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