.2. Climate action and risk prevention.................................................................. 23
5.3. Environment and resources efficiency ............................................................ 24
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Box 8: Progress in investment in major projects
.................................................... 26
5.4. Strategic networks ........................................................................................... 27
6.
STRENGTHENING INSTITUTIONAL CAPACITY AND EFFICIENT
PUBLIC ADMINISTRATION: IMPLEMENTATION NARRATIVE ON
PROGRESS ............................................................................................................... 28
PART 2: THE EVALUATION OF ESIF PROGRAMMES ............................................ 29
7.
8.
EVALUATION OVERVIEW................................................................................... 29
ERDF AND COHESION FUND .............................................................................. 30
8.1. Update on evaluation plans 2014-2020 ........................................................... 30
8.2. Synthesis of evaluation work completed by the Member States ..................... 32
8.2.1.
8.2.2.
Synthesis of ERDF/CF evaluation by theme ..................................... 33
Synthesis of the quality of the evaluations undertaken ..................... 37
8.3. Synthesis of ERDF/CF evaluation work by the Commission ......................... 38
9.
ESF AND YEI ........................................................................................................... 39
9.1. Update on evaluation plans 2014-2020
........................................................ 39
9.2. Synthesis of ESF/YEI evaluations completed by the Member States
....... 43
9.2.1.
9.2.2.
Evaluations of the Youth Employment Initiative
......................... 44
Evaluations of the ESF
.................................................................... 45
9.3. Synthesis of ESF evaluation work by the Commission .................................. 46
10. EAFRD - EUROPEAN AGRICULTURAL FUND FOR RURAL
DEVELOPMENT ..................................................................................................... 47
10.1. Period 2014-2020 ............................................................................................ 47
10.1.1. Progress in implementing evaluation plan ........................................ 47
10.1.2. The progress towards achieving the objectives of the 2014-2020
rural development programmes ......................................................... 50
10.2. Ex-post evaluations 2007-2013 ....................................................................... 52
11. EMFF - EUROPEAN MARITIME AND FISHERIES FUND ................................ 53
11.1. Period 2014-2020 ............................................................................................ 53
11.2. Period 2007-2013 ............................................................................................ 56
ANNEX 1: EAFRD: PROGRESS TOWARDS ACHIEVING OBJECTIVES 2014-
2020 SUMMARY BY UNION PRIORITY ............................................................ 58
Priority 1: Knowledge Transfer and Innovation
.................................................. 58
Priority 2: Farm Viability and Competitiveness
.................................................. 59
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Priority 3: Food Chain Organisation and Risk Management
............................. 60
Priority 4: Restoring, Preserving and Enhancing Ecosystems
........................... 61
Priority 5: Resource-efficient, climate-resilient Economy
................................... 61
Priority 6: Social Inclusion and Economic Development
.................................... 63
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1.
INTRODUCTION
This Staff Working Document accompanies the Strategic Report 2017 on the implementation
of the European Structural and Investment Funds. It provides a complementary descriptive
narrative on the implementation of the 2014-2020 ESI Funds' programmes and of the
evaluation work conducted in order to assess the impact of the programmes.
PART I,
as a complement to the synthesis provided in the 2017 Strategic report, presents a
more detailed narrative on the key financial and indicator values provided by national and
regional programmes covering the period to the end of December 2016 (unless stated
otherwise). It has been drawn up based on the
data available to the Commission as at 6
November 2017,
as notified by the more than 530 programmes.
To coincide with the adoption of the 2017 Strategic Report the
ESI Funds Open Data
Platform
1
has been updated to show in detail the following information:
Indicator values on implementation, notified by the Programmes:
There may be
some variations between the values in this document and the values on the Open Data
platform. This is because the 6 November values included preliminary values not yet
finalised. A number of the programmes were still replying to queries raised by the
Commission and were correcting and completing the values, with impacts on the
aggregate values. The Commission intends to update the Open Data Platform monthly
from 2018 with any final corrections made by the ESI Funds' programmes to their
2016 Annual Implementation reports.
Financial data reported under ERDF, ESF, Cohesion Fund and EAFRD
programmes to the end of Autumn 2017:
These data are refreshed regularly to take
account of any corrections transmitted by the Member States. The next transmission
will be made by 31 January 2018 covering financial data to the end of 2017. The
Commission services intend to publish those data by early March 2018.
The Open Data Platform provides access to the detailed data notified to the
Commission and aggregation and visualisations of the data described in the 2017
Strategic report (and in this document) at all levels of funding as follows:
o
At EU level;
o
By thematic objective;
o
By country and programme level;
o
By Fund.
PART II
presents a synthesis of the evaluation work that has been undertaken by the Member
States and the Commission services.
1
https://cohesiondata.ec.europa.eu/
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PART 1: IMPLEMENTATION OF ESI FUND PROGRAMMES 2014-2020
2.
OVERVIEW NARRATIVE ON IMPLEMENTATION
The volume of planned investments and expected achievements from the ESI Funds were
presented in the December 2015 Article 16 report summarising the adoption of the
programmes
2
. The 2017 Strategic Report has already provided an overview in terms of the
financial volume of the projects selected and progress in contracting and delivering common
outputs and results drawing on the contents of the more than 530 programme annual
implementation reports to the end of 2016 as well as summarising the Member States 2017
progress reports.
The sections below provides a more detailed narrative on progress by thematic objective in
implementing the programmes in the period 2014-2016 in terms of the financial volume and
rate of project selection reported in the programmes’ annual implementation reports received
in June 2017. In relation to the physical achievements the Commission services compare
below the reported contribution expected from the selected projects and implemented values
reported under the common indicators for each fund (where available). Specific examples of
projects
large and small - already supported and delivering direct benefits to citizens and
enterprises are also provided.
As noted in the Strategic report, it is too early to provide an assessment of expected impacts
(policy results), which will only be possible after evaluation (see Part II).
Box 1: Overview of support to enterprises across ESI Funds
Support to enterprises - including farm and fishing enterprises - is planned mainly under the dedicated thematic
objective to improve SME competitiveness but also, under the research and innovation, digital economy and the
low carbon economy themes. All ESI Funds target enterprise support. Progress in supporting enterprises by end-
2016 has accelerated as reported in the annual reports received in June 2017.
-
-
A total of 793 500 firms are targeted by selected operations by end 2016. That represents 39% of the target
of 2 million firms to be supported by the end of the period.
Almost half of those targeted
330 000 enterprises - have already fully benefitted from support.
Table 1 provides a detailed overview by fund of the total number of enterprises planned and so far targeted. The
following sections detail how the support to enterprises is being delivered under the different relevant thematic
objectives.
2
COM(2015) 639 final.
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Table 1: Overview of progress in implementing ESI Funds support to enterprises to the
end of 2016 (as at 6 November 2017)
Fund
ERDF
Indicator
Enterprises
supported
Investments
in
physical assets in
farm holdings
Young farmers
Micro, small and
medium-sized
(social) enterprises
Operations
supporting SMEs
3
Total
Target
1 097 000
Decided by
end of 2016
452 600
%
decided
41%
Implemented
by end 2016
84 600
%
implemented
8%
EAFRD
EAFRD
ESF
EMFF
332 500
178 400
377 600
64 500
2 050 000
79 400
59 450
197 500
4 540
793 490
24%
33%
52%
7%
39%
36 300
11 300
197 500
750
330 450
11%
6%
52%
1%
16%
3.
R&I, ICT AND SME COMPETITIVENESS: IMPLEMENTATION NARRATIVE
ON PROGRESS
About EUR 181.4 billion in total investments are planned in these areas in 2014-2020 mainly
from the ERDF and the EAFRD. At the end of 2016, projects worth an estimated EUR 51
billion had been selected
4
, representing 28% of the planned total allocation (a fourfold
increase from the 7% selected at the end of 2015).
Three thematic objectives provide the programming structure for the ESI Funds in this area as
set out below.
3.1.
Research, technological development and innovation
An estimated EUR 16.8 billion has been allocated to specific research and innovation projects
under the ERDF and EAFRD programmes to the end of 2016, representing 26% of the EUR
65.8 billion planned
a sharp increase from 6% at end 2015.
Several common ERDF indicators of research investment are showing encouraging trends
with 26% of the budget allocated by end 2016: 7 900 new researchers are supported by
selected research operations (27% of the target); 20 600 researchers will benefit from new
RTD infrastructures (29% of target).
In terms of promoting RTD and innovation in enterprises and cooperation with research
institutes, 67 000 firms were targeted by selected ERDF schemes by the end of 2016 (over
50% of the target). Given the initial slow rate of selection of projects for support before 2016
3
4
Data taken by the Commission from INFOSYS, the common monitoring and reporting tool for the EMFF
(indicators not reflected on the ESIF as of December 2017).
This figure includes an estimated share of the investments selected under multi-thematic objective priority
axes related to this thematic objective.
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it is not a surprise that support to only 4 800 firms was completed by the end of 2016. The
completion of support should now being rising during 2017.
Amongst the two main forms of support 19 400 firms are targeted with grant support for
innovation (32% of target) and 25 900 firms are targeted for innovation advice (62% of
target). It is also very encouraging that selected innovation projects forecast 18 250 jobs to be
directly created in firms (40% of the target), while 23 000 firms are targeted by cooperation
with research institutes (32% of target). Finally under the indicators “new to the market
products” 8
150 new products are being already targeted (53% of the target). While
implemented values are still very modest these indicators will be closely watched in future
reports to see if demand will actually outperform the targets set as economic conditions
appear to be changing.
Projects supported by EAFRD aim to foster innovative solutions for competitive and
sustainable farm and forestry sectors by enhancing economic resilience supporting
investments, and fostering knowledge-building, co-operation, and innovation. By the end of
2016, the value granted to selected projects amounted to 3.2 billion euro. In the area of R&I,
the European Innovation Partnership for agriculture is becoming an effective vehicle for
innovation, bringing farmers, researchers, advisors and businesses together in more than 3 000
practical innovation projects. These projects hold an important potential for creating
innovative solutions that will make farming smarter, more efficient and more sustainable.
They cover a wide range of themes, from water and soil management to control of pests and
diseases, from food quality to fertilisation and nutrients efficiency, fitting well into the
European and global agenda for sustainability. The results of these projects are pooled in our
EIP-AGRI platform, providing many new ideas and inspiration for the farming community.
By the end of 2016, 350 interactive innovation projects were launched, which represents 11%
of the envisaged target value.
The EMFF aims to stimulate innovation in fisheries, developing or introducing new or
substantially improved products and equipment, new or improved processes and techniques,
and new or improved management and organisation systems, including at the level of
processing and marketing. EMFF is an important instrument to support innovation linked to
the conservation of marine biological resources. The EMFF contributes with EUR 353 million
to initiate innovation and innovative technology in fisheries and aquaculture sector. By the
end of 2016 the MAs have selected 50 operations supporting innovation and new technologies
with an EMFF contribution of around EUR 19.8 million.
Project Examples
In Germany, the EU is investing EUR 2.5 million in a research project looking to enable dementia patients
to live independently at home for as long as possible through a safety system relying largely on imaging
sensors. Today as many as 1.6 million Germans have dementia and this number is set to reach 3 million by
2050. The project aims to provide one response to improve quality of life for people with dementia while
life expectancy rises.
In the university city of Coimbra, Portugal, the TecBIS project has set up a specialised infrastructure to
foster innovation and help tech-based companies during the vital post-incubation phase. Through the
project, Coimbra consolidates its position as a recognised innovation centre with strong bonds linking
research, technology and industry in the region. The ERDF co-finances the total cost of over EUR 8 million
with investment of EUR 7 million.
The SRIP project - Support for Strategic Development and Innovation Partnerships
represent a new
governance model of public support for RDI activities in Slovenia, with investment of EUR 10 million of
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EU and national funds. More efficient and knowledge-based investment into RDI is the objective by
entrusting the governance of Smart Specialization to businesses, research institutions and NGOs
stakeholders. With over 500 stakeholders already involved, the project will allow future public investments
in RDI to be directed towards real needs and opportunities for growth and higher competitiveness.
The project Sohjoa in Finland is introducing autonomous small electric buses in Helsinki, Espoo and
Tampere as part of a pilot innovation. The small buses have the potential to deliver mobility as a service
over the last mile, to reduce operating costs, to lower overall emissions and to offer better service to the
customer. The project tests and develops new technologies to provide digital public services to citizens. The
cost of the pilot is EUR 560 000 with ERDF support of EUR 375 000.
A group of young farmers in France have started an initiative to collect and share low-tech farm solutions.
This has now become a digital open platform for disseminating innovative ideas in the form of detailed
articles and technical tutorials. It has gathered more 50 plans for innovative low-tech agro-ecological
farming practices. The project costs €0.6 million out of which EAFRD provides 40% financing.
3.2.
ICT access and exploitation
An estimated EUR 3.9 billion has been allocated by the end of 2016 to digital economy
projects under the ERDF and EAFRD programmes to the end of 2016, representing 19% of
the EUR 20.7 billion planned
4
. This is a significant increase from only 4% selected at the end
of 2015 with more than 5 700 project now supported. While project selection in this thematic
area was still lagging at the end of 2016 (compared to the overall average of selection of 28%)
the latest data from the ERDF programmes to the end of September 2017 shows a further
catching up with the overall average across all themes.
Within the ERDF programmes supporting broadband investment, under the national
broadband plans required by the relevant ex ante conditionality, the main indicator of
population covered by 30 megabytes has now begun to see selection activity with 915 000
citizens (6% of the target) now targeted by selected projects (mainly in FR, GR, HR, HU, IT,
LV, SK and UK).
The other main activities supported include e-government actions and e-commerce in SMEs.
In the area of e-government the main actions in reforming delivery of public services and e-
procurement are showing selection rates of 20% (no common indicators was defined). E-
commerce actions in SMEs are lagging somewhat at 14% of the planned investments with
5 000 SMEs so far targeted for support (out of the intended target of 78 000).
Overcoming the digital divide between rural and urban areas and developing the potential
offered by connectivity and digitisation of rural areas is among the priorities addressed in
Rural Development Programmes (RDP). Support under the EAFRD aims to improve access
to ICT services and infrastructure for 18 million rural citizens. This is done through 4 400
investment projects. So far, 36% of funds earmarked for improving ICT services in rural areas
have been allocated to projects and 1 268 000 rural residents (6% of the respective target
value) are already benefiting from improved services.
Project Examples:
The Croatian "e-Schools project" will increase information and communication technology (ICT) use in the
schools systems by providing ICT equipment and educational tools for schools and teachers. Following a
pilot scheme to end in 2018, total EU investments of EUR 25.5 million ERDF and EUR 8.5 million ESF will
enhance teachers' professional development, improve the quality of education in 700 primary and
secondary schools (50% of all schools) and increase students' employability. (Project
fiche)
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A rural "web school" for digital transition supported by EAFRD in the Dordogne, France, provides local
businesses with the tools to better organise their work and market their services and products. Personalised
reports were delivered to 120 small rural businesses giving a comprehensive analysis of their digital status,
including recommendations for digital business development in organising work, communication and
marketing. EAFRD support amounted to EUR 30 000 out of a total budget of EUR 62 000.
3.3.
Improving SME competitiveness
An estimated EUR 29.6 billion has been allocated to improve the competiveness of SMEs
projects under the ERDF, EAFRD and EMFF programmes to the end of 2016, representing
31% of the EUR 95 billion planned
4
. This represents a threefold increase compared to the 9%
selected at the end of 2015.
ERDF financing was granted to projects supporting 322 000 SMEs (40% of target). Amongst
those decided projects
-
-
-
-
157 000 of those companies will be supported with advice and counselling (42% of
target);
75 000 are targeted by financial instruments (42% of target) with already 33 400 firms
already having received complete support;
68 000 start-ups are forecasted (49% of target) with 16 800 already completed.
By the end of 2016 131 400 jobs were expected to be directly created in the supported
firms (38% of target).
Comparing the decided allocations with the indicator forecasts and targets, it appears that a
significant number of programmes may exceed the targets linked to outputs from business
support activities. This is likely to result from a combination of 1) cautious target setting at
the beginning of the period (linked to the experience of the post-2008 economic crisis and
subsequent slow recovery) and 2) the inherent difficulties of predicting business demand of
public support programmes over such a long time period (i.e. until 2023). These trends will be
closely followed with the next reporting cycle.
Box 2: Implementation of Financial Instruments under the ESI Funds
Under the ESI Funds, increasing the use and improving the effectiveness of support delivered using financial
instruments has been a particular priority in the preparation, and now the implementation, of the 2014-2020
programmes. The annual "summaries of data on the implementation of financial instruments", as reported by the
programmes, is being made publicly available separately
5
. In terms of the thematic objective, the main use of
financial instruments occurs in support of the competitiveness of SMEs, followed by the low carbon economy
and innovation and research thematic objectives.
To coincide with this year's annual summary of data, a dataset has been published on the ESIF Open Data
platform
6
presenting key financial information on the implementation of each of the specific financial
instruments approved by the programmes by the end of 2016. That dataset will continue to be updated with any
corrections made by the programmes.
5
6
The summary will be available on
http://ec.europa.eu/regional_policy/en/funding/financial-instruments/
Financial instrument datasets on the ESIF ODP:
https://cohesiondata.ec.europa.eu/browse
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The EAFRD supports solutions to encourage entrepreneurship and employment in farming
and rural businesses and improve their economic viability and resilience. By the end of 2016,
more than 36 000 farm holdings received investment support to facilitate restructuring
and modernisation and achieve productivity gains (11% of the target) and more than
34% of the budget allocated to start up aid and support for investment in non-
agriculture activities in rural areas was committed.
11 700 young farmers who bring new energy and have the potential to exploit the full
benefits of technology in terms of increased productivity and sustainability received
support for setting up.
63 500 farm holdings received support in the form of risk management tools to reduce
the uncertainty about the future that can compromise farmers' competitiveness.
Around 50 000 farm holdings were helped to participate in quality schemes.
The EMFF supports operations with a total investment of EUR 370 million to enhance the
competitiveness of SMEs and of the fisheries and aquaculture sector, SMEs make up 98 % of
the enterprises in the fisheries sector supported by EMFF. By the end of 2016 MAs have
selected operations with an EMFF contribution of EUR 135.9 million. The fisheries and
aquaculture sector has a high rate of macro, small and medium sized enterprises. The majority
of operations supported by the EMFF are addressing directly and indirectly SMEs, single
fishermen, production organisations and aquaculture farms. Out of the 6428 selected EMFF
operations 4540 address SMEs or private persons.
Project Examples:
In Greece, an Equity Fund of Funds was set up in December 2016 to boost entrepreneurship by unlocking
equity potential. Its main objective is to attract private funding for a range of investments ranging from
start-ups to mature growth companies. It will also support technology transfer funds and kick-start
investments into accelerator funds. Some EUR 200 million from ESI Funds combined with EUR 60 million
from the EIF and EFSI are managed by EIF to support innovation and business opportunities.
In Latvia, a company used EAFRD funding to set up the commercial production process for a new healthy
diet food. The project included the purchase and installation of the new production and supply lines, the
creation of new jobs and conclusion of distribution agreements with 19 other companies. EAFRD support
amounted to EUR 24 990 out of the total budget of EUR 165 000.
The project "Visit Arctic Europe" is an Interreg project supporting cooperation between SMEs in Finnish
and Swedish Lapland, Northern Norway and Sápmi (the region of the Sami population). Through
networking, development and marketing efforts, the project aims to increase the level of business
collaboration across borders by developing new and innovative cross-border tourism concepts for
distribution in selected markets.
An innovative EMFF project in Denmark supports the expansion, commercialisation and
internationalisation of whelk (sea snail) fishing. There are large deposits of whelks in Danish waters
where salinity is sufficiently high. The whelk fishery started from zero in 2016 and is expected to generate a
turnover of EUR 1.4-2 million in 2017. The project supports secure sales of whelks at a fixed price with
sales in countries such as South Korea, China and Vietnam.
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4.
EMPLOYMENT,
SOCIAL
INCLUSION
IMPLEMENTATION NARRATIVE ON PROGRESS
AND
EDUCATION:
Over EUR 168 billion in support is planned in this area, particularly from the ESF, with
ERDF, EAFRD and EMFF also investing. At the end of 2016, projects amounting to an
estimated EUR 48 billion were selected, representing 29 % of the planned total allocation (an
increase of more that twofold compared to the 12% rate of selection at the end of 2015).
In aggregate terms the ESF and YEI programmes have already delivered support to:
7.8 million participants
7
, including 4.2 million unemployed and 2.1 million inactive;
1.6 million participants were long term unemployed;
Amongst those participants 787 000 were in employment following an ESF or YEI
operation, 820 000 had gained a qualification upon leaving an ESF or YEI operation;
276 000 participants were in education or training thanks to ESF or YEI support;
458 000 disadvantaged participants, including people with a migrant background, in
ESF or YEI-funded operations were engaged in job searching, education/training,
gained a qualification or were in employment, including self-employment.
Figure 1 Relative share (%) of (fe)male participation across Member States over 2014-
2016 (ESF and YEI)
Source: Synthesis Report of ESF 2016 Annual Implementation Reports, Fondazione Giacomo Brodolini for the Commission,
Based on AIR data
7
One individual may participate in several ESF funded operations and therefore 'participants' should be
understood as participations.
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The number of women and men supported under ESF and YEI support is almost equal at EU
level, despite some differences between Member States. Women are however overrepresented
in certain groups, for example in participants who live in a single adult household (70%) and
in participants with tertiary education (64%).
The distribution of the participants according to the form of labour market, social inclusion or
training or education support is further detailed below.
4.1. Employment
The socioeconomic context in the EU has improved since the start of the current
programming period. The increase of GDP at EU level and the decrease of unemployment
rates evidence this. However, the unemployment rate in the EU was still at 7.8% in May
2017. Progress towards the Europe 2020 employment target is stable but slow and some
Member States might not be able to meet their national targets by 2020 (see figure below).
Investing in human capital is paramount to stimulate growth and employment.
An estimated EUR 17.7 billion has been allocated to sustainable and quality employment
projects
4
predominantly from the ESF and Youth Employment Initiative to the end of 2016,
representing 31% of the EUR 56.4 billion planned. By the end of 2016 under this objective:
-
-
-
4.1 million participants have been supported
284 000 participants have gained a qualification
551 000 participants were in employment, including self-employment
Figure 2: Headline target national Employment (20-64 years old) - 2016
distance from
national target (%)
Source: Eurostat (http://ec.europa.eu/eurostat/web/europe-2020-indicators)
The ESF under this objective has supported primarily people who are not in the labour market
providing them with the opportunity to find a job. Indeed, 84% of participants were
unemployed or inactive. Around 666 000 employed participants have also been supported by
upskilling or reskilling measures to improve their job opportunities and adapt to labour
market changes.
Figure 3
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Source: Synthesis Report of ESF 2016 Annual Implementation Reports, Fondazione Giacomo Brodolini for the Commission,
Based on AIR data
51% of all ESF and YEI participants have been supported under the employment objective for
the period 2014-2020. This can be explained by several factors:
-
-
-
The frontloading of YEI resources, which encouraged Member States to start with
operations as early as possible;
The scope of the investment priorities (IPs): the majority of the IPs under this
objective focuses on supporting people;
The fact that employment measures are the core of ESF activities.
The low share of participants under some Investment Priorities (IPs) should however be
analysed carefully. Indeed it does not necessarily mean that activities have not started under
these IPs. A relatively small number of Member States (6) have, for example, selected the IP
on 'active and healthy ageing'. Moreover, some IPs such as 'modernisation of labour market
institutions' focus on support to structures and are, therefore, not represented in the figure
above. The project selection rates for these two IPs are respectively 16% and 15%, which is
below the EU average but shows that projects are underway.
Figure 4
Box 3: ESF Support to the Work-Life Balance Initiative
The ESF also contributed to support actions in line with the
Work-Life Balance Initiative
. Under the dedicated
investment priority 165 000 participants have been supported by end 2016. Measures under this priority include
the provision of quality childcare, individual guidance for women, vocational training, arrangement at the work
place to reconcile work and private life, development of tools and instruments, awareness raising programmes
for employers, change management in organisations, and financial incentives. Actions for work-life balance are
also mainstreamed under other investment priorities.
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EAFRD support encourages employment inside and outside agriculture, promotes social
inclusion, and fosters lifelong learning and vocational training in agriculture and forestry. By
the end of 2016, over 50 million EUR were spent to address these priorities.
The EMFF contributes with EUR 49.5 million to thematic objective 8. By the end of 2016 the
MAs have selected 34 operations supporting the promotion of human capital and social
dialogue - training, networking and social dialogue with an EMFF contribution of around
EUR 4.2 million (excluding CLLD actions).
Project examples:
In Germany, the ESF Förderprogramm IQ helps people with a migration background to get full
recognition of their qualifications obtained abroad and to acquire an employment position adequate to
their education. Activities include the extension of counselling structures, qualification measures in
recognised professions, adaptation qualifications in the field of dual VET and bridging measures for
academics; preparation for the related formal exam in case of non-recognition.
In France, the Business incubator "A petits pas" in Hauts-de-France region is devoted to sustainably
boosting employment in rural areas by supporting project promoters. They receive enhanced suppor t as
well as a support of legal specialists, accountants, consultants in communication or in personal
development. In doing so, they creators can test and secure their project for three years. Since 2013, the
ESF project has welcomed 51 project promoters.
In Malta an ESF project focuses on both the people currently not in employment or training (NEET) as well
as on those at risk of becoming NEETs or young unemployed through a mix of interventions tailor-made for
the specific cohorts. Additional initiatives are embedded in YG2.0 to facilitate the transition from education
to employment. In 2017, various activities were implemented including the NEET activation scheme, the IT
level 2 and ECDL courses for ALP students, preventative actions; and a work exposure scheme. In total 1
782 persons under the age of 25 have been supported under various activities (977 men and 805 women) by
October 2017.
In Poland, the project 'in the courtyard of a career' increases the employability of young people, including
disabled, who do not participate in education or training. The ESF project was developed having in mind
the young inhabitants of mountain and sub-mountainous areas, mainly from Podhale in the Malopolska
region. The participants are offered various forms of support: individual advisory support in building an
educational-occupational development path, occupational training and internships.
In Finland, one NGO is using EAFRD funding to develop activities for and a network of nature-based
service providers. EAFRD funding for "GreenCareLab" was used to mentor new businesses with more than
100 'Green Care' service providers participating in its activities during the first year. Dozens of business
start-ups participated in the platform to test and develop business ideas and services. Four thematic groups
for animal, farm, garden and nature-related 'Green Care' services were launched. (Project
Fiche)
Improving the incomes of coastal fishermen in Bornholm, Denmark is being addressed by a project
supporting direct marketing events and encouraging local demand. The project is expected to increase the
share of catch through direct sales or sales to local processing companies with the objective of improving
fishermen’s incomes, local consumption, job creation and boosting coastal fishing in general.
Box 4: Youth Employment Initiative (YEI)
By end 2016, the number of young NEET people that have participated in YEI-supported projects that boost
their skills or allow them to have a working experience tripled compared to end 2015. Among them,
707,000
unemployed and inactive participants
not in education or training have completed a YEI-funded intervention.
Of these,
345,000 unemployed and inactive
participants not in education or training have moved into
education/training, or gained a qualification, or are in employment (including self-employment), upon leaving
the intervention. This points to an average of 49% of positive outcomes immediately after the end of the
operation and thus demonstrates that the actions financed by the YEI are achieving results.
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To date, over 70% of the total financial resources under the Youth Employment Initiative have been allocated to
selected projects across the eligible Member States and regions. The assessment of many Member States is that
the Youth Employment Initiative is having significant
impact on the coverage and design of employment policy
in their country.
As regards coverage,
Italy and Spain
that still face high youth unemployment have mobilised a significant
number of young people not in education or training (NEETs) through YEI actions. Concerning policy reform,
following the first YEI evaluations,
Slovakia
shifted the focus from public works schemes for young people
towards more effective measures such as increased provision of professional training. In
Italy
, a counter-factual
evaluation showed that new innovative policies largely supported by the YEI increased the occupational chances
of young people by 7.8 percentage points, despite significant regional differences. In
Portugal
, YEI co-financed
entrepreneurship programmes proved more successful than higher education measures, while
Greece
has
identified the need to review its voucher system for youth employment and training.
In terms of
outreach and impact, Portugal
has reported that over half of NEETs targeted by the YEI did not
have a higher education diploma and a majority were supported before becoming long term unemployed. In
Poland
, 62% of YEI participants received an employment offer, training, or education, with an overall high level
of participants' satisfaction.
As main
implementation challenges
, Member States point to difficulties in reaching inactive NEETs and those
not registered with the Public Employment Services and in 'keeping' these young people engaged in YEI
measures (e.g. Romania, Croatia, Belgium, Cyprus). Member States also
highlight
the challenge linked to the
late launch of YEI implementation arrangements and procedural delays (e.g. Spain, Czech Republic, Hungary,
and Lithuania). Some Member States also note that the overall improvement in the youth employment situation
also impacts on initial programming by reducing the overall target group (Ireland, Latvia, and Lithuania).
By September 2017 preliminary information from Member States to the Commission show that the YEI had
supported approximately 1.7 million young NEETs.
YEI Project examples:
In Portugal the Programme RETOMAR promotes the return to education and training in the context of
higher education of young NEETs who have previously dropped out of training, study programmes or wish
start a different academic path. The objective is to combat early school leaving in higher education, taking
into account criteria of social inclusion and employability. Scholarships are given each year to students to
motivate them to complete their studies and to prepare for labour market demands. 196 beneficiaries were
reached during the academic year of 2024-2015 and 250 were reached in 2015-2016.
In Italy the project Crescere in Digitale, implemented under the National Youth Employment Initiative with
public and private partners (the Italian Chambers of Commerce and Google), offers training and
traineeships for young people to support businesses in the digital economy. The programme offers 50-hours
of free online training to young people are registered under the Youth Guarantee Programme, an online
test where graduates are selected for a traineeship, local job matching to match graduates with SMEs and
a 6 months paid traineeship for each of the selected young people.
4.2.
Social inclusion
Building a more inclusive and fairer European Union is one of President Juncker's key
priorities, which has been translated in the proposal for a European Pillar for Social Rights
8
.
This proposal strives to reaffirm and further strengthen relevant rights and principles in
support of equal opportunities and access to the labour market, ensure fair working conditions
and social protection, as well as enhance social inclusion.
8
A reference framework to screen the employment and social performance of participating Member States,
the European Pillar of Social Rights sets out 20 key principles to support fair and well-functioning labour
markets and welfare systems.
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Despite improvements in terms of growth and employment rates in the EU, the number of
people at risk of poverty and social exclusion remains high. Some Member States are facing
challenges to reach their national poverty target (see figure below). The ESF, with more than
25% allocated to social inclusion for 2014-2020, should play a key role in supporting fair and
well-functioning labour markets.
An estimated EUR 16.4 billion has been allocated to projects addressing social inclusion to
the end of 2016, representing 26% of the EUR 62.7 billion planned
4
predominantly funded by
ESF programmes, with ERDF support to health and social infrastructures.
By end 2016 under this objective:
1.7 million participants have been supported under this objective by ESF;
Between 44 and 94% of participants came from a disadvantaged background.
Figure 5: Distance to national poverty reduction target (2015, in thousands)9
Source: Eurostat (http://ec.europa.eu/eurostat/web/europe-2020-indicators)
Thanks to ESF support 77 000 participants gained a qualification and 188 000 participants
were in employment, including self-employment. Out of 464 000 inactive participants, 90 000
engaged in job-searching. Even though results to date seem rather low it can be explained by
two main factors. The first one, which also applies to other objectives, is that results are only
measured once ESF support has ended. For people being out of the labour market operations
can last longer, which delays results. The second one, also applying to other thematic
objectives as well, is the length of data validation delaying the reporting of positive
achievements. Indeed, altogether, more than half of the investment priorities have not reported
any achievements by far.
The ESF also pays particular attention to people with disabilities. Non-discrimination and
accessibility are horizontal principles under the ESI Funds. Across all objectives, the ESF has
supported 634 000 participants with disabilities.
9
Limited data (about half of Member States) available for 2016 at the time of drafting this report.
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Under the social inclusion objective, the relatively high share of participants (22%) depends
almost exclusively from actions under the active inclusion investment priority (IP).
Investments under the other priorities have started but show important discrepancies between
the IPs. Project selection rates per IP range from 38% for social inclusion to 2% for
community-led local development (CLLD). Activities for the socio-economic integration of
marginalised communities such as Roma are also lagging behind.
Figure 6
Source: Synthesis Report of ESF 2016 Annual Implementation Reports, Fondazione Giacomo Brodolini for the Commission,
Based on AIR data
Figure 7
The ERDF complements ESF programmes in this area through support to various social and
health investments, in particular through integrated development strategies for deprived urban
areas. ERDF projects, linked to health systems reforms, are now supporting health services
and infrastructure improvements that target 11.5 million citizens (28% of the target) with 20%
of the budget for health infrastructure allocated to projects. In urban areas a population of 3.9
million will benefit from integrated social inclusion strategies (30% of the target) including
building and housing renovations and improvements to urban spaces to improve quality of
life.
In rural areas, EAFRD supports local development strategies promoting social inclusion,
reducing poverty and fostering economic development within the LEADER approach. To
date, 47% of people living in rural areas (representing about 90% of the target) are under the
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umbrella of over 2 000 local development strategies implemented by Local Action Groups
(LAGs) that benefited from 21% of the available public funds.
Project examples:
In Bulgaria, an ESF project on "Independent living" supports vulnerable groups (old people and disabled
of all ages) providing them with integrated social and health services in all 28 regions of the country. The
service includes access to social and health care facilities, to specialised vehicle, to professional
psychological counselling and to rehabilitation procedures. 23 954 old people and persons with permanent
disabilities and inability to self-service have been supported by the end of 2016.
In Denmark, the project RUMMELIG IMIDT creates job openings for citizens on the margin of the labour
market in the Central Denmark Region. This is done mainly by the development of innovative integration
processes, the creation of social-economic businesses and strengthening the involvement of the social
partners, companies and municipalities in social inclusion. Job openings for the target group are identified
by reconciling municipalities' cross-sector competencies, resources and knowledge.
In Poland, ESI Funds have combined with EFSI to support the modernisation and extension of the Rydygier
Regional General Hospital in Torun equipping it with new wards for infectious diseases, psychiatry,
invasive cardiology, surgery, a new emergency department, four bed wards with 318 new beds and a new
hospital pharmacy. The project, costing EUR 165 million (EUR 40 Million from the ERDF) will make the
hospital the most modern in Poland.
In Italy, the ERDF invests EUR 25 million in a major urban regeneration project in the city of Milan.
Twelve buildings and 400 residential units will be demolished and reconstructed in the district of
Lorenteggio, which is affected by socio-economic and physical degradation. These resources combine with
investments from Region Lombardia and the City of Milan to improve local services and refurbish the
district. Complementary ESF measures in cultural mediation, support to disadvantaged families, and
preparation for new job opportunities will accompany the physical regeneration.
In Sweden, a group of small enterprises used EAFRD funding to establish a Work Integrated Social
Enterprise which helps migrants learn about entrepreneurship through practical work and supports them
to develop their business ideas. Participants attend workshops on business and food, get hands on
experience by working at an organic shop and participate in study visits. EAFRD support amounted to
EUR 28 000 out of the total budget of EUR 60 000.
Box 5: Integrated urban development
Integrated urban development strategies are being developed and implemented across thematic objectives with a
view to support investment in policy responses that are adapted to the different urban contexts found across
Europe. The following elements give a cross thematic overview of the progress reported by the ERDF
programmes under urban development:
A population of 13.6 million (33% of the target) will benefit from selected integrated strategies (mainly so
far in DE, FR, IE and SK) addressing mainly low carbon, environmentally sustainable and socia lly
inclusive urban development;
More than 538 hectares of urban open space (18% of the target) is being renovated (mainly so far in BG,
DE, LT, PL and PT) to improve quality of life and security in urban areas, mainly under social inclusion
and environmental sustainability themes;
364 000 square metres of urban buildings (16% of the target) are being renovated mainly so far in BE, BG,
DE, HU and PT with a view to contribution to social inclusion objectives.
4.3.
Education
Reducing early school leaving below 10% and reaching 40% of 30-34 year-olds with tertiary
education are two of the Europe 2020 targets. Despite some significant progress some
Member States are at risk of not meeting their national target by 2020 (see the two figures
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below). Investing in people's education and training to ensure they are equipped for the labour
market is at the heart of this objective.
Figure 8: Headline target Early School Leaving
distance from national target (in
percentage points)
Source: Eurostat (http://ec.europa.eu/eurostat/web/europe-2020-indicators)
Note: the UK has not set a national target.
Figure 9: Headline target tertiary education attainment (30-34 year old) 2016
distance
from national target (in percentage points)
Source: Eurostat (http://ec.europa.eu/eurostat/web/europe-2020-indicators)
Note: the UK has not set a national target; DE's national target includes post-secondary non-tertiary (ISCED 4) graduates,
who however are not included in the attainment rate measured for 2016; LU set the highest national target in the EU (66%),
also reflecting the high share of tertiary educated people in its young population, regardless of their place of study (its
attainment rate in 2016 neared 55%).
In its Communication of June 2016 for a
'New Skills Agenda for Europe'
10
the Commission
highlighted that 'skills are a pathway to employability and prosperity. With the right skills,
people are equipped for good-quality jobs and can fulfil their potential as confident, active
citizens.'
10
COM(2016) 381 final.
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With an ever-changing labour market people need to have the opportunity to train and
improve their skills throughout their lives. The ESF supports people from childhood
education to life-long learning.
An estimated EUR 14.6 billion has been allocated to projects addressing education and
vocational training to the end of 2016, representing 30% of the EUR 49.2 billion planned,
predominantly funded by ESF programmes, with ERDF support to education infrastructures.
By end 2016, under this objective:
-
-
1.9 million participants have been supported under this objective by ESF
out of which
o
60% of participants were under 25 and 6% were above 54
o
522 000 were disadvantaged participants, e.g. migrants, minorities or people
with disability
410 000 participants have gained a qualification,
122 000 participants were in education or training and
48 000 participants were in employment, including self-employment following
support
Box 6: ESF Support to the New Skills Agenda
-
-
-
In line with the
New Skills Agenda for Europe
the ESF plays a key role in supporting low-skilled people in
Europe.
By end 2016, across all objectives, the ESF and the YEI have supported 3.4 million people with lower than upper
secondary education attainment. Under the education objective in particular 1.1 million low-qualified
participants have been supported, which corresponds to 57% of all participants.
This shows that the ESF manages to reach those most in need of support and plays a key role in supporting the
73 million low-qualified people in the EU.
Figure 10
Note: Investment Priority Early-school leaving: Reducing and preventing early school-leaving and promoting
equal access to good quality early-childhood, primary and secondary education.
The share of participants under the education objective is more evenly distributed. It shows
progress in all the areas. This is confirmed by the project selection rates below.
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Figure 11
The ERDF complements ESF programmes in this area through support to various
investments, for example, in different school infrastructures and equipment. Education
infrastructure improvements already selected will benefit 4.4 million students (66% of the
target).
Project examples:
In Finland an ESF project is creating a new concept for maritime, port and logistics training to increase
the responsiveness to labour market demand, quality and relevance of adult education. Two themes have
been selected for pilot training in the development stage: training of container crane drivers and training
for oil spill control. The project is co-funded by the ERDF project SCAROIL Simulators, which finances the
purchase of equipment.
In Slovenia, the ESF project called 'We include and activate' spurs social activation of target groups
through integration in cultural actions. It connects 2 groups of people
those who are stigmatised on one
side (vulnerable groups: people with mental health disorders and mental disabilities, people serving prison
sentences scheduled for release, and people participating in drug rehabilitation programmes) and those
who have experience working with vulnerable groups and are at the same time experts in fields such as
literature, art, creative writing, digital literacy, public speaking, etc. The objective is to equip vulnerable
people with specific knowledge to bring them closer to the labour market and reduce the risk of social
exclusion. It is expected that 200 participants will be included by end 2019.
In the small town of Pölva in Estonia the ERDF supported the construction of a public secondary school
building which is almost completely energy neutral. The school was conceived as a demonstration of
energy and resource efficiency combining innovation with education. For instance, it uses environmentally
friendly furniture and is fully accessible for people with physically disabilities. The school hosts up to 272
students and teachers and cost EUR 5.7 million of which the ERDF financed EUR 4.9 million. (Project
Fiche)
In Italy the National Education programme has allocated 31% of ERDF funding and selected projects that
will deliver infrastructure improvements for 4 million students (47% of the programme target).
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5.
LOW CARBON ECONOMY, CLIMATE CHANGE, ENVIRONMENT AND
TRANSPORT AND ENERGY NETWORKS: IMPLEMENTATION NARRATIVE
ON PROGRESS
More than EUR 262 billion in investment is planned into the areas addressing sustainable
development from the ERDF, Cohesion Fund, EAFRD and EMFF
11
. At the end of 2016, an
estimated EUR 73 billion was already allocated to specific projects, representing around 28%
of the total amount (an increase of threefold in selection compared to the 9% selected at the
end of 2015) across all funds that directly contribute.
Box 7: Mainstreaming of climate action into ESIF 2014-2020:
In the context of the 2014-2020 Multi annual Financial Framework political commitments were made
12
to
increase the proportion of climate related expenditure to at least 20 % across the EU budget over the period,
with contributions from different policy fields. Through the legislation governing the ESI Funds methodologies
for the tracking of climate related expenditure were laid down
13
. During programme preparation thematic
concentration requirements and discussions on the needs and financial allocations led to important allocations
to climate action under the different ESI Funds contributing substantially to the EU budget objective.
The 2017 Strategic Report recalls the planned amounts allocated by fund to climate action (Annex 3 of that
document) and compares the relative progress in project selection of climate relevant actions with the average
rates of project selection. From that data the rate of allocation to climate actions under the EAFRD, ESF/YEI
and Cohesion Fund is keeping pace or ahead of the overall average rate of selection. On the other hand the
selection of climate related actions under the ERDF and EMFF programmes are lower than the respective
average rates of selection for those funds. Within each fund the rates of selection also vary by country. It should
be borne in mind that the objective is to achieve the required investments by the end of the period (i.e. there are
no thematic targets year to year). Through the annual monitoring arrangement the implementation of climate
related investments will continue to the tracked and reported in detail through the ESIF Open Data Platform.
5.1.
Low carbon economy
An estimated EUR 13.3 billion has been allocated to projects addressing low carbon economy
objectives under the ERDF, EAFRD and EMFF programmes to the end of 2016, representing
21% of the EUR 64.1 billion planned
4
. While that rate of selection is lower than the overall
average, it shows a sharp improvement and a "catching-up" since the rate of 4% selection
reported for the end of 2015.
Energy efficiency improvement in enterprises is an objectives pursued in this field by the
ERDF. Of the target of 57 000 firms to be supported by the ERDF investment (mainly in the
UK) the programmes have reported that selected operations are already targeting 54 000
enterprises (95% of the target).
In relation to progress with other sustainable energy indicators, the programmes have reported
the selection of projects planning to 2 600 megawatt of renewable energy capacity (34% of
target); 148 600 houses with improved energy efficiency performance (16% of target) and 655
11
12
13
The ESF contributes to sustainable development objectives, i.e, green skills, through the secondary
objectives of support under thematic objective 8 and 10 in particular.
European Council Conclusions of 1-8 February 2013 (ref. EUCO 37/13) and the Commission's proposal for
MFF 2014-2020 - COM(2011) 500 final.
Commission Implementing Regulation (EU) No 215/2014 (OJ L 69, 8.3.2014, p. 65).
22
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gigawatt / hours of energy savings in public buildings due to efficiency renovations (13% of
the target).
In rural areas, EAFRD supports the production of renewable energy and carbon conservation
and sequestration in agriculture and forestry. Support under the EAFRD includes investment
measures, land management measures, as well as knowledge transfer and advice. By the end
of 206, 41% of the actions aiming at carbon sequestration and conservation in agricultural and
forest land were completed, which represents a level of achievement of 7.5% of the
corresponding target. 4.6% of the projects in the area of renewable energy, for which the
target is EUR 2.7 billion were approved.
The EMFF supports actions to mitigate the effects of climate change and improve the energy
efficiency of fishing vessels by modernisation and replacement of main and ancillary engines,
prioritising small–scale coastal. It also supports investments in equipment aimed at reducing
the emission of pollutants or greenhouse gases and increasing the energy efficiency of fishing
vessels. The EMFF aims to support 4 270 projects related to energy efficiency and climate
change with a total investment of EUR 117 million between 2014 and 2020. By the end of
2016 the MAs have selected 48 operations supporting energy efficiency with an EMFF
contribution of around EUR 438 000.
Project Examples:
Public lighting causes around six percent of global CO2 emissions with conventional lighting needing
replacement by energy efficient solutions. The Interreg "Dynamic Light" project supports city authorities to
develop strategic plans for low carbon public lighting and is testing new approaches. The project partners
are from AT, CZ, DE, HR, IT, PL and SI, with a project budget of EUR 3.5 million (2.9 million from the
ERDF). (Project website)
The second phase of the energy interconnection of the Cyclades Islands, linking to the Greek national
transmission system, is a strategic investment to improve the security of supply for the islands, and tap the
potential of local renewable energy sources. It will help the replacement of high-cost, environmental
harmful thermal plants or generators now used on the islands.
The "H2-Share" project aims to build and demonstrate a 27 ton hydrogen fuelled truck with a mobile
hydrogen (H2) refueller. It will support the development of a market for low-carbon heavy-duty vehicles,
run on hydrogen (H2) and demonstrate the readiness of hydrogen technology for heavy-duty applications
in real life conditions. The total budget of this Interreg project, implemented by partners in BE, DE and NL,
is EUR 3.5 million (EUR 1.7 million of ERDF). (Project
website)
5.2.
Climate action and risk prevention
An estimated EUR 16 billion has been allocated to address climate resilience and disaster risk
prevention mainly under the ERDF, Cohesion Fund and EAFRD programmes to the end of
2016, representing 39% of the EUR 41.2 billion planned
4
.
Of the available EU indicators, two in particular capture the main ERDF investments now
taking place to reduce climate related risks. By the end of 2016 a population of 4.6 million
was targeted to benefit from flood protection measures (35% of the target) while 2.9 million
were targeted by forest fire protection measures (30% of target).
In rural areas, EAFRD supports the production of renewable energy and carbon conservation
and sequestration in agriculture and forestry. Support under the EAFRD includes investment
measures, land management measures, as well as knowledge transfer and advice. Actions
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targeting carbon sequestration and conservation in agricultural and forest land, which were
completed by end-2016, represent a level of achievement of 7.5% of the corresponding target.
4.6% of the projects in the area of renewable energy, for which the target is EUR 2.7 billion
were approved.
Project examples:
In Hungary, flood prevention is of the utmost importance given the country's geographical location. The
Tisza-Túr reservoir, along the Tisza river, a major Danube tributary, is proposed for financial support
from the Cohesion Fund for a project to directly protect 130 000 people from the risk of floods and reduce
the negative impact of climate change. The total cost of investment is EUR 88 million.
In Spain, EAFRD support is used to promote renewable energy and management plans covering energy
management, forest management and biomass and climate change. Activities include promoting the
benefits of using energy plans, developing software that allows small enterprises to monitor and optimise
energy use, organising courses on biomass boilers and carrying out studies and pilot projects. The energy
management agreed so far will bring about €250
000 in cost savings. Total budget of the first phase project
is €466 000 with the EAFRD providing €200
000.
The Interreg project DiveSMART focuses on improving cross border disaster preparedness in the event of a
marine incident that places large numbers of people at risk in the Baltic Sea. The partners from FI, PL, SE,
DK, LV, LT and EE are engaged in joint training, mapping resources and drawing up common guidelines.
The ERDF is provides more that 75% of the EUR 2.2 million being invested.
(Project fiche)
In Spain, a large integrated marine conservation project has been set up with the support of LIFE, EMFF,
ESF and national resources. The main objective of the INTEMARES project is the innovative and
integrated management of Natura 2000 marine areas, with the active participation of the sectors
concerned. The aims include improving the level of knowledge, ensuring maintenance of good conservation
and surveillance, capacity building, increasing opportunities for employment in the Blue Economy and
promoting adaptation to climate change.
5.3.
Environment and resources efficiency
An estimated EUR 25.6 billion has been allocated to projects under the themes of
environmental protection and resource efficiency under the ERDF, Cohesion Fund, EAFRD
and EMFF programmes to the end of 2016, representing 31% of the EUR 85.5 billion
planned
4
.
Under the programmes supported with ERDF and the Cohesion Fund a number of key
indicators capture the bulk of planned investments:
3.5 million citizens will benefit from improved drinking water supply (28% of target);
The waste water of 5.4 million citizens will see improved treatment reducing
environmental impact (32% of the target);
1.3 million hectares of habitat are now targeted with conservation measures (20% of
the target);
The urban environment is also the subject of important investments: 4.2 million
citizens are covered by sustainable integrated urban strategies (38 % of target); 400
hectares of urban space are targeted to improve the quality of life and security (23% of
target).
Under other indicators, project selection still has to accelerate to deliver expected benefits (i.e.
only 184 000 tonnes of waste recycling capacity per year is so far selected for support - 3% of
the target expected, with progress reported in GR, PT, RO and SK only).
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In rural areas, the EAFRD is the main funding tool for environment and climate action. It
provides support for preserving and enhancing biodiversity, improving water and soil
management, reducing greenhouse gas and ammonia emissions from agricultural production.
A minimum of 30 % of each rural development programme is earmarked for actions
benefiting the environment and climate change mitigation and adaptation. However, the actual
amounts which Member States have programmed in this area exceed this minimum by far,
with an EU average of 57.6 % having been allocated to environment and climate related
measures.
According to the Member States' reports on output indicators, EAFRD has so far supported
23.5 million hectares of agricultural land to improve biodiversity (75% of the target).
Altogether 20% of the total agricultural land is covered by climate and environment related
actions. Moreover, 17% of EU farm land is envisaged to come under management
requirements for biodiversity, 15% of the farm land should be subject to better soil
management and 15% for better water management. This far, 23.5 million hectares of
agricultural land are receiving support to improve biodiversity (75% of the target); and 25%
of funds dedicated to improving the efficiency of water use in irrigation have been allocated
and already completed on 14% of targeted land area. Significant progress has also been made
with respect to achieving the target of covering 3% of agricultural land with management
contracts aiming to reduce greenhouse gas and ammonia emissions: more than 1% of land
(i.e. a third of the target) is already covered. Similarly, good progress towards the target of
0.7% of live-stock being subject to investments helping to reduce greenhouse gas and
ammonia emissions has been made with a completion rate of 11%.
The policy framework of the EMFF is the Common Fisheries Policy which aims to ensure
that fishing and aquaculture are environmentally, economically and socially sustainable and
that they provide a source of healthy food for EU citizen. The EMFF contributes to the
achievement of the objectives of the CFP. Particular focus is made on the protection of the
marine environment, in particular its biodiversity and marine protected areas such as Natura
2000 sites, and the sustainable use of marine and coastal resources and to further define the
boundaries of the sustainability of human activities that have an impact on the marine
environment, in accordance with the objectives of achieving and maintaining a good
environmental status as required by Directive 2008/56/EC
14
. The EMFF contributes with
EUR 766.5 million EMFF to sustainable fisheries and aquaculture. By the end of 2016, 2 200
projects were selected with an EMFF contribution of EUR 82.9 million.
Project Examples:
In the Trenčín
and Nitra regions of Slovakia, the upgrading of three waste-water treatment plants, a new
sewage collection system and 47 pumping stations are being built to ensure that treatment systems comply
with EU requirements for urban waste-water treatment. These works are part funded by the Cohesion Fund
with EUR 47 million. They are part of the second phase of the upgrading to improve environmental quality
and to connect a population of 100 000 to compliant treatment by 2022. (Project
Fiche)Europe
faces real
challenges in managing an estimated 3 million polluted brownfield sites. GreenerSites is an international
partnership to develop nine regional action plans and test 11 innovative solutions to clean up and
regenerate industrial areas. Project partners come from DE, HR, IT, PL and SI. The total budget is EUR
3.89 million (EUR 3.1 million of ERDF). (Project website)
14
The Marine Strategy Framework Directive (OJ L 164, 25.6.2008, p. 19).
25
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Farmers in Auvergne, France, used EAFRD support to preserve 823 hectares of peatland and wet
meadows in two Natura 2000 areas used for grazing. The project combines different measures to
implement agro-environmental climate measures for more sustainable farming practices. EAFRD support
allowed extensive breeding practice that favours maintenance of biodiversity. (Project
fiche)
In Portugal, a wine and olive oil producer applied an integrated management plan, guided by social,
environmental and economic sustainability objectives, to improve resource efficiency. The action plan
involved a geological study of the plots, redefining the irrigation plans and installing irrigation monitoring
and controlling equipment. The project resulted in the 12.7% decrease of water consumption of between
2015 and 2016. EAFRD support amounted to EUR 29 000 out of the total budget of EUR 34 400.
The SWELL Project - Shared Waters Enhancement and Loughs Legacy
aims to improve the water quality
status of Carlingford Lough and Lough Foyle. It brings together key state-owned water companies from
Northern Ireland and Ireland for the first time to conduct a detailed joint investigation into the causes of
water pollution in the Loughs and ways to prevent it. The INTERREG VA Programme Ireland-NI-Scotland
is financing the project with ERDF of EUR 2.8 million
Box 8: Progress in investment in major projects
Under the ERDF and Cohesion Fund, major projects are cornerstones of the ESI Funds' contribution to
implementing European policies, mainly in transport and the environment but also in the areas of research,
productive investments, low carbon economy and energy. Over 600 major projects are identified for 2014-2020
and intensive work on their preparation and implementation continues
15
, also with the vital support of technical
assistance initiatives such as JASPERS
16
Among the over 600 major projects identified the majority relate to transport infrastructures. However, 15 will
be directly targeted on addressing climate change related risks such as flood and risk prevention and 11 will be
in energy efficiency and renewable energy sources. In a pioneering innovation for 2014-2020, all major projects
need to demonstrate consistency with climate change related objectives. That includes taking account of climate
adaptation and mitigation considerations, disaster resilience, resilience to current and future climate variability
and information on whether climate change related expenditure was integrated in the project costs. These issues
must be addressed in all projects even if their primary objective is not climate change related (e.g. transport,
RTDI, broadb
and, health and energy projects must all be ‘climate vetted”).
The Commission is now publishing details of the list of planned and the approved major projects on the ESIF
Open Data Platform and is regularly updating that list to reflect progress in the preparation and approval of
this pipeline of key strategic projects
17
. By October 2017 the Commission had received 168 major projects (see
Figure 10 below) representing a total cost of EUR 37.6 billion of which projects
with an EU co-financing of
over EUR 12 billion
had been approved. The major projects submitted included 91 projects that represent
follow on phases of projects already started during the 2007-2013 period (such as the three Extreme Light
Infrastructure projects). The 2017 Strategic Report highlights that further mobilisation is needed to speed up
investment on the ground. Comparing the programme lists with the submitted list, that message is relevant in
particular for major projects expected to contribute directly or indirectly to climate action in fields such as
railway investment, and low carbon economy.
15
16
17
http://ec.europa.eu/regional_policy/en/projects/major/
http://ec.europa.eu/regional_policy/en/funding/special-support-instruments/jaspers/
http://jaspers.eib.org/
https://cohesiondata.ec.europa.eu/EU-Level/ESIF-2014-2020-ERDF-CF-Major-Projects/sjs4-8wgj
26
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Figure 10: Progress in the submission of the ERDF/ CF major project listed in the
programmes
Source: ESIF Open Data (as at 15/9/2017) -
https://cohesiondata.ec.europa.eu/EU-Level/ESIF-2014-2020-ERDF-CF-
Major-Projects/sjs4-8wgj
5.4.
Strategic networks
An estimated EUR 16.6 billion has been allocated to network infrastructure projects in
transport and energy under the ERDF and Cohesion Fund programmes to the end of 2016,
representing 31% of the EUR 71.4 billion planned
4
.
In relation to rail related investments the principal objective is the reconstruction of important
part of the existing networks. The already selected projects will modernise nearly 989
kilometres of railway (14% of the target) mainly in HU, LT, PL and SE. Within the selected
projects, more than 687 km of TEN-T railway lines will be reconstructed (15% of the TEN-T
rail target) so far mainly in HU, LT, PL.
In relation to improving accessibility across the European, national and regional road
networks, over 1 970 km of road will be reconstructed under already selected projects (20%
of the target), of which more than 550 km are part of the road TEN-T network (67% of the
target). The largest values linked to selected projects mainly occur in BG, CZ, GR, LT, LT,
PL and SK. An important volume of new roads are also planned, essentially in less developed
regions, with 1 200 km already selected (39% of target) including 850 km of new TEN-T
roads and motorways (42% of target).
Project Examples:
EU funding is supporting a first project stage to install and test the Global System for Mobile
Communications
Railway (GSM-R) on 935 km of track on Hungary's railways. The Cohesion Fund
contributes EUR 51.6 million for this stage. The overall project aims to improve communication between
trains and control centres on to ensure implementation of GSM-R on 3 064 km of Hungarian TEN-T
railway. (Project
Fiche)
In Eastern Slovenia, the Cohesion Fund is investing over EUR 63 million to support the building of 14 km
of ne
w motorway from Draženci to the international border crossing at Gruškovje and 13 km ancillary
local roads. As part of the EU’s TEN
-T network Baltic-Adriatic corridor investment this section of
motorway will improve connectivity on the E59 between Slovenia, Croatia and Austria, leading to reduced
congestion and travel times, less pollution and reduced accidents. (Project
Fiche)
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6.
STRENGTHENING INSTITUTIONAL CAPACITY AND EFFICIENT PUBLIC
ADMINISTRATION: IMPLEMENTATION NARRATIVE ON PROGRESS
An estimated EUR 1.9 billion has been allocated to 123 projects addressing institutional
capacity and reforms to the end of 2016, representing 29% of the EUR 6.5 billion planned
4
,
predominantly funded by ESF programmes (with ERDF support also in EE, IT, RO and in
Interreg programmes). The projects selected are so far are found mainly in IT, GR and
Interreg.
The 301 projects selected target public administrations or public services under ESF with
support to training, exchange of good practices, study visits, reorganising offices, ICT
diffusion, outsourcing and integrating salaries. Some 70 000 employees have been supported
under this objective by ESF. 33 projects for capacity building of social partners have been
selected in 4 Member States (BG, EE, PL, SI).
Project Examples:
In Greece, human resources are reinforced by the ESF in the public administration by upgrading basic
horizontal skills and facilitating a permanent mobility scheme through continuous vocational training in
order to better meet the needs of both the public administration and the citizens. 140,000 participations are
foreseen throughout the programming period.
In Cyprus, the ESF supports the new Service for the management and payment of the Guaranteed Minimum
Income in the context of the new social policy and the reform of the social welfare system. The action
relates to the strengthening of the administrative capacity of the Welfare Benefits Management Service in
terms of staff, training, IT, accounting, control and technical support with a view to quicker and more
efficient services.
In Poland the Public Services Monitoring System (System Monitorowania Usług Publicznych
-
SMUP)”
aims to create a publicly accessible database containing information on the quantity, quality, availability
and cost-effectiveness of public services provided by local government units. The SMUP will collect
integrated data allowing for an overall analysis of the situation in terms of the provision of a selected
service or group of services in a given local government unit and against a background of a comparable
group of local government units. It can thus become an effective service management tool based on
benchmarking mechanisms and the identification and use of good practices.
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1834243_0030.png
PART 2: THE EVALUATION OF ESIF PROGRAMMES
7.
EVALUATION OVERVIEW
For 2014-2020 a stronger emphasis is placed on the need to evaluate the effects of the policies
co-financed through the ESI Fund programmes. The programmes define objectives that are
specific and articulate the change sought by the investments. Evaluations are essential for
confirming whether those changes take place and whether the contributions made by the
programmes contribute to their specific objectives.
It was clear from the summary of evaluation plans presented in December 2016
18
that the bulk
of the national and regional evaluations to be conducted on the 2014-2020 programmes would
take several years still to bring conclusions. As implementation on the ground is now under
way there will be time lags until the impacts of those investments can be properly evaluated.
In particular, the evaluation at EU level to assess overall effectiveness, efficiency and EU
added value of the ESIF investments will mainly be conducted at the end of the programming
period (drawing on national evaluations) and ex post.
On the other hand, both the Commission and many Member States have in the last 12 months
delivered ex post evaluations of the 2007-2013 programmes (the ex-post synthesis on the rural
development programmes 2007-2013 will be finalised by the end of 2017). That work
provides important insights into the contribution to policy objectives made by the 2007-2013
programmes while also demonstrating the time lags that are typically involved in assessing
complex multi annual investments.
In the sections that follow the following elements are provided for each of the ESI Funds:
An update on the planned evaluations expected of the period 2014-2020;
An update and synthesis of the evaluations concluded by the Member States and the
Commission.
18
SWD(2016) 447 final -
http://ec.europa.eu/regional_policy/sources/how/strategic-report/swd_esif_annual_summary_2016_en.pdf
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1834243_0031.png
8.
ERDF AND COHESION FUND
8.1.
Update on evaluation plans 2014-2020
Based on regulatory requirements, all the operational programmes must submit to their
monitoring committees an evaluation plan within one year from adoption. All ERDF/CF and
multi-fund operational programmes have met the deadline (with one exception the Italian
Research and Innovation Operational Programme, which was submitted with a slight delay).
By 31 August 2017, four evaluation plans were updated and submitted for further review.
It is now possible to have a complete picture of the characteristics of the plans and the
foreseen evaluations. The majority of the evaluations foreseen will assess the effectiveness of
the programmes (figure below).
Figure 12 Breakdown of planned evaluation by type
ERDF+CF multi-Fund
nb
Impact-oriented
Impact and procedure/implementation and/or monitoring/progress-oriented
Procedure/implementation-oriented
Monitoring/progress-oriented
Procedure/implementation
and
monitoring/progress-oriented
Other
Total
294
184
120
91
30
46
765
%
38
24
16
12
4
6
100
nb
344
150
107
84
36
19
740
%
47
20
14
11
5
3
Total
Nb
638
334
227
175
66
65
%
43
22
15
12
4
4
100 1,505 100
Nonetheless, for the next two years the focus will still be on the assessments of
implementation and monitoring progress (figure below).
Figure 13 Differences in the timing of planned evaluations by type
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1834243_0032.png
It cannot be excluded that the future revisions of the evaluation plans foresee the
concentration of the number of evaluation, through cross programme evaluations or cross
thematic evaluations.
In line with the synthesis presented in 2016
19
, each evaluation plan has been rated in terms of
their completeness and their coherence and appropriateness. Ratings have been applied to the
main focus areas that need to be covered by the plans: 1 - Management and planning, 2 -
Responsibility and coordination, 3 - Design and methods, 4 - Data availability and data
systems, 5 - Skills and expertise, 6 -
Use and communication. The ratings range from ‘4’ very
complete/very appropriate and
coherent (i.e. very little room for improvement) to ‘1’ very
incomplete/very inappropriate and lacking coherence (considerable room for improvement).
The figure below shows the average ratings in each focus area as well the average rating for
the plans as a whole (each area being weighted equally).
Figure 14 Overall characteristics of ERDF/CF and multi fund evaluation plans
In general, the overall assessment confirms the trend identified last year: the plans tend to be
relatively complete and coherent with regard to the division of responsibilities and
coordination, the use to be made of evaluation findings and the communication of these as
well as management and planning and, slightly less so as regards the skills and expertise
available. The elements related to the design of evaluations, the methods to be used and the
data requirements are still on average weaker and indicate the areas in which the future
revisions of the evaluation plans should concentrate.
19
See footnote 17.
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1834243_0033.png
The evaluation plans are expected to be “living documents” that accompany the development
of the programmes and it has been recommended that "the monitoring committee reviews the
implementation of the evaluation plan at least once a year"
20
.
8.2. Synthesis of evaluation work completed by the Member States
The national and regional programmes devoted considerable attention to the topic of
evaluation. The majority of the evaluations identified since January 2015 are ex-post
evaluations of the 2007-2013 programming period.
Concerning the 2014-2020 period, 65 of the 91 evaluations identified are
process/implementation oriented. The remaining 26 look mostly at the progress of the
programmes and do not yet allow the assessment of the contribution of the programmes to the
expected results. For this reason, the following paragraphs will dwell mostly on the 2007-
2013 evaluations. As indicated previously in figure 13, it is expected that evaluation evidence
from the programmes on the 2014-2020 programming period will arrive starting in 2018.
Table 2: Evaluations published since January 2015 on Cohesion policy interventions;
breakdown by programming period
ERDF+CF
2007-2013
2014-2020
Total
139
63
202
Multi-Fund
24
28
52
Total
163
91
254
The evaluation effort is concentrated in some Member States. In particular, Poland (93), Spain
(56), Hungary (16), Lithuania (11), Romania (12), UK (11), Italy (9), Slovakia (9) and Czech
Republic (8) make up almost 90% of all evaluations identified.
Figure 15: Evaluations published since January 2015 by Member State
20
Monitoring and Evaluation of European Cohesion Policy - Guidance Document on Evaluation Plans:
http://ec.europa.eu/regional_policy/sources/docoffic/2014/working/evaluation_plan_guidance_en.pdf
32
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Although an attempt has been made to identify so far as possible the main common features
of the evaluations reviewed and to bring the key messages out which are relevant in each of
the four broad policy areas, the specific nature of the initiatives evaluated and the variety in
evaluation approaches make it difficult to do this at present since most of the planned
evaluations are still to come. However, as more evidence becomes available in the coming
years, the summary is likely to become more consistent and to the point. Such a review, in
other words, is an ongoing task and an update will be carried out as new evaluations are
published.
8.2.1.
Synthesis of ERDF/Cohesion Fund evaluation by theme
R&D and innovation (TO1)
is one to the thematic objectives which has most often been the
subject of evaluation up to now. Three among these used counterfactual methods.
The evaluation of the Lombardia regional OP 2007-2013 found evidence of a positive
and statistically significant effect of R&D support on the survival rate of enterprises
and employment, in particular for micro and small enterprises.
The evaluation of the Competitiveness and Economic Growth OP 2007-2013 in
Slovakia found that support for R&D and innovation had a positive impact on the net-
added-value of the firms receiving funding and to a lesser extent on their employment,
though there was a negligible effect on their net revenue.
The evaluation of the Inno-vouchers co-funded by the ERDF in the 2007-2013 period
in Lithuania concluded that the vouchers were effective tools for promoting
cooperation between SMEs and public research organisations but they did not help to
increase R&D expenditure in SMEs per se and they had no effect on productivity and
competitiveness.
Using a mix of quantitative and qualitative methods, the evaluation of the effects of
R&D support for 2007-2013 going to firms in Toscana found that it helped enterprises
to enter new markets or to strengthen their position on the markets where they were
already active.
Other evaluations reviewed assessed the effects of supporting cooperation between
enterprises and university research centres. For example, the evaluation undertaken in
Wales of the ASTUTE project co-financed by the ERDF in 2007-2013 period,
providing support to the aerospace, automotive and high technology industries, found
that the project was successful in establishing a network of external support
organisations. Support of High Performance Computing also in Wales in 2007-2013
period was also found to have helped to establish cooperation between universities and
enterprises.
A few evaluations focussed on the different forms of finance to support R&D and innovation
and to identify those which are most efficient.
The evaluation of the interventions supported by the Economic Development OP
2007-2013 in Hungary, for instance, assessed the effects of refundable and non-
refundable support for research and innovation in enterprises and suggests that both
33
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had a positive effect on employment and investment but not on profits and
productivity except when very large amounts of support were involved.
The evaluation of the Lomardia OP 2007-2013 concluded that the financial
instruments set up to support RDI investment had a larger leverage effect than non-
refundable grants. They were more efficient than grants in supporting technological
development and competitiveness.
Most of the evaluations that relate to the broad policy area of research and innovation were
not only concerned with the effects on R&D activities as such but also with the
effects on
SME competitiveness (TO3).
The main findings of the evaluations reviewed are listed
below.
The evaluation of the Invest NI Design Service project which was carried out between
2008 and 2014 in Northern Ireland found that it produced a positive return on
investment and that there was only limited deadweight.
The evaluation of the ‘Supporting innovation centres’ project funded by the Innovative
Economy 2007-2013 OP in Poland, and aimed at tacking the lack of innovation
centres in the country, concluded that the technological parks that were supported
helped not only to improve research infrastructure but through the business and
technology incubators set up led to start-ups being created.
The interventions supported by the ERDF in Wallonia in the 2007-2013 period helped
to increase the visibility and reputation of the research centres of the region according
to an evaluation reviewed. This also found that 53% of enterprises receiving support
experienced an increase in turnover but that deadweight was relatively large in that
only 14% of the research projects would not have been carried out without the support
of the ERDF.
An evaluation assessing the measures implemented by Enterprise Estonia to improve
the business environment and support enterprises and start-ups in the 2007-2013
period found that the firms supported performed better on average than non-supported
ones in most of the areas covered by the evaluation. But it also found that deadweight
in some areas was relatively large and this needed to be tackled in the future.
An evaluation of 14 projects undertaken as part of the growth forum in the Midtjylland
region of Denmark, co-financed by the ERDF and ESF in 2017-2013, found that there
was an increase in employment and revenue in the enterprises that participated. It
estimated that overall the projects created 18,000 new jobs. Positive effects on job
creation were also found by an evaluation of the 45 projects supported by the ERDF in
Syddanmark (Southern Denmark region) in the same period.
An evaluation assessing the effects of support provided in 2007-2013 to investment in
business infrastructure and industrial parks in Hungary, mainly in Northern and
Southern Great Plain regions, concluded that the interventions were generally effective
in increasing employment and turnover in enterprises though there were large
differences in the extent of the increase between regions.
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A few of the evaluations reviewed were more specifically concerned with assessing
financial instruments (FI). An evaluation on the use of FIs to support SMEs in
Hungary concluded that they led to the growth of a significant venture capital sector in
the country. At the same time, the evaluation pointed to the fact that EU supported
instruments (JEREMIE) and similar instruments funded by domestic sources
overlapped to some extent. It also highlighted the need for public officials be trained
to manage FIs efficiently and for more effective information to be provided to firms
on the funding available.
Another Hungarian evaluation assessed the Venture Capital schemes funded in the
2007-2013 period by four Jeremie programmes as well as the Széchenyi Capital
Investment Fund (SZTA) implemented by the Economic Development OP and the
regional OPs. It found that the different investment strategies were consistent with the
objectives pursued and that all programmes on average had positive effects on the
turnover of enterprises after 2-3 years. There was also an institutional learning effect
from the support in that it helped a group of institutions and entrepreneurs to develop
in the area and the Venture Capital market in the country to consolidate.
Only a few evaluations reviewed focussed on
ICT (TO2).
The evaluation of the broadband project in Wales (Superfast Cymru) co-financed by
the ERDF in 2007-2013, found that the project had positive economic, social and
environmental effects. It estimated that for each EUR of public money invested, EUR
6.70 of net economic benefits were generated, that 1,050 jobs will be created by 2024
and that CO
2
emissions will be reduced by 33 kilo-tonnes a year.
A Polish evaluation of the measures implemented by the Innovative Economy OP
2007-2013, aimed at improving e-systems for government and creating ICT
infrastructure, found that they helped to improve services and public administration
but that the effects as regards the business sector were modest. Another Polish
evaluation of the impact of EU co-financed programmes on the development of the
information society in Poland concluded that they helped to develop internet access
and improve ICT skills. It also, however, drew attention to a number of deficiencies in
the way the programme was implemented, such as a lack of coordination at the central
level and the need to better target measures to develop e-skills and promote e-
inclusion. In addition, e-entrepreneurship measures could have been complemented
with training.
Only a relatively small number of evaluations reviewed activities focused on the shift towards
a
low-carbon economy
(TO4). Those assessing interventions to support this broad policy
area mainly focused on investment in renewable energy and energy efficiency. The main
findings are set out below:
The evaluation of the Environment and Energy OP 2007-2013 in Hungary supporting
renewable energy and energy efficiency measures found that most projects concerned
the modernisation of buildings, nearly two thirds of them implemented by local
authorities and the rest by private enterprises. It highlighted that SMEs lacked
professional support for project preparation and implementation, especially in less
developed regions and that projects were not sufficiently sustainable.
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The evaluation of the regional ERDF OP Lombardia 2007-2013 concluded that the
projects supported helped to improve safety at facilities and ensured more accessibility
of urban spaces as a result of the renewal of lighting systems.
The evaluation of the regional ERDF Toscana OP 2007-2013 found that reduced
access to credit as a consequence of the economic and financial crisis was a strong
limiting factor for enterprise to participate in energy efficiency projects.
A horizontal evaluation undertaken in Poland to assess progress in shifting towards a
low-carbon economy indicated that over the period 2009-2015 there was an increase
of 28% in the share of electricity from renewable sources and of 10% in the share of
renewables in gross final energy consumption in heating and cooling.
Another evaluation reviewed on
environmental protection and preservation (TO6)
assessed the impact of projects, supported by the Infrastructure and Environment OP 2007-
2013, to protect the Polish sea coasts which are subject to erosion. The evaluation concluded
that the projects have helped to stabilise the shoreline and to reduce the risk of floods, while
indirectly supporting tourism.
For
transport (TO7),
the evaluations reviewed were mainly on infrastructure projects in the
EU12 Member States in the 2007-2013 period. They found little evidence of impact since the
effects needed time to materialise. A number of issues, however, were identified as regards
project selection and management. These related to the burden involved in preparing
applications for funding which is seen as disproportionate and the excessive weight given to
the price in project selection. Some evaluations also highlighted the fact that, due to the crisis,
prices fell and many projects were therefore completed at lower cost than originally planned.
A Hungarian evaluation assessed the effects on social inclusion and poverty reduction of
integrated urban development plans that were implemented by the 7 regional OPs in 2007-
2013 (TO9). It indicated that 77 social urban renewal projects were carried out and living
conditions and access to public services were improved as a result, but it failed to identify any
significant impact on employment or social conditions. It found that the partnerships put in
place to develop and implement the plans involved officials from municipalities as well as
local stakeholders were not permanent but created
ad hoc.
The evaluation pointed to the need
for more integrated development strategies among these and for more account to be taken of
the specific needs of the communities concerned and the local business sector.
In addition, a number of recommendations were made to improve the management of
transport for the 2014-2020 programming period:
continue the reconstruction of the rail network and develop alternative modes of
transport;
link transport infrastructure more closely to the needs of economic development in the
areas involved;
reduce operating costs to improve the financial sustainability of public transport;
develop more intelligent transport systems;
36
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take careful account of the need for maintenance of infrastructure and vehicle needs in
project planning;
pay due attention to the sustainability, competitiveness and energy efficiency of public
transport.
8.2.2.
Synthesis of the quality of the evaluations undertaken
8.2.2.1.
Clarity and suitability of the evaluation design
In general, the structure of evaluation reports included the main elements required, in
particular, the purpose of the evaluation and the research questions, the methods and data
used, the results obtained and the policy implications.
The majority of the evaluations reviewed set out the research questions and where they were
not spelled out, the purpose was usually made clear. Nevertheless, in some cases, the research
questions were not listed and the purpose of the evaluation was specified only in broad terms,
which made it difficult to assess whether the methods applied were suitable.
In some cases, the research questions were not in line with the purpose of the evaluation (or
only partly), particularly in respect of evaluations aimed at assessing impact. In some cases,
the questions had more to do with implementation issues than with the effects produced.
8.2.2.2.
Appropriateness of techniques applied and use of mixed
methods
In the majority of cases, the evaluations reviewed mainly used qualitative and quantitative
methods based on desk research, interviews and focus groups and to a lesser extent case
studies, combined with analysis of primary data from surveys and of monitoring and official
statistical data, where available. There was, therefore, a prevalence of simple evaluation
methods, which in principle may be suitable for the questions asked but when applied alone
do not in many cases produce robust results. The application of more complex methods
together with the principle of triangulation was limited. One of reasons for this seems to be
related to the lack of reliable and complete data, as highlighted in many cases by the
evaluators themselves.
Nevertheless, even where quantitative data were scarce, it would have been worth considering
the use of other methods, such as theory-based ones, possibly combined with detailed case
studies, to obtain a better understanding of the effects of the measures examined (in terms of
intervention logic and the mechanisms by which interventions were supposed to achieve their
objectives).
For some policy areas, the lack of data was a particular concern, such as in the case of
transport, environmental infrastructure, renewable energy and energy efficiency. In addition,
given that the effects of investment in these areas are often only measureable with a delay, the
estimated results may in some cases be very different from the actual ones. A more intensive
use of cost-benefit analysis and benchmarking techniques might, nevertheless, have helped to
produce more useful evidence.
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1834243_0039.png
In general, the use of theory-based, counterfactual and cost benefit analysis was limited and
concerned to a large extent
ex
post evaluations carried out on the 2007-2013 programming
period. These methods were combined, in many cases, with other qualitative and quantitative
methods.
8.2.2.3.
Data quality
As noted above, the lack of data represented a major limitation for many of the evaluations
reviewed. Limitations were also encountered for those interventions which were implemented
across an entire country, essentially because of a lack of homogenous data for the regions,
measures or OPs covered.
In some cases, the evaluation results were based on surveys where the response rate was too
low for robust conclusions and which made it difficult to generalise the findings.
Interviews remain one of the main data sources for qualitative methods but the reliability of
the responses is an inherent concern since they are liable to be biased by their subjective
nature. In some cases, the preparation of well-structured interviews or holding multiple
interviews with different actors helped to reduce the importance of this factor.
In other cases, detailed information on the way data were analysed was not included in the
report or annexes (or sometimes, even if provided, annexes were not available for assessment)
and this made it difficult to assess whether and to what extent data were suitably processed
and/or adjusted.
8.2.2.4.
Validity of findings and of conclusions
Overall, there were no major shortcomings in the evaluations reviewed so far as regards the
conclusions and policy implications and the way that they followed from the results of the
analysis. In a number of cases, however, they could have been presented in a clearer and more
coherent way to help readers to assess them more easily and to see how they were linked to
the foregoing evaluation.
In many cases, reference was made to the external factors which were at play and which could
have affected the outcome of the intervention being examined, but there was often no detailed
consideration of their effects.
8.3.
Synthesis of ERDF/Cohesion Fund evaluation work by the Commission
The ERDF and Cohesion fund 2007-2013 ex post evaluation was finalised in late 2016 and
was extensively presented
21
at the time.
Following completion of the 2007-2013 ex post, the Commission launched a major
communication effort on the results of the Policy on the ground. This included the production
21
The summary and full details of the ERDF/CF 2007-2013 ex post evaluation package is available on
http://ec.europa.eu/regional_policy/en/policy/evaluations/ec/2007-2013/
38
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of short Member State specific videos, showing key achievements of the policy in each
Member State. In order to provide the latest available information, the content was elaborated
to refer to preliminary figures from the 2007-2013 closure reports received in late March
2017.
Also in 2017, the Commission launched an evaluation to complement previous ex-post
evaluations. The objective of the latest evaluation of major projects, supported by ERDF and
the Cohesion Fund between 2000 and 2013, is to analyse the long term contribution (direct
and indirect, as expected and unexpected) of major investment projects on economic and
environmental development, quality of life and well-being of citizens. The policy areas to be
evaluated include transport, environment, energy, information and communication
infrastructure and research reflecting the importance of major projects as an instrument in
those areas in two programming periods (2000-2006 and 2007-2013). The first study under
the contract is a one-year study (signed on 15 May 2017) focused on 10 ERDF or Cohesion
Fund transport projects. This overall contract may be renewed up to three times by 12 months
provided the Commission is satisfied by the quality of work delivered. The policy areas to be
covered by the subsequent 12 months contracts will be: Environment (2018); Energy (2019);
Information society and Research and development infrastructure (2020).
During the 2014-2020 programming period, the main evaluation work undertaken by the
Commission will relate to the accumulation of evidence from Member States' evaluations. To
this end, the Commission has launched an "Evaluation Helpdesk" contract (ERDF/CF and
ESF) to identify and synthesise, among other tasks, the evaluations carried out by MS.
Within its annual reports, the helpdesk provides an overall synthesis of the quality and the
findings of the evaluations reviewed, organized by thematic objective and investment priority
where possible. That report feeds the Commission's annual summary report and synthesis (set
out for 2017 in this document).
To provide support to the Member States, the Commission, through the Evaluation Helpdesk,
organises evaluation training for the Member States through "summer schools" for managing
authorities and others involved in the evaluation of programmes. The first such training in
2016 focused on the design of evaluations and the development of good quality terms of
reference. The second event in 2017 focussed on theory-based impact evaluation. These
trainings are practice-oriented and interactive in nature, providing valuable occasions to
discuss evaluation issues and exchange of experience.
9.
ESF AND YEI
9.1. Update on evaluation plans 2014-2020
By 30 June 2016, 128 ESF (including multi-fund) Evaluation Plans were submitted to the
monitoring committees for assessment and approval, corresponding to three-fourth of the ESF
resources
22
. By August 2017, evaluation plans have been submitted for all OPs.
Consequently, the total number of plans for ESF OPs, has increased to 183.
22
See footnote 17.
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1834243_0041.png
Table 3- Breakdown of the evaluation plans by Fund (number)
Cumulative number of evaluation plans
ESF + YEI
Multi-fund
Total
82
101
183
Note: Evaluation plans covering ERDF OPs and ESF OPs are considered in the table as multi-Fund plans.
The total number of ESF programmes (187) compared to the number of evaluation plans
involving ESF (183) implies the common pattern has been one plan covering not more than
one ESF OP. This is in contrast to the relatively high number of plans covering more than one
fund.
Because of the required approval by Monitoring Committees of all evaluation plans within
one year after the adoption of the operational programme and the subdued start of programme
implementation, many elements of the originally submitted plans have been complemented
and updated. This has also allowed further specifying the plans. Consequently, this second
phase of planning has come with an improvement in the quality of the plans, in particular of
the updated plans. In the assessment of the Evaluation Helpdesk, a service run by the
European Commission to assess evaluation plans and monitor evaluations, the average quality
of the 15 revised evaluation plans has improved by 0.5 to 2.9 on a scale of 4. At the same
time, the average score of all evaluation plans is 2.6.
In line with the main findings of the previous year, the evaluation plans tend to be relatively
complete and coherent with regard to the division of responsibilities and coordination, the use
to be made of evaluation findings and the communication of these as well as management and
planning and, slightly less so as regards the skills and expertise available. The main areas of
weakness concern the design of evaluations, the methods to be used and the data
requirements. Aspects where weaknesses are most common as regards evaluation design,
selection of methods and data are failure to:
use existing evidence from past evaluations and research to identify main gaps in
knowledge about effect of programmes and measures supported;
set out for each evaluation, key evaluation questions to be investigated and justify
why; and to limit the number of questions;
identify most appropriate approaches or methods to address each evaluation question
and to provide the rationale for choice;
identify the data required in enough detail to be able to define data sources and check
availability; as well as
formulate a timely plan to fill gaps in data and correct deficiencies.
With the completion of evaluation planning and the evidence gained from the analysis of the
plans, efforts have to focus, on the one hand, on the improvement of the plans. The evaluation
plan is "a strategic document which will accompany the programme throughout its life and
40
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support its result orientation". Therefore it has been recommended that "the monitoring
committee reviews the implementation of the evaluation plan at least once a year"
23
. The
areas for improvement as identified in the assessment will be important references for the
reviews.
On the other hand, the attention has to shift towards the implementation of the plans, in
particular the quality of the evaluations. Indeed, out of the planned ESF evaluations for the
10-year period of 2014-2023, almost 40 percent is planned to be carried out in the
forthcoming 3 years.
Figure 16
Scheduled completion date of planned evaluations (number of evaluations
left scale, cumulative number
right scale)
Understandably, procedure/implementation and/or monitoring/progress-oriented evaluations
are expected to peak in the coming years in particular; whereas the majority of impact
oriented evaluations are planned to the later years of implementation. The later
implementation of the methodologically more complex impact evaluation provides some
opportunities for additional preparations to be able to carry out good quality evaluations.
23
Monitoring and Evaluation of European Cohesion Policy - Guidance Document on Evaluation Plans:
http://ec.europa.eu/regional_policy/sources/docoffic/2014/working/evaluation_plan_guidance_en.pdf
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Figure 17
Scheduled completion date of planned evaluations by type (number of
evaluations
left scale, cumulative number
right scale)
In addition to the scheduling of the planned evaluations, their thematic distribution has to be
considered too. As shown last year (SWD(2016) 447), the thematic coverage of the
evaluations was supposed to be broadly in line with the financial distribution of the thematic
objectives, i.e. 34% of the planned evaluations will address 'promoting sustainable and quality
employment and supporting labour mobility' (TO 8) and 10% will deal with 'enhancing
institutional capacity of public authorities and stakeholders and efficient public
administration' (TO 11). However, with the adoption of the final set of plans, the distribution
has changed in favour of the social inclusion thematic objective (TO 9). Social inclusion
evaluations are especially numerous in the multi-fund programmes, in which ERDF invests
heavily in social infrastructure.
Table 4
Distribution of planned evaluations by thematic objective and fund
ESF+YEI
Number
TO8
TO9
TO10
TO11
Total
93
54
54
32
233
Share (%)
40
23
23
14
100
Multi-fund
Number
178
246
162
49
635
Share (%)
28
39
26
8
100
Number
271
300
216
81
868
Total
Share (%)
31
35
25
9
100
Budget
Share (%)
39
25
32
4
100
These plans at national and regional levels have to be contrasted with the thematic needs of
the ESF. In particular, evaluation has to provide evidence how the ESF is contributing to the
implementation of the new policy initiatives, each of which can be associated with specific
thematic objectives and investment priorities, such as the Work Life Balance package (IP
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8.iv), the European Pillar of Social Rights (IP 9.i and 9.iv), the New Skills Agenda (TO 10).
DG EMPL is going to map the evidence coming from the evaluations in the important policy
areas, synthesise evaluation results and carry out meta-evaluations where necessary. A
complementary tool in the monitoring of evaluation results is going to be the voluntary
template for the reporting of evaluation results to be integrated in the AIR module. In addition
to synthesis and meta-evaluation, DG EMPL also intends to gather evidence about impacts of
the operations directly from implementation with its feasibility and pilot study. This study
aims at, on the one hand, testing the applicability of the counterfactual method on the basis of
datasets available in the authorities carrying out the programmes and in other administrative
bodies. On the other hand, it is going to evaluate the sustainability of the selected ESF
operations through a comparable set of measurements.
In addition to ensuring a thematic balance, the reliability of the findings is also essential for
catering the necessary input to policy decision makers. With a view to improving the
evaluation culture in the authorities responsible for the management of the ESF, DG EMPL
(jointly with DG REGIO) has continued the peer reviewing of national or regional
evaluations. The reviews, with a focus on impact evaluations, aim at identifying good
practices to be showcased and disseminated. At the same time, the discussion between the
reviewers, the authorities and the evaluators induce direct learning. The main findings have
been presented to the ESF Evaluation Partners.
In addition to fostering evaluation culture through the peer reviews, particular attention has
been devoted to ESF counterfactual impact evaluations (CIEs) since 2013. The capacities of
the national authorities to carry out quality CIEs have been supported by the Center for
Research on Impact Evaluation (CRIE), which is part of the Joint Research Center. CRIE
supported four Managing Authorities
24
to get their data ready for future CIE. Four further
Managing Authorities that already have suitable data
25
are being assisted to carry out CIE.
CRIE has fostered the use of CIE by developing guidance materials (including video
tutorials), organising seminars, facilitating sharing of experience through meetings and web
platform and by providing customised support to the Managing Authorities. CRIE is also
maintaining an archive of CIEs on ESF type interventions accessible to users in the Member
States, research community and other stakeholders.
9.2. Synthesis of ESF/YEI evaluations completed by the Member States
The majority of evaluations on employment carried out by Member States were essentially
concerned with the effectiveness of the interventions co-financed by the ESF over the period
2007-2013. Some evaluations also dealt with the efficiency and impact of the programmes.
The ESF ex post evaluation found that in many cases, the evaluation objectives were so
broadly defined or too many, that the impact analysis failed to provide useful insights.
24
25
Human Capital interventions for young NEETs employment in Romania; Supporting institutions threatened
with early school leaving in Hungary; Work Experience for Young people in Italy
–Basilicata;
Higher
education scholarships and advanced training in Portugal.
Youth Guarantee in Hungary; Work for Youth in Belgium; Youth Guarantee Vocational Training
Programme in Latvia; Work Experience for Graduates in Italy-Umbria.
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As regards the appropriateness of techniques applied in the majority of cases, the evaluations
mainly used qualitative and quantitative methods based on desk research, interviews and
focus groups and to lesser extent case studies, combined with analysis of primary data from
surveys and of monitoring and official statistical data, where available. There was a
prevalence of simple evaluation methods, which in principle may be suitable for the questions
asked but when applied alone do not in many cases produce robust results. The application of
more complex methods together with the principle of triangulation was limited. One of
reasons for this seems to be related to the lack of reliable and complete data, as highlighted in
many cases by the evaluators themselves.
During the 2007-2013 programming period, the first evaluations which employed
counterfactual methods were carried out by Member States, notably thanks to the efforts of
the Commission to promote the use of this method. Six of them present particular interest.
They were concerned with public employment measures for job-seekers and people that were
inactive including young people, long-term unemployed and those that were far from the
labour market and initiatives to stimulate entrepreneurship (TO 8.i-8.ii-8.iii).
The counterfactual evaluations showed positive impact in the cases of the "Bürgerarbeit"
programme, co-funded by the federal ESF OP in Germany, the "JobBridge" project co-
financed by the ESF in Ireland and in two cases in the UK namely the "ESF
Jobs Growth
Wales
" and the "
Redundancy Action Scheme"
(ReAct
phase I and II)
programme. In
general, the programmes have been successful in improving the employability of the
unemployed by giving them various kinds of activation support. However, in the case of the
evaluation of the measures supported by the
Competitiveness and Economic Growth
OP in
Slovakia
in 2007-2013, it was observed that ESF support had a negative effect on the income
of participants and reduced the likelihood of them finding a job, though this seemed to
disappear after 24 months. The picture was also quite mixed in cases like the counterfactual
evaluation of the
regional Sardinia
ESF OP 2007-2013, comprising active labour market
measures for young people not employed and those receiving social support as well as a
voucher scheme for work experience, as results varied according to the age of participants and
those still in employment 12 months after the training tended to be in low quality jobs.
The evaluations from Member States were used by the Commission to the extent possible in
the framework of its ex-post evaluation.
9.2.1.
Evaluations of the Youth Employment Initiative
The majority of the evaluations carried out by Member States related to the YEI. This was
anticipated since there was an explicit regulatory requirement according to which the first
evaluation of YEI had to be completed by December 2015 by Member States. Despite the fact
that YEI implementation was frontloaded, delays (mostly in designation and setting up of IT
systems) have been reported which in turn affected the availability of evidence for the
evaluations. In the cases that there was not sufficient data on the effectiveness of the
supported YEI measures, the YEI evaluations focused rather on the implementation process
providing recommendations for assuring effective and efficient interventions.
The process-oriented evaluations concluded that YEI interventions generally provided support
to those areas that are in greatest need such as the long-term unemployed, the inactive, and
discouraged young people and were expected to deliver a significant positive impact. More
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specifically, positive outcomes have been reported, like in the case of Cyprus and Bulgaria,
with 45% of participants being in employment after leaving the intervention. In France, it was
concluded that the exit rate of participants was higher than expected. The evaluation in Italy
showed that around 35% of the young who have completed the interventions are now in
employment.
Another conclusion of several YEI evaluations was that the most effective interventions
differed per specific target group; i.e. training, and guidance were considered as the most
effective. Less effective interventions considered training for entrepreneurship and
apprenticeship places as it turned out in the cases of Romania, Lithuania, and Italy.
The YEI also contributed to the launch of innovative actions such as the integrated training-
accompaniment actions managed by the VDAB in Belgium). Overall, the best results were
experienced where project partners and stakeholders like the Public Employment services,
schools, and municipalities cooperate.
Some evaluations reported on differentiated
regional approaches
while implementing YEI
interventions across regions, due to the regional set up of administration. For instance, the
evaluation in Lithuania pointed to the fact that the selection criteria for YEI support are not
homogeneous across municipalities. This was considered that might hinder participation of
NEETs with the same characteristics in different municipalities. Similarly, the evaluation in
Italy pointed on heterogeneity in the average effort of Public Employment services among
regions in terms of taking on responsibility for beneficiaries while the evaluation in France
pointed to the fact that the decentralisation of the management was administratively more
demanding.
A specific challenge identified was the difficulty of approaching the NEETs, especially those
belonging to the most vulnerable groups. Moreover, NEETS seemed to be a very
heterogeneous target group and each target group needs another combination of interventions
when considering the labour market needs. The evaluation in Bulgaria recommended that the
interventions should be monitored on a regular basis to ensure that the interventions address
the needs of the different target groups. Moreover, it was indicated that some target groups
should be better addressed, like early school leavers and people with lower qualifications. The
evaluations in Italy, France and Romania pointed to improvements to be made in the
governance of YEI, improving the alignment between national and regional policies in.Italy,
increase employers’ participation in Romania and Public Employment services in both
countries.
9.2.2.
Evaluations of the ESF
Beyond YEI, few evaluations were carried out by Member States relating to ESF in 2016 (see
below). This was expected given that the largest share of evaluations is planned for the
coming years.
In the case of Lithuania, the evaluation concluded that there was a positive effect on job
placement of participants from training on the job and on youth volunteer work (although not
being statistically significant). Overall, employment measures that were closer to the labour
market were, on average, more successful in getting the unemployed into work in the short
term, than those that required the development of general skills and competences.
45
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Similarly, a Dutch evaluation reported that the provision of the scheme was efficient, since
the clear majority of participating organisations would otherwise have not implemented the
project, or would downsize the scale and size of the project. The ESF succeeded in reaching a
wide variety of small, medium and large enterprises in all sectors. Another evaluation in the
Netherlands concluded that the financial progress made was considered positive and the first
results showed that 20% of participants in the first two years of the programme were still
employed at the end of the interventions. The most effective interventions in meeting the
needs of employers, and so favouring integration into the labour market, turned out to be
those featuring a mix of instruments.
A Polish evaluation at regional level showed that the division of tasks and responsibilities
between the Managing Authority, the Intermediate Bodies and the certifying authority was
appropriate ensuring an efficient implementation of the OP. Nevertheless, in terms of human
capital, the lack of an incentive scheme and insufficient wages for the employees involved in
the management and implementation of the OP was highlighted.
The evaluation of the project supporting unemployed or single parents in the United Kingdom
reported positive outcomes on the way policy operates.. The flexible, person-led approach
was welcomed by all stakeholders and participants. However, the foreseen employment
outcomes were challenging particularly in rural areas which suffer from poor infrastructure.
In Germany, two evaluations were carried out with the first one concluding that targets were
not achieved for 2016, and that the process of recruiting enterprises for the consultation was
underestimated in terms of the high costs incurred and the time required. The evaluation
recommended revising the indicator system and setting more realistic targets for the
remaining period and improving the overall cooperation process. The second evaluation on
women and careers provided a positive assessment of the counselling activities, as well as the
data quality.
Finally, a feasibility study was conducted in the Netherlands showing that a quasi-
experimental evaluation only seems meaningful for measures co-financed by ESF targeting
the disabled.
9.3. Synthesis of ESF evaluation work by the Commission
Evaluation work by the Commission in the last 12 months has focussed on the competition of
the ESF Ex post evaluation and supporting the planning of evaluation for the 2014-2020
period.
A 2016 staff working document
26
presented the main findings of the ex post evaluation
27
of
the European Social Fund operational programmes for the 2007-2013 programming period.
The main task for the Commission for 2014-2020 in relation to evaluation is to support the
implementation of the evaluation planes of each programme, the synthesis of the findings
26
27
SWD(2016) 452 final.
Full details of the ESF Ex post evaluation are available on
http://ec.europa.eu/social/main.jsp?catId=701&langId=en
46
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when they become available and to support the programmes. This is being carried out through
the Evaluation Helpdesk, a joint contract covering ESF/YEI programmes as well as ERDF/CF
programmes. See section 8.3 above for further details.
10. EAFRD - EUROPEAN AGRICULTURAL FUND FOR RURAL DEVELOPMENT
10.1. Period 2014-2020
10.1.1. Progress in implementing evaluation plan
RDP evaluation concepts have been fine-tuned, including the revision of timing as well as
modifications of evaluation criteria and methodologies. In total, 49 modifications of
evaluation plans (EPs) were mentioned in 22 annual implementation reports (AIRs) submitted
in 2017 by seven Member States (MS), namely in Estonia, Finland (1 RDP), France (7),
Germany (3), Italy (8), Spain (1) and the UK (1). In more than half of these EPs, only one
sub-section was modified. Modifications concentrate on the following areas:
Changes/updates in the evaluation timeline, e.g. due to delays in the implementation
of the programme;
Update/ change of units, procedural changes, additional human resources;
Updates of judgement criteria, indicators, development of a detailed evaluation
concept;
Selection and contracting of RDP evaluators.
The merging of the French regions Basse-Normandie and Haute-Normandie resulted in the
creation of a common EP.
The number of reported evaluation activities has doubled compared to the previous reporting
period. The main progress concerns activities in relation to the planning and preparation phase
of evaluations. A total number of 374 evaluation activities were reported in 105 of the AIRs
submitted in 2017. Compared to the activities reported in the AIR submitted in 2016 this is
more than double. The number of evaluation activities by Member States is illustrated in the
figure below and can be described as follows:
The reported evaluation activities mainly concern the planning and the preparation of
evaluations. With regard to these two phases, 205 activities were reported in 2017,
including the preparation of Terms of Reference and tendering procedures, as well as
the set-up of administrative arrangements etc.;
48 activities are related to the structuring phase, e.g. the review of evaluation
questions and indicators and the development of an evaluation approach and methods;
89 evaluation-related activities concern the implementation phase and 32 activities the
dissemination phase, representing together one third of the total number of evaluation
activities. This is significantly more than in the AIR in 2016, where only one out of
seven activities was related to these two phases. Evaluation topics include cross-
priority topics, RD priority 4 and RD priority 5.
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34 of the 374 evaluation activities are related to the ex-post evaluation. Reasons for not
reporting evaluation activities include delays in the implementation, delayed tendering
procedure for the selection of evaluators or insufficient implementation data.
Figure 18: Evaluation activities by Member States and phase
Source: Screening of AIRs submitted in 2017 (Evaluation Helpdesk for Rural Development, 2017)
Managing Authorities have considerably progressed in contracting independent evaluators for
carrying out evaluation activities. Almost 80% of the AIRs submitted in 2017 provide
information about contracting evaluators. In some RDPs this information is not available yet,
as e.g. in IT-Puglia and PT-Acores, where the tendering procedure for the selection of
evaluators was opened only in 2017.
Reported monitoring and data management is in many programme areas still in the phase of
setting up and adaption of the monitoring systems. Data management activities were reported
in 109 of the AIRs, most of which concern the setting-up of the monitoring system and
ensuring data provision and collection. 13% of the reported activities are related to the
collection of data.
Difficulties in relation to data management refer to monitoring problems such as related to
indicators calculations, the lack of definitions, baselines, target values, and difficulties in the
reliability of calculations as resulting from lacking data.
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Table 5: EAFRD reported activities related to data management
Type
of
data Number
management activity
Set up of the monitoring 98
system (in administrative
and technical terms)
Share
35%
Information provided in the AIRs
Adaption and fine-tuning of the monitoring system
and applications; definition of the operations
database; Contracting of IT services; national
working group / steering group on monitoring and
data collection;
Assessment of data needs and availability;
Description
of
main
information
sources;
Identification of supplementary data to be provided;
Linking sources, methods and activities
Agreements with data providers; Description of how
specific data (e.g. farmland bird index); guidelines
including definition of process and tasks of actors;
training
Elimination of shortcomings in the data acquisition;
Retrieving of data; data collection methods (e.g.
survey); development of data collection and
management systems; implementation of new
dashboards;
Identification of other information sources;
monitoring and evaluation working group;
incorporation of new indicators; signed agreements
Plausibility checks by technical departments;
meetings between evaluators and PA; agreement with
data provider to collect data on land characteristics of
the farms
Signed agreements between involved actors;
Presentations,
methodological
development;
Guidelines, working group on new processes to
improve data collection;
Screening
data
and 26
information
sources/
providers
Ensuring data provision
81
9%
29%
Collection
of
(beneficiaries,
beneficiaries)
data 37
non-
13%
Arrangements to fill data 13
gaps
Quality
control
collected data
of 13
5%
5%
Management of
protection issues
Other
data 4
9
1%
3%
Total number of data
management activities
reported
281
100%
Source: Screening of AIRs submitted in 2017 (Evaluation Helpdesk for Rural Development, 2017)
The number of completed evaluations increased significantly, indicating major progress in the
implementation of EPs. Specific topics of evaluation studies concern mainly RD Priority 4,
cross priority topics and priority 2. While a number of 150 completed evaluations (AIR in
2016: 66) was listed in 64 AIRs, about one third concern ex-post evaluations of the previous
programming period 2007-2013.
16 evaluations concern specifically RD Priority 4 (ecosystems). Saxony (DE) carried out
several studies related to LEADER/LAG and LDs and Spain conducted several
methodological studies on the calculation of indicators. Several studies and evaluations were
completed referring to RD Priority 2 (economic impact), with some focus on specific sectors.
In Germany, an evaluation was completed, comparing four German RDPs on aspects such as
finances, support measures, target groups and implementation. Reports with a methodological
focus include the assessment of the M&E system and the provision of methodological support
on e.g. how to calculate result indicators. 107 of the completed evaluations were published
online.
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Figure 19: Evaluation topics of the completed evaluations listed in the AIRs submitted in
2017
Source: Screening of AIRs submitted in 2017 (Evaluation Helpdesk for Rural Development, 2017)
Evaluation-related communication activities tripled in number compared to the previous
reporting period and reached more than 800,000 stakeholders. 280 evaluation-related
communication activities were reported, of which the main communication channels were
multi-events (e.g. conference, seminars, workshops, excursion) (98 activities) and the website
(52). Regarding the specific evaluation topics, the majority of the communication activities
refer to cross-priority topics and CLLD/LEADER. Other activities are not focussing on
specific evaluation topic (e.g. presentation of the MC, status meetings, conferences, etc.). 45
of the communication activities are related to the programming period 2007-2013, which
includes press releases and the dissemination of the ex-post evaluation.
In total, 856,902 stakeholders were reached, mainly through website visits and the
participation in meetings, workshops, etc. The number of stakeholders reached through online
channels is reported to be difficult to monitor and therefore most likely underestimated.
10.1.2. The progress towards achieving the objectives of the 2014-2020 rural
development programmes
This section describes progress in implementing RDPs as derived from 21 common
evaluation questions (CEQ) included in chapter 7 of the enhanced AIRs submitted by 30 June
2017.
The majority of the RDPs have systematically dealt with evaluations even at an early stage of
programme implementation. Managing Authorities took the opportunity to address the
common evaluation questions (CEQ). For example, in 90% of all cases, the important focus
areas 2A (economic performance) and the financially significant priority 4 (ecosystems) were
addressed. Only a small share of Managing Authorities did not treat the CEQs although
operations were completed in the reporting period in the respective focus area.
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Achievements are consistently reported, though with various degrees of detail. Some of the
RDPs also report on concrete achievements. A high proportion of Managing Authorities
reported achievements in relation to focus area 2A (economic performance), 6B (local
development) and in the P4 (ecosystems). Some of the achievements are based on ex-post
evaluation findings of the 2007-2013 period which were extrapolated to the current
programmes.
The evidence-base for RDP achievements, expressed in quantified common result indicators,
varies across programmes and focus areas and does not necessarily correlate with the level of
uptake. The quantification of common result indicators varies by focus area. A high degree of
quantification was achieved for focus areas 2A (economic performance), 4A (biodiversity),
4B (water management), 4C (soil management) and 6B (local development). As regards
priority 5 (resource efficiency) and focus areas 3B (risk prevention) and 6C (ICT),
quantification remains limited. Complementary result indicators (such as R2 labour
productivity) could only be quantified in a few cases.
Table 6: Level of financial absorption and treatment of CEQs (basis n=115 RDP)
Priority
Focus area
Share of
RDPs with
realised
expenditures
in %
Share of
RDPs which
treated the
CEQs in %
Number of
RDPs which
did not treat
the CEQ
despite of
realised
expenditures
in %
Share of
RDPs which
reported
achievements
in % (sub-
section 6)
Share of
RDPs which
quantified
common
result
indicators in
% (value>0)
1A
P1
1B
1C
2A
P2
2B
3A
P3
3B
P4
4A, 4B,
4C
P5
5A
5B
5C
5D
5E
6A
P6
6B
6C
38
81
56
60
21
89
21
19
25
23
52
27
57
7
74
69
59
90
73
75
40
90
42
49
62
58
68
57
82
36
4
4
2
8
5
1 (4A),
3 (4B),
3 (4C)
4
0
0
1
7
4
5
2
49
35
33
90
50
48
23
70 (4A),
63 (4B), 26
63 (4C)
28
40
36
48
35
55
20
T1 32
T2
13
T3
23
T4
62
R2
13
T5
42
T6
19
T8 26
T9 70
T10 60
T7 7
T11 14
T12 57
T13 15
R13
3
T14
15
R14
2
T15
12
R15
9
R16
18
R18
10
R19
9
T17
7
T18
20
T19
37
T20
17
T21
47
T22
23
T23
20
T24
4
Source: HD screening of AIRs, extract of SFC 2014 database
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Figure 20: Share of RDPs that evaluated the focus areas and reported achievements
Source: HD screening of AIRs, extract of SFC 2014 database
The following section provides information on the achievements measured by common output
and result indicators and examples of achievements demonstrated for RDPs with a high
output rate (high outputs are the precondition for effects), as reported in the AIRs submitted
by the end of June 2017.
Aggregated information on the achievements is presented for each of the six Rural
Development priorities in the
Annex.
The six priorities are further elaborated through 18
Focus Areas (FA)
jointly providing the basis for rolling out support under the EAFRD.
10.2. Ex-post evaluations 2007-2013
Member States submitted to the Commission the ex-post evaluation reports of the 2007-2013
rural development programmes by 31 December 2016. As set out in Article 87 of Council
Regulation (EC) No 1698/2005 supporting the EAFRD
28
, supplemented by Article 18(2) of
Commission Delegated Regulation (EU) No 807/2014
29
, a summary of the ex post evaluations
is currently ongoing under the responsibility of the Commission and will be completed by the
end of 2017.
28
29
OJ L 277, 21.10.2005, p. 1.
OJ L 227, 31.7.2014, p. 1.
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11. EMFF - EUROPEAN MARITIME AND FISHERIES FUND
11.1. Period 2014-2020
EMFF programmes are at a very early stage of implementation and therefore only a limited
number of evaluations took place. Nine Member States reported some evaluation activities in
the AIR submitted 2017 (CY, CZ, DK, FI, HU, LV, PT, RO, SK). The activities include
mainly the formation of an evaluation steering committee. But some Member States (CZ, FI,
LV) have reported the start of evaluations such as process evaluations (i.e. in CZ) or sector
analyses (e.g. in FI). Most of the Member States plan to start evaluation in late 2017 or the
beginning of 2018.
The Commission has prepared an EMFF evaluation working paper which should support
Member States with their evaluation process in order to address a demand from the Member
States and programmes. The working paper and the toolbox are available on-line:
Working paper on EMFF evaluation
and
toolbox
The Commission also issued working papers to guide the managing authorities on the
indicators system (definitions and operationalisation of indicators) and to facilitate the
implementation of the Infosys regulations. Both documents are on-line here:
Working Paper on definitions of common indicators
Working paper EMFF Article 97(1)(a)-reporting data requirements
on
the
FAME
website
These
and
other
materials
are
available
https://ec.europa.eu/fisheries/cfp/emff/fame_en
The following sections outline the EMFF evaluation plans and their different components.
Evaluation plan
Regulation (EU) No 508/2014 on the EMFF
30
underlines in Article 18 “Content of the
operational programme” that the Operational Programmes (OP) will contain “the evaluation
requirements and the evaluation plan referred to in Article 56 of Regulation (EU) No
1303/2013
31
and actions to be taken to address
identified needs”. The evaluation plans are the
Chapter 10 of the OPs. Annex I of Commission Implementing Regulation (EU) No
771/2014
32
provides the structure and minimum contents of the evaluation plans in section 10.
All programmes have fulfilled the formal obligation of drafting an evaluation plan as part of
the programme. They have followed the guidelines of the OP template and the requirements
of Regulations (EU) No 1303/2013 and (EU) No 508/2014.
30
31
32
OJ L 149, 20.5.2014, p. 1.
OJ L 347, 20.12.2013, p. 320.
OJ L 209, 16.7.2014, p. 20.
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The evaluation framework of the EMFF is facing some specific constraints in the period
2014-2020, which set the Fund apart from the other ESIF. In a nutshell these are:
The EMFF regulatory framework was finalised with some delay, hence leaving less
time for the drafting of the programmes compared to the other ESIF (ERDF/ESF have
more time to finalise the EP);
The EMFF has introduced a new approach focusing on the establishment of a
functioning Common Monitoring and Evaluation System (CMES) with a set of
common indicators and emphasis on results. This new CMES has required the
attention of the MAs in getting the OP intervention logic and the indicators set
running, so less attention was given to the evaluation plan;
The EMFF Programmes have a rather limited budget (at least in comparison to the
other ESIF), hence evaluation approaches must be proportionate to the TA resources.
Elaborated impact evaluation and counterfactual designs will be beyond means;
instead a sound theory based evaluation (TBE) approach should be adequate.
Most plans were fairly detailed
in this part. They focused on “pragmatic” short-term
strategies
(e.g. measuring performance and preparing the AIR). The most popular types were on
“supporting evaluation activities in general”, “measuring performance”, “assessing effects”
and “preparing data”.
This is also evident by cross checking with the addressed evaluation criteria; practically all
plans (25) mention effectiveness and efficiency
33
. Relevance and impact are also mentioned
but less often (8 and 16 times respectively).
Not surprisingly ES (which has the largest OP budget and regional settings) addresses the
most evaluation criteria, including coherence and community added value.
However the objectives were not always supported with detailed activities, e.g. related to
effects assessment. Instead the general impression was that the EPs were rather conservative
and conventional, yet “fit for purpose” in the formulation of their objectives.
Governance settings
The governance settings related to monitoring and evaluation tasks described in the plans are
also straightforward; the MA and MC combination is the mainstay. There are only two cases
in which the MA is not responsible; in FI (Natural Resources Institute Finland) and in EL
(where the OP is managed by a form of sub-MA, which has all the MA functions but not the
status of an MA, yet it is not constituted as an Intermediate Body (IB)).
Partner and stakeholder involvement is also mentioned. In 12 cases there is an evaluation
steering group either on an ad-hoc basis or in the form of an inter-ministerial body or critical
reviewer. Also mentioned are; ad-hoc working groups, national coordination bodies, FLAGs,
evaluators, the European Commission etc.
Evaluation tasks, methods, activities and topics
33
FI and FR don't refer to these criteria, but this is probably due to wording specificities and English
translation rather than intention.
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These two sections (tasks/methods/activities and topics) were indeed the poorest in the EPs;
they were hardly any references to them in most OPs.
The most “popular” methods were simple performance/target comparison (26 cases) and
review of the intervention logic (and a simple Theory Based Evaluation approach) in 12 cases.
The validation of the result indicators was also mentioned 8 times. In average 3 methods were
mentioned, however many referred only to one, namely performance/target comparison. Other
methods mentioned quite frequently under the caption
“other” were; ad-hoc
workshops,
consultations with stakeholders, brainstorming sessions etc. This could be interpreted as a
preference for qualitative approaches.
Not many Member States outlined the evaluation topics they wanted to focus upon; although
10 Member States did not even mention any thematic focus.
There was some correlation between budget and number of topics mentioned; simply
speaking the larger the budget the more topics were mentioned.
The most popular topic was the Common Fisheries Policy (CFP) implementation followed by
the economic effects of EMFF support on enterprises and environmental
impacts/sustainability. No Member States mentioned the “control and enforcement” and “data
collection”. It would be interesting to examine what are
the reasons for that; are these topics
considered to be “alien bodies” to be evaluated by somebody else or are they somehow
considered a routine “job”?
In the case of land locked countries (AT, CZ, HU, SK), the focus was obviously on
aquaculture, economic and environmental effects and the viability of enterprises.
Data and information strategy
Overall this was the best developed part of the EPs. The programmes obviously rely on
monitoring data in Article 97(1) of the “Infosys” Regulation (EU) No 508/2014
(mentioned
24 times), the application forms (mentioned 21 times) and official databases (mentioned 20
times). This also explains the “negligence” of advanced evaluation topics and the focus on a
functioning monitoring system for efficient performance/target comparisons.
Less frequently EPs refer to surveys, contributions of research institutes, scientific
publications, Article 77 outputs from data collection operations and data from local
authorities. The use of these measures appears to happen on an ad-hoc basis. If the main
sources mentioned above (e.g. Infosys, application forms etc.) fail, there is no specific
process, pattern or motive for choosing an alternative e.g. for the purpose of triangulation.
The overall impression is that the MAs feel confident in this field; however they have an
administrative approach. There is no awareness of the need to have a robust system and
specific audits will take place to assess the functioning of the monitoring system, inter alia
due to the importance of the Performance Framework.
Resources, timelines, communication
Overall the description of
resources
available for evaluation was very thin; most Programmes
provided only imprecise qualitative information.
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Only DK, IE, LT, LV, PT and SI made quantitative statements on personnel (values between
1 and 5 persons; it was assumed that they refer always to FTE positions).
Only BG, CY, CZ, FR, IT and SI indicated financial resources; although these are rough
assumptions rather than calculations (with the exception of SI).
Timelines
were also very basic. Exceptions were BE, CY, CZ, HR, LV, NL and PL where a
logical sequence of activities was evident. DE, DK, EE, EL, IE and SE provided basic but
sound baselines. All the other Member States mainly referred to important evaluation
milestones (i.e. AIR 2017, AIR 2019, ex-post) with little other information whatsoever.
Communication
was also superficially described. 26 out of 27 EPs mention the MA website
explicitly, while seven EPs intend to use the FLAGs as message carriers.
Those EPs where communication was embedded in the OP communication plan had a good
description of the communication activities. Others which aim to create an additional
information channel were less precise and targeted. They usually mentioned the MC, the AIR
and MA reports to the COM or national bodies, newsletters and press releases, working
groups, seminars etc. In general one-way communication prevailed; participative tools were
also mentioned (workshops, seminars) but in those cases communication was a by-product
rather than the focus. An exception to the overall approach is EE, where the web was used in
a more interactive way (utilising a blog and linking content to related sites).
CLLD and horizontal issues
Information on
CLLD
evaluation is also very limited; most Programmes consider the topic
exhausted under Chapter 5. All those Programmes that activate UP 4 mainly discuss that they
are planning to gather information on operations from FLAG level, while 14 of them also
mention support to FLAGs to set-up M&E systems locally. How this is going to be done is
not described however. 10 of the EPs mention self-assessment.
Horizontal issues
are mentioned by all EPs either in some detail, or more often through
referring to Chapter 9 of the OP. Only a few mention more than equal opportunities,
environmental sustainability and climate change; 10 refer specifically to resource efficiency, 5
to innovation and 5 other topics (mainly disaster resilience and risk prevention and
management and in one case the MSFD). In most cases the section on horizontal issues
appears to be generic; exceptions are FR, IE and MT which offer very detailed and EMFF-
relevant considerations.
11.2. Period 2007-2013
The ex-post evaluation of the European Fisheries Fund (EFF) was undertaken in 2016 by an
external contractor and is available on the EU Bookstore
34
. A Staff Working Document
35
presenting the main outcome of the evaluation was published in July 2017.
34
35
https://publications.europa.eu/en/publication-detail/-/publication/f0ab224d-f34c-11e6-8a35-
01aa75ed71a1/language-en
SWD(2017) 274 final.
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The EFF was launched in 2007 at the onset of the global economic crisis. The ensuing decline
in demand for fisheries products and drop in prices, as well as reduced access to private
financing put the sector under high economic pressure. Despite this difficult situation, the
following results were achieved:
The EFF contributed to reducing overcapacity in many fleets, although imbalances
still exist between fleet capacity and fishing opportunities.
Competitiveness of the fleet was enhanced, through modernisation and, most
importantly, support for changing fishing gears and methods. Ports and landing sites
were improved, and investments in marketing and processing of fish increased its
added value.
For small scale coastal fisheries, EFF funds were made available for the management
of fishing areas, the reduction of fishing effort, the organisation of production and
innovation. However uptake of this measure was low as it was unfocused and
competing with other measures encompassing all fleet segments.
The contribution of the EFF to broader conservation objectives needs to be
strengthened
Due to lack of strategic orientation, EFF funds devoted to aquaculture had a marginal
impact on EU aquaculture, whose production increased but at a slower pace than the
global production. The EFF however contributed to the economic resilience of the
beneficiaries, especially in the shellfish sector.
The EFF contributed to maintain and create some 10,000 jobs across the board in the
processing and marketing sectors.
Support provided by the EFF for the local development of fishing depending
communities was a considerable success despite a slow start. It allowed to maintain
and create a large amount of jobs and tangibly improved the quality of life in these
areas. It had however weak complementarities and synergies with other funds (such as
LEADER)
Several shortcomings identified for the EFF were addressed by the EMFF (European
Maritime and Fisheries Fund) which succeeded it for the 2014-2020 period.
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ANNEX
EAFRD: PROGRESS TOWARDS ACHIEVING OBJECTIVES 2014-2020
SUMMARY BY UNION PRIORITY
Priority 1: Knowledge Transfer and Innovation
Focus
Under this priority the Rural Development Programmes (RDPs)
provide stakeholders with a flexible package of soft measures related to advice,
training, cooperation and knowledge transfer (FA 1A);
support cooperation among rural development stakeholders and researchers in order to
boost innovation in rural sectors (FA 1B), and
foster lifelong learning and vocational training in the agricultural and forestry sectors
(FA 1C).
Achievements
Around 10 % of RDPs (11) report on actions/operations supported (O3) in priority 1.
In a limited number of RDPs, it was possible to underpin achievements by quantitative data.
The common result indicators (T1, T2, T3) were calculated in only 37, 15 and 27
programmes.
In a number of RDPs, the implementation of cooperation projects has started. Some problems
have been reported concerning the implementation of projects (550 in total, T2) under the
cooperation measure related to P1 (EU-28 target 15 235). PT Mainland shows a very high
number of cooperation projects.
In a few cases, RDPs helped to establish and support operational groups for innovation
partnerships (74, O16) almost all in the single RDP PT Mainland (EU-28 target: 3 175)
Around 220 000 participants (T3) were trained in 27 RDPs under P1 (FA 1C), a major part of
it in BE Flanders (EU-28 target: 3 869 763).
DK, which is more advanced (T1), reports on significant contributions to innovation,
cooperation and knowledge transfer in rural areas.
The following results were mentioned more frequently (frequency of major/medium
achievements in relation to the judgement criteria) and show interesting aspects of the
implementation:
A variety of partners is involved in the EIP operational groups;
The transfer of innovation to the final beneficiaries contributes to the development of
innovation within farms / enterprises;
Cooperation projects are innovative and based on developed knowledge;
Cooperation operations between agriculture, food production and forestry and research
and innovation for the purpose of improved environmental management and
performance have been implemented;
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Long term collaboration between agriculture, food production and forestry entities and
institutions for research and innovation has been established;
The number of rural people who have finalised lifelong learning and vocational
training in the agriculture and forestry sectors has increased.
Priority 2: Farm Viability and Competitiveness
Focus
Under this priority, the RDPs:
provide farmers with a flexible package of investment measures backed up by advice,
training, cooperation and knowledge transfer (FA 2A). This helps farms to overcome
major structural problems, invest in farm equipment and technology, which improves
their economic viability; and add value by investing in processing, marketing and
product development:
support young farmers with start-up aid and investments together with advice,
training, cooperation and knowledge transfer (FA 2B) to encourage a generational
change and innovative ventures in the agricultural sector.
Achievements
Around 30 000 agricultural holdings were supported to increase farm performance through
modernisation and restructuring (O4, FA 2A) (EU-28 target: 333 242).
In a limited number of RDPs, it was possible to underpin achievements with quantitative data.
The common result indicators (T4 and T5) were calculated in 71 and 48 programmes
respectively.
In a few cases (15), it was even possible to quantify the change in labour productivity on
supported farms (R2), mainly based on gross effects.
In some cases, (e.g. EE, SK, ES
La Rioja) various effects of investment support were
described in a quantitative and qualitative way.
Both positive and negative effects were found. For example, supported investments
contributed to enhanced competitiveness through the increase of agriculture production, GVA
and improvement of market participation. In some cases, investments had negative effects on
capital profitability.
These findings are, however, often not statistically significant achievement due to limited
number of completed activities.
Under priority 2, focus area 2B around 6 800 young farmers were supported to increase their
skills and ease the entry into the agricultural sector (O4, FA 2B) (target: 175 777).
For some RDPs, it was possible to assess early effects. In one case, in which a high number of
young farmers was supported (FR-Rhône-Alpes), it was demonstrated that the RDP
contributed to generational renewal.
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The following (non-representative) findings were mentioned more frequently (frequency of
major/medium achievements in relation to the judgement criteria) and show interesting
aspects of the implementation:
The agricultural output per annual working unit of supported agricultural holdings has
increased;
Farms were modernized;
Farms were restructured;
Adequately skilled farmers entered into the agricultural sector;
The share of adequately skilled young farmers in the agricultural sector increased.
Priority 3: Food Chain Organisation and Risk Management
Focus
Under this priority, the RDPs:
offer a combination of measures to improve the competitiveness of primary producers
by better integrating them into the agri-food chain (FA 3A);
help farms to prevent and manage various risks and to restore agricultural production
damaged by natural disasters (FA 3B).
Achievements
Altogether 115 000 agricultural holdings received support in limited number of RDPs for
participating in quality schemes, local markets, and short supply circuits, and producer
groups/organisations (O4, FA 3A) (EU-28 target 296 810). The numbers are exceptionally
high in Bayern and Austria.
Under focus area 3B, around 4,000 agricultural holdings participated in risk management
schemes (EU-28 target: 644 487) provided in a very limited number of RDPs (4 RDPs PT,
LV).
In a limited number of RDPs, it was possible to underpin achievements with quantitative data.
The common result indicators (T6 and T7) were calculated in 22 and 8 programmes.
The RDP with the highest number of supported holdings (PT Continente) states that the
support provided has been positively perceived, which shows a positive contribution from the
RDP in encouraging farmers to engage in insurance premiums for risk management in farms.
The following results were mentioned more frequently (frequency of major/medium
achievements in relation to the judgement criteria) and show interesting aspects of the
implementation. These results are, however, not representative (anecdotal evidence):
Implementation of quality schemes by primary producers has increased;
The added value of agricultural products of primary producers has increased;
Participation of farms in risk prevention and management schemes has increased.
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Priority 4: Restoring, Preserving and Enhancing Ecosystems
Focus
Under this priority RDPs aim to:
restore, preserve and enhance biodiversity, including in Natura 2000 areas, and in
areas facing natural or other specific constraints, and high nature value farming, as
well as the state of European landscapes (FA 4A);
improving water management, including fertiliser and pesticide management (FA 4B);
preventing soil erosion and improving soil management (FA 4C).
In a number of RDPs (e.g. in FR, DE, IT, AT, UK) large funds were allocated to Priority 4.
From the set of applied measures, two are particularly prominent: Agri-environment-climate
(AEC) payments granted to farmers and land-managers (M10), and payment schemes areas
facing specific constraints (M13). A third important measure supports organic farming (M11).
In the integrated focus areas 4A, 4B and 4C, 89% of the RDPs realized expenditures.
Targets are area-based and aim at managing an increasing share of agricultural land and forest
to support biodiversity, water management and/or prevent soil erosion.
Achievements
For 74% of the RDPs (85 out of 115) reports referred to achieved management contracts
related to agricultural land (T9, T10, T12), demonstrating in the three focus area that the
measure has already been widely implemented. The results obtained, however, are highly
diverse.
With respect of forest land, the implementation only started. For 28% of the RDPs (32)
reports refer to achievements related to management contracts (T8, T11, T13) in the three
focus areas.
The following results were mentioned more frequently (frequency of major/medium
achievements in relation to the judgement criteria) and show interesting aspects of the
implementation:
Biodiversity on contracted land has been restored, preserved and enhanced;
Water quality has improved;
Soil management has improved;
Soil erosion has been prevented;
Priority 5: Resource-efficient, climate-resilient Economy
Focus
Under this priority the RDPs offer a wide range of objectives aiming
to increase the efficiency of water use by agriculture, mainly through physical
investments in more efficient irrigation systems (FA 5A)
to increase efficiency in energy use in agriculture and food processing mainly through
physical investments in, for example, new or upgraded of machinery (FA 5B)
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to facilitate the supply and use of renewable sources of energy, by-products, wastes
and residues, and other non-food raw materials for the purpose of the bio-economy
(FA 5C)
to reduce greenhouse gas and ammonia emissions from agriculture through various
measures (FA 5D)
to foster carbon conservation and sequestration in agriculture and forestry in many
ways (FA 5E)
Complementary measures include knowledge transfer, training, advice, and cooperation.
Achievements
Around 60% of the RDPs (74 in total corresponding to 64% of all RDPs) reports referred to
results with respect to one or more common target indicators (T14, T15, T16, T17, T18, 19),
including witching to more efficient irrigation systems, investments in energy efficiency and
energy production, reduction of greenhouse gas and ammonia emissions, land under
management to foster carbon conservation and sequestration.
The level of achievements is, however, very different from RDP to RDP. For example:
the percentage land switching to more efficient irrigation system ranges from 61.4% in
Romania to 0.16% in Greece (T14, FA 5A);
18 RDPs report investments for energy efficiency which make up for 93.6 million
EUR, around 3% of the target value (T15, FA 5B);
26 RDPs report investments in renewable energy production which total to around
59 million EUR and which represents around 2% of the target value (T16, FA 5C);
7 RDPs report investments in live-stock management in view of reducing GHG and/or
ammonia emissions (T17, FA 5D);
25 RDPs report results on agricultural land under management contracts targeting
reduction of GHG and/or ammonia emissions. The largest areas affected are in UK-
Scotland, RO, IE and DE
Bayern (T18, FA 5D);
46 RDPs report results on agricultural and forest land under management contracts
contributing to carbon sequestration and conservation (T19, FA 5E). Most of the area
concerned is in UK
Scotland, DK and ES
Asturias.
For only a very limited number of RDP (21in total or 18%), quantification was carried out
concerning one or more complementary result indicator, mainly on basis of gross effects
(R13, R14, R15, R18, R19).
For only 10 RDP, it was possible to demonstrate (by the end of 2016) the amount of
renewable energy produced from supported projects (R15, FA 5C). In 12 RDPs reduced
emissions of methane and nitrous oxide were achieved (R18, FA 5D).
The following results were mentioned more frequently (frequency of stated major/medium
achievements in relation to the judgement criteria) and show interesting aspects of the
implementation.
Efficiency in water use by agriculture has increased
Efficiency of energy use in agriculture and food processing has increased
Supply and use of renewable energy has increased
Greenhouse and ammonia emissions from agriculture have been reduced
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Agricultural and forestry land under enhanced management contract contributing to
carbon sequestration has been enlarged
Agricultural and forestry land under enhanced management contract contributing to
carbon sequestration has been enlarged
Carbon conservation and sequestration in agriculture and forestry has increased
Priority 6: Social Inclusion and Economic Development
Focus
Under this priority the RDPs offer a wide range of measures aiming to:
facilitate economic diversification and the creation and development of small and
medium sized enterprises as well as job creation. This is supported mainly through
business start-up aid for non-agricultural activities in rural areas and investments in
the creation and development of non-agricultural activities (FA 6A);
foster local development in rural areas most prominently through CLLD/LEADER
and investments for basic services and village renewal. This is complemented by a
small number of other measures such as support for cooperation (FA 6B);
enhance the accessibility, use and quality of information and communication
technologies (ICT) in rural areas through support of broadband infrastructure,
provision of access to broadband, public e-government solutions (FA 6C).
Achievements
In the field of economic diversification (FA 6A), first projects were implemented. In 10 RDP,
altogether 400 holdings received support for investment in non-agricultural activities in rural
areas (O4, FA 6A) (EU-28 target: 54,552). Around 1 500 Jobs were created/planned in
supported projects in rural areas (T20, FA 6A) (EU-28 target: 73 338).
As regards local development (FA 6B), the LEADER measure has already started very well in
some programmes. In 22 RDPs, around 1 100 Local Action Groups were selected in order to
implement CLLD/LEADER operations (O19, FA 6B), which is already 73% of the target
value (EU-28 target: 2 515). Particularly high numbers were achieved in in RO and PL.
Around 1 300 CLLD/Leader projects have been supported in 11 RDPs (O20, FA 6B).
LEADER projects lead to job creation, however, the reported numbers need further validation
(T23, focus area 6B).
For 27 RDPs, reports refer to improved services/infrastructures which benefit the rural
population (T22, FA 6B).
In focus area 6C (information and communication technologies), hardly any projects could be
completed by the end of 2016. ES
Islas Baleares reports supporting 9 operations (O3) to
enhance the accessibility, use and quality of information and communication technologies
(ICT) in rural areas (EU-28 target: 4 366).
The following results were mentioned more frequently (frequency of stated major/medium
achievements in relation to the judgement criteria) and show interesting aspects of the
implementation.
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Small enterprises diversified their economic activity
Access to services and local infrastructure improved in rural areas
Rural territory and population covered by LAGs increased
Rural people participated in local actions
Employment opportunities were created via local development strategies
Access of rural households to ICT increased.
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