1. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY 1 Bölgesel Rekabet Edebilirlik Operasyonel Programı’nın Uygulanması için Kurumsal Kapasitenin Oluşturulmasına Yönelik Teknik Yardım Technical Assistance on Institutional Building for the Implementation of RCOP in Turkey This project is co-financed by the European Union and the Republic of Turkey PROJECT DEVELOPMENT & APPRAISAL PART II Presentation 2 Project development under the new intervention logic and the performance framework Trainer: Valeria Valeri Ankara, 5 February 2013

2. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework SUMMARY OF PRESENTATION The OP concentration principle The new intervention logic and performance framework: needs analysis, strategy, investment priorities and pipeline of grant schemes and investment projects Linkage between supported projects, expected outputs and results Internal and external coherence EU horizontal principles for project development Project Development & Appraisal Part II 2

3. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY 2.1 The OP concentration principle One cannot introduce a results focus after programmes have been designed and are being implemented. It needs to become part of the development of the programme with the authorities involved in managing the programme having a clear idea of their intervention logic. If programmes change, this should have consequences for the indicators too. The main change required in the design of programmes is concentration. Many of the priorities in current Operational Programmes are in fact an amalgamation of more or less related sub-priorities which could not be expressed in only one or even two result indicators (the change sought). Concentration of resources and critical mass are a precondition for the results-based approach. Project Development & Appraisal Part II 3

4. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.1 The OP concentration principle (continued) Concentration has to be the outcome of a process of deliberation. A more strategic approach requires that decisions are taken on where to target the programme and what policy actions resources will be spent on. This also implies that decisions are taken on what will not be financed. Clarity and ownership of both the objectives and the indicators is important and may be a complex and iterative process. This emphasises the importance of facilitating political debate on the choices which should drive programme design and starting this process urgently. Project Development & Appraisal Part II 4

5. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.1 The OP concentration principle (continued) Indicators and statistics If there is concentration, this means that there will be a need for fewer indicators. The criteria for good result indicators include that they should be close to policy. Statistics may be available but they often come with some time delay. The important issue is that a statistic should not be selected as a result indicator just because it is available – this would lead to programmes being data driven rather than results-oriented. Project Development & Appraisal Part II 5

6. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.1 The OP concentration principle (continued) Indicators and statistics Where statistics are not suitable (which will probably be in most cases), programme authorities need to reflect on what other data can capture the change they seek. This could be administrative data or it may be that specific surveys would have to be launched. Further possibilities are to compare the performance of supported entities with a regional benchmark or to generate an independent view (perhaps through a survey or expert group) of a problem situation with a similarly generated view to establish if the problem has been surmounted after the intervention. Project Development & Appraisal Part II 6

7. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.1 The OP concentration principle (continued) Indicators for integrated programmes Generally the result indicators are related to the individual priorities and do not capture effects deriving from the fact that Cohesion Policy programmes are integrated. These effects are very difficult to capture and probably indicators cannot do this. Modelling can estimate the aggregate effects of integrated programmes on certain indicators. Evaluation using theory based qualitative approaches will be required to explain the interaction between priorities. Project Development & Appraisal Part II 7

8. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework The Logical Framework, 1999 – 2013 8

9. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework The new Logical Framework 2014-2020 Project Development & Appraisal Part II 9

10. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.2 The new intervention logic and performance framework: needs analysis, strategy, investment priorities and pipeline of grant schemes and investment projects Needs analysis: What change do you wish to achieve? Strategy: How will the change be achieved? Project Development & Appraisal Part II 10

11. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Investment priorities: Does the way to achieve the change fit to one or more OP priorities? Grant scheme and investment projects: Can the change better achieved through a grant scheme or individual investment projects (including major projects)? Project Development & Appraisal Part II 11 Project development under the new intervention logic and the performance framework 2.2 The new intervention logic and performance framework: needs analysis, strategy, investment priorities and pipeline of grant schemes and investment projects

12. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.3 Linkage between supported projects, expected outputs and results (1) The Programme intervention logic should present the change that the programme intends to bring in the Member State or region. This change (or intended result) should be achieved through operations delivering outputs. It is good practice to use a logical framework to clarify the intervention logic under each investment priority or priority axis. Such a stylised representation demonstrates the causal links between the different actions, the planned outputs and the intended results. It also helps to build a shared vision of the programme objectives and type of interventions to achieve them within the partnership. Project Development & Appraisal Part II 12

13. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.3 Linkage between supported projects, expected outputs and results (2) Compared to the current regulations, the proposed regulations require a more precise description of planned actions and how they will lead to results. The ex-ante evaluators are for example required to assess "how the expected outputs will contribute to results" (Article 48(3)(f)CPR) and appraise "the rationale for the form of support proposed" (Article 48(3)(h) CPR), and the actions to be supported (Article 87(2)(b)(iii)). Project Development & Appraisal Part II 13

14. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.3 Linkage between supported projects, expected outputs and results (3) This analysis should rely on literature review including research, empirical (e.g. results of a pilot project) and evaluation evidence available from previous and current programming periods and from other national or regional funded programmes The evaluators should review the description of the actions to be supported in each priority axis "including the identification of the main target groups, specific territories targeted and types of beneficiaries where appropriate managed by intermediate bodies - local or city authorities, regional development bodies or nongovernmental organisations (Article 99 CPR). Project Development & Appraisal Part II 14

15. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.3 Linkage between supported projects, expected outputs and results (4) Output indicators relate to operations supported. An output is considered to be everything that is obtained in exchange for an operation supported by public expenditure. Outputs can be measured at the level of people as well as entities. Output indicators are expressed in absolute numbers (for instance the number of unemployed participants). The data for each indicator collected from partially and fully implemented operations shall be reported in one single data set, i.e. data stemming from fully implemented operations do not need to be reported separately from data stemming from partially implemented operations. Project Development & Appraisal Part II 15

16. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.3 Linkage between supported projects, expected outputs and results (5) Result indicators relate to individual priorities. They are supposed to report the effects on participants or entities brought about by the programme, for example, the employment status of participants. Result indicators are expressed in absolute numbers. Results can be immediate or longer-term. For immediate result indicators the data shall be recorded when the participants leave the supported intervention. This moment does not need to coincide with the full implementation of the operation in which the reported person participated. Longer-term result indicators are recorded some time after leaving (for participants) or implementing (for entities) the operation. Project Development & Appraisal Part II 16

17. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.3 Linkage between supported projects, expected outputs and results (6) Selection of result indicators Result indicators shall to meet certain quality criteria. They should be (CSF regulation, annex IV): a) responsive to policy: closely linked to the policy interventions supported. They should capture the essence of a result according to a reasonable argument about which features they can and cannot represent; b) normative: having a clear and accepted normative interpretation (i.e. there must be agreement that a movement in a particular direction is a favourable or an unfavourable result); c) robust: reliable, statistically validated; d) timely collection and public availability of data: available to a wide public, with room built in for public debate and for revision when needed and justified. Project Development & Appraisal Part II 17

18. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.3 Linkage between supported projects, expected outputs and results (7) Baseline values Each result indicator requires a baseline value (art. 6, ERDF regulation, art. 4, CF regulation; art. 15, ETC regulation). A baseline is the value of a result indicator at the beginning of the programming period (for example, the number of start-ups in that year for a priority that intends to drive up the number of start-ups in a region). It can be available from statistical or administrative data. Especially for smaller interventions, it can be necessary to generate unavailable information, for example by surveys. Project Development & Appraisal Part II 18

19. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.4 Project development under the new intervention logic and the performance framework Internal and external coherence Internal coherence Relationship between the specific objectives of each priority axis, and between the specific objectives of the different priority axes. Complementarities and potential synergies must have been identified. For example, there might be a lack of coherence of a programme devoting an axis to improve environment infrastructure with the stated objective to develop tourism activities, and not supporting the development of tourist infrastructures or services in any other axes. Another example is that the potential synergies between for example an axis supporting the development of broadband networks to increase attractiveness of remote areas and an axis supporting innovation activities in a region, are not evidenced. Project Development & Appraisal Part II 19

20. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.5 Internal and external coherence External coherence (relation with other relevant instruments) Coherence of the programme with other relevant instruments at regional, national and EU level. Contribution to other strategies and policies (European, national and regional including Smart Specialisation Strategies, National Roma Inclusion Strategy, Horizon 2020 and macro- regional and sea basin strategies). Project Development & Appraisal Part II 20

21. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Article 48(3)(l-m) CPR requires the assessment of "the adequacy of planned measures to promote equal opportunities between men and women, to prevent discrimination and to promote sustainable development". Articles 7 and 8 CPR outline the content of these three horizontal principles while Article 87(3) CPR sets out more precise requirements for programmes. Project Development & Appraisal Part II 21

22. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Horizontal principles and policy objectives CPR Article 7 - Promotion of equality between men and women and non-discrimination The Member States and the Commission shall ensure that equality between men and women and the integration of gender perspective is promoted in the preparation and implementation of programmes. The Member States and the Commission shall take appropriate steps to prevent any discrimination based on sex, racial or ethnic origin, religion or belief, disability, age or sexual orientation during the preparation and implementation of programmes. Project Development & Appraisal Part II 22

23. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Horizontal principles and policy objectives CPR Article 8 - Sustainable development The objectives of the CSF Funds shall be pursued in the framework of sustainable development and the Union's promotion of the aim of protecting and improving the environment, as set out in Article 11 of the Treaty, taking into account the polluter pays principle. The Member States and the Commission shall ensure that environmental protection requirements, resource efficiency, climate change mitigation and adaptation, disaster resilience and risk prevention and management are promoted in the preparation and implementation of Partnership Contracts and programmes. Member States shall provide information on the support for climate change objectives using the methodology adopted by the Commission. The Commission shall adopt this methodology by means of an implementing act. The implementing act shall be adopted in accordance with the examination procedure referred to in Article 143(3). Project Development & Appraisal Part II 23

24. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Horizontal principles and policy objectives CPR Art. 87 - Content and adoption of operational programmes under the Investment for growth and jobs goal Each operational programme, except those where technical assistance is undertaken under a specific operational programme, shall include: (i)a description of specific actions to take into account environmental protection requirements, resource efficiency, climate change mitigation and adaptation, disaster resilience and risk prevention and management, in the selection of operations; Project Development & Appraisal Part II 24

25. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Horizontal principles and policy objectives CPR Art. 87 - Content and adoption of operational programmes under the Investment for growth and jobs goal Each operational programme, except those where technical assistance is undertaken under a specific operational programme, shall include: (ii)a description of the specific actions to promote equal opportunities and prevent any discrimination based on sex, racial or ethnic origin, religion or belief, disability, age or sexual orientation during the preparation, design and implementation of the operational programme and in particular in relation to access to funding, taking account of the needs of the various target groups at risk of such discrimination and in particular the requirements of ensuring accessibility for disabled persons; (iii)a description of its contribution to the promotion of equality between men and women and, where appropriate, the arrangements to ensure the integration of gender perspective at operational programme and operation level. Project Development & Appraisal Part II 25

26. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Horizontal principles and policy objectives Promotion of equality between men and women and non-discrimination Both specific actions and the mainstreaming of the gender perspective are necessary. The ex ante evaluation should appraise how the aim of promoting equality has been taken into account in the preparation of the programme. For example: was the gender perspective taken into account in the socio-economic analysis? Is there any evidence that gender issues were explicitly taken into account in the programme design stage? Have equality bodies/ organizations and other relevant stakeholders been consulted? Project Development & Appraisal Part II 26

27. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Horizontal principles and policy objectives Promotion of equality between men and women and non-discrimination The ex ante evaluation should then appraise the description of the programme's contribution to the promotion of equality between men and women and, where appropriate, the arrangements foreseen to ensure the integration of the gender perspective at programme as well as at operation level. The contribution should not be stated in general terms, but explained precisely: are clear objectives established and specific initiatives foreseen? As for the arrangements, the ex ante evaluation should examine whether the programming documents contain adequate provisions for the integration of the gender equality principle in the implementation, monitoring and evaluation processes. Project Development & Appraisal Part II 27

28. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Horizontal principles and policy objectives Promotion of equality between men and women and non-discrimination For the promotion of equal opportunities and the prevention of discrimination, the ex ante evaluation shall appraise the description of specific actions during the preparation, design and implementation of the programme. For example: which steps were taken to associate relevant stakeholders in the identification of challenges/needs, definition of objectives, decision on the allocation of resources and the selection of actions to be supported? What arrangements are foreseen in relation to access to funding? Have precise requirements been formulated to ensure accessibility for persons with disabilities? Project Development & Appraisal Part II 28

29. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Sustainable development (CPR Annex I) To ensure the full mainstreaming of sustainable development into the CSF Funds, and respecting the principle of sustainable development as laid down in Article 3 of the Treaty on European Union, the obligation to integrate environmental protection requirements according to Article 11 and the polluter pays principle as set out in Article 192 of the Treaty on the Functioning of the European Union, managing authorities shall undertake actions throughout the programme lifecycle, to avoid or reduce environmentally harmful effects of interventions and ensure results in net social, environmental and climate benefits by the following actions: a) directing investments towards the most resource-efficient and sustainable options, b) avoiding investments that may have a significant negative environmental or climate impact, and supporting actions to mitigate any remaining impacts, c) taking a long-term perspective when ‘life-cycle’ costs of alternative options for investment are compared, d) increasing the use of green public procurement. Project Development & Appraisal Part II 29

30. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under the new intervention logic and the performance framework 2.6 EU horizontal principles for project development Horizontal principles and policy objectives Sustainable development (CPR Annex I) Member States shall ensure that investments made with the support of the CSF Funds consider climate change mitigation potential, as well as be resilient to the impact of climate change and natural disasters such as increased risks of flooding, heat waves and extreme weather events. Member States shall track biodiversity related expenditure using the methodology based on the categories of intervention or measures adopted by the Commission. Investments also need to be consistent with the water hierarchy, with a focus on demand management options with alternative supply options only to be considered when the potential for water savings and efficiency has been exhausted. Public intervention in the waste management sector shall complement efforts by the private sector, in particular producer responsibility. Actions should support innovative approaches that promote a closed-loop economy and need to be consistent with the waste hierarchy. Project Development & Appraisal Part II 30

31. This project is co-financed by the European Union and the Republic of Turkey REPUBLIC OF TURKEY MINISTRY OF SCIENCE, INDUSTRY AND TECHNOLOGY Project development under IPA in the context of the new programming period 2014-2020 Questions & Answers Thank you! Project Development & Appraisal Part II 31