Draft template for the Partnership Agreement (PA) for the European Structural and Investments Funds (ESI Funds) Workshop on strategic programming Madrid DG REGIO & DG EMPL 1

I. Introduction 2 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 (structured data) Not implementing act

Role of the Partnership Agreement (PA) Joint strategy at national level for the ESI Funds, consistent with the EU 2020 strategy It should: provide assurance for the Commission and for the partners/public, that the strategic choices are justified promote cooperation and coordination between relevant authorities and upstream agreements on coordination arrangements to facilitate implementation later on provide for transparency by including commitments not only vis-à-vis the Commission but also with respect to the partners and beneficiaries 3

Important steps towards PA adoption 4 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

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) 7 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 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

1.1. Analysis of disparities, development needs, and growth potentials (2) Analysis taking into account the specific institutional context of the MS and its territorial challenges: territorial imbalances, development needs and bottlenecks to be addressed in relation to CSR and the national Europe 2020 targets; challenges of regions in particular situations; specific development needs and growth potentials of urban, rural and coastal areas; cross-border coordination challenges, particularly in the context of macro-regional and sea-basin strategies Summary of ex-ante evaluations of programmes or of the PA

1.3. Thematic objectives and main expected results 9 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

Indicative allocation of EU support by TO at national level by ESI Fund 10 ERDFESFCFEAFRDEMFFTOTAL 1.Strengthening research, technological development and innovation … 8. Promoting employment and supporting labour mobility 9. Promoting social inclusion and combating poverty 10. Investing in education, skills and lifelong learning 11. Enhancing institutional capacity and an efficient public administration Technical assistance TOTAL

Amount of support foreseen for climate change objectives 11 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

Section 1.B. Application of horizontal principles and policy objectives for implementation of ESI Funds List of programmes 12

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

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

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

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 17 Prog. title ESI Fund Categ of region Total2014 … (ERDF, ESF, Cohesion Fund, EAFRD or EMFF) Total

Section 2 Arrangements to ensure effective implementation (Art. 14(1)(b) CPR) 18

2.1. Arrangements ensuring coordination 19 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

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

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;

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.The main priority areas for cooperation, under the ESI Funds 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.

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

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 30 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-à- 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

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 33 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 * )

Structure of the draft OP template (1) 1.Preparation of the OP and involvement of partners 2.OP strategy for contributing to the Europe 2020 Strategy 3.Description of the priority axes 4.Financial plan 5.Integrated approach to territorial development 6.Specific needs of geographical areas most affected by poverty or target groups at highest risk of discrimination or social exclusion 7.Specific needs of geographical areas which suffer from severe and permanent natural or demographic handicaps 34

Structure of the draft OP template (2) 8.Authorities and bodies responsible for MCA - role of partners 9.Coordination 10.Ex-ante conditionalities 11.Reduction of the administrative burden for beneficiaries 12.Horizontal principles 13. Annexes (generated by SFC): Major projects Performance framework (OP) 35

Section 1 Preparation of the OP and involvement of partners (Art. 23(2) and 87(5)(c) CPR) 36

Section 1: preparation of the OP and involvement of partners Summary of the preparation of the OP authority which has coordinated and public institutions directly involved; the key stages of the preparation process; a description of the involvement of the partners in the preparation overview of the organisation of the ex-ante evaluation process and how the results of this process have been taken into account; where appropriate, an overview of the use of studies and expert groups.

Section 2 OP strategy for contributing to the Europe 2020 Strategy (Art. 24(1) and 87(2)(a) CPR) 38

2.1. Strategy for the OP’s contribution to Europe 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

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) 41 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

3.A. Description of priority axis (not TA) (2) 42 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.

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 44 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

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 46 By priority axis Based on a nomenclature to be adopted by IA € amount = indicative breakdown of the EU support Dim. 1 corresponds to the investment priorities and the types of actions (Fund specific). 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€ amountCode€ amountCode€ amountCode€ amount

3.A.6. Planned use of TA by priority axis 47 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

3.B. Priority axi(e)s for TA 48 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

Section 4 Financial plan (Art. 87(2)(d) CPR) 49

4. A financing plan with two tables (1) 50 Total appropriation from each of the Funds/year Category of region2014…2020Total ERDF less developed ERDF transition ERDF more developed ERDF Total ESF less developed ESF transition ESF more developed ESF Total Cohesion Fund Total

4. A financing plan with two tables (2) 51 Appropriations of the Funds & national co-financing for the period, by priority axis Essential data= EU cofinancing rate, by Priority Caution: Possibility of multi Fund / multi category / multi TO priorities that make financial management,monitoring, reporting more complex (with gaps in the regulation …) Priority axis FundCateg of region Basis for calc. of the EU support EU support Nation al count erpart Indicative breakdown of the national counterpart Public Private Total funding Co- financi ng rate For Inform ation, EIB contrib Total vs public (a) (b) = (c) + (d) (c) (d) (e) = (a) + (b) (f) = (a)/(e)

4. A financing plan with two tables (3) 52 Breakdown by PA, Fund and TO for PAs combining IPs from different Pos Mainly useful to verify ERDF/CF concentration Priority axisFundThematic objective EUNational counter part Total funding Priority axis 1 TO 1 TO 2 Priority axis 2 TO 3 TOTAL

4. Climate change objectives 53 Priority axisThe indicative amount of support to be used for climate change objectives (EUR) Share of the total allocation to the operational programme (%) 1. Total

Section 8 Authorities and bodies responsible for MCA - role of partners (Art. 87(5) CPR) 54

8.1. Identification of the relevant authorities and bodies 55 Authority/bo dy Name of the authority /body Head of the authority /body AddressTeleph one address MA CA, where applicable AA Body to whom payments will be made by the Commission

8.2. Involvement of partners Description of how the partners will be involved in the implementation, monitoring and evaluation of the OP (reference to the code of conduct) For ESF: Global grants (Article 6 (1) ESF) Identification of the part of the programme concerned by global grants (including indicative financial allocation) For ESF : Earmarking of appropriate amount for capacity building social partners and NGOs (Art. 6(2) and (3) ESF) : OP covering a less developed region, a transition region or a Member State that is eligible for the Cohesion Fund

Section 11 *Reduction of the administrative burden for beneficiaries (Art. 87(6)(c) CPR) 57

A summary of the assessment of the administrative burden for beneficiaries  identification of main sources of administrative burden in the period  the main actions already taken to reduce that burden for the period and potential scope for further reduction, referring, where possible, to statistical data, results of evaluations and studies. Where necessary, the actions planned to reduce administrative burden accompanied by an indicative timeframe 11. Reduction of the administrative burden for beneficiaries

Key messages 59

Key messages (1) The OP should enable confirming that: the identification of development needs is based on analysis and evidence, and addresses the challenges identified by the relevant country-specific Council recommendation; the choice of thematic objectives and investment priorities, and the definition of specific objectives is driven by the main development needs the specific objectives are consistent with the selected investment priorities and thematic objectives the results sought are reflected in the specific objectives the types of actions should correspond to the results sought, i.e. these actions are likely to contribute (most effectively) to the attainment of specific objectives and results the financial allocation corresponds to the results sought

Key messages (2) 61 Financial management: in case of multi-fund/multi- category of region priority axis: need to break down the info by Fund/category of region Priority axis: IPs, specific objectives with indicators Need to respect horizontal principles at all stages SFC : structured data for PA and OP Info in OP to complement PA + option of Art. 87(8) CPR in case of max 1 OP for each Fund (i.e. ESF, ERDF, CF) to include info in PA instead of OP