ESF 2007-2013 Ex-post Evaluation Synthesis
Transcript of ESF 2007-2013 Ex-post Evaluation Synthesis
Written by Metis GmbH in Consortium with Fondazione Giacomo Brodolini Panteia and SEOR
October ndash 2016
ESF 2007-2013 Ex-post
Evaluation Synthesis
Thematic EU Synthesis Report
Strengthening Institutional Capacity
EUROPEAN COMMISSION
Directorate-General for Employment Social Affairs and Inclusion
Directorate G mdash Audit and Evaluation
Unit EMPL G4 mdash Evaluation and Impact Assessment
E-mail EMPL-G4-UNITeceuropaeu
European Commission B-1049 Brussels
ESF 2007-2013 ex-post synthesis evaluation
Synthesis EU thematic report Strengthening Institutional Capacity
Directorate General for Employment Social Affairs and Inclusion
ESF 2007-2013 Ex-post
Evaluation Synthesis
Thematic EU Synthesis Report
Strengthening Institutional Capacity
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This document has been prepared for the European Commission however it reflects the views only of the authors and the Commission cannot be held responsible for any use which may be made of the information contained therein
More information on the European Union is available on the Internet (httpwwweuropaeu)
Luxembourg Publications Office of the European Union 2016
copy European Union 2016
Reproduction is authorised provided the source is acknowledged
ISBN [978-92-79-61657-0]
doi [102767271126]
Please quote this report as Metis GmbH (2016) 2007-2013 ESF 2007-2013 Ex-post Evaluation Synthesis
Thematic EU Synthesis Report Strengthening Institutional Capacity for the European Commission Directorate-General Employment Social Affairs and Inclusion The opinions expressed are those of the Contractor only and do not represent the Commissionrsquos official position
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ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Glossary of key concepts
Access to Employment
(A2E)
A key policy area in the ESF focused on enhancing access to
employment and the sustainable inclusion in the labour market
of job seekers and inactive people preventing unemployment
in particular long-term and youth unemployment encouraging
active ageing and longer working lives and increasing
participation in the labour market A2E is one of the Priorities
of Article 3 ldquoScope of assistanceldquo of the ESF Regulation No
10812006
Action The second level in the OP architecture usually the Priority Axis (see below) consists of several actions
Adaptability A key policy area in the ESF consisting of activities to increase the adaptation of workers and enterprises to the changing economic circumstances and labour market demands - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
Allocated expenditure Expenditure allocated to the ESF activities during the programming stage of the Operational Programmes
Annex XXIII categories The socio-economic characteristics of ESF participants reported in the ESF monitoring systems relating to the participant gender labour market status (employed (of which self-employed) unemployed (of which long-term unemployed) inactive of which in education and training) age (young people aged 15-24 and older people aged 55-64) disadvantaged status (migrants minorities disabled other disadvantaged)
and educational attainment status (by ISCED levels)
Category of expenditure (CoE)
Categorisation of the Structural Fund expenditure cf ANNEX IV of COUNCIL REGULATION (EC) No 10832006 of 11 July 2006 ESF expenditure relates to Categories 62 to 74
Certified expenditure Expenditure incurred in the implementation of the ESF activities which has been approved by the Managing Authority
of the Operational Programme and the European Commission
Cluster A group of actions or interventions with common objectives and activities
Community added value (CAV)
The extent to which the ESF activities provided effects additional to the national regional activities
Convergence region NUTS level 2 regions in the EU Member States whose gross domestic product (GDP) per capita was less than 75 of the
average GDP of the EU-25 for the same reference period
Effectiveness The extent to which the set aims and objectives have been reached
Efficiency The comparison between the achieved outputs and results and the costs incurred
Gender sensitivity The extent to which the planning design implementation and monitoring reflects the gender issues
Human capital (HC) A key policy area in the ESF consisting of activities to develop the skills and knowledge of human resources across the different stages of the education and training system cycle
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
this theme is subject to another thematic evaluation - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
ISCED International Standard Classification of Education an
international standard classification used to classify the education levels
1 Primary education
2 Lower secondary education
3 Upper secondary education
4 Post-secondary non-tertiary education
5 Short-cycle tertiary education
6 Bachelor or equivalent
Intermediate Body (IB) The organisation charged by the Managing Authority to implement the ESF funds in the OP
Intervention The third level in the OP architecture usually the Actions in the OP consist of several interventions
Managing Authority (MA) The institution in each Member State OP responsible for the
strategic direction and financial management of the OP
Multi-Objective OP An OP in which both RCE and Convergence regions participate
Operational Programme (OP)
The means through which the ESF support was implemented in the Member States as agreed between the European Commission and the Member States Each OP consists of several Priority Axes which in turn consist of several actions
which in turn consist of several interventions
Output The immediate reach of the ESF activity (eg number of participants reached number of schools or enterprises supported)
Participant The person who participated in the ESF funded activity
Priority Axis (PA) The first level in the OP architecture usually the OP consists of several Priority Axes (concepts of priorities areas and others
are also used in the OPs) which in turn consist of several actions and each action of several interventions
Project promoter The organisation in charge of implementing specific ESF funded projects
Promoting Partnerships (PP)
Policy area focused on partnerships pacts and initiatives
through networking of relevant stakeholders such as the social
partners and non-governmental organisations at the
transnational national regional and local levels in order to
mobilise for reforms in the field of employment and labour
market inclusiveness PP is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006
Regional competitiveness and employment objective
(RCE)
NUTS level 2 regions in the EU Member States whose GDP per capita was above 90 of the average GDP of the EU-25 for
the same reference period
Result The change achieved through the activity leading to long term achievements of ESF activities (eg number of qualifications
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
acquired by participants number of enterprises providing training)
Social Inclusion Refers to a wide range of issues and activities covering
aspects such as fundamental rights access to adequate
income support and quality services From the perspective of
ESF SI interventions the most common strand of activity in
the Recommendation is that relating to inclusive labour
markets This focus is also echoed in the ESF Regulation
where the SI priority focuses on inclusion into the labour
market as the best means of integrating individuals into
society and of combatting social exclusion SI is one of the
Priorities of Article 3 ldquoScope of assistanceldquo of the ESF
Regulation No 10812006
Strengthening Institutional Capacity
A key policy area focussing on the efficiency of public
administrations and public services at national regional and
local level by promoting mechanisms to improve good policy
and programme design monitoring and evaluation and
capacity building in the delivery of policies and programmes in
the relevant fields SIC is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006 and
is the object of this evaluation
Sustainability The extent to which the achieved results last
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Acronyms
A2E Access to employment and sustainable integration into employment
AIR Annual Implementation Report
CAV Community Added Value
CoE Category of expenditure
CSR Country Specific Recommendation
EC European Commission
EEN Expert Evaluation Network
ESF European Social Fund
EU European Union
HC Human Capital
LTU Long Term Unemployment
MA Managing Authority
MS Member State
NGO Non-governmental organisation
OP Operational Programme
PA Priority Axis
PAR Public Administration Reform
PES Public Employment Service
SFC Structural Funds Common Database
SIC Strengthening Institutional Capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Table of contents
Executive Summary i
1 Introduction 6
11 Background 6
12 Objectives 6
13 Scope 7
14 Methodological Approach and information sources 7
15 Structure of the report 7
2 Key SIC challenges and policy directions in the EU in the 2007-2013
programming period 9
21 Evolution of the institutional capacity building focus 9
211 The origins of institutional capacity building support 9
212 Good governance as a deciding factor for competitiveness and cohesion 9
213 Definitions and concepts 10
22 Capacity building and ESF 11
3 Overview of key ESF SIC investment features in the 27 Member States 13
31 Links to the national and EU policy priorities main activities and target
groups 13
311 Links to the national and EU policy directions 13
312 Key characteristics of activities and target groups at EU and MS level 17
313 Key characteristics of specific dimensions and categories 19
314 Structures and processes 20
315 Human resources 24
316 Tools 27
32 The overall strategy for ESF SIC investment 28
33 The impact of the economic crisis on ESF SIC priorities actions and funding
(EU-27) 33
34 The ESF expenditure in the area of SIC 34
341 Overall funding levels 34
342 Programmed expenditure on Category of Expenditure 81 36
4 The effectiveness efficiency sustainability gender sensitivity community
added value and the socio-economic impact of ESF SIC investment in the 27 Member
States 39
41 The effectiveness of ESF SIC interventions 40
411 Progress in the financial implementation of ESF SIC 40
412 Types of output and result indicators selected by the OPs 44
413 Overall achievements 46
414 Achievements in specific fields of activity 48
415 Effectiveness 49
416 Reaching the different target groups 53
42 Efficiency 56
43 The sustainability of ESF SIC interventions 57
44 Gender sensitivity of ESF SIC interventions 58
45 Community added value of ESF SIC interventions 60
451 Volume effects 60
452 Scope effects 61
453 Role effects 62
454 Process effects 62
46 The socio-economic impact of ESF SIC 63
461 Impact indicators and evidence from national ESF evaluations 63
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
462 Impacts in relation to changes in the quality of administrations65
463 Key factors determining success or failure 68
5 Overview of key lessons learned 72
51 Key lessons in terms of policy choices 72
52 Key lessons in terms of target groups 74
53 Key lessons in terms of appropriate programming 74
54 Key lessons in terms of effective implementation 76
55 Key lessons in terms of monitoring 76
56 Key lessons in terms of evaluation 77
References
Annex I Overview of OPs PAs and Actions explicitly addressing SIC
Annex II Country specific recommendations in the field of SIC
Annex III Factors influencing success and failure of SIC interventions for individual
countries per category
Annex IV Evaluations relevant to SIC interventions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
List of figures and tables
Figure 1 SIC in OPs and PAs 29
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of funds
allocated to SIC-related Priority Axes over total ESF budget) 35
Figure 3 Budget allocated to expenditure category 81 per MS 36
Figure 4 Government effectiveness 65
Figure 5 Regulatory quality 66
Figure 6 Rule of law 67
Figure 7 Key factors for success and failure mentioned for MS 69
Table 1 Institutional capacity objectives tree for ESF 11
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP 14
Table 3 CSR addressed under SIC interventions by MS 15
Table 4 Contribution of ESF SIC interventions to MS policies 16
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category 18
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS) 19
Table 7 Characteristics of SIC actions 20
Table 8 Countries covered in programming and expenditure based analyses 30
Table 9 Overview of SIC dedicated OPs and PAs by MS 31
Table 10 ESF SIC investment and over total ESF (total funding) 35
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS 37
Table 12 SIC and overall ESF implementation rate () by MS (31 December 2014)
40
Table 13 Share of the budget spent per SIC relevant PA43
Table 14 Target setting and achievement for outputs SIC and ESF 50
Table 15 Achievement of output targets for SIC and all ESF interventions 50
Table 16 Target setting and achievement for results SIC and ESF 51
Table 17 Achievement of results targets for SIC and all ESF interventions 52
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014) 54
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women
participants55
Table 20 Funding per participation for SIC related OPsPAs 56
Table 21 Examples of tentative impact evaluations 64
Table 22 SIC related evaluations in Member States ESF 2007-2013 100
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
i
Executive Summary
Key findings
EU-28 Member States (MS) allocated euro2419 million to Operational Programmes
(OPs) or Priority Axes (PAs) that were dedicated to Strengthening Institutional
Capacity (SIC) objectives This includes funding from national (public and private)
sources as well as the amount of co-funding foreseen from the EU
As of the 311220141 693 of SIC allocated funding at EU-27 level was spent
compared to 793 of total ESF budget which demonstrates that on average
fewer SIC funds have been spent in relation to overall ESF funding The economic
crisis contributed to budget reductions or lower impact in several MS
Almost 14 million participations were reported to have been involved in SIC-
related interventions
Almost all participants are employees of beneficiary institutions the majority
are women (64) and well educated (ISCED 5 and 6)
Most countries used ESF to provide additional funding for good governance to
test new and innovative activities to reach new target groups and to
improve public administration service and delivery systems and methods
In doing this they responded to the issues identified by Country Specific
Recommendations in the SIC field
At least 17000 training programmes were developed while 4000 studies
campaigns public consultations reviews (laws procedures) and reports have been
implemented amongst other actions At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures
including client centres or regional offices
ESF contributed to reforms of the judiciary system improved access to e-
government services a better business environment and a better
management of public administrations in general
Introduction
This report analyses how the theme of strengthening institutional capacity (SIC) was
integrated in the ESF 2007-2013 programming in EU-27 MS how it was implemented
and what its main achievements were with a view to determining the key lessons
learned and recommendations for ESF programming and implementation
Strengthening institutional capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
10812006 which only covers Convergence regions describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo With the support for SIC a more horizontal
approach to capacity building was introduced in the 2007-2013 programming which
1 It is to be noted that according to the Regulation expenditure of the 2007-2013 period is eligible if incurred by 31122015 which is why the current report does not cover the last year of implementation Final data on spending participants and results are then higher than the ones reported
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
ii
complemented the existing institutional capacity support provided in other policy
fields Notable areas where this was the case include employment education and
social inclusion as well as in the implementation of the structural funds themselves
(technical assistance)
Programming of SIC under the ESF
During the 2007-2013 programming period 14 MSs included Priority Axes
dedicated to SIC interventions in their ESF programming (the report does not
cover Croatia due to late start of ESF activities upon accession to EU) Four of them
(BG EL HU RO) have explicitly dedicated one OP to institutional capacity building
The remaining ten countries (CZ EE IT LT LV MT PL SI SK UK) have OPs with
one or more PA dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting SIC
Most OPs are national but in Italy (5 out of 7) and in the United Kingdom there are
also regional OPs
ESF SIC investment is closely linked to SIC-related challenges in the relevant MS
and the corresponding Country Specific Recommendations (CSR) that the European
Commission issued during the programming period Besides a general need for
improved effectiveness and efficiency of public administrations recurring themes in
the CSRs are simplifying the regulatory system and improving the business
environment Other themes include the introduction of e-government reforms in the
judiciary sector and anti-corruption policies and public procurement regulation and
practices Most of the individual CSRs were explicitly addressed by ESF SIC
interventions
Capacity building under the SIC theme addressed structures and processes as well as
human resources Some 70 of actions at the level between PA and the actual
interventions addressed structures and processes The horizontal approach under
SIC enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and management
strengthening quality assurance or the role of the regional or local level in policy
development and implementation In the majority of actions organisational changes
address national local or regional levels by optimising the structures of the central
district and municipal administration An almost equally high share of the actions
addressed the development of human capital This included staff capacity building
interventions as well as the development and implementation of human resources
management strategies Developing human resource management under ESF covers
several areas including recruitment staff motivation systems for accreditation of
public servants internal mobility gender mainstreaming and mutual learning ESF
SIC also supported the development of tools related to e-government and helped
improve monitoring and evaluation systems While most activities seem to target the
public sector as a whole some focus on a specific policy sector such as the judicial
system
In capacity building interventions the target group is typically the staff of the
beneficiary organisations
Financial programming and implementation
In the EU-28 a total of euro2419 million was allocated to OPs or PAs that were dedicated
to SIC objectives This constitutes 21 of total allocated funding under ESF and 4
of funds available in convergence regions and includes funding from national (public
and private) sources as well as the amount of co-funding planned from the EU This
sum includes euro10 million allocated in Croatia whose interventions do not fall under
the scope of the present study The highest absolute levels of SIC allocation are found
in EL and PL while countries that allocate the highest share to SIC relative to their
overall ESF budgets (over 12) are BG and LT followed by MT and SI
The total amount of certified eligible expenditure by the end 2014 was euro167 million
This constitutes 693 of SIC allocated funding at the EU-27 level For comparison
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iii
the implementation rate (level of spending) for the total ESF budget of SIC allocated
funding amounted to 793 Implementation rates differ considerably between
countries and PAs It is worth mentioning that the lack of adequate administrative
capacity of beneficiaries might have contributed to the low absorption of ESF SIC
investments in these MSregions according to the so-called ldquocapacity traprdquo effect
Effectiveness and impacts
In total 14 million participations were registered in SIC related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training These participations result in a set of
characteristics which is very different from other ESF priorities as almost all
participants are employees and most of the participants in SIC interventions (57)
are well educated (ISCED 5 and 6) Participants in SIC interventions are older than
ESF participants on average Young people (15-24) are strongly under-represented
(4 for SIC interventions versus 31 for ESF as a whole) The majority of
participants are women (64)
In terms of outputs during the 2007-2013 programming period 17000 training
programmes were conducted and 4000 studies campaigns public consultations
reviews (laws procedures) reports etc implemented Some 95000 organisations
institutions were involved in SIC-related interventions The organisations that the ESF
supported besides public administrations include bodies of the judiciary county level
government offices boards of public benefit activities at the regional level and
municipalities Other outputs include at least 1500 projects or activities launched
some 250 guides and guidelines produced and 150 new structures established
including client centres or regional offices
The results achieved through ESF SIC funding during the 2007-2013 period vary
Approximately 512000 individuals gained a qualification 87000 reported other
positive results some 2000 entities or organisations were established or recorded
other positive results and more than 1700 productssystemstools were developed It
should be mentioned however that due to data limitations it was not possible to
aggregate all results as reported in the AIR of ESF programmes and as a consequence
this leads to systematic underreporting of the results of ESF
ESF supported interventions helped to reduce the administrative burden for citizens
and businesses and contributed to the production of better quality policies and
legislation Management systems and practices were changed to incorporate modern
human resource management and planning techniques The support for developing
institutional capacity also contributed to achievements in specific policy areas such as
equal opportunities environmental policies and the social dialogue
Four fields of activities were analysed in more depth during the study
Strengthening of the judiciary was supported by activities including the training of
magistrates or employees of judiciary offices and the introduction of court case
management systems These activities resulted in a reduction of the duration of
judicial procedures in several countries (SI PL) The effectiveness of judiciary bodies
and offices was also increased in terms of management and quality assurance HR and
provision and equipping judiciary staff dealing with economic cases Strategic
planning and management was improved (EL LT LV and PL) by increasing the
number or the share of public administration offices that implemented management
systems and quality assurance processes Increasing the number of services available
to citizens and businesses online and training public administration staff to use them
properly were a means to achieve MS ambitions in the field of e-government
Improving the environment for businesses was achieved by shortening the time
needed for setting up or registering a business and decreasing administrative costs
Other achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iv
Information on impacts is available for six countries only Typically this information
is of a more qualitative nature and does not permit hard conclusions to be drawn
According to World Bank data improvements in the quality of public administrations
occurred between 2007 and 2014 especially in the field of government effectiveness
and rule of law The perception of regulatory quality improved in several countries
particularly the three Baltic States as well as in Poland and Romania It is to be
expected that ESF has contributed to these changes However this causal relationship
can only be established through impact assessments and evaluations The evidence
available at this point is insufficient to draw conclusions in this respect
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by various countries (CZ EL HU IT LT MT
RO SK) Rapid changes in government politicised institutions and lack of political
support were all cited as impediments to the effectiveness of SIC interventions
Other evaluation findings
The findings regarding four further evaluation criteria are as follows
Efficiency Available information does not allow conclusions regarding the
efficiency of SIC interventions The assessment of efficiency is hampered by the
fact that the outputs of various activities are not defined in terms of the
number of persons or objects
Sustainability SIC interventions sustainability refers to both the continuation
of funded projects (with or without EU funding) and the achieved results in
terms of increased empowerment and adaptation to new needs as they
develop The sustainability of SIC interventions is particularly dependent on the
context in which they are implemented and which these same interventions aim
to support
Gender sensitivity Gender equality is seldom targeted directly by SIC
interventions through positive actions However in some countries SIC
interventions were designed in such a way that in their implementation at
least women and womenrsquos interests are taken into account or possibly
furthered SIC interventions typically have more female than male participants
For most countries this reflects the over-representation of women in public
institutions
Community added value The main effect from ESF SIC support is a volume
effect This effect has been even greater than it otherwise would have been due
to the impact of the financial crisis on MS budgets ESF has also added value by
broadening the scope of the interventions undertaken by MSs or by putting
administrative capacity on the agenda SIC funding played a relevant role in
supporting the introduction and testing of innovative tools or systems such as
the introduction of e-government
Overview of key lesson learned
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe
2020 Strategy might be further enhanced by specifying the more relevant fields
of ESF SIC support such as e-government or business-friendly administration
The institutional and political context remains a key success and risk factor for
capacity building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are
important factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to
capacity building as well as a well-defined intervention logic are required by
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
v
MS Programming should go well beyond the specific objectives and into the
realm of intermediate and final impact Support provided to countries should
consider the five key factors that influence the success of SIC interventions
management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
New programmes need to make sure that results and impacts whose
sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or
PA are often linked to a lack of administrative capacity in the Managing
Authority or Intermediate Body both in terms of the number and qualifications
of staff Significant personnel turnover and frequent changes in staff
contributed to mistakes being made in financial reporting by beneficiaries
which was further hampered by complicated and often-changing rules and
errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review
ex-ante the output and result indicators proposed by MS to see if they comply
with SMART criteria apply a categorisation into common output and result
indicators in the SFC database More systematic guidance on the difference
between indicators for capacity enhancement performance and impact
indicators could help countries formulate better indicators for monitoring
results In addition a benchmark is needed against which achievements can be
measured
Evaluation Fields of activities as found in the CSRs for example could
provide a starting point for the development of impact indicators for ex-post
evaluation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
6
1 Introduction
11 Background
This report is for Task 3A Thematic EU Synthesis Reports of the ldquoESF 2007-2013 Ex-
Post Evaluation Synthesisrdquo (Contract No VC20150098)
The purpose of the Ex-Post Evaluation is to synthesise and update the results of three
ESF thematic ex-post evaluations that were launched by DG EMPL during 2014 and
covered the following ESF Priorities Adaptability and Human Capital (grouped under
the ex-post evaluation Investment in Human Capital) Supporting the Integration of
Disadvantaged Groups into Labour Marked and Society (Social Inclusion) and Access
and Sustainable Integration into Employment (Access to employment) Under Task 3A
the Synthesis shall provide a supplementary evaluation of the ESF Priorities
lsquoStrengthening Institutional Capacityrsquo (ESF Reg 10812006 Art 32b) - the present
report - and - lsquoPromoting Partnershipsrsquo (Art 31e) which is presented in a separate
document These priorities were not covered by separate services and therefore
providing the key information needed in order to compile the EU synthesis report
covering all the ESF Priorities
Strengthening Institutional Capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
108120062 only covers Convergence regions and describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo
Strengthening institutional capacity was a new theme introduced for the 2007-2013
period Until then capacity building was supported for specific sectors notably
employment social inclusion and education and for the implementation of the
structural funds themselves (technical assistance) With SIC a more horizontal
approach was introduced that aimed at improving good policy and programme design
monitoring and evaluating a variety of activities and supporting capacity building in
the delivery of policies and programmes Specific fields supported by ESF SIC include
strategic planning and management support to the judiciary sector e-government
and promoting a business-friendly environment
This thematic report builds upon the knowledge and information collected during the
previous tasks of the synthesis evaluation particularly the Country Synthesis Reports
(CSR) that provide information on each and every ESF policy priority including a
summary overview of the Strengthening Institutional Capacity priority
12 Objectives
This thematic synthesis report provides an overview of the implementation of the ESF
Priority SIC at EU level in terms of implemented actions financial resources
participants outputs and results The report also illustrates how resources have been
used the effectiveness of implemented interventions (in terms of results) and
efficiency measured in terms of financial resources spent in order to achieve them
2 Regulation (EC) No 10812006 of the European Parliament and of the Council of 5 July 2006 on the European Social Fund and repealing Regulation (EC) No 17841999
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
7
The report also aims to provide an assessment of the sustainability community added
value and contribution to gender equality of the SIC priority thus feeding the most
relevant lessons learned and conclusions of the analysis
13 Scope
In total 14 of the EU-27 MSs defined one or more ESF OPs that have one or more
Priority Axes (PA) that predominantly address SIC (in total 34 SIC-related PAs in 21
OPs)3 A full list of these Priority Axes is presented in Annex I The programmes
covered the period between 1 January 2007 and 31 December 2013 with operations
continuing until 31 December 2015 However the evaluation could only draw on 2014
data reported by the MSs in the Annual Implementation Reports (AIR) submitted to
the Commission by 30 June 2015
14 Methodological Approach and information sources
The identification of Priority Axes relevant to SIC was based on the Preparatory Study
of the Ex-post evaluation of the ESF 2007-2013 the ESF Expert Evaluation Network
reports and the three ex-post thematic evaluations This selection was used as the
main reference to identify MSs and OPs with Priority Axes relevant to this field this
selection was further refined over the course of Task 2 ndash Country Synthesis Reports
For these PAs an analysis of the participants was carried out (Annex XXIII data) as
well as of the groups of outputs and results achieved by the ESF Each MS has to
report on these in the AIR and they can be extracted from the System for Fund
Management in the European Union (SFC2007)
Country experts in the relevant MSs were asked to review and integrate SFC data
(based on AIRs) if necessary Most importantly experts were asked to fill in country
templates enabling the assessment of the main activities of SIC that have been
carried out under the selected OPs for this report Also any other relevant information
such as the sustainability of the activities and results the contribution to gender
equality the community added value (CAV) the key success and failure factors and
the main lessons learned These templates were to be completed based on the
expertrsquos own assessment information drawn from the Operational Programmes and
AIRs 2007-2014 relevant evaluations or other sources of information available at
national level and in some cases through ad-hoc interviews with Managing
Authorities (MA)
The Country Synthesis Reports and templates filled in by country experts were a key
information source as the SIC Priority covers a relatively small share of ESF resources
SIC differs from the other priorities as it is not directly focused on educationtraining
or employment-related objectives for individuals but rather focuses on strengthening
structures and entities directly or indirectly involved in implementing such objectives
For this reason available quantitative data may not be representative of the relevance
and effectiveness of related interventions which is why additional qualitative
information had to be collected
15 Structure of the report
The report begins by reviewing briefly the background and content of the theme
(Chapter 2) Chapter 3 links SIC interventions to national and EU policies and
3 Please note that this could be a PA but in some cases also sub priorities when a PA is split up across more than one ESF theme
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Thematic EU synthesis report Strengthening Institutional Capacity
8
explains and analyses the activities foreseen It goes on to describe how SIC related
interventions are integrated into the ESF programming by MSs and the subsequent
impact of the economic crisis on the actual implementation Finally this chapter
discusses the financial performance Chapter 4 focuses on the evaluation criteria (ie
effectiveness efficiency sustainability gender sensitivity community added value and
socio-economic impact) The conclusions of the above analyses are presented in the
final chapter (Chapter 5) in terms of the lessons learned in six areas
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Thematic EU synthesis report Strengthening Institutional Capacity
9
2 Key SIC challenges and policy directions in the EU in the 2007-2013 programming period
Key findings
The quality of public policies and their implementation has been on the European
agenda since the beginning of the century It was also a key issue in the
preparation of countries for EU accession and the support the EU provided to them
amongst others in the framework of the PHARE programme
The modernisation of public administration was identified as one of the five
priorities in the Commissionrsquos recent Annual Growth Surveys Between 2012 and
2014 around 20 countries have been receiving country specific recommendations
related to public administration every year
Three dimensions of institutional capacity can be identified structures and
processes human resources systems and tools
Article 32b of ESF 2007-2013 Regulation identifies SIC as one of the five ESF
priorities focusing exclusively on Convergence regions
21 Evolution of the institutional capacity building focus
211 The origins of institutional capacity building support
The concept of institutional capacity owes much to the work conducted in the
framework of development aid According to De Koning et al (2006) the term
capacity building was introduced in the late 1980s It has various predecessors
though with the concept of institution building arising as early as the 1950s
It was also a key issue in the preparation of countries for EU accession and the
support the EU provided to them amongst others in the framework of the PHARE
programme It was recognised that only by developing appropriate administrative and
judicial structures would the new or adapted legislation be implemented effectively
(European Union 2010 p 16-17) The PHARE programme and the instrument for
pre-accession assistance (IPA) as of 2007 the Technical Assistance and Information
Exchange instrument (TAIEX) and Twinning have helped accession countries to
increase their institutional capacity After accession further support was deemed
necessary in this area and the ESF became the new vehicle for delivering it (European
Union 2010 p 18)
According to Ferry (2013) institutional capacity has remained an issue for Cohesion
policy in these countries His literature review revealed that there are many absorption
challenges faced by EU-10 countries both during and after accession Administrative
reforms and institutional instability were impeding the effectiveness of management
and implementation systems The collection and analysis of monitoring data has also
greatly suffered from this as did the implementation of ESF Ferry refers to a number
of issues in particular ldquoadministrative capacity weaknesses in managing authorities
(MA) lack of funding shortages of administrative resources high staff turnover lack
of political steer and administrative complexitiesrdquo (Ferry 2013 p 30)
212 Good governance as a deciding factor for competitiveness and cohesion
The quality of public policies and their implementation has also been on the European
agenda since the beginning of the century In the early 2000s the European
Commission identified the reform of European governance as one of its four strategic
objectives This entailed adapting European institutions and increasing the coherence
of its policies The Lisbon Treaty (ratified at the end of 2009) supported this by giving
a stronger role to the European Parliament and national parliaments and more
opportunities for citizens to have their voices heard The Lisbon Treaty also underlines
the importance of public services in MSs for social and regional cohesion it also
included key principles for action to promote effective services of general economic
interest Subsequently the Europe 2020 strategy for smart sustainable and inclusive
growth builds on this and emphasises the modernisation of labour markets and
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Thematic EU synthesis report Strengthening Institutional Capacity
10
enhancing the performance of education systems The modernisation of public
administration was identified as one of the five priorities in the Commissionrsquos recent
Annual Growth Surveys Between 2012 and 2014 around 20 countries have been
receiving country specific recommendations related to public administration every
year4
The reason for making institutional capacity a priority across the European Union is
that it is assumed to promote competitiveness eg through a stable business
environment and lower regulatory and administrative burdens This will also help
increase employment levels along with the number of stable and high quality jobs It
can also be argued that increased administrative capacity will foster social inclusion
and social cohesion Increased revenue from taxation and social security contributions
from well-functioning economies as well as government services operating more
efficiently will allow the maintenance of adequate levels of social protection It will in
brief increase productivity and in the economy improve the quality of the design and
implementation of policies for growth and employment and is the basis for good
governance (European Union 2010)
The European Union has been systematically and actively promoting public
administration reforms (PAR) in central and Eastern European countries both during
and after the accession process These MSs are part of an EU-wide effort of
modernising Public Employment Services (PES) and other institutions in the field of
labour social and educational policies which are supported under the Human Capital
and Access to Employment priorities (and are covered by the relevant thematic
evaluations)
213 Definitions and concepts
A number of dimensions of capacity building can be emphasised De Koning et al
(2006) identify investment in the human capital of individuals group-oriented
development organisational development or institutional development Building on
the classification applied by the World Bank the Ecorys (2011) report identifies three
dimensions that have since been used in various sources These concern structures
people and tools and are as follows
Structures relate to legislation delivery and development structures as well as
overall coordination cooperation and partnership
Human resources area include competence gaps (especially among senior and
line managers) staff turnover lack of HR policies (especially of modern HR
management approaches) lack of employee engagement and rigorous
application to tasks and in some cases a focus on narrow specialisms rather
than on broader management and public service competences
Systems and tools include the use of ICT and its embeddedness in
organisational processes the management of information systems finance
monitoring and evaluation and the state of play with regards to performance
management and the management of workloads
4 For more information see httpeceuropaeueurope2020making-it-happencountry-specific-recommendationsindex_enhtm
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
11
De Koning et al (2006) also distinguish different types of interventions that may be
used in capacity building projects and programmes knowledge skills tools and
equipment
22 Capacity building and ESF
The ESF thematic paper on promoting good governance highlights the importance of
having high quality public administration for economic prosperity as well as the well-
being of societies and their citizens (European Commission 2014)
For the 2007-2013 programming period three articles of the ESF Regulation (EC
10812006) are of particular relevance to capacity building
Article 31b addresses both the Convergence and the Regional
Competitiveness and Employment objectives It states that the ESF shall
support actions in MSs by promoting the modernisation and strengthening of
labour market institutions particularly employment services and other relevant
initiatives in the context of the strategies of the European Union and the MSs
for full employment
Article 31d refers to ESF support to enhance human capital by promoting the
design and introduction of reforms in education and training systems [] and
the continual updating of the skills of training personnel
Article 32b focuses exclusively on the Convergence regions mentioning that
the ESF shall support actions in MSs that are strengthening institutional
capacity and the efficiency of public administrations and public services at
national regional and local level Where relevant Article 32b also focuses on
strengthening social partners and non-governmental organisations These
interventions are targeted towards implementing reforms better regulation and
good governance This is especially the case in the economic employment
education social environmental and judicial fields
Article 32b covers SIC interventions as evaluated in the present study The focus on
institutional capacity and efficiency was new in the 2007-2013 programming period
Before 2007 the ESF objectives were defined only in the areas of employment social
inclusion and education
SIC interventions represent one of the additional objectives for so-called Convergence
regions Convergence regions are defined as those regions having per capita gross
domestic product (GDP) less than 75 of the average GDP of the EU-255
The following table summarises the logic behind ESF interventions in the field of
institutional capacity
Table 1 Institutional capacity objectives tree for ESF
Driver Economic growth employment and good governance (Lisbon Strategy)
Global objectives
The ESF shall contribute to the priorities of the Community with regard to
strengthening economic and social cohesion by improving employment
and job opportunities encouraging a high level of employment and a
5 Commission Decision C(2006)3475 of 4th August 2006 and Commission Decision C(2007) 1283 of 26 March 2007 amending Decision 2006595EC as concerns Bulgaria and Romania)
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Thematic EU synthesis report Strengthening Institutional Capacity
12
greater number of better jobs It shall achieve this by supporting MSs
policies aiming to achieve full employment ensure quality and
productivity at work promote social inclusion including the access of
disadvantaged people to employment and reduce national regional
and local employment disparities
Specific objectives
Article 32b Within the framework of the Convergence objective ESF shall
support actions in MSs under the priorities listed below
ldquoStrengthening institutional capacity and the efficiency of public
administrations and public services at national regional and local level Where
relevant these policies will also target social partners and non-governmental
organisations with a view to reforms better regulation and good governance
especially in the economic employment education social environmental and
judicial fieldsrdquo
Types
of interventions
(i) Mechanisms to improve good policy and programme design monitoring
and evaluation will be achieved through studies statistics expert advice
support for interdepartmental coordination and dialogue between relevant
public and private bodies
(ii) Capacity building in the delivery of policies and programmes in the
relevant fields including those regarding the enforcement of legislation
especially through continuous managerial and staff training as well as specific
support to key services inspectorates and socio-economic actors this includes
social and environmental partners relevant non-governmental organisations
and representative professional organisations
Source Assessment of administrative and institutional capacity building interventions and future needs in the context of European Social Fund (VC2009066 - 009)
The analytical framework developed for the previous evaluation of administrative
capacity under ESF (Ecorys 2011) summarised the need for capacity building
interventions as follows
poor performance of public administration
weak response to citizensrsquo and firmsrsquo needs
higher well-being of citizens through increased competitiveness and cohesion
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Thematic EU synthesis report Strengthening Institutional Capacity
13
3 Overview of key ESF SIC investment features in the 27 Member States
Key findings
ESF SIC investment is closely linked with SIC-related challenges in the relevant
MS All countries that have programmed a SIC-dedicated OP or PA received CSR
over the 2007-2013 period covering SIC-related themes
SIC-related CSR can take the form of general recommendations such as improving
the overall effectiveness of the public administration of the regulatory capacity of
the public bodies for example or they can relate to specific fields of interventions
such as the judiciary or the business environment
Some 70 of SIC actions at the level between PA and the actual interventions
addressed structures and processes The horizontal approach under SIC
enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and
management and strengthening quality assurance
An almost equally high share of the actions addressed the development of human
capital This included staff capacity building interventions as well as the
development and implementation of human resources management strategies
ESF SIC also supported the development of tools such as those related to e-
government and the improvement of monitoring and evaluation systems
While most activities seem to target the public sector as a whole some focus on a
specific policy sector such as the judicial system
During the 2007-2013 programming period 14 of EU-27 included Priority Axes
dedicated to SIC interventions in their ESF programming Four of them (BG EL
HU RO) have explicitly dedicated one OP to institutional capacity building The
remaining ten countries (IT LT LV MT PL RO SI SL SK UK) have OPs with one
or more PAs dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting
SIC
Within EU-28 a total of euro2419 million was allocated to OPs or PAs that were
dedicated to SIC objectives (EU+national) this constitutes 21 of total allocated
funding under ESF and 4 of the funds available in convergence regions The
highest absolute levels of SIC allocation are found in EL and PL while countries
that allocate the highest share to SIC relative to their overall ESF budgets (over
12) are BG and LT followed by MT and SI
31 Links to the national and EU policy priorities main activities and target groups
311 Links to the national and EU policy directions
ESF SIC investment is closely linked with SIC-related challenges in the relevant MS
All countries that have programmed a SIC-dedicated OP or PA received Country
specific recommendations over the 2007-2013 period covering SIC-related themes
Country Specific Recommendations (CSRs) are issued for each MS
In the context of the European Semester since 2011 the Commission undertakes a
detailed analysis of MS plans for budgetary macroeconomic and structural reforms
and provides them with CSR for the next 12-18 months These recommendations also
contribute to the objectives of the EUs long-term strategy for jobs and growth and the
Europe 2020 strategy
Annex I presents a full overview of how SIC interventions addressed country specific
recommendations
The content of the CSRs varies from country to country and from year to year
Although all MSs have their own CSR proposals there are common themes that arise
This section highlights the common key messages in the fields that are relevant for
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Thematic EU synthesis report Strengthening Institutional Capacity
14
SIC and provides an overview of the types of categoriesmeasures in which the
European Commission issued CSRs over the years from 2007-2013 and indicates how
these relate to specific MSs
Table 2 below shows how these CSRs clustered by typology are lsquodistributedrsquo across
the relevant MS over the 2007-2013 programming period SIC-related CSR can take
the form of general recommendations such as improving the overall effectiveness of
the public administration of the regulatory capacity of the public bodies for example
or they can relate to specific fields of interventions such as the judiciary or the
business environment The table illustrates that the overall improvement of the public
administration is a challenge identified in at least nine out of the 14 MSs Improving
the business environment facilitating entrepreneurship and business start-ups and
increasing the attractiveness of a country as an investment destination has been
identified a challenge in at least 11 MSs Improving the regulatory capacity of public
bodies and supporting simplification (including the aim to improve the business
environment) has been identified as a challenge in at least six MSs The reform and
the support of the judiciary sector has been identified as a specific challenge in at
least three MSs (this does not mean it is not a challenge for other MS with the
judiciary being a part of public administration)
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP
Type of challenge BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
effectiveness and efficiency
of the public administration x x x x x x x x x
effectiveness of the judiciaryreform x x x x
business environment x x x x x x x x x x x
Anti-corruptionpromotion of rule of law x x x
public procurement x x x
absorption of ESI funds x
e-government x x x x
regulatory systemsimplification administrative burden
x x x x x x
Source own elaboration on the basis of CSR2007-2009 2010-201213
Challenges and related recommendations are also visible in national strategies and
ESF SIC investments constitute an integral part of the national effort to support good
governance and improvements to the public administration in many countries This is
particularly the case in countries that have concentrated a relatively large amount of
ESF resources to this priority or those that have dedicated a full OP to it such as in
the case of BG EL HU and RO
In the case of Bulgaria for example where there is a separate OP devoted to
administrative reform and strengthening institutional capacity ndash OP Administrative
Capacity (OPAC) ndash the ESF plays an important role in supporting reforms and capacity
OPAC financed some of the most important measures in the National Reform
Programme (NRP) and was indeed a key instrument for the administrative reform in
Bulgaria where these reform processes play an important role in the national agenda
also considering its relatively recent accession to the EU and of its political past
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15
In Greece a number of reforms have been implemented in the past decade mainly in
the fields of state-citizen relationships the development of e-government human
resource management better regulation and control mechanisms These are fully in
line with the strategic goal of the OP Administrative Reform 2007-2013 which aimed
to improve the quality of governance through enhancing the effectiveness and
efficiency of public organisations whilst also strengthening the accountability and
professionalism through broadening public consultation and the participation of
stakeholders
In Romania the main contribution of the State Reform OP was to support the
accomplishment of the strategy for improving the capacity of the public
administration The main leverage used involved creating more efficient local
administration units and reducing the development gap between local and central
public administrations Increasing the expertise of staff in public institutions through
participation in specialised training (ICT data management systems) helped in
preparing them for the development of e-government services and facilitated the
simplification processes relating to administrative procedures in line with the National
Strategy for the Digital agenda for Romania and the European Digital agenda
During the last few decades public administration reform strategies in Italy have
been focusing on two main areas a) the delivery of (public) services to citizens and
companies b) the management of public (material and immaterial) goods Both areas
have been subject to reforms aimed at improving their levels of effectiveness and
efficiency In more detail the reform strategies focused on service delivery (covering
the national regional and sub-regional level along with relevant policy actors) and
tackling long-standing criticisms such as the overall lack of efficiency in Public
Administrations (especially in terms of the optimisation of governance mechanisms)
They also concentrated in the simplification of administrative rules and regulations and
the efficiency and effectiveness of (mainly civil) justice As for the reforms they
focused on improving the management of public goods the main critical issues that
have been covered relate to the fight against corruption (especially in public tenders
and contracts) the effective spending of public funding (national but also EU) and the
full implementation of relevant infrastructure investments These strategies have been
accompanied by reforms supporting the productivity and assessment of PA employees
and management as well as of the organisations themselves
Table 3 shows the linkage between the CSRs received and whether relevant MSs had
addressed these through ESF SIC investment Only in five MSs (BG CZ EE IT LT)
were the recommendations not fully addressed in some specific years
Table 3 CSR addressed under SIC interventions by MS
Country 2007 2008 2009 2011 2012
BG NA YES partially YES partially YES partially YES partially
CZ YES NO NA YES YES
EE NA YES NA NA YES partially
EL YES YES YES NA NA
HU YES YES YES YES YES
IT NO NO YES YES
LT NA YES partially YES partially YES NA
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Thematic EU synthesis report Strengthening Institutional Capacity
16
Country 2007 2008 2009 2011 2012
LV NA NA NA NA NA
MT YES YES NA NA NA
PL YES YES NA YES YES
RO NA YES YES NA NA
SI NA NA YES NA
SK YES YES YES YES YES
UK NA NA NA NA NA
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
NA means that no recommendations were made
Details of the recommendations are provided in Annex II
In the Czech Republic SIC-related ESF programming addressed all the
recommendations apart from the one aiming to further quicken the ldquoprogress in the
ICT area including through the implementation and monitoring of a fully enabled legal
environment for e-governmentrdquo This implementation began in 2008 although a start
was made in 2007 as was then recommended
Estonia also used ESF funding for SIC interventions to address most of the
recommendations it received although SIC interventions were not explicitly used to
support the merging of municipalities as was recommended in 2012
Italy did not use ESF funds to explicitly address the recommendations it received in
2007 and 2008 These recommendations involved the introduction of an impact
assessment system and the competition in product and service markets The latter
was taken up again by the recommendations in the following years and ESF SIC
interventions were used to improve the situation
Table 4 below provides an overview of the linkages between MSsrsquo policies and ESF
support to SIC
Most MSs that have included PAs on SIC use ESF to obtain additional funding to
support good governance and to improve the delivery systems and methods for
services to citizens and businesses in their country Most countries also use it to test
innovative activities ESF is least commonly used to reach new target groups which is
understandable for SIC interventions
Table 4 Contribution of ESF SIC interventions to MS policies
ESF provided additional funding to
support good governance
ESF was used to test new and innovative
activities
ESF was used to reach new target groups
ESF was used to improve PA service
delivery- systems and methods
BG Y Y N Y
CZ Y Y N Y
EE Y Y Y Y
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
17
ESF provided additional funding to support good governance
ESF was used to test new and innovative activities
ESF was used to reach new target groups
ESF was used to improve PA service delivery- systems and
methods
EL Y Y N Y
HU Y N N Y
IT Y Y N Y
LT Y Y Y Y
LV Y Y Y Y
MT Y Y Y Y
PL Y Y N Y
RO Y N N Y
SI Y Y Y Y
SK Y Y N Y
UK N N N Y
Source overall assessment of country experts based on research carried out by them and
national evaluations conducted in the country
312 Key characteristics of activities and target groups at EU and MS level
An overview of the key characteristics of activities and targets groups that are the
focus of ESF SIC investment is provided below This is based mainly on the analysis of
lsquoactionsrsquo that have been programmed and carried out at MS level By actions we refer
to the unit of analysis below PA level6
Art 32b of the ESF Regulation distinguishes two main groups of interventions those
that relate to design monitoring and evaluation and those related to the delivery of
policies and programmes Only one in 10 actions focuses solely on the first objective
More than one-third of the actions focus on delivery and almost half of the measures
address both (see Table 5 below)
Most of the actions target the national level (70) However substantial numbers
address additionally local (41) andor regional (53) levels Only 4 of actions
have an international character
6 In the 2007-2013 programming period there is no standardised unit below the PA level such
as the measures in the 2000-2006 period However many Member States distinguish a lsquomeasure typersquo level Sometimes these are still called measures although sometimes other names are given In this report they are referred to as lsquoactionsrsquo and some of the analyses are conducted at this level
ESF 2007-2013 ex-post evaluation synthesis
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18
Public entities were the main beneficiary of SIC actions (85) Social partners and
NGOs were targeted by approximately a quarter of the actions
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category
Characteristic and categories Absolute
no
Objective (ESF Regulation Art 32b i and ii)
Design MampE 8 103
Delivery 28 359
Both 38 487
No information 4 51
Total 78 100
Level of the intervention (multiple answers possible)
Local 33 423
Regional 42 539
National 56 718
International 3 39
No information 8 103
Recipients
Public entities 66 846
Social partners 21 269
NGOs 19 244
Source country templates - assessment by country experts based on review of relevant
literature and Country synthesis reports
In order to carry out a more detailed analysis we reviewed the key characteristics at
MS level Table 6 below shows whether a certain characteristic occurs in one or more
of the actions in each country This analysis is similar to that carried out at an OP
level However in the analysis at OP level the results for Bulgaria (two OPs) and
Italy (seven OPs) would lsquocolourrsquo the results excessively which is the reason why we
opted for a comparison of MSs
Table 6 illustrates the results for the various characteristics Very few MSs have
measures that focus exclusively on the design monitoring and evaluation of policies
and programmes or measures with an international component Few MSs have
measures that focus on e-government under ESF SIC actions Of course these actions
may be specifically targeted under other themes
Some more detailed conclusions emerge when we compare countries by the most
common types of OPs (section 313) dedicated OPs regional OPs and human
resources or sectoral OPs
Objective of the interventions
In Hungary and Bulgaria only (two of the countries with dedicated OPs) can
actions be found that focus solely on design monitoring and evaluation (obj
32bi)
All four countries with dedicated OPs have one or more actions that uniquely
target the second objective (delivery) In the two other groups this is the case
for around half of the countries
The mixed approach can be found in some of the countries in all three groups
Level of the interventions
All Member States have one or more actions at national level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
19
As expected all regional OPs target the regional level In the two other groups
around half of the countries have PAsactions addressing the regional level
In Bulgaria only do the actions under the administrative capacity OP have an
international dimension
Recipients
In all MSs public institutions benefit from institutional capacity building actions
Social partners and NGOs are often targeted as an explicit (BG EE SK) or
implicit (EL IT SI) target group of human resource development actions They
are also more likely to be amongst the recipients when the objective of actions
is to increase cooperation (BG) to further social dialogue (MT) or to improve
service delivery to citizens or businesses (BG LT) Social partners or NGOs are
also target groups when better regulation (EE) and equal opportunities (EE) are
prioritised
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS)
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK Tot
ESF objective 32b i and ii
Design MampE 1 1 2
Delivery 1 1 1 1 1 1 1 1 1 9
Both 1 1 1 1 1 1 1 1 8
Level of the intervention (multiple answers possible)
Local 1 1 1 1 1 1 1 1 1 9
Regional 1 1 1 1 1 1 1 1 9
National 1 1 1 1 1 1 1 1 1 1 1 1 12
International 1 1
Recipients (multiple answers possible)
Public entities 1 1 1 1 1 1 1 1 1 1 1 1 1 13
Social
partners 1 1 1 1 1 1 1 1 8
NGOs 1 1 1 1 1 1 1 1 8
Source country templates - assessment by country experts based on review of relevant literature and synthesis country report prepared previously
In Italy OP Sicily action linked to Specific Objective ldquoOrdquo and SK action 42 not implemented
so not included in Hungary no information available on level of interventions and recipients in
Slovakia and Czeck Rep no information on objectives
Target groups
In capacity building interventions the concept of target group needs to be considered
carefully If developing structures processes or tools are the objectives of the
intervention the only target group is the staff involved or (other) users of these
systems Thus the target group of SIC interventions are typically the employees of
the beneficiary institutions
313 Key characteristics of specific dimensions and categories
As mentioned above in order to bring out the variety of interventions implemented
with support from the ESF the actions are taken as the starting point for a more
detailed characterisation of SIC interventions The classification departs from the three
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
20
dimensions distinguished in section 213 structures and processes human resources
systems and tools Categories have been developed that reflect the objectives of ESF
with regard to capacity building on the one hand and the actual objectives and
activities in countries on the other Table 7 below presents the classification as well
as the number of actions to which a dimension or category applies
Table 7 Characteristics of SIC actions
Dimension and categories no of actions
Structures and processes (SampP)
Structures (general) 17
Processes (general or core processes) 5
Structures and processes with a regional or local dimension 36
Processes related to strategic planning and management 12
Structures processes aimed at creating of a business-friendly environment 10
Processes related to quality assurance and quality management systems 6
Human resources (HR)
Human resources management (eg working environment training policies and programmes certification mobility)
17
Staff capacity building 24
Tools
E-governance 14
Monitoring and evaluation systems (MampE) 14
Source information from country templates on objectives and types of activities supported by
ESF
multiple categories possible
The number of actions cannot be added as more than one category may apply to one
action both structures and processes may be addressed in one action as could
human resources systems and staff capacity building Other examples include quality
assurance or e-governance In addition 33 out of the 78 actions (42) could be
classified under more than one dimension
It should be mentioned here that capacity building in the justice system plays an
important role in assuring good governance The activities carried out under these
actions may cover all three of the dimensions identified above
Methodological justification of the classification
The fact that not all actions were classified on all three dimensions is partly due to the nature of
the actions and partly to the fact that this analysis could not be based on a more disaggregated
level of analysis such as the individual interventions The classification was based on a summary description prepared by country experts of the main typologies of interventions or activities that were carried out under the different actions it also includes a global assessment of their characteristics which was also made by country experts The formal titles and the objectives of the relevant OP and PA provided further guidance for the classification These
three sources enabled a detailed classification but cannot capture every single activity and their characteristics carried out in the framework of an action
The three dimensions are discussed in more detail below
314 Structures and processes
Structures (general) 3141
Objectives and activities
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
21
Changing organisational structures is not an aim in itself It is accomplished to create
conditions for other changes that will help realise good governance in the country or
to improve public policies and their implementation directly
In Hungary the ESF SIC investment is aimed at creating lsquothe organisational conditions
for a strategy driven specialised policy approach in the central administrationrsquo This
should contribute to the capacity for self-governance and the quality of legislation
which is targeted under Action 11 of the State Reform OP Under Action 12 support
to the creation and operation of institutional models will help create a simpler and
more transparent organisational structure which in turn will further the development
of more efficient and cost-effective public organisations In Romania revising
developing and optimising the structure of public services (action 21) was undertaken
in order to improve their quality and efficiency
In the majority of actions organisational changes address national as well as local or
regional levels Action 11 of the Bulgarian OP Administrative Capacity aims to create
an effective structure for the State administration by optimising the structures of the
central district and municipal administration ESF SIC support is also used to bring
about and support decentralisation processes Lithuania aims to affect structural
changes at all levels (central regional and local municipality) and identified the need
for support in decentralisation and processes to reduce concentration This is in order
to achieve an optimal distribution of functions among central territorial and local
municipal levels In Romania the main objective of Action 21 in the OP Administrative
Capacity Development is to support structure and process changes resulting from
sectoral decentralisation initiatives The support provided includes training and
technical assistance as well as for the evaluation of pilots for the process of
decentralisation and reducing concentration
Organisational change is sometimes internally driven where it can be aimed at
achieving less fragmentation and duplication of work in Malta for example In other
cases it can be externally driven such as the lsquoone-stop-shoprsquo system developed for
start-ups in Poland (Action 51 OP Human Capital)
The ESF in Poland furthered the development of an important policy design instrument the Social Diagnosis It was a project designed to support the diagnostic work with detailed data
that had been derived from institutional indicators concerning households with a view to investigating the attitudes mind-sets and behaviours of their members It is a diagnosis of Polish conditions and quality of life as they report it Although this research has been ongoing since the 1990s under the ESF programme it has developed and become the main basis for designing policies and providing a source of information for decision makers The scale and impact of the research carried out has been changed considerably thus providing an effective tool for designing policies and strategies7
Beneficiaries and geographical level
All actions address solely public authorities except for the Greek actions that also
target social partners and in one case NGOs Most actions target the national as well
as the regional or local level
Processes (general) 3142
Objectives and activities
7 EEN 2014 Final country report Poland
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
22
The Greek administrative reform OP provides a good example to demonstrate the type
of activities undertaken in the framework of structural reforms It captures a range of
activities and interventions which are all addressing the organisational and
operational re-engineering of public organisations A key aim is the rationalisation of
specific administrative functions such as budgeting and the reduction of
administrative burdens Concrete activities include the
introduction of performance and efficiency systems in the central and regional
public organisations
modernisation and rationalisation of the budgeting
simplification of administrative procedures to reduce the administrative
burdens
reduction of the time needed for the issuance of social and state pensions
enhancement of the E-health program (individual e-papers)
introduction of one stop shops for enterprise licences
The Hungarian actions specifically address the renewal of procedures and work
processes as well as organisational development In Malta renewed processes aim to
support the public sector reform whereas in the Czech Republic renewed processes
seek to increase institutional capacity and efficiency The Bulgarian action focuses on
the judicial sector aiming to make it more transparent and effective
The activities undertaken under this heading can be summarised as simplification and
streamlining They include lsquooptimisation of the workflow and better coordinationrsquo in
the judiciary system (BG) streamlining the activities of public administration
authorities (CZ) simplifying the procedures mostly used by the citizens (HU) and
streamlining management processes within the public sector with a view to facilitating
more rapid decision-making and implementation as well as greater accountability of
results (MT)
Beneficiaries and geographical level
The SIC interventions that aimed to change processes targeted public administration
itself rather than social partners or NGOs the interventions were a mixture of
national regional and local actions although the emphasis was focused at the national
level
Structures and processes with a regional or local dimension 3143
The overarching characteristic of this category of actions is their aim to strengthen
administrative capacity or good governance at the regional or local level These
actions aim to support regional or local authorities in the development and
implementation of policies An element of decentralisation is needed to be present for
actions to be categorised under this heading The classification was performed by
triangulating information from the objectives and description of the OPPA and actions
along with the assessment made by country experts considering the level at which
the actions were foreseen This was the case in regional OPs
Objectives and activities
Theoretically four elements were identified integrated development territorial
reform regional local and municipal governance and decentralisation In the PAs
dedicated to SIC however no regional planning and development activities were
found Neither were actions aimed at territorial reform Support for decentralisation is
provided as has been discussed above but the undertaking of decentralisation itself is
not encountered in the SIC PAs The only clear decentralisation objective is found in
the Romanian administrative capacity development OP The main objective of action
21 is to support structure and process changes resulting from initiatives of sectoral
decentralisation Studies consultancy training evaluation and mutual learning were
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
23
all delivered to structures and staff involved in the planning and coordination of the
decentralisation process The evaluation of pilot projects was supported along with
more general studies on the decentralisation process
The predominant types of action classified under this category are therefore those that
aim to strengthen regional local and municipal governance As the majority of
activities undertaken for these actions are already discussed in other categories no
further description is provided here
Some interesting examples of this type of intervention can be found in Italy Two of the most relevant projects implemented by the National OP Governance (that accounts for the majority of ESF SIC-related investment across all OPs) are lsquoCapacitagrave Sudrsquo aimed at reinforcing the
institutional and administrative capacity of Regions in the field of Structural Funds management and networking and lsquoPerformancersquo PA which aims to supporting the reform and modernisation of public administration mainly involving Municipalities At the level of the regional OPs the implementation of the Institution building programme aimed to strengthen the institutional
capacity of the regional public administrations (development of a favourable administrative environment and public policies) the regional OP of Campania in cooperation with the central government funded this programme The main interventions implemented under this
programme include the following organisational support development of a management control system support to administrative simplification and e-government development of an anti-corruption plan and strengthening local development systems
Beneficiaries and geographical level
Most of the actions solely target public authorities Actions are always carried out at
regional or local level besides the national level
Processes related to strategic planning and management 3144
Six countries have used strategic planning or management tools to enhance their
functioning and performance Estonia Greece Hungary Italy Lithuania and Romania
Objectives and activities
Most of the activities are part of more general SIC interventions However two
countries have established PAs that are dedicated to performance management
Estonia under its human resources OP has formulated a PA for the enhancement of
strategic management in the public sector and NGOs Hungary also under a human
resources OP formulated a PA dedicated to performance-based career pathways
Examples of such tools are management by objectivesresults policy cycle
management performance management and strategic planning lsquoEfficiency and
performancersquo systems were foreseen for Greece and Hungary which may imply a
somewhat heavy focus on staff performance Information on individual interventions
would be required to clarify this
Beneficiaries and geographical level
The beneficiaries are public institutions (all) and NGOs (Greece) The activities target
institutions at national regional and local level
Structures and processes aimed at creating of a business-friendly 3145
environment
Creating a more business-friendly environment is an important feature of the
European 2020 Strategy Actions that address this issue are found in several countries
(including CZ EE EL LT LV MT PL)
Objectives and activities
Improving the regulatory environment for businesses and reducing their
administrative burden is undertaken with a view to improving the performance of
these and the competitiveness of the MSs Many activities under this heading aim to
improve and simplify the regulatory environment thereby creating an attractive
environment for enterprises and for domestic and foreign investors (CZ EE EL LT
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
24
MT PL) They also include the development of ex-ante impact assessments or
evaluation systems for calculating the administrative burden for enterprises (EE LT
LV) as well as the introduction of one-stop-shop systems (EL LT PL) Other
activities such as quality assurance and management (discussed below) will also help
to improve the environment in which businesses operate
Beneficiaries and geographical level
The end recipients of these actions are businesses but the final beneficiaries are
public authorities at all geographical levels though somewhat more often at national
level
Processes related to quality assurance and quality management 3146
systems
Seven countries focused on quality assurance or quality management as a tool
Bulgaria Hungary Lithuania Latvia Malta Slovenia and Slovakia However the
Slovak action did not end up being implemented
Objectives and activities
Quality Assurance (QA) and Quality Management (QM) systems can and do support
virtually all objectives foreseen for SIC interventions Slovenia for example used the
European common assessment framework (CAF) and the European Foundation for
Quality Management (EFQM) framework Bulgaria Lithuania and Latvia introduced QM
systems with the aim of enhancing the quality of administrative service delivery
These systems are also introduced as part of an overall administrative reform (HU
MT) The introduction of minimum quality standards is part of quality management
although this is not considered to belong in this category if occurring in isolation As
the introduction of quality management systems was usually one of many activities
undertaken in the framework of an individual action more detailed information is not
available on the activities carried out to introduce these systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector on the national level
315 Human resources
In this section we provide an overview of the actions related to human resources
development as they have been programmed and implemented across the 14 MSs
These actions can be divided into two broad categories Human Resources
Management and Capacity building of staff Capacity building of staff usually takes the
form of training activities and programmes although it should be mentioned that
training takes place also outside of HR focused actions In this case training is not a
capacity building objective in itself but aims to improve the strategic management of
an organisation or the implementation an e-government programme
Human resource management 3151
Objectives and activities
Developing human resource management (HRM) under SIC ESF investment covers
various human resource management areas such as recruitment staff motivation
internships systems of accrediting public servants internal mobility gender
mainstreaming and mutual learning While most activities seem to target the public
sector at large some focus on a specific policy sector such as the judicial system
The Bulgarian Administrative capacity OP has one PA targeting human resource
management in public administration This is further articulated into five actions
Action 21 Modern human resources management in the state (improving recruitment
and human resources management systems including motivation internship
opportunities certification of public servantsrsquo skills and mechanisms for mobility)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
25
Action 22 Competent and effective state administration (training programmes and
training for public servants of the central district and municipal administration)
Action 23 Strengthening the capacity of civil society organisations in policymaking
(training for organisational development strategic planning etc)
Action 24 Competent judicial system and effective human resource management
(introducing new human resources management systems and the provision of training
to magistrates and administrative staff)
Action 25 Transnational and interregional cooperation (projects for exchange of good
practices in the field of human resources management)
In Greece the OP for Administrative Reform seeks to improve modernise and reform
the operational capacity of Human Resources Departments in central administrative
units The objective is to improve the quality design and implementation of vocational
education programmes in public administration thereby upgrading the skills
qualifications and knowledge of the personnel in the public administration Concrete
activities include the development of tools for the improvement of the Human
Resources departments and the development of strategic and operational plans for
vocational education institutions Other Greek PAs under the HRD OP focus on gender
mainstreaming in the public sector This is to be attained by a variety of activities
which include improving the legislative framework for gender mainstreaming
increasing the participation of women in decision making evaluating the impact of
public policies in gender mainstreaming enhancing the integration of gender
mainstreaming in public policy enhancing actions targeting the prevention and
combating of violence against women and supporting NGOs that help further female
participation
The Hungarian OP State Reform addressed the need to increase the participation of
women through Human resources improvement strategies through PA 2 (Increasing
the quality of Human Resources) Action 22 which focuses on performance-based
career pathways This PA aims to modernise the instruments for human resources
management focusing in particular on the elaboration and scheduled introduction of
the life path-career management system Aside from the activities such as the
establishment of a government human resource centre which is responsible for the
application of the new HR policy other actions include the elaboration of an
international government officersrsquo and civil servantsrsquo exchange programme along with
the introduction of individual performance assessments that link outcomes to the
remuneration system The PA supports activities that help staff to reconcile obligations
from family and work life
In Lithuania one of the actions under the OP for the development of human resources
targets HRM It aims to improve the management of human resources and strengthen
the administrative capabilities in the public sector Modernising the management of
human resources is undertaken in order to further a more productive use of
knowledge capabilities and skills in the public administration It includes activities
that promote the own initiative of public employees and improving the system of
encouragement
The human resources development OP in Slovenia has an action dedicated to efficient
and effective public administration which includes activities for developing public
management This is done through enforcing the use of modern management
techniques and developing active management of human resources and knowledge
The action also included a system for strategic planning as well as for monitoring the
status of results related to objectives of the priority
In Estonia the OP for human resource development has an action aiming to train and
develop State employees as well as those of local authorities and NGOs It covers
various areas including human resources management Interventions are mostly
implemented in the form of different training studies analyses and development
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
26
activities Interventions are also to a certain extent enacted through the
development of methodological materials practicing and information activities
Beneficiaries and geographical level
All PAs target public authorities The Greek and Estonian PAs also target social
partners NGOs are potential beneficiaries in some Bulgarian Greek and the Estonian
PAs
Staff capacity building 3152
Objectives and activities
Sometimes activities under HRM and staff capacity building are strongly intertwined
such as in Poland and the United Kingdom The PA dealing with staff capacity building
under the human capital OP in Poland includes an action advancing the modernisation
of management in public administration and justice administration It used a variety of
activities to achieve this aim revision of all legal acts related to public finance
management improvement of budgetary and strategic planning developing the
system of public tasks evaluation based on indicators strengthening the divisions of
self-government units responsible for monitoring and evaluation improvement of
cooperation mechanisms between public administration units new methods of
management increasing the quality of services implementation of the altered
remuneration system in the public administration development of competence
standards for self-government administration employees and ethical standards
development
Similarly in the United Kingdom the action to build the capacity of public service
sectors includes a more strategic approach to the management of human resources
The aim of staff capacity building in the UK PA is to deliver higher quality services
This entails developing the skills and capacity of the public sector workforce and of the
organisations they are engaged in deliver and sustain the reform agenda It also
included helping leaders and managers build their capacity to lead the workforce
through change securing a more strategic approach to the management of human
resources and addressing specific skills gaps
Specific staff capacity building is undertaken through different types of activities The
main activity is training A variety of possible training subjects are covered by the
Bulgarian example organisational development strategic planning policy making
monitoring of policies business planning and financial management and effective
negotiation and partnership Additional types of training actions are covered by other
MSs such as raising managerial capacity (HU) strategic planning (LV) implementation
of policies and programmes (IT) and negotiation capacities for public private
partnerships (IT)
Other types of activities are found in Malta for example Under the OP that aims to
empower people to seek out new jobs and a better quality of life one of the actions
establishes and elaborates the principle of lifelong learning for the public sector
Activities identified under this intervention area in the OP include training in areas
such as financial regulation and basic skills related to financial management public
procurement project management national environmental and planning legislation
and Community policies which include competition policy Other associated activities
include analyses of training needs scholarships and internships accreditation of
trainers and academic development of the trainers and the introduction of stronger
linkages between training and career development particularly at the boundary
between middle and senior management levels
Greece introduced systems for job profiles and job descriptions programmes for
enhancing the mobility of staff a training needs analysis and a standardisation of
Educational Plans in public administration and certification systems
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
27
The Estonian OP for human resource development has one action supporting country-
level support structures Interventions include different training counselling
practicing (study tours) and mentoring activities
Beneficiaries and geographical level
Most actions aimed at beneficiaries in the public sector Some of the PAs in Greece
Lithuania and Malta also target social partners NGOs are amongst the potential
beneficiaries in Bulgaria Estonia Latvia Malta and Slovakia
Capacity building usually targets the public sector as a whole A clear exception is
found in the Bulgarian lsquoHuman resources developmentrsquo OP The PA dealing with SIC
has two actions with each action concentrating on specific policy sectors
development and modernisation of the labour market system and strengthening the
capacity of institutions for social inclusion and the provision of health services
The target groups do not always remain the same over time however
In Slovakia most of the calls focused on public bodies There was only one call (in two
rounds) designed for NGOs After the experience with the implementation and
administration of projects at NGO level the managing authority took the decision to
focus on the public sector Most of the actions focused on training the employees in
the sector or in some of its institutions (eg building analytical capacities in the
Ministry of Finance capacity building of the Constitutional Court of the Slovak
Republic preparation for EU Presidency and human resource capacity building of
some institutions)
In Latvia the objective was the administrative capacity building of all parties involved
in the design and implementation of action policies This was undertaken in order to
ensure the active participation and representation of all interest groups in
policymaking processes and to improve the quality of decisions made At first the
activities were targeted at the administrative capacity building of social partners
(Latvian Employersrsquo Confederation and Free Trade Union Confederation of Latvia) and
to strengthen social dialogue at the regional level This activity resulted in the
establishment of regional structures of the Latvian Employersrsquo Confederation and Free
Trade Union Confederation of Latvia which contributed to the formation of non-
governmental organisations and a significant increase in their activities Another
branch of capacity building activities was targeted at non-governmental organisations
and local governments mainly to promote their participation in decision-making and
the efficient planning and management of EU projects
316 Tools
E-governance 3161
The introduction of some type of e-governance is a horizontal element to many SIC
investments under the ESF In at least six countries support of e-governance was a
key component of capacity building efforts under SIC dedicated OPsPAs (this does not
mean that e-governance support did not also take place in other MSs as part of their
overall SIC strategy) These countries are Bulgaria Greece Italy Lithuania Malta and
Slovenia Some of the actions in this field take place in specific policy sectors justice
(eg BG IT) health (eg EL) and employment (eg IT SI) In some instances such
as in Italy e-governance support was used to implement and improve ESF monitoring
systems Other countries support e-governance across policy sectors (eg BG SI)
The Bulgarian administrative reform OP also supports the introduction of an integrated
information system of the state administration
Objectives and activities
The support for e-governance was provided with a view to making public
administrations more effective (BG IT) modernise them (EL) and improve the
service delivery to citizens and businesses (BG)
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Thematic EU synthesis report Strengthening Institutional Capacity
28
In the case of policy sector initiatives some examples of the objectives included the
creation of a transparent and effective judicial system (BG) and the improvement of
the service delivery provided by the bodies of the judiciary The information available
typically mentions the introduction of e-government e-health etc In Slovenia some
more detailed information is available on the type of activities carried out in this
framework Slovenia supported e-government as part of its efforts to achieve an
efficient and effective public administration The support for e-government consisted
of two parts an e-portal and e-administration Within the framework of the e-portal
development further progress of e-government was achieved The objectives were to
secure permanent availability support e-democracy in cooperation with the
interested public in making decisions on the abolition of obstacles in the
administration and further develop e-services E-administration was designed for
legal persons and based on a single access point The activities focused on providing a
permanent single access point for legal personnel and businesses This online
resource harnesses the interaction between the state and businesses Examples of
possible services include the registration of employees data transfer and requesting
confirmation
Beneficiaries and geographical level
The beneficiaries always include public sector institutions The actions also target
social partners and NGOs but it is unclear as to whether these concern the e-
governance related or other activities carried out in the framework of these actions
Similarly actions target all geographical levels but it is entirely possible that this is
due to the governance structure in the country or the presence of non e-government
activities within the actions identified here
Monitoring and evaluation systems 3162
Monitoring and evaluation (MampE) systems are an important tool for measuring
progress towards the objectives that governments set themselves in capacity building
interventions They are also important in measuring performance as a supplier of
services to citizens and businesses and in achieving objectives related to these such
as the reduction of the administrative burden The seven countries that included
monitoring and evaluation in their actions are Bulgaria Estonia Italy Malta Poland
Romania and Slovenia
Objectives and activities
Monitoring and evaluation was used to measure internal and external performance as
well as for capacity building good governance policies and policy sector policies
Consequently MampE systems were developed to measure the needs of target groups
such as marginalised groups labour markets or working conditions (BG IT)
progress in achieving good governance (BG PL) or cooperation (PL) better
application of specific capacity building policies including better regulation or reducing
the administrative burden (BG EE) and sector policies like employment policies (IT
MT RO)
No further information is available on the concrete activities undertaken to introduce
or improve MampE systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector They often address
the national level but also the local or regional level if these levels were targeted by
the actions under which MampE is promoted
32 The overall strategy for ESF SIC investment
As has already been stated during the 2007-2013 programming period 14 out of the
EU-27 MSs included specific SIC interventions in their programming and 21 OPs were
dedicated to SIC or had one or more Priority Axes dedicated to this theme Seven of
these OPs were Italian In total 34 PAs and 78 actions have been identified as
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
29
dedicated to SIC Four out of the 14 MSs that have integrated SIC into their planning
have explicitly dedicated one Operational Programme to institutional capacity building
These countries are Bulgaria Greece Hungary and Romania The remaining ten
countries have OPs with one or more PAs dedicated to SIC
Figure 1 SIC in OPs and PAs
OPs with SIC dedicated PAs typically aim to develop human resources In Italy (five
out of seven) and in the United Kingdom there are regional programmes In Slovakia
it is the OP Employment and Social Inclusion that has a SIC related PA
The PAs typically apply a horizontal approach Only Bulgaria has focused one of its SIC
PAs on labour market institutions and on social and healthcare services corresponding
with the two sectors to which the OP was dedicated Slovakia originally foresaw both a
horizontal and a vertical PA (Establishing quality management systems in public
administration and NGOs in the field of employment and social policy) but the latter
was never implemented It should be noted though that below the level of PAs
individual actions sometimes do focus again at specific sectors This is further
discussed in the following section
Other MSs have developed interventions that aim to reinforce institutional capacity
under PAs that are dealing with other themes such as access to employment or
reform of the educational system which are covered by the other thematic
evaluations This becomes apparent when looking at Categories of Expenditure (CoE)
where expenditure category 81 Mechanisms for improving good policy and
programme design monitoring and evaluation at national regional and local level
capacity building in the delivery of policies and programmes shows the planned or
actual Union contribution to SIC interventions independent of PAs Furthermore it
should be noted that some capacity building interventions take place under other CoE
Important examples are the modernisation and strengthening of labour market
institutions (or expenditure category 65) the design introduction and implementation
of reforms in education and training systems (or category 72) as well as promoting
partnerships (category 80) SIC is sometimes supported as a crosscutting theme
across all Priority Axes without specific references in programming or reporting
Table 8 below shows that 14 MSs programmed SIC in OPs or PAs Two more countries
(Cyprus and Spain) did not programme SIC but did foresee expenditure on this theme
under category 81
Dedicated OP(s)
Dedicated PA(s)AT
BG
HU
IT
NL
FR
EL
ROLT
UK
CZ EE
SI
SK
LV
MT PL
BE CY
DEDK
ES
FI
IRLUPT
SE
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
30
Table 8 Countries covered in programming and expenditure based analyses
Country SIC in
programming (OPPA)
With an OP dedicated to
SIC
With expenditure in Cat 81
Yes No
Austria X
Belgium X
Bulgaria X X X
Cyprus X
Czech R X X
Germany X
Denmark X
Estonia X X
Spain X
Finland X
France X
Greece X X X
Hungary X X X
Ireland X
Italy X X
Lithuania X X
Luxembourg X
Latvia X X
Malta X X
Netherlands X
Poland X X
Portugal X
Romania X X X
Sweden X
Slovenia X X
Slovakia X X
UK X X
TOTAL 14 4 16 11
Source Own elaborations on the basis of SFC data and information from Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
31
Table 9 Overview of SIC dedicated OPs and PAs by MS
MS OP TITLE SIC PA DESCRIPTION
BG OP Human Resources Development PA 6 Improving the effectiveness of labour market institutions and of social and healthcare services
BG OP Administrative Capacity PA 12
and 3
Good governance Human resources management Quality administrative service delivery and e-
Governance development
CZ OP Human Resources Development PA 4 Public administration and public services
EE OP for Human Resource Development PA 5 Enhancing administrative capacity
EL OP Administrative Reform PA1 - 9
Improving national public policies modernisation of the public administration Development of
the human capital in the public administration strengthening policies aiming at ensuring equal
opportunities for all in the whole range of the public administration
HU State Reform OP PA 1 2
and 3
Renewal of processes and organisation development Improving the quality of human resources
Developments to be attained in the Central Hungarian Region
IT Regional OP Campania PA 7 Institutional capacity
IT Regional OP Calabria PA 7 Institutional capacity
IT Regional OP Sicily PA 7 Institutional capacity
IT Regional OP Basilicata PA 7 Institutional capacity
IT Regional OP Apulia PA 7 Institutional capacity
IT OP Governance and System Actions (Ministry of
Labour) PA E5 Institutional capacity
IT OP Competences for Development (Ministry of
Education) PA 2 Institutional capacity
LT OP for the Development of Human Resources PA 4 Fostering Administrative Competences and Increasing Efficiency of Public Administrationrdquo
LV OP Human Resources and Employment PA 5 Administrative Capacity Building
MT OP II - Empowering people for more jobs and a
better quality of life PA 4 Strengthening of institutional and administrative capacity
PL OP Human Capital PA 5 Good governance
RO OP Administrative Capacity Development PA 1 2 Improving structure and processes of public policies cycle management Improving quality and
efficiency of public services with a focus on decentralisation
SI OP Development of human resources for the
period 2007-2013 PA 5 Institutional and administrative capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
32
MS OP TITLE SIC PA DESCRIPTION
SK OP Employment and Social Inclusion PA 4 Capacity building and enhancement of the quality of public administration
UK OP West Wales and the Valleys PA 4 Modernising and improving the quality of public services
Annex I contains a complete overview of OPs PAs and actions dedicated to SIC
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
33
33 The impact of the economic crisis on ESF SIC priorities actions and funding (EU-27)
There is a number of reasons why the economic crisis can be expected to have an
impact on the allocation of ESF funds to SIC interventions The main reason is that
high unemployment rates will exert high pressure on political decision makers to
provide measures that directly address the problems resulting from this and can be
expected to yield results in the short term Capacity building interventions can be
expected to contribute to better functioning social protection and labour market
reintegration systems thereby improving social inclusion and employment rates
However they do so indirectly and effects take time to materialise With this in mind
it could be expected that MSs would redirect resources from SIC to other objectives in
response to the crisis
This was not the case for Bulgaria where reallocations were limited and unrelated to
the crisis They were caused by delays in numerous tender procedures resulting from
the insufficient capacity of beneficiaries As such implementation delays may signal
the emergence of the so-called ldquocapacity traprdquo effect where beneficiaries are unable
to use funds for improvement of administrative capacity due to the low initial capacity
Similarly in the United Kingdom funds were switched to other priorities because of
insufficient take-up The transfer of funds was unrelated to the crisis This has also
been the case in several other countries
In other countries some of the resources were reallocated Greece diverted SIC
resources towards employment (OP Human Resources Development) Two Italian
regions reduced their SIC budgets This was the case for the OPs for Sicily and
Campania No reductions were found for the other regions or the two OPs at the
national level The most likely destinations of these funds are the Access to
Employment and Human Capital themes Furthermore in response to the crisis Latvia
diverted resources from SIC to other objectives mainly to promote employability In
Slovakia in 2012 substantial reallocations took place taking away resources from SIC
to spend on other priorities It is not clear if this diversion was caused by the crisis
but according to the reallocation to PA 1 focused on employment it can be assumed
that the crisis was at least one of the reasons
Planned allocations for SIC were not implemented at all in Spain In the Autonomous
Community Castilla-La Mancha there were no certified expenditures on SIC due to a
restructuring of funds to face the economic and financial crisis in order to alleviate
problems related to unemployment reinforcing active employment policies and
supporting the most disadvantaged groups or territories This was a rsquoremedialrsquo action
carried out by several Spanish Autonomous Communities in order to finally dedicate
1687 of the ESF expenditure planned for the 2007-2013 financing period in order to
reduce the national unemployment rate (262 in 2013 compared to 83 in 2007)
which was one of the highest unemployment rates in the European Union
A reallocation of resources was not the only impact that the crisis had on SIC
interventions It also made the implementation of SIC interventions more difficult As
a result of the economic crisis and the Memorandum of Understanding Greece had to
implement downsizing and cuts in the wages and social security benefits of civil
servants Amidst this climate civil servants were bound to become demoralised and
the introduction of reforms was bound to face additional difficulties Italy saw a
general slowdown of its physical and financial implementation especially in ROPs
(other priorities emerged) It increased the role of the national OP from the Ministry of
Labour as it supported cross-territorial interventions The crisis also induced a growing
emphasis on the importance of having effective and efficient Public Administrations
that are more able to cope with crisis effects This applied especially to policy fields
like employment social inclusion education and local development The
aforementioned effect also occurred in Latvia the additional pressure was felt
especially by those implementing activities on the ground who had to use the
available resources as efficiently as possible This side effect of economic crisis
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
34
manifested itself in a positive way by encouraging political activities and decision
making capacity
Finally the crisis had a negative impact on the results of SIC interventions According
to the evaluation of the effectiveness and the impact of PA 5 lsquoRaising Estonian
administrative capacityrsquo the financial crisis was one of the main external factors that
had a negative impact on the achievement of the results of the PA 5 The
consequences of the crisis were not anticipated during the planning of the objectives
and activities of the programming period One outcome was that the budget cuts
diminished the share of top managers that were participating in the development
activities In addition the reduction of staff levels as a result of the economic
recession increased their workload and thereby reduced their possibilities to engage
in development activities However various activities might not have been carried out
at all if it had not been for the PA mainly due to the severe effects of the financial
crisis on public sector expenditure in general
In Lithuania the number of civil servants and public institutions were reduced in
response to the economic crisis As a consequence the effectiveness of investments in
the quality of public services and improvement of organisational capacities suffered a
number civil servants of beneficiaries lost their jobs and a number of beneficiary
organisations were simply abolished On the other hand the economic crisis also
increased the relevance of ESF support in the area of SIC to some extent The
evidence shows that as a result of the economic crisis the national funds focused on
training civil servants were replaced by ESF funds Thus because of the cuts in
national funds in the area of ISC ESF funds became more important in Lithuania
According to the capacity building OP evaluation in Romania the economic and
financial crisis influenced the public administration sector which also affected the
implementation of this OP The reduction of tax revenues resulting from the
decreased income from private businesses and taxpayers along with the reduction of
state budget allocations towards public administrations units (main OP beneficiaries)
lead to the impossibility of insuring appropriate co-financing for running projects and
consequently affected the achievement of projectsrsquo programme indicators At the
same time the restructuring measures taken to counter the economic crisis effects
implied reduction of PA unitsrsquo personnel which affected the target groups involved in
the projects and the underachievement of programme indicators
34 The ESF expenditure in the area of SIC
341 Overall funding levels
In total EU-28 MSs allocated euro2418710066 to OPs or PAs that were dedicated to
SIC objectives equating to 21 of total ESF funding (see Table 10 below) This
includes funding from national (public and private) sources as well as the amount of
co-funding foreseen from the EU Most funding is allocated to national Operational
Programmes with only IT and UK having regional OPs In Italy however the majority
of the SIC funding goes to the National OP Governance (20 of total ESF SIC
investment) This sum includes Croatia whose interventions do not fall under the
scope of the present study due to the late start of ESF activities upon accession to EU
The highest absolute amounts allocated to SIC are found in Greece and Poland
followed by Italy and Romania Expenditure on SIC does not always correlate with
overall ESF expenditure In other words MSs consciously choose to prioritise SIC or
not In fact percentages of SIC allocation to overall ESF investment vary considerably
across countries with BG and LT allocating 15 of their ESF budget to SIC followed
by Malta and Slovenia (131 and 128 respectively) Greece invests 81 while
the other countries with high absolute amounts of SIC investments such as PL and IT
allocate a relatively small percentage of their ESF resources to SIC (39 and 18
respectively)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
35
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of
funds allocated to SIC-related Priority Axes over total ESF budget)
Source SFC2007 latest version OPs
Table 10 ESF SIC investment and over total ESF (total funding)
allocation to SIC-dedicated PAs (euro)
over total ESF
BG 209654707 151
CZ 186595775 43
EE 24465675 53
EL 418273566 81
HU 166276830 39
IT 252539187 18
LT 181629418 150
LV 24271094 35
MT 17199118 131
PL 455967699 39
RO 234920609 54
SI 114178243 128
SK 67615059 39
UK 55726379 06
Total SIC EU27 2409313359
HR 9396707 50
Total SIC EU28 2418710066
TOTAL ESF 115596750390 21
Source SFC2007 Operational Programmes as of 31-12-2014
HR interventions are excluded from this evaluation due to the late start of ESF activities upon accession to EU
0
2
4
6
8
10
12
14
16
BG LT MT SI EL RO EE CZ HU PL SK LV EU27 IT UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
36
The total amount of certified eligible expenditure paid by beneficiaries by the end 2014
(or actual expenditure) was euro1669 million The difference between planned and actual
expenditure is discussed in section 411
342 Programmed expenditure on Category of Expenditure 81
In this section we provide an overview of the allocation of Category of Expenditure
81 relating to Mechanisms for improving good policy and programme design
monitoring and evaluation at national regional and local level capacity building in the
delivery of policies and programmes and it involves comparing it with the funding on
SIC-dedicated PAs
The budget foreseen by the EU for Category of Expenditure 81 relating to
Mechanisms for improving good policy and programme design monitoring and
evaluation at national regional and local level capacity building in the delivery of
policies and programmes amounted to euro14 billion ie 19 of the total budget
provided by community funding was allocated to SIC
With regard to the spending foreseen on SIC according to CoE 81 three distinct
groups of countries emerge
Countries with relatively high or fairly high programmed expenditure on SIC
are Bulgaria Estonia Hungary Lithuania Latvia Malta and Romania with
12 5 4 7 4 8 and 5 of their co-funding respectively
Countries with medium scores on SIC Cyprus Czech Republic Poland (3-
4) Italy and Slovenia (2-25) Greece and Slovakia (1-15)
The third group of countries has allocated very small parts of their budget
typically zero or at least less than 1 for SIC Austria Belgium Germany
Denmark Spain Finland France Ireland Luxembourg The Netherlands
Portugal Sweden and the United Kingdom
Figure 3 Budget allocated to expenditure category 81 per MS
Source SFC 2007-2013 latest version OPs community amounts
It is worth noting that capacity building under the ESF is not limited to expenditures
under category 81 only presented above Nor is it limited to SIC-dedicated OPsPAs
-
50 000 000
100 000 000
150 000 000
200 000 000
250 000 000
300 000 000
350 000 000
400 000 000
450 000 000
AT BE BG CY CZ DE DK EE ES FI FR GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
37
In total some euro12 billion out of the euro77 billion8 budgeted for co-funding from ESF
were reserved for the three main other expenditure categories that are likely to
include capacity building actions or activities Modernisation of labour market
institutions (CoE 65) Reforming education and training systems (CoE 72) and
Partnerships Networks and initiatives (CoE 80) Altogether these four categories
constitute 157 of the total community funding budgeted for the 2007-2013
programming period These figures are provided just for completeness of information
as SIC spending (and investment) for the purposes of this report only relates to SIC-
dedicated PAs (ie those PAs which focused exclusively or for a large part on SIC as
per Article 32b of the ESF Regulation
The first group that was identified in the previous section which is comprised of
countries that earmark high shares of their ESF budget to SIC can be expected to
dedicate one or more OPsPAs or actions to SIC This is indeed the case as can be
seen from the table below
Nonetheless one third of the countries that place a medium emphasis on SIC -three
out of nine ndash also included SIC in their programming Czech Republic Italy and
Poland
Even amongst the group with relatively small budgets for SIC one country is found
with dedicated OPs or PAs to SIC the United Kingdom Of course a small share may
still total several millions of euros The United Kingdom earmarked only 1 of its
budget for SIC but this still amounts to euro25 million
Countries devoting neither financial nor material attention to SIC are Austria Belgium
Germany Denmark Finland Ireland Luxembourg the Netherlands and Sweden
The programming of SIC in ESF is discussed in more detail in the following section
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
AT 00 -
BE 00 -
BG 122 143988501 2 4 17
CY 39 4615273
CZ 35 127571573 1 1 1
DE 00 -
DK 00 -
EE 51 20126546 1 1 4
ES 01 6564559
FI 00 -
FR 00 2599325
EL 11 47010448 1 9 9
HU 41 147490451 1 3 6
IR 00 -
8 Source SFC 2007-2013 section on programming ndash operational programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
38
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
IT 25 171426165 7 7 16
LT 68 69552049 1 1 3
LU 00 -
LV 42 24275976 1 1 3
MT 78 8752517 1 1 4
NL 00 -
PL 38 381835672 1 1 5
PT 01 9888970
RO 54 199682518 1 2 5
SE 00 -
SI 21 15861756 1 1 2
SK 13 19308570 1 1 2
UK 05 24585962 1 1 1
EU27 19 1425136831 21 34 78
Envisaged community funding programmed for category 81 SFC 2007-2013 latest version OPs
Dedicated OPs in this table also includes OPs with one or more SIC dedicated PAs
PA 4 of the OP for Guiana covered both Promoting partnerships and SIC and is discussed
under the thematic review of the former
As explained in section 341 the money allocated for OPs and PAs which has been
specifically dedicated to SIC amounts to euro2409 million However this amount
includes national funding which therefore cannot be compared to the allocated
community funding for category 81 expenditure
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
39
4 The effectiveness efficiency sustainability gender sensitivity community added value and the socio-economic
impact of ESF SIC investment in the 27 member States
Key findings
The total amount of certified eligible expenditure by the end 2014 was euro167
million This constitutes 69 of SIC allocated funding at EU level versus 793
for total ESF Implementation rates differ considerably among countries and PAs
In total almost 14 million participations were registered in SIC-related
interventions covering mostly staff from public institutions social partners and
NGOs receiving training This results in a set of characteristics which is very
different from other ESF priorities
In terms of outputs during the 2007-2013 programming period 17000 training
programmes and 4000 studies were undertaken campaigns public consultations
reviews (laws procedures) reports etc were implemented Some 95000
organisationsinstitutions were involved in SIC-related interventions at least
1500 projects or activities launched some 250 guides and guidelines produced
and 150 new structures established
The results achieved through ESF SIC funding during the 2007-2013 period are
varied Approximately 512000 individuals gained a qualification 87000 reported
other positive results some 2000 entities or organisations were established and
more than 1700 productssystemstools were developed
Activities aimed at strengthening of the judiciary resulted in a reduction of the
duration of judicial procedures in a number of countries Strategic planning and
management was improved by increasing the number or the share of public
administration offices that implemented management systems and quality
assurance processes Increasing the number of services available to citizens
online businesses and training of public administration staff to use them correctly
were a means to achieve MS ambitions in the field of e-government Improving
the environment for businesses was achieved by shortening the time needed for
setting up or registering a business and decreasing administrative costs Other
achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by a number of MS
The sustainability of SIC interventions is particularly dependent on the context in
which they are implemented and which they aim to support
Gender equality is seldom targeted directly by SIC interventions through positive
actions However in some countries SIC interventions were designed in such a
way that in their implementation at least women and womenrsquos interests are
taken into account or possibly furthered SIC interventions typically have more
female than male participants
The main Community added value of ESF SIC investment is a volume effect
ESF has also added value by broadening the scope of the interventions
undertaken in MS or by putting administrative capacity on the agenda SIC
funding played a relevant role in supporting the introduction and testing of
innovative tools or systems such as the introduction of e-government
The data presented in this chapter were gathered from the EC Structural Funds
database (SFC) They reflect the situation as available in December 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
40
41 The effectiveness of ESF SIC interventions
The effectiveness of the selected interventions was assessed through
Analysis of financial implementation comparing the actual spending reported
with the allocated funds However as many projects in the interventions are
still ongoing the current analysis at the end of 2014 is only indicative of the
final financial implementation of the interventions
Analysis of the different participant groups addressed in the selected
interventions
Analysis of the intervention outputs and results comparing the targets for
outputs and results with those achieved However this analysis needs to be
treated with caution as it was not possible to systematically assess whether
the initial targets were set in a comparable and appropriate way across the OPs
(eg were the set targets challenging comfortable or realistic) In OPs the
targets have also been adjusted over time further complicating these like-for-
like comparisons
Additional evidence and information derived from national evaluations and
other relevant documents
It was not possible to conduct a systematic comparison with the results of similar non-
ESF sponsored interventions in the national regional contexts due to the lack of
sufficiently similar non-ESF sponsored interventions
411 Progress in the financial implementation of ESF SIC
At EU level euro1670 million or 693 of SIC allocated funding was spent as at
311220149 On average less SIC funds have been spent in relation to the overall ESF
funding with an implementation rate of 793 (See Table 12 below)
Table 12 SIC and overall ESF implementation rate () by MS (31 December
2014)
MS certified expenditure (euro) total allocation (euro)
SIC impl rate ()
total
ESF impl rate ()
BG 137491170 209654707 656 758
CZ 94381124 186595775 506 734
EE 21210585 24465675 867 835
EL 381930601 418273566 913 792
HU 122203794 166276830 735 703
IT 131069031 252539187 519 769
9 Figure does not include Croatia
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
41
MS certified expenditure (euro) total allocation (euro)
SIC impl
rate ()
total ESF impl rate ()
LT 143977869 181629418 793 827
LV 20683459 24271094 852 973
MT 7687444 17199118 447 674
PL 315293255 455967699 691 844
RO 159318804 234920609 678 441
SI 89112721 114178243 780 838
SK 31545122 67615059 467 649
UK 13331326 55726379 239 770
Total 1669537980 2409313359 693 793
Source SFC 2007 The implementation rate corresponds to the percentage of certified expenditure over the total funding of the PA
HR not included
Table 13 below shows considerable differences among PAs Extremely low rates can
be observed for most of the Italian and the UK OPs dedicated to SIC They all spent
less than one-third of their budget for the period by the end of 2014
For Italy low implementation rates were recorded in all (convergence) regional OPs
and in the National OP Competencies for Development which was due in the latter
case to the slow start of activities10 A number of explanations can be offered for the
low implementation rates of regional Italian OPs a) involving public administrations in
reform processes traditionally requires a large amount of time (in Italy) b)
implementation was slow for the regional OPs in general (not only for the SIC PAs) c)
other important public administration reform processes involved MAs and this shifted
its attention from SIC theme implementation d) the theme funding was generally not
so relevant (for regional OPs but also in the case of the Ministry of Education for
national OP for example) e) generally small sized interventions (also for
administrative reasons) have been implemented and the spending speed was
therefore slow f) (probably) an overestimation of funding needs occurred in OPs
Within that context overall allocation to SIC PAs in Italy (EU and national funding)
decreased significantly from the beginning of the programming period due to the
reallocation of resources
10 In fact implementation accelerated significantly in 2015 national data (29022016) account for a commitment rate above 100 and payments around 60
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
42
Most of the Greek PAs on the other hand had extremely high implementation rates
spending more than 90 of the money budgeted The extremely high implementation
rate of PA 3 in the Greek OP Administrative Reform is due to the fact that this PA
underwent several revisions and eventually financed a major intervention lsquoFemale
entrepreneurship 24-64rsquo (implemented by OAED-Ministry of Labour) Concurrently co-
financing rates were also revised
Other high implementation rates (over 80) can be noted for the Bulgarian
administrative reform OP as well as for the Estonian OP the Latvian OP the Italian
Basilicata region and the Italian national governance OP (the most relevant OP in
terms of SIC investment in Italy) the Lithuanian OP the Czech Republic OP the
Slovenian OP the Hungarian reform OP and one of Romanias PAs
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
43
Table 13 Share of the budget spent per SIC relevant PA
MS OP - PA
Total
funding
(euro)
Impl rate
()
IT OP Competencies for Development ndash PA2 29740000 1488
UK OP West Wales and the Valleys- A4 55726379 2392
IT OP ESF Calabria ndash PA7 23803512 3109
IT OP ESF Sicily ndash PA7 14350000 3135
IT OP ESF Campania ndash PA7 40000000 3374
IT OP Apulia ESF ndash PA7 31340400 3474
MT Empowering people for more jobs and better quality PA4 17199118 4470
BG OP Human Resources Development ndash PA6 42559453 4569
SK OP Employment and Social Inclusion ndash PA4 67615059 4670
CZ OP Human Resources Development ndash PA44a 178020742 4923
RO OP Administrative Capacity Development 97883587 6282
BG OP Administrative Capacity ndash PA2 62440507 6290
HU State Reform OP ndash PA1 84742365 6750
BG OP Administrative Capacity ndash PA3 65819495 6774
PL OP Human Capital ndash PA5 455967699 6915
EL Administrative Reform ndash PA4 40905059 7046
RO OP Administrative Capacity Development ndash PA1 137037022 7139
HU State Reform OP ndash PA2 33738453 7580
SI OP Development of human resources ndash PA5 114178243 7810
CZ OP Human Resources Development ndash PA44b 8575033 7862
LT OP for the Development of Human Resources - PA4 181629418 7930
IT Governance and System Actions ndash PA5 103634307 7935
HU State Reform OP ndash PA3 47796012 8260
IT ESF Basilicata ndash PA7 9670968 8407
EL Administrative Reform ndash PA6 4047043 8465
LV Human Resources and Employment 24271094 8520
EE OP Human Resource Development ndashPA5 24465675 8670
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
44
MS OP - PA
Total
funding
(euro)
Impl rate
()
EL Administrative Reform ndash PA1 132496530 8758
BG Administrative Capacity ndash PA1 38835252 8803
EL Administrative Reform ndash PA5 50938324 8815
EL Administrative Reform ndash PA7 48235348 9022
EL Administrative Reform ndash PA8 41147810 9262
EL Administrative Reform ndash PA9 11062398 9707
EL Administrative Reform ndash PA2 87045034 10203
EL Administrative Reform ndash PA3 2396020 31574
Source SFC 2007-2013 Country Synthesis Reports
412 Types of output and result indicators selected by the OPs
A variety of outputs have been generated by SIC interventions Countries have
developed several types of indicators to monitor them
Important outputs relate to the participation of individuals in ESF activities This
category is made up of the traditional indicators to monitor progress with regard to
participants in events which are usually training events Human resources however
also include interventions other than training for which indicators can also be found
Examples of these indicators refer to number of persons participating in training or
persons achieving a qualification at the end of the intervention
Other outputs relate to the institutions that benefitted or those that were the object of
certain activities As SIC events also address structures and processes a whole series
of indicators have been used that in essence measure the number of supported
organisations This includes the number of supported organisations (eg supported
NGOs) also more specific output indicators have often been formulated to take the
object or content of the intervention into account Example of these are as follows
number of judiciary that have introduced court case management systems
administrations that have introduced systems for in-house electronic exchange
of documents
number of local governments whose employees have completed training
civil society structures that have trained their staff
functional reviews carried out for improving organisation and HR management
A further series of indicators measure the production of tools andor deliverables such
as the number of guides and other methodological documents prepared information
campaigns carried out and e-government services developedintroduced
The results are less easy to cluster and the indicators used raise some questions A
discussion of these issues has been used as a framework to show the types of results
that MSs aim for and achieve with SIC interventions that have been co-financed by
ESF
The first thing that stands out when examining the results indicators used for SIC
interventions is that a number of them are quite similar to the output indicators
discussed above This does not necessarily mean that these are not the correct
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
45
indicators for the results of the intervention This entirely depends on the type of
intervention and the intervention logic behind it Results indicators build upon the
indicators defined for outputs If these are defined as lsquothe number of trainingsrsquo for
example the results can be measured as the lsquonumber of successfully trained staffrsquo
However if the outputs were measured by lsquothe number of trained staffrsquo the result
should assess the next step in the objectives tree (eg the number of trained staff
that have obtained a qualification or have mastered specific skills) If new
organisations have been set up and this was used as a measure of outputs this could
be accompanied by an indicator for results that measures the use of such a structure
for example the number of visitors or number of services provided Occasionally it can
also be a point of discussion on where to draw the line between output and result
level
Result indicators that could also be found as output indicators are listed below
number of participants gaining a qualificationcertification
share of persons successfully completing a training programme
number of successful course graduates
newly created structures
public administration units supported in improving management standards
number of NGOs per year who have received advice
proportion of civil servants with individualised performance ratings
A second observation concerns the quality of the indicators The results indicators in
some cases appear to be less specific than the output indicators It may be the case
though that the SFC database only mentions the measure used (eg lsquopersonnel
turnoverrsquo or lsquothe average administrative costs associated with starting a business
activityrsquo) while the details (decrease how much by when) are specified elsewhere
The number of countries not specifying targets for results is also somewhat higher
than for outputs Six MSs did not set targets for part of the results of SIC
interventions whereas this only occurs in four countries for outputs
Indicators that are good examples of being specific measurable and relevant are
Administrations that have undertaken the optimisation of procedures as a
result of a functional review
Ratio of persons becoming civil servants within the central administration
system in the current year in relation to those previously employed The hiring
of these new staff members must be the result of an open call for applications
The second example also includes the time element required for SMART indicators
Several indicators refer to the introduction of systems or tools resulting from the
intervention It is clear that certain activities and outputs are required for these results
to be achieved such as training awareness raising promotion or even new legislative
requirements These are examples of indicators that clearly measure results rather
than outputs
legislative drafts accompanied by an impact assessment
administrations using the Single HRM Information System
bodies of the judiciary that have introduced a HRM system
normative acts adopted after consultation with stakeholders
the percentage of local governments that have implemented management
systems involving customer satisfaction measurement
administrations that observe the time standard for service provision
public sectors that have elaborated specific public private partnership rules
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
46
administrations that have introduced rules of procedure for the monitoring of
policy implementation
number of laws amended as a result of the programme
The more lsquostrategic naturersquo called for in the ESF Regulation is visible in a limited
number of results indicators Examples include
shortening the length of judicial proceedings
reducing the time for servicing clients
increasing the share of persons from target groups receiving services
providing compliance with the Maastricht criteria
Requirements for indicators and targets in the framework of ESF assistance
In its preamble (26) to the General Regulation ((EC) No 10832006) the Council states that ldquoit
is appropriate to set measurable targetsrdquo and that it is necessary to identify appropriate ways to measure and report the attainment of those targets Article 93 specifies the share of the budget to be devoted to activities that further the Unionrsquos objectives regarding competitiveness and job creation including the objectives of the Integrated Guidelines for Growth and Jobs (2005 to 2008) The targets set by MSs should reflect this Article 36c stipulates that targets
shall be quantified ldquousing a limited number of indicators for output and results taking into account the proportionality principlerdquo The ESF Regulation ((EC) No 10812006) specifies for programmes co-financed by ESF that the indicators shall be rdquostrategic in nature and limited in numberrdquo They must also rdquoreflect those used in the implementation of the European Employment Strategy and in the context of the relevant Community objectives in the fields of social inclusion and education and trainingrdquo
413 Overall achievements
In this section we provide an overview of the main achievements in terms of the
values of output and results indicators
In terms of outputs recorded during the 2007-2013 programming period 17000
training programmes were developed and 4000 studies undertaken campaigns
public consultations reviews (laws procedures) and reports have been implemented
Some 95000 organisationsinstitutions were involved under SIC-related interventions
The organisations that the ESF supported besides the obvious beneficiaries include
bodies of the judiciary government offices at county level boards of public benefit
activities at regional level and municipalities At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures including client
centres or regional offices
Most of the individuals that participated in a SIC-funded projectinitiative received
support in the form of training Examples of other achievements for individual persons
include lsquoattracting new specialistsrsquo and lsquoemployers assisting or financially supporting
These achievements were monitored through output indicators These figures probably
underestimate the number of outputs as countries have not necessarily included both
the number of organisations involved in training and the number of staff trained as
output indicators Sometimes the development of training plans was a distinct activity
however for many training programmes plans may exist without being monitored
through output indicators
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
47
The results achieved through ESF during the 2007-2013 programming period are
varied too
In order to illustrate them we first present the aggregate of realised values of result
indicators for SIC based on a limited set of key ESF results common to all ESF
priorities as reported in the EU Synthesis Report of the present service 11
as such
these values can be aggregated and compared with those of other ESF priorities
During the 2007-2013 programming period under the SIC priority approximately
512000 individuals gained a qualification and 87100 reported other positive results
Some 2000 entities or organisations were established or they recorded other positive
results and more than 1700 productssystemstools were developed It should be
mentioned however that due to data limitations it was not possible to aggregate all
results as reported in the AIR of ESF programmes and as a consequence this leads to
systematic under-reporting of the results of ESF12
In addition we provide a more detailed overview of the main types of results
customised to SIC interventions while section 414 provides a more in-depth analysis
of some of these indicators per typology of intervention
However it should be highlighted that several limitations mainly in the quality and
availability of monitoring data and heterogeneity of national evaluations coupled with
a broad range of intervention logics hamper the formulation of a concise and clear cut
assessment of achievements causality and extent to which results have been
achieved at EU level Furthermore as it will be mentioned below in more detail
typically information from national evaluations is of a more qualitative nature with
fewer evidence-based findings and is thus not conducive to drawing hard conclusions
ESF-supported interventions helped in reducing the administrative burden for citizens
and businesses The processing time was shortened for documents servicing clients
obtaining the necessary paperwork for starting a business and judicial procedures
(BG CZ PL) administrative costs were also reduced (EL RO PL)
Services were made more accessible through the introduction of on-line service
delivery at various administrative levels (BG CZ PL)
SIC interventions also contributed to the production of better quality policies and
legislation through the introduction of monitoring and evaluation procedures in
administrative bodies (BG RO) the increase in impact studies conducted before
introducing new legislation (BG CZ) the development of quality management in
public institutions (LV) and laws that were amended to better serve the community
(HU)
Management systems and practices were changed to incorporate modern human
resource management and planning techniques (EE PL LV) performance ratings used
for staff assessment (HU) and new staff that were attracted to join government
11 these are People in employment directly or sometime after the intervention People receiving a qualificationcertificate People reporting positive results other than employment or qualification such as for example improving skills competences or successfully completing the
ESF supported intervention (or reporting a combination of employment qualification and other positive result aggregating combined indicators) People in self-employment Entities being established or obtaining other positive results and Productssystemstools developed
12 For a more detailed analysis of data limitations in calculating ESF results see the EU Synthesis Report Chapter 41
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
48
institutions (HU) Cooperation with other actors was furthered through the preparation
of rules for public-private partnerships in public administrations (BG) and the inclusion
of NGOs in activities (LV) SIC interventions of course also led to many reforms in
public institutions (RO)
The support to institutional capacity also contributed to achievements in specific policy
areas equal opportunities through the increased number of public bodies of the
central government that promote the integration of gender policy (EL) environmental
policies through the development of territory plans in municipalities (LT) and
environmental management systems in companies (UK) and the social dialogue
through the increased number of employees that are covered by collective agreements
(LV)
The above overview of achievements is based on the indicators that MSs formulated to
measure results From the information provided in chapter 3 it is obvious that this
captures only some of the achievements
414 Achievements in specific fields of activity
In this section we provide a more in-depth analysis of achievements obtained through
the implementation of SIC-related interventions in some specific sectors according to
a classification of indicators per field of activity By looking at these different fields of
activity some interesting findings at country level emerge
Capacity building related to judiciary reforms
Relevant output indicators have been identified in this field in three countries (BG PL
and EL) Five of output indicators (BG and PL) relate to the training of individuals
such as magistrates or employees of judiciary offices and one to the number of
training modules developed (BG) In Greece the selected indicator refers to the
number of implemented upgrading actions of courtsrsquo administrative capacity One
more indicator in Bulgaria refers to the number of judicial bodies that have introduced
court case management systems
Of the twelve result indicators selected by four MSs (BG CZ PL and SI) seven
measure the decrease in the duration of proceedings of judicial cases (CZ PL and SI)
In Slovenia the average duration time for judicial procedures (in months) was reduced
from 95 to 39 thus surpassing the target (6) In the Czech Republic the length of
judicial proceedings was down to 497 (days) by the end of 2014 from an initial
baseline of 1057 (versus a target of 846) The remaining indicators refer to the
increased effectiveness of judiciary bodies and offices in terms of management and
quality assurance HR and provision of services
Results for BG and PL were less positive In Poland although the share of cases
handled by the courts for longer than 12 months decreased to 14 (target 1330
baseline 167) the indicators related to the average duration of proceedings in
commercial cases did not show a progress towards the set target In Bulgaria the
intervention on the web platform for e-justice failed due to lack of interest
Processes related to strategic planning and management
Eight output indicators have been selected by four MSs in the field of Strategic
planning and management (EL LT LV and PL) They refer to the number or the share
of public administration offices that implemented management systems and quality
assurance processes including the training of employees on these subjects
Eight result indicators for this field have been selected by five MS (EE LV LT PL and
RO) which measure the number of units or offices that have changed their
management system or introduced quality standards or management systems
E-government
Six output indicators have been selected in the field of e-government One indicator in
Slovenia refers to the number of online administration services available It is
interesting to note that in the case of Slovenia the target was overachieved by 249
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
49
(805 services online versus 323 targeted starting from an initial baseline of 308) In
Bulgaria the indicator refers to the number of administration units having introduced
systems for the in-house electronic exchange of documents (in total 108 although no
initial target was set) In Poland the selected indicator refers to the number of
employees who received training for the provision of online services (this indicator
shows a relevant underachievement as only 23 of the foreseen 800 workers received
the training)
By the end of 2014 in Slovenia the availability of e-government services has
increased from an initial baseline of 87 to 95 (initial target over achieved) usage
of ICT services by medical personnel has increased to 65 from an initial baseline of
60 while use by patients has risen to 25 from an initial 22 Usage of e-services
by the unemployed has increased from an initial baseline of 7 to 27
(implementation rate of 163) In Bulgaria 436 services have been made available
online (1000 were foreseen) In the Czech Republic achieved results relate to the
increased use of e-government public administration
Promoting a business-friendly administration
Five MSs selected result indicators relating to the promotion of a business-friendly
administration these mostly relate to shortening the time needed for setting up or
registering a business or in the rebate of administrative costs for business
In Slovenia the number of days required for setting up a corporate entity decreased
from 61 to 29 days (versus a target value of 7) In Poland the OP selected a
relatively high number of indicators to measure the goal of having a more conducive
administrative environment for companies the decrease in the number of days for
registration of an economic activity (for companies and individuals) and of the
administrative costs for setting up a business In all instances the indicators show that
initial targets have been achieved or over-achieved Lithuania also focuses on the
reduction of the time required to set up a business over the 2007-2014 period this
has decreased from 26 to 3 days
In Poland significant results in the area of administrative capacity connected with
diminishing burdens on economic activity have been found Diminishing burdens on
starting-up businesses are connected with a friendlier law and organisational setup ndash
simplifications were made of 92 legal acts which were most relevant in terms of
conducting economic activity (target 40) The average number of days required for the
registration of economic activity (starting up business) dropped to 005 (target 1
baseline 7) for individuals and 348h (target 24h baseline 168h) for companies The
empowerment of citizens was achieved through the results connected with access to
free legal consultations Other successful programmes include the implementation of
the lsquoone-stop-shoprsquo system for start-ups the simplification of administrative
procedures related to start up business increasing the quality of services rendered by
tax administration and equipping judiciary staff with necessary competences relevant
to dealing with economic cases (PA 512)
415 Effectiveness
Effectiveness can be measured by comparing achievements with initially set targets
As targets for outputs and results are defined in different ways a composite indicator
has been constructed which counts the number of targets that have been met and the
number of those that have not been reached for each ESF theme
Outputs
The table below shows the share of output targets achieved and not achieved for SIC
interventions and for ESF interventions as a whole It should be noted that no targets
were set for a number of outputs in Bulgaria the Czech Republic Greece Italy Latvia
and the United Kingdom The share of outputs without targets for these countries
amounted to 5 65 2 65 30 and 24 respectively
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Thematic EU synthesis report Strengthening Institutional Capacity
50
It is to be recalled that targets were set for the end of the programming period with
the 2007-2013 expenditure being eligible until 31122015 Therefore tables and
figures below underestimate the attainment of targets as data on results refer to
2014 only
For the ESF as a whole only slightly more than half of the output targets were set
Where targets were set for outputs a majority of them were achieved (63) Targets
were more often set in countries that had allocated resources to SIC-related
interventions In those countries targets were set for 61 of the outputs defined
These targets were achieved to roughly the same degree as the other types of
interventions (see table below) For the SIC interventions themselves a relatively
large number of targets was set However only half of these targets were met which
is considerably less than for ESF interventions as a whole and this has not been
explained by the MS Obviously the fact that targets were set for a larger share of the
PAs did increase the chances of failing to meet targets this is because targets were
also set when this was more complicated to achieve (See Table 14)
Table 14 Target setting and achievement for outputs SIC and ESF
Targets set Targets achieved if set
ESF as a whole 54 63
MS with SIC related interventions 61 61
SIC related interventions 78 52
Source SFC 2007-2013Draft Country Synthesis Reports
Achieved or over-performed
In eight of the 14 countries SIC interventions performed better than interventions in
general These countries show the same or higher achievement rates for SIC
interventions than for all ESF interventions the Czech Republic Estonia Hungary
Latvia Romania Slovenia Slovakia and the United Kingdom With the exception of
Slovakia in particular these countries also performed considerably better than the
other countries (See Table 15)
Table 15 Achievement of output targets for SIC and all ESF interventions
ESF
SIC
Below target Above or = target Below target Above or = target
BG 73 27 94 6
CZ 27 73 0 100
EE 16 84 0 100
EL 63 38 74 26
HU 35 65 14 86
IT 37 63 77 23
LT 28 72 47 53
LV 16 84 0 100
MT 50 50 67 33
PL 33 67 42 58
RO 52 48 40 60
SI 35 65 14 86
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Thematic EU synthesis report Strengthening Institutional Capacity
51
ESF
SIC
Below target Above or = target Below target Above or = target
SK 63 37 63 38
UK 30 70 25 75
BG Incl PA4 TA
CZ No data for PA 44b
Source SFC 2007-2013Draft CS Reports
Results
Tables 16 and 17 below provide a consolidated overview of the degree to which set
targets for results were met
Table 16 Target setting and achievement for results SIC and ESF
Targets set Targets achieved if set
ESF as a whole 63 39
MS with SIC related interventions 57 41
SIC related interventions 81 43
Source SFC 2007-2013Draft CS Reports
Achieved or over-performed
Result targets were considerably more often set for SIC related interventions rather
than for ESF interventions in general (81 compared to 63) Only four out of ten
SIC PAs achieved their targets In this they are comparable to other types of
interventions under ESF
Only four countries have performed equally or better in terms of achieving their
results targets for SIC compared with their performance regarding ESF interventions
as a whole Estonia Hungary Italy and Latvia (see table below)
In general countries set targets for results more often than they do for outputs (63
compared with 54) However the difference is negligible for SIC interventions On
the other hand the targets set for results were achieved much less often than those
for outputs For ESF as a whole 39 of the targets set for results were achieved
compared to 63 for the output targets Only 43 of the SIC interventions met their
targeted results compared with 52 of the output targets As this is the first period
for which targets had to be developed for SIC interventions it could be that these
targets were set at levels which were too ambitious It is conceivable that assessing
the chances of outputs being achieved would be easier than assessing likely results
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
52
Table 17 Achievement of results targets for SIC and all ESF interventions
ESF SIC
Below target Above or = target Below target Above or = target
BG 76 24 87 13
CZ 31 69 56 44
EE 34 66 0 100
EL 78 22 100 0
HU 0 100 0 100
IT 78 22 56 44
LT 27 73 50 50
LV 36 64 29 71
MT 36 64 50 50
PL 47 53 52 48
RO 61 39 78 22
SI 52 48 75 25
SK 86 14 100 0
UK 29 71 86 14
BG Incl PA4 TA
CZ No data for PA 44b
For SI PP and SIC data are combined and this table therefore includes the PP interventions too
Source SFC
Of course target achievement is only one way of assessing results and national
evaluations in a number of cases more detailed analyses at the level of PAs have
provided more positive or more nuanced statements about the results (eg EL MT
PL RO SI) One reason is that these evaluations provide more information than is
available in the database or that they make a more detailed comparison between the
effectiveness of PAs or actions related to SIC However the assessment of the results
is also influenced by expectations and previous experience as well as by the use of
other criteria
The PA for lsquoModernising and improving the quality of public services for West Wales
and the Valleysrsquo met only 14 of the results targets according to the SFC database
However it can still be assessed positively when looking at national sources bearing in
mind that most targets were met or exceeded (AIR 2014) Also the projects within this
thematic area had a clear focus on seeking to instigate a positive change with a view
to creating long-standing service improvements This thematic area provided impetus
in moving some agendas and pilot ideas into practice due to the additional funding
provided13
13 Thematic Evaluations presentations PWC dated October 2014 and May 2015 available at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
53
416 Reaching the different target groups
In total over 14 million participations were reported in SIC-related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training
The fact that the target groups of SIC interventions are usually the staff of the
institutions concerned is reflected in the participantsrsquo characteristics These differ
considerably from the average ESF population
Almost all participants are as logic suggests employees The only exception is
Slovenia where lsquoonlyrsquo 865 of the participants are employed For the ESF as a
whole only one third of the participants are employed as many interventions focus on
promoting the labour market participation of unemployed and inactive people
The majority of the participants are well educated (ISCED 5 and 6) With 57 of the
participants in this category the educational level of participants is much higher in SIC
interventions than it is for ESF as whole where only 17 fall into this category
Conversely participation of people with lower educational levels especially ISCED 1
and 2 is much higher for ESF participants as a whole The highest educational levels
are found amongst participants in Lithuania Romania and Slovenia the lowest in the
Czech Republic Hungary and Italy
Participants in SIC interventions are older than ESF participants on average The vast
majority of the participants in SIC interventions are 25-54 years of age (86) while
this number amounts to only 63 for ESF as a whole They also belong to the older
age group of 55-65 years of age somewhat more often 11 versus 6 of the
population for ESF as a whole Young people (15-24) on the other hand are strongly
under-represented (4 for SIC interventions versus 31 for ESF as a whole)
Although in some countries young people are better represented (LT LV SI) but with
still far lower shares than for ESF as a whole Countries with the lowest share of young
people in SIC interventions are the Czech Republic Greece and Italy
The majority are women (64) For the ESF as a whole only 52 of the participants
are women This over-representation of women might be due to the fact that they are
usually over-represented in public administration which represents the most
important target of SIC interventions The share of women in SIC interventions is
somewhat lower in Italy and the United Kingdom (50-59) and considerably lower in
Malta and Slovakia (40-49) Women are over-represented in all sub-groups The
difference is however considerably less pronounced amongst the higher educated
This is caused by the fact that for ESF as a whole the share of women amongst
higher educated participants is relatively high (63) while for SIC interventions the
share of women remains in line with SIC interventions as a whole If we assume that
for SIC interventions higher education is accompanied by higher positions in the
organisations concerned this could reflect a lower representation of women at higher
levels in such positions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
54
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014)
Source SFC 2007 Country Synthesis Reports
Values BG CZ EE EL HU IT LT LV MT PL RO SI SK UK TOTAL SIC
over
total W TOTAL ESF
over
total W
Total
participants252126 140810 43434 130340 210547 13878 92410 49538 20264 367776 70249 927 42725 822 1436920 64 98658829 52
Employed 241728 140810 43434 126685 205701 13878 87180 46318 20182 352000 70249 802 42151 822 1392409 969 64 33041257 335 53
of which self-
employed8799 - - - 1009 - 3323 1304 792 3619 - 97 170 - 19134 54 2437321 25 45
Unemployed 4531 - - 3655 1653 - 481 599 22 4004 - 78 46 - 15525 72 30039410 304 53
of which LTU 2062 - - - 482 - 166 330 4 935 - 7 11 - 4201 62 8996113 91 52
Inactive 5867 - - - 3193 - 4749 2621 60 11772 - 47 528 - 28986 64 35578162 361 50
of which in
educationtr
aining
1484 - - - 395 - 3967 2621 38 3898 - 41 76 - 12598 63 25207563 256 50
Young
people (15-
24 years)
13524 1 2512 950 4740 7 8022 4275 1270 16823 3497 98 2188 21 58157 40 61 30063502 305 47
Older people
(55-64
years)
39485 48 6384 15697 11244 995 12806 6508 2248 42046 7266 102 6317 101 151350 105 61 6106942 62 50
Migrants 125 - - 16 214 - 34 12 16 3 - 3 15 12 483 56 5152191 52 50
Minorities 9593 - - 38 1083 - 2150 447 - 40 3317 2 428 27 17309 58 3856947 39 47
Disabled 4737 - - 102 745 - 599 1082 94 948 146 12 357 37 8939 63 5265599 53 46
Others 1968 - - 101 - - 2637 48049 209 - - 6 335 - 53468 71 7017829 71 51
Primary or
lower
secondary
education
6421 - 667 3066 7087 7 3227 1041 3988 3909 - 16 4873 25 34454 24 57 38840296 394 48
Upper
secondary
education
49741 4 6730 31186 17941 780 2716 5347 3657 42521 9289 103 10136 169 180739 126 60 26014203 264 52
Post-
secondary
non tertiary
education
23951 - 5844 2970 5744 134 3720 3278 3460 52931 2214 150 1587 - 106029 74 66 4934362 50 57
Tertiary
education172013 71 30193 93114 38649 1385 82378 32254 9159 268415 58746 658 24057 611 812185 565 66 16297940 165 63
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
55
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women participants
Source SFC 2007 Country Synthesis Reports
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
Total participants 630 633 707 648 601 543 678 725 437 684 606 669 476 564
Employed 631 633 707 638 600 543 684 721 437 685 606 647 476 564
of which self-
employed 574 - - - 640 - 569 712 188 429 - 237 247 -
Unemployed 591 - - 998 600 - 568 791 500 666 - 808 522 -
of which LTU 559 - - - 676 - 512 758 1000 725 - 857 364 -
Inactive 605 - - - 673 - 576 785 450 650 - 809 511 -
of which in
educationtraining 610 - - - 666 - 569 785 526 604 - 829 487 -
Young people (15-
24 years) 603 1000 702 783 536 1000 560 581 521 662 614 571 546 524
Older people (55-
64 years) 586 625 699 579 558 432 705 732 280 634 590 235 512 554
Migrants 448 - - 1000 640 - 529 583 688 667 - 333 67 583
Minorities 561 - - 1000 540 - 610 785 - 675 614 - 614 519
Disabled 621 - - 686 558 - 723 742 202 660 507 417 602 541
Others 615 - - 1000 - - 669 724 282 - - 500 254 -
Primary or lower
secondary
education 556 - 643 698 616 - 553 744 316 607 - 125 591 560
Upper secondary
education 581 750 680 656 554 505 419 732 468 626 571 359 464 556
Post-secondary
non tertiary
education 593 - 702 684 579 500 544 741 464 716 573 320 565 -
Tertiary
education 652 634 716 642 496 453 697 738 467 688 612 465 493 566
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56
42 Efficiency
As in other thematic evaluations the lack of information on the costs per result
hinders an assessment of the efficiency of ESF SIC investment It is always possible to
calculate the cost per participant but this is a less relevant and potentially confusing
indicator for SIC interventions The table below illustrates the limitations of this effort
Both Slovenia and the United Kingdom report an extremely small number of
participants and high cost per participant Under the Slovenian PA IT expenditure was
planned which involved substantial budgets for software hardware and expertise
with only a small proportion of the budget reserved for the training of future users
This was not the case for the United Kingdom and this combination of a small number
of participants and high cost per participant may be partly explained by the fact that
the number of trained people fell far below the original target Therefore only by
analysing the interventions undertaken by each country would it be possible to draw
any meaningful conclusions
Table 20 Funding per participation for SIC related OPsPAs
Total participants
Total expenditure (euro)
Cost per participant (euro)
BG 252126 137491170 545
CZ 140810 94381124 670
EE 43434 21210585 488
EL 130340 381930601 2930
HU 210547 122203794 580
IT 13878 131069031 9444
LT 92410 143977869 1558
LV 49538 20683459 418
MT 20264 7687444 379
PL 367776 315293255 857
RO 70249 159318804 2268
SI 927 89112721 96130
SK 42725 31545122 738
UK 822 13331326 16218
Source SFC database
Another indicator for efficiency was used in the ex-post evaluation of the Romanian
capacity development OP This programme was judged to be efficient because with a
similar level of investment it generated more immediate effects than initially
envisaged This is despite the fact that 120 of the selected projects in this country
could not be awarded due to depletion of funds this decreased the efficiency of the
OP somewhat as time was spent on processing and assessing these projects but with
no subsequent activity delivered or results achieved
Another more qualitative dimension of efficiency is assessed by looking at the
implementation process to see if there are features that are impeding or facilitating
the programme Two examples illustrate this In the Czech Republic only 75 of the
financial resources which were committed for the realisation of the selected projects
were fully spent This was caused by mistakes made during the procurement process
that resulted in delays in implementation Hungary showed that reforms could produce
the opposite or mixed effects on efficiency On the one hand state reforms may
increase the activity undertaken and the outputs and results produced On the other
hand the accompanying reorganisation of institutions may have a negative impact on
the efficiency of such interventions as they initially cause inefficiencies where people
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
57
are adjusting to the new situation Sometimes the complexity of procedures also
influences costs indirectly One example of this is when due to the complexity of
project administration huge amounts of money are spent on project management
which is provided by private companies that were established especially and solely for
this purpose (SK)
It can be concluded that the available information does not allow conclusions to be
drawn regarding the efficiency of SIC interventions The assessment of efficiency is
strongly hampered by the fact that the outputs of various activities are objects rather
than people This renders a comparison of costs per participant between PAs or
countries meaningless In addition there is a wide variation in the objects produced
which can range from studies to IT-systems therefore their costs also cannot be
compared without collecting detailed information on outputs and costs at activity level
The current evaluation does not encompass this level of analysis
43 The sustainability of ESF SIC interventions
Sustainability of SIC intervention refers to both the continuation of funded projects
(with or without EU funding) and the achieved results in terms of increased
empowerment and adaptation to new needs as they develop Although no clear-cut
evidence on sustainability has been detected it could be argued that in this respect
interventions are likely to be sustainable to a large extent Such interventions have
set in motion other activities which will continue beyond the lifespan of the original
activity Alternatively the tools developed provide a platform for new initiatives
without time constraints related to the project that introduced them For example
Those that have upgraded or added value to other interventions These are
mainly the training programmes based on needs assessments made through
functional analysis (BG)
E-governance and other tools (BG MT)
Quality management (LV)
A common learning portal for local authorities (UK)
Training or manpower interventions (EE IT MT)
Sustainability can be deliberately ensured by procedures and regulations to this end
In Poland changes in public administration institutions which were introduced as part
of the ESF project will have a permanent nature this is guaranteed by the
introduction of new procedures and regulations This applies to the Better Regulations
2015 adopted by the Council of Ministers on 22 January 2013 and concerning areas
such as legislative actions of simplification (solutions in removing barriers to
entrepreneurship development) impact assessment (an analytical tool that allows to
design regulations which correspond to the real socio-economic problems) and a public
consultation (the consultation facilitating stakeholder participation in the legislative
process - the on-line consultation system) The situation is the opposite for NGOs the
support they that received significantly influenced the development and strengthening
of the third sector but the lack of proven procedures and constant cooperation
between public authorities and NGOs adversely affects the durability of the results (the indicator - number of local government units that have implemented the
standards of cooperation with NGOs - has been achieved at the level of 856 in
Poland)
It should be mentioned however that the sustainability of SIC interventions is also
dependent on the context in which they are implemented and which these same
interventions aim to support Two main obstacles to sustainability have been identified
in this respect These are the lack of financial resources to sustain the action and the
institutional and political environment
Italy and Lithuania both highlight the importance of earmarking ESF funding for similar
interventions under the next programming period In Italy disappointing results of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
58
regional SIC interventions led to the introduction of national thematic objectives
These cover the whole of Italy for the current programming period which the 2014-
2020 regulation now allows14 Between 2014 and 2020 the strategies and actions that
were started during the previous period will be continued and consolidated in a more
structured and defined framework For Lithuania the sustainability of the products
developed and results achieved at the end of the EU funding were identified as
moderate and dependent on the field of intervention and public management
institutions Since the budgets of the state and especially municipal institutions are
limited the continuity of products and results created from the 2007ndash2013 Structural
Funds in the field of public management depend on planned investments during the
2014ndash2020 programming period (this is particularly applicable to the fields of
performance management and e-government) In the case of decentralisation lack of
funding is also more likely to occur and national (or ESF) funding is needed to ensure
that interventions will be sustained (RO) Formalisation through public policies at
national level is required for this
The institutional environment is flagged up as a deterrent to the sustained
effectiveness of interventions in Greece and Slovakia Key institutional factors in this
respect include
a high employee turnover among state employees (SK)
lack of a systematic policy for human capital (SK)
changing management with new elections (EL SK)
an overall administrative culture that is not conducive to change (EL)
44 Gender sensitivity of ESF SIC interventions
SIC may have a direct or indirect impact on gender equality by strengthening and
supporting the gender infrastructure that is an integral part of the institutional set up
of a countryregion The term gender infrastructure refers to the administrative
political and legal mechanisms existing within the public administration which are
aimed at promoting gender equality such as provisions for gender mainstreaming
policies at the central and local level or gender budgeting for example Gender
infrastructure can be targeted directly by SIC interventions through positive actions
(such as training staff on gender issues promoting studies on gender pay gaps or
supporting the creation of gender units) or indirectly by strengthening the overall
capacity of the administration and therefore also implicitly improving awareness on
gender policies whilst also developing their effectiveness
An example of such an approach can be found in Greece which dedicated a PA to
lsquoStrengthening policies aiming at ensuring equal opportunities for all in the whole
range of the public administrationrsquo The PA foresaw measures to enhance the gender
mainstreaming policy in the public administration and increase the participation and
career progress of women in employment Actions included
codification and simplification of law regulations for the enhancement of gender
mainstreaming in all the fields of policy making
evaluation of public policiesrsquo impacts through gender mainstreaming
enhancement of the integration of gender mainstreaming in public policy
14 Institutional capacity being reserved to Convergence areas in the 2007-2013 period
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
59
enhancement of the participation of women in decision making centres
enhancement of actions in prefecture authorities targeting the prevention and
combating of violence against women
support for NGOrsquoS (womens organisations)
From the available evidence it seems that most of the interventions were
implemented as planned The latter intervention encountered difficulties as it coincided
with the restructuring of the public sector which was necessitated by the economic
crisis Very little is known on the impact of these interventions
Other countries did not address the gender infrastructure However SIC interventions
can also be designed in such a way that in their implementation at least women and
their interests are taken into account or even furthered Although SIC interventions do
not specifically target women in Poland the Polish OP can be considered a good
practice of designing an OP in a gender supportive way with several features that
may help ensure that women really benefit from the interventions
Women were the specific target groups of some of the interventions although
not in the case of any of the SIC interventions which has been continued in the
new programming period however there are no OPs or priorities specifically
dedicated to women
An obligatory minimum standard was introduced in projects so that all of the
institutions implementing ESF funds would respect the principle of gender
equality This meant that in all projects (also those implemented within the
SIC area) it had to be shown how the project would contribute to the fight
against inequalities or at least how it would not sustain or strengthen them
The minimum standard has been continued and developed in all ESF
programmes for the 2014-2020 programming period However the assessment
criteria have been tightened in terms of gender sensitivity which means that
project promoters are supposed to describe how they are going to implement
gender equality at all project stages In the 2014-20 programming period
there are also some requirements in terms of gender equality for project
promoters within other funds (ERDF EAFRD EMFF) The manual on gender
equality published by the MA contains recommendations for the MAs on
gender sensitivity in management OP implementation and the setting of
thematic objectives (the PA) amongst other things
Additionally the MA created a strategic vision on the strengthening of equal
rights for men and women which was adopted in the official MA agenda A
group which included the representatives of the intermediary bodies was
formed to control the application of gender equality as a horizontal issue in the
interventions
All institutions that are engaged in the management and implementation of the
ESF in Poland (ie the MA and the IBs) were assessed regarding their own
equality policies The idea behind this was that they would be in a better
position to stand ldquoon guardrdquo and protect gender mainstreaming and gender
equality if they knew of it from their own experience
SIC interventions and staff capacity building in particular can also be assessed in
light of the contribution they make to womenrsquos careers in the organisations that are
being supported by these interventions
SIC interventions typically have more female than male participants For most
countries this reflects the over-representation of women in public institutions As
precise figures are often lacking it is unclear as to whether women are proportionally
represented in interventions Women are also less represented at the higher and
managerial levels in administrations and sometimes in interventionsactions targeted
at managerial positions in public administrations (IT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
60
Proportional representation provides equal opportunities for women to better their
position It does not level the playing field however as is argued and exemplified in
the Estonia On the other hand more women participated in training than men in
Estonia For example in the central training program 2008-2009 three times more
women were trained than men this was also the case in training for NGOs where the
proportion of women was very high (nearly 75) This training ultimately influenced
the competitiveness of women in the labour market This should in theory help to
reduce the existing gap between women and men However it is not clear whether
the unequal labour market position really results from the differences in knowledge
and it is not likely that the gender pay gap will start to decrease as a result of the
training The effects on such a level are probably rather modest In this respect it is
worth noting that in programmes for top managers in the public sector the ratio
between men and women is very different there are twice as many men as women
Also the competence model and the related methodology for the regular evaluation of
competences which are developed for top managers in the Estonian public service
are gender neutral While this is obviously better than a system implicitly favouring
men this also means that it will not actively pursue a change in the gender balance at
this level
More specific actions would be required to improve the position of women in public
administrations in terms of qualitative criteria such as pay and function levels These
appear to be rare as women are seldom a specific target group in SIC interventions A
number of countries did make equal opportunities a selection criterion for projects
(CZ LT RO) However only two countries include actions that aim to further the
position of women In Greece specific PAs have the objective of enhancing gender
mainstreaming policy in the public administration increasing the participation and
career progression of women in employment and reducing genderndashbased segregation
in the public sector The Hungarian action lsquopromoting performance-based career
pathwaysrsquo includes specific activities to enable staff to better balance domestic and
work obligations which is something that will help women in particular
45 Community added value of ESF SIC interventions
Community added value can be achieved in four different ways volume role scope
and process
In the case of ESF SIC interventions this translates into the following options as
highlighted in Table 4 section 311 above
ESF funding was used to strengthen pre-existing good governance and capacity
building interventions funded by national strategies (volume)
ESF was used to reach new target groups (scope)
ESF was used to test new and innovative activities (role)
ESF was successfully used to improve PA service delivery by improving systems
and methods (process)
For most countries having ESF adds value to what would have been done in the
countries without this support
451 Volume effects
The main CAV dimension detected across the different MSs is the volume effect In
many countries (BG EE LV MT RO IT) interventions have been undertaken on a far
larger scale than would have been possible without the financial backing from ESF
This effect has been even greater than would have otherwise been possible due to the
impact that the financial crisis had on MSsrsquo budgets While this probably holds for
other areas of intervention too SIC interventions are more likely to suffer from budget
reductions as increasing unemployment and poverty rates are likely to be more
pressing concerns especially as administrative reform plans in several of the countries
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61
concerned receive limited political backing Some examples of this effect can be
identified as follows
In Bulgaria the ESF provides key funding to support good governance on
municipal district and national levels as well as for reforms in important areas
including the judicial system which is one of the main recommendations to the
country and is the focus of the public opinion debate
In Poland ESF funds were used to train a larger share of public administration
employees
In Malta ESF funding complemented the Governmentrsquos efforts towards further
simplification and through building capacity amongst government employees
to assist citizens in accessing and using e-services Management processes
within the Public Service were streamlined with a view to facilitating more rapid
decision-making and implementation and more accountability of results
Support for regulatory reform in order to reduce the regulatory burdens on
businesses was also provided
In Lithuania available evidence confirms that the ESF provided additional
funding to support good governance according to the evaluation of the
lsquoEuropean Union Structural Funds Investments for Human Resource
Developmentrsquo through the interventions of measures under priorities 1 2 and
4 of the HRDOP more than 286 thousand public sector workers successfully
completed the training The increased quality of human capital in the public
sector resulted in the higher quality of work which was appreciated by the
public who expressed greater confidence in state and municipal institutions
and bodies15 In addition to this it should be mentioned that ESF funds were
almost the only source to support certain target groups in the context of the
economic crisis EU funds have become probably the only source of financing
for the employee qualification development initiatives for public institutions of
Lithuania16
In Slovenia an example of additional funding is the project lsquoInteroperability
and e-exchange of datarsquo which established amongst other things multi-
functional mechanisms for the implementation of complex data queries in
administrative records and an internet portal (NIO portal wwwniogovsi)
Today the latter is the central contact point for open data in the public sector
(Source AIR 2014)
452 Scope effects
ESF has also added value by broadening the scope of the interventions undertaken by
MSs The first way by which the scope of interventions changed was in terms of
actors such as NGOs or social partners (MT LV BG EE) In Slovenia new target
groups also included businesses and entrepreneurs through the creation of two online
portals (EUGO and e-VEM) providing information for the set-up registration operation
and closing of a company All processes can be undertaken online EUGO the Slovenia
Business Point is the English counterpart of e-VEM It helps foreign business entities
that want to do business in Slovenia
15 BGI Consulting European Union Structural Funds Investments for Human Resource Development Summary of the final report of evaluation (EN) 2015
16 PWC Evaluation of the quality and efficiency trainings financed by ESF 2011
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Thematic EU synthesis report Strengthening Institutional Capacity
62
SIC interventions also altered the scope of the national PAR (HU) or played a key role
in putting administrative capacity on the agenda (IT SK) Finally SIC helped to
introduce topics such as social inclusion equal opportunities and the reconciliation of
work and family life as policies these did not exist in the political agenda prior to the
ESF (SK)
453 Role effects
ESF SIC funding played a role in supporting the introduction and testing of innovative
tools or systems especially those concerning the introduction of e-government In
Bulgaria for example although with several delays and obstacles the Administrative
Capacity OP has supported the introduction of many e-services on a municipal level
as well as for specific national agencies and bodies including the judicial system In
Slovenia as an element of the modernisation and simplification of courtsrsquo
organisations a smart technology that had already been used successfully in the
medical sector was tested for speeding up the writing of judgments through voice
recognition Fifty judges tested this technology in a pilot project After three months
the software was developed fully and then mainstreamed (Source AIR 2013) In Italy
the ESF supported the digitalisation of ESF management administrative processes in
the Apulia OP
Role effects can be also identified in actions and fields not directly related to e-
governance such as
The introduction of monitoring and evaluation systems for policy
implementation on municipal and national levels which is also connected with
the introduction of the mechanism for public discussion of new policies (MT)
In Poland an impact assessment of regulations (an analytical tool that allows
to design regulations which correspond to the real socio-economic problems)
was introduced and tested along with the on-line public consultation system -
the consultation facilitating stakeholder participation in the legislative process
In Latvia under the action Reduction of administrative burden and improving
the quality of public servicesrdquo the Ministry of Environmental Protection and
Regional Development carried out a feasibility study for the setting up of a
single customer service centre network that brings together a number of
services carried out by public administrations
The support to PES in Campania region (IT)
454 Process effects
Process effects occurred in various countries and they relate to the programmatic and
cyclical nature of policy making monitoring and evaluation of policies and work
processes in general Some examples have been provided below
Improvement in the delivery of PA services is the main contribution of ESF SIC
investment in Bulgaria PA service delivery has been improved through the
training of civil servants the implementation of functional analysis on
municipal district and national levels setting up systems from monitoring and
evaluation of policy implementation the introduction of e-services and one
stop shop services exchange and the introduction of good practices from
other countries
In Italy new purchasing procedures were defined through the Ministry of
Education national OP (and also in the Calabria OP) interventions for
increasing the effectiveness of judiciary officesrsquo activities were introduced
(Campania Sicily Basilicata OPs) as well as projects aimed at improving ESF
programming management and control capacities (Apulia Sicily Ministry of
Labour OPs)
In Lithuania ESF support was used to improve PA service delivery systems and
methods for instance the ESF supported the development of the
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63
interoperability (interface) system and improved the safety and functionality of
the information systems in public administration institutions Similarly the ESF
also supported the development and implementation of a centralised public
procurement management system Both interventions were included among the
good practice examples in the Strategic Evaluation of the Effectiveness and
Impact of EU Structural Assistance on the Improvement of Public Management
in Lithuania17
In Latvia a specific project devoted to Improving the quality of public services
at national regional and local level was implemented with the funding of 25
projects Within this the State Employment Agency developed a management
method referred to as Management according to the objectivesrdquo in order to
improve its services while the State Land Service developed an e-guide for
customer service
In Slovenia in order to improve the processing of documents an electronic
documentation system was established at the Public Employment Service It
allows for shorter response times and quicker decisions and also lowers costs
The new system was introduced in ten key processes of the PES which
constitute 85 of the administrative activities
46 The socio-economic impact of ESF SIC
461 Impact indicators and evidence from national ESF evaluations
As discussed impact indicators are virtually non-existent for SIC interventions in the
SFC database18 National sources do include information on impacts Typically this
information is of a more qualitative nature and does not permit conclusions to be
drawn on the level of impacts However it is possible to provide an indication of the
type of impacts that are achieved with SIC related interventions
In their strategic reports on programme implementation over the 2007-2013 period
according to the overall report rdquoseveral MSs emphasise the role that the ERDF and
ESF play in fostering national reform efforts particularly in the field of better
regulation reform of education systems the labour market public administration and
structural reforms in the water sector In addition the ESF has fostered capacity
building for the social partnersrdquo (European Commission 2013) In general however
impacts are seldom so clearly defined or evaluated The table below provides an
overview of what can tentatively be called (intermediate) impacts and indicators
Some information on impacts is available for six countries On this basis some
tentative conclusions emerge that could be tested in future evaluations For each of
these the evidence is rated using a three-point scale
Monitoring systems for policies and ex-ante impact assessment of new
regulatory initiatives seem to be effective in increasing the quality of legislation
and monitoring progress in implementation of policies (weak evidence BG)
The impacts of initiatives aimed at furthering institutional cooperation seem too
low after suffering from fragmented or limited implementation (evidence EE
LT)
17 PPMI Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the Improvement of Public Management in Lithuania 2014
18 It is to be noted that they were not required by the Regulation
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64
The quality of public services shows clear signs of improvement during the
2007-2013 programming period It is likely that SIC interventions played a role
in this but lsquohardrsquo evidence on this is lacking (Strong evidence on changes but weak on causality CZ-regional level LT PL)
Table 21 Examples of tentative impact evaluations
MS ASSESSMENT
BG Based on the main conclusions in the First Report on the evaluation of OP AC
implementation for the period January-December 2014 the main achievements of this OP contributed to the optimisation and of the work of administration resulting in improved monitoring of policy implementation improved quality of the regulatory documents due to the introduction of their impact evaluation improved capacity of servants by training
CZ There is a slight increase of citizensrsquo satisfaction with the performance of the regional
administrations however the satisfaction with the state administration has been continuously declining
EE Although the effectiveness of the SIC investments has been good and the range of activities has been widened compared to previous programming periods the impacts have still stayed rather modest Even though a strategy unit was established in the
Government Office that has immensely contributed to the decrease in the number of strategic plans there is still room for strengthening the coordination between organisations (the ministries implementing agencies local and central governments) responsible for planning and implementing the strategies Also the social dialogue in policy-making has still room for development A number of joint committees (including the representatives of relevant organisations and social partners) have been created to include relevant partners incl social partners and to consequently add transparency
to policy-making At the same time such committees are criticised facilitating
transparency only seemingly and also diffusing responsibility
LT During the 2007-2013 period the key positive achievements of ESF SIC investments in Lithuania was the improvement of the overall quality and accessibility of public sector services in the country This was achieved through several different mechanisms The
ESF support contributed to the development of the HR capacity in public service Also the investments had positive influence on the management of internal activities in the public sector in Lithuania in particular a number of internal processes were digitalised and a number of strategic planning documents were developed In addition the investments are expected to contribute to the development of e-governance in the country and thereby improve the communication between the public authorities and citizens The key under-achievements of ESF SIC investments in Lithuania were the
very low impact on system-level reforms in public sector as well as low impact on institutional cooperation and partnership building Because of the lack or complete absence of necessary preconditions the reforms at system-level were implemented are fragmentary and are unlikely to produce any significant results Similarly because of a
number of negative factors (lack of coordination of different institutional cooperation initiatives lack of support and awareness on the part of political authorities and executive bodies lack of proper methods for involvement of relevant institutions) the
initiatives enhancing cooperation and partnerships between public institutions will most likely result in low or null impacts in these areas
PL Considering the impact of the ESF on improving the regulatory business environment it is worth mentioning the significant advancement of Poland in the World Banks Doing Business rankings 2015 In terms of ease of doing business Poland took 32nd position
(out of 189 countries) and moved up thirteen places in comparison with the previous year The World Bank assessed countries in 10 categories such as among others ease of opening of the company the necessary start-up capital or tax returns
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
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65
462 Impacts in relation to changes in the quality of administrations
The World Bank publishes a broad range of data on the perceived quality of
governance In particular the Worldwide Governance Indicators cover six broad
dimensions three of which are particularly relevant to this report
government effectiveness
regulatory quality
rule of law
This dataset aggregates the results of many surveys that have been conducted
worldwide It has been doing so since 1996 which means that developments can be
traced throughout the programming period
The charts below present the estimates of the perceived quality for each of the three
dimensions The perception of quality is rated ranging from approximately -25
(weak) to 25 (strong) in order to illustrate governance performance
Better quality services ndash competitiveness of companies 4621
Government effectiveness the first dimension of the Worldwide Governance
Indicators assesses the perception of public service quality the quality of the civil
service and its degree of independence from political pressures the quality of policy
formulation and implementation and the credibility of the governments commitment
to such policies Concerning public attitudes towards government effectiveness in the
case of ten of the fourteen countries citizens businesses and institutions felt that
their government had become more effective between 2007 and 2014 The four
exceptions were Greece Hungary Malta and the United Kingdom
The previous section showed that ESF had contributed to better quality services in the
three countries for which evidence was available (CZ LT PL) For the latter two
countries it is therefore likely that ESF has played a role in improving the regulatory
quality scores for their countries However as section 313 showed nine MSs had
actions aimed specifically at improving their delivery systems and eight MSs had
actions aiming at policy delivery as well as development
Figure 4 Government effectiveness
Source The Worldwide Governance Indicators 2015 Update
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Government effectiveness
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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66
The dimension of regulatory quality measures the governmentrsquos ability to formulate
and implement sound policies and regulations that permit and promote private sector
development Regulatory quality was receiving slightly higher marks on average in
2007 than government effectiveness However for only five countries this assessment
had improved by 2014 Estonia Latvia Lithuania Poland and Romania Four of these
countries already had relatively high scores in 2007 but so did some of the countries
with decreasing evaluations such as Hungary Slovakia and the United Kingdom
Ten MSs implemented actions that were dedicated to improving the business
environment while 14 MSs had actions aimed at introducing and strengthening the
use of e-services in public administrations (sections 313 and 314) In light of this
the fact that only five MSs were deemed to have improved the quality of their
regulatory process is again a sign that the impact of efforts made under SIC actions is
not or at least not yet noticeable
Figure 5 Regulatory quality
Source The Worldwide Governance Indicators 2015 Update
The overall conclusion is therefore that in the majority of the MSs the impact of
these actions on the governmental performance is not yet evident or if it is it is still
not noticeable to citizens and businesses However with the nature of SIC
interventions it may be a matter of time before these impacts become obvious only
then will a further impact on the performance of businesses and the wellbeing of
citizens be expected to occur
000
020
040
060
080
100
120
140
160
180
200
2007 2008 2009 2010 2011 2012 2013 2014
Regulatory quality
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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67
Better quality justice and rule of law ndash a conducive socio-economic 4622
environment
The 2015 EU Justice scoreboard shows that there is significant divergence in the
effectiveness of judicial systems across MSs According to the 2015 EU
Competitiveness report the functioning of justice systems in several countries
requires further improvements19
Rule of law measures the extent to which agents have confidence in and abide by the
rules of society and more specifically in the quality of contract enforcement property
rights the police and the courts as well as the likelihood of crime and violence The
satisfaction with rule of law increased between 2007 and 2014 for nine countries
which is almost as many as for government effectiveness Greece Hungary Italy and
Malta experienced decreasing evaluations over this period
Of the nine countries with increasing scores for rule of law four countriesrsquo evidence is
available on the results actions undertaken in the justice sector (section 414) These
results were decidedly mixed with SI and CZ showing positive achievements and
Bulgaria and Poland showing under-achievements As the rule of law indicator is a
very general indicator and the evidence on ESF SIC actions in this area are few and
mixed in terms of results the conclusion here is that the necessary evidence on the
impact of ESF SIC actions in this sector is insufficient to draw conclusions
Nonetheless the increased satisfaction with the rule of law is a positive development
Figure 6 Rule of law
Source The Worldwide Governance Indicators 2015 Update
19 European Commission Single Market Integration and Competitiveness in the EU and its Member States Report 2015 October 2015 section 326
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Rule of law
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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68
4623 Assessment
Improvements in the quality of public administration occurred between 2007 and
2014 especially in the fields of government effectiveness and rule of law The
perception of regulatory quality improved in a smaller number of countries
The best performance could be seen in Romania Poland and the three Baltic States
These countries improved their ratings on each of the three dimensions between 2007
and 2014 On the other end of the scale three countries saw their assessment
decreasing on all three dimensions Greece Hungary and Malta
It is to be expected that ESF would have contributed to positive changes However
this causal relationship can only be established through impact assessments and
evaluations and the evidence available at this point is insufficient to draw conclusions
in this respect
463 Key factors determining success or failure
Overview 4631
Several factors determine whether interventions are successful and can be considered
good practice in achieving their objectives and whether they do so in an efficient
manner Factors for success and failure are complementary For this reason the two
are discussed together here although the national evaluations do distinguish between
them as can be seen from the figure below
The key factors are similar to those identified in earlier evaluations of ESF SIC
interventions Five factors were identified in national evaluations or by the country
experts based on more general sources
Management this factor is typically linked with the lack of administrative
capacity in the Managing Authority or Intermediate Body itself and was
identified as a key factor for the Czech Republic Italy Romania and Slovakia
Strategic approach and intervention logic this factor refers to coherence and
consistency in policies regarding SIC interventions as well as the detailed
development of an intervention logic It was identified as a key factor for Italy
Lithuania and Romania
Motivation and capacities of beneficiaries this factor directly influences the
performance of individual activities and is therefore of obvious importance It
was identified as playing a key role in Bulgaria the Czech Republic Latvia
Lithuania Malta and Slovakia
Cooperation and coordination efficient coordination of various funded activities
and efficient cooperation between different organisations were listed as key
factors for performance in the Czech Republic Estonia and Lithuania
Context factors these factors include national public administration reform
strategies legislation and the political and institutional environment
Contextual factors are the most regularly cited explanatory factor for success
and failure for Bulgaria Greece Hungary Italy Lithuania Malta Poland
Slovenia and Slovakia
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69
Figure 7 Key factors for success and failure mentioned for MS
The colour of the country abbreviations signifies that the factor was deemed either a success
(blue) or a failure (red) for that country In the case of some countries it turned out to be both
Source country templates based on national evaluations or assessment of country experts based on more general sources
Because of its importance the institutional and political context is discussed in more
detail here It also constitutes a rather specific factor for successful capacity building
interventions Annex III provides a complete overview of the success and risk factors
identified for individual countries
The role of the institutional and political context 4632
This section looks at the role of the institutional and political context as a determinant
for success or failure of ESF interventions that were aimed at strengthening
institutional capacity The information in this section is based upon expert assessment
provided by the country experts where these contextual factors were flagged up as a
success or risk factor to a greater or lesser extent The political and institutional
environment has been flagged up as a crucial factor for successful SIC interventions
under ESF by several countries (BG CZ EL HU IT LT MT RO SK) Rapid changes in
government politicised institutions and lacking political support were all cited as
impediments to the effectiveness of SIC interventions
According to the synthesis evaluation country report for the Czech Republic in all
international comparisons the institutional environment is evaluated as one of the
most significant weaknesses of the Czech Republic When discussing the institutional
environment of the country reference is made to inefficient institutions an excessive
regulatory burden and corruption The performance of the countryrsquos administration
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70
has been continuously declining since 200620 This is impacting on the performance of
ESF SIC interventions According to the AIR 2014 OP HRE and the evaluation
conducted the realisation of the PA 4 of the OP HRE has been lagging behind the
other priority axes over a long-term period The core problems deal with the
administrative capacity of the Ministry of Interior in its role as an Intermediate Body
as well as the organisational changes of the state institutions in their role as
beneficiaries In addition a high error rate exists in the management of individual
projects which is usually linked to the procurement arrangements and to
irregularities
In Greece the OP Administrative Reform has encountered serious difficulties that
hindered its smooth implementation Besides other factors the institutional
environment plays a key role in this The administrative culture has been criticised for
its absence of strategic action wasteful maladministration of the scarce public
resources organisational overlapping absence of rational planning regarding the
allocation of functions and unsatisfactory services provided to citizens Another
important contextual constraint lies in the absence of an enduring political will and
clientelism accompanied by the politicisation of the senior civil service At least until
very recently these conditions remained unchanged and were reinforced by
widespread corrupt practices Furthermore civil society is only weakly developed in
Greece while consultation structures and practices as part of policy preparation are
also underdeveloped Of particular concern is the on-going politicisation and
subsequent instability at senior levels of the administration
The Hungarian State Reform has gone through essential changes which have had a
substantial impact on the effectiveness and efficiency of the SIC PAs in this country
The direction of the reform was changed and the reform has intensified since 2010
with the election of the new conservative government This has boosted the efforts
made and increased the number of activities and outputs produced under the relevant
PAs This was particularly visible in the number of laws and the activities connected to
their preparation At the same time these political changes seem to have had a
negative impact on the efficiency of the implementation of the PAs This inefficiency
resulted from the fact that new government took time to establish and had partly
different priorities This meant that many changes in the planning and implementation
of interventions had to be made and much adjustment was necessary by those
involved in the implementation
Because of the lack or complete absence of necessary preconditions in Lithuania
the reforms at system-level were implemented in a fragmented manner and are
unlikely to produce any significant results Consequently the key under-achievements
of ESF SIC investments in Lithuania were the very low impact on system-level reforms
in the public sector as well as low impact on institutional cooperation and partnership
building Similarly because of a combination of negative factors the initiatives
enhancing cooperation and partnerships between public institutions will most likely
result in low or no impact in these areas These factors include the lack of coordination
of different institutional cooperation initiatives lack of proper methods for the
involvement of relevant institutions but also the lack of support and awareness on the
part of political authorities and executive bodies
20 Source Supreme Audit Office of the Czech Republic Information from the control action No 1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
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71
In Slovakia the institutional environment is politicised in the sense that as a rule
following every general election new management enters the administration
Systematic work with human capital in public administration is largely absent As a
result employee turnover is high among state employees This in turn is potentially
dangerous to the sustainability of the results and impacts achieved with SIC related
interventions
According to a publication of the EUOECD SIGMA initiative five years after accession
political processes and considerations still substantially impacted the effect and
sustainability of EU capacity building interventions in Central and Eastern Europe In
addition the 2015 single market integration and competitiveness report pointed out
that regulatory and political instability are important barriers to economic growth as
they negatively impact on investment decisions especially longer term ones The
2014 competitiveness report draws attention to insufficient political will as a factor
besides the lack of capacity to enforce rules hampering the effect of anti-corruption
policies in several of the convergence countries From the present study it can be
concluded that during the 2007-2013 period several factors in the institutional and
political environment were indeed hampering progress in achieving the objectives
associated with capacity building interventions These factors include a lack of political
awareness or support (LT) rapid changes in government (EL HU SK) often
changing inefficient change-averse or politicised institutions (CZ EL HU LT) and
clientelism (EL)
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72
5 Overview of key lessons learned
Key findings
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe 2020
Strategy might be further enhanced by specifying the more relevant fields of ESF
SIC support such as e-government or business friendly administration The
institutional and political context remains a key success and risk factor for capacity
building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to the staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to capacity
building is required by MSs as well as a well-defined intervention logic This should
go well beyond the specific objectives and into the realm of intermediate and final
impacts Support provided to countries should take into account the five key factors
that influence the success of SIC interventions management strategic approach
and intervention logic motivation and capacities of beneficiaries cooperation and
coordination and context factors New programmes need to make sure that results
and impacts whose sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or PA
are often linked to a lack of administrative capacity in the Managing Authority or
Intermediate Body both in terms of numbers and qualifications of staff Significant
personnel turnover and frequent changes in staff contributed to mistakes being
made in financial reporting by beneficiaries which was further hampered by
complicated and often-changing rules and errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review ex-
ante the output and result indicators proposed by MSs to see if they comply with
SMART criteria apply a categorisation to common output and result indicators in
the SFC database
Evaluation Fields of activities as found in the CSRs for example could provide a
starting point for the development of impact indicators for ex-post evaluation More
systematic guidance on the distinction between indicators for capacity
enhancement performance and impact indicators could help countries formulate
better indicators for monitoring results In addition a benchmark is needed against
which achievements can be measured
51 Key lessons in terms of policy choices
In the 2007-2013 period strengthening the institutional capacity and efficiency of
public administrations and public services became an ESF objective for convergence
regions (section 22) Supporting SIC interventions in a general or horizontal manner
was new to the 2007-2013 period as increasing administrative capacity was deemed
to be vital for delivering on the Europe 2020 Strategy
The budget spent on SIC interventions has been small in comparison to overall
expenditure under ESF and in comparison to vertical capacity building aimed at labour
market and education institutions (section 34) Impacts are slow to emerge and
difficult to detect which is particularly the case for this priority theme (section 46)
Capacity building takes time and the crisis has had a negative influence on the results
of SIC interventions in the 2007-2013 programming period Community added value
of SIC interventions supported under ESF (section 45) confirms the need for SIC
interventions It therefore stands to reason for the EU to continue funding such
activities in future programming periods
ESF 2007-2013 ex-post evaluation synthesis
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73
There are specific areas of interest or fields of activity as referred to in this report
(section 412) which are clearly deemed important in the framework of SIC and that
bear a more direct link to the objectives of the Europe 2020 Strategy These are
visible in the country specific recommendations prepared by the European
Commission but also in the topics chosen by the EU funded network that examined
how to make better use of the ESF for public administration reforms21 ESF SIC
interventions have proven to be instrumental in helping countries follow-up on the
recommendations they receive from the Commission (section 31) At the same time
however many actions focus on more general capacity enhancement In order to
emphasise support for the Europe 2020 Strategy it could be considered to adapt and
further specify the relevant provisions in the ESF Regulation (Article 32b) inserting
those fields of activity that best contribute to this Possible examples include
lsquoimproving the environment for businessesrsquo and lsquoincreasing e-government servicesrsquo
The institutional and political context is a key success or risk factor for capacity
building interventions For all countries it is impossible to achieve results without
political backing and support Some of the countries studied here are still dealing with
structural political and cultural features in their environment that will effectively block
SIC interventions if they are not addressed (section 462)
It is therefore important to make the provision of financial support for capacity
building dependent on proven commitment and capacity in the institutional and
political context As a result the Commission can apply as Knott (2007) phrased it
the logic of consequences The logic of consequences assumes that rational actors will
seek to maximise their welfare or utility through strategic actions Depending on how
it is enforced in practice it constitutes a tool with which resources can be directed to
environments where they are likely to be more effective although MSs with less
favourable conditions in which to choose face an obvious choice Knott quoting
others also distinguishes the logic of appropriateness This logic encourages actorsrsquo
motivation by internalising identities values and norms This raises the question of
whether lsquosofterrsquo methods such as those associated with mutual learning could play a
role in this lsquostrategy for changersquo A good starting point to look for answers is the
existing and ongoing mutual learning benchmarking and policy coordination
mechanisms that are practiced by the EU in its employment and social policies A
second place is the strengthening of mutual learning initiatives for regional and local
actors as these are often absent in regular EU employment initiatives
One of the reasons why output targets are not met includes problems related to the
management of projects by MA and IB (section 46) this would suggest the need to
continue interventions aimed at improving the implementation capacity of such bodies
21 From 1 January 2010 to 31 December 2012 an EU funded project lsquoFacing the Challenge ndash How to Effectively Support Public Administration Reforms by ESF Fundsrsquo sought to learn more about making better use of the European Social Fund for public administration reforms The topics chosen were strategic planning e-governance the partnership principle for better regulation and local development business-friendly administration local government reform
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
74
52 Key lessons in terms of target groups
As discussed earlier in this report target groups have a specific meaning in the
framework of SIC interventions For SIC interventions the distinction between
beneficiaries and target groups is somewhat blurred Typically target groups will be
employees of beneficiary institutions
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions Motivation and capacities of
beneficiaries have been cited as a reason why projects are delayed or abandoned
impacting on the degree to which the envisaged outputs and results are achieved ESF
should therefore continue to provide support to beneficiaries However lessons should
also be learned by MSs on the criteria and conditions to be met by potential
beneficiaries before qualifying for support
One reason why output targets are not met (section 41) involves problems related to
the actual implementation by beneficiaries For a number of countries reports exist
about projects that have been abandoned before completion or not even started
Some projects are also poorly implemented with low quality training on offer Some
interventions do not achieve their target Several factors cause this but the interest
and motivation of beneficiaries are a key factor in the success of a programme Higher
involvement of beneficiaries in the preparation of programmes may provide a means
by which to increase such motivation offer concrete support to project managers in
the form of training or provide mutual learning events as a means to increase their
capacity (section 46) However without the right culture in the public sector which
is attentive to human resource management for example this will be insufficient Of
course other factors will also determine the interest of those participating in SIC
interventions such as workload
For several countries the lack of capacity for project management in the target
organisations may itself constitute a barrier to success This applies to those that are
promoting or managing projects This may endanger project implementation but
above all the consolidation of results
Finally with regard to beneficiary institutions it can be observed that national
institutions are the main beneficiary of ESF SIC interventions In the absence of an
objective criterion for the required degree of local and regional authority involvement
it would be good to monitor the satisfaction of these parties in terms of their
involvement in ESF The same applies to NGOs and social partner institutions (section
312)
53 Key lessons in terms of appropriate programming
A number of conclusions can be drawn regarding the strategic approach taken as well
as the intervention logics developed and applied in MSs (section 31)
Strategic approach and intervention logic are related but they are not the same The
strategic approach starts with a call for a unitary coherent and consistent policy
regarding SIC interventions rather than a series of unrelated independent SIC
interventions This can also result in an overall vision or framework for SIC The
strategic approach can also be applied during implementation Selection procedures
for projects based upon calls for project ideas are an example of this Key factors
related to intervention logics include the identification of intervention areas that
respond to a clear need but will also be sufficiently substantial in reaching a critical
mass whilst also fitting the funding possibilities It also concerns the precise
identification and definition of objectives coherence in instruments outputs and
results Target groups need to be well defined but formal delineations should not
prohibit a dedicated search for the actual intended beneficiaries during
implementation
A substantial part of the capacity building interventions takes place under OPs and PAs
that are of a more thematic or sectoral nature (section 34) From the viewpoint of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
75
expenditure categories the SIC interventions are small compared to other sectors
notably more policy sector oriented categories Nevertheless and perhaps because of
this SIC interventions have a specific role to play in the interaction with vertical
capacity building interventions For developing such a role the following questions
could provide some guidance
How does SIC relate to capacity building activities in the framework of other
priorities
How does SIC contribute to the wider objectives of this strategy as well as
national priorities
How and where do SIC interventions interact with other capacity building
interventions How does alignment take place at the strategic level during
implementation
Should SIC support be horizontal as was often the case during the 2007-2013
programming period or be more focused on certain sectors
What are the underlying considerations and criteria for this
A SIC strategic approach towards capacity building under ESF could be strengthened
with questions such as
What are the overall needs and objectives of capacity building in the country
How does ESF capacity building fit into to the overall PAR strategy
How does it contribute to and how is it supported by it
This comprehensive and strategic approach to capacity building should be the starting
point for the development of a well-defined intervention logic that goes well beyond
the specific objectives into the realm of intermediate and final impacts At present
few indicators at impact level exist but the results indicators seem to harbour
distinctive levels amongst them Objectives and indicators could be better delineated
through the use of the general intervention logic for example which was developed in
the interim evaluation (Ecorys 2011) This study used the following sequence as the
basis for the objectives tree underlying the intervention logic better administration
performance leads to more effective governance that in turn will ensure a better
response to citizensrsquo and firmsrsquo needs which will eventually contribute to
competitiveness and growth in the European Union
Nevertheless a word of caution is in order here The ESF plays an important role in
providing support for SIC interventions The efforts made are large but the
performance of these interventions seems lower than desired SIC interventions were
less likely to achieve their output targets than ESF interventions in general (section
41) and evidence on quality improvements in public administrations is mixed (section
46) This lower performance may be partly explained by inexperience in target setting
for this type of activity and it does not prevent progress being made Progress is in
fact being made albeit slower in some countries and faster in others Capacity
building needs time For the newer MSs it has been a process driven largely by the
EU-accession process over a long time The 2007-2013 programming period could
have been the period during which the EU assumptions and objectives regarding the
role of modern public institutions could have become more internalised The crisis
has however been a strong counteracting force in this respect with an immediate
impact on staff and human resources development in public institutions Admittedly it
requires time and a long-term perspective for capacity building to realise its effects
and reach the top level of the objectives tree Support to countries in this process
should take into account the five key factors that influence the success of SIC
interventions management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
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Thematic EU synthesis report Strengthening Institutional Capacity
76
54 Key lessons in terms of effective implementation
Issues concerning the management of the OP or PA are often linked to the lack of
administrative capacity in the Managing Authority or Intermediate Body itself (see
Annex III) both in quantitative and in qualitative terms Significant personnel outflow
along with complicated rules and errors in the implementation process as well as
often changing rules contributed to mistakes being made in financial reporting by
beneficiaries (section 46) Vice versa an attentive MA closely monitoring and
aligning project and financial considerations will be a contributing factor to a
successful programme implementation
Other lessons concerning the implementation of ESF interventions relate to
coordination and cooperation Efficient coordination of different funded activities and
efficient cooperation between different organisations involved are factors for success
(section 463) the lack of these elements was identified as a reason for the
unsuccessful implementation of programmes Coordination is also required to avoid
overlap in activities especially when targeting NGOs or local governments as there is
a greater risk that they are being approached from multiple directions for similar
interventions Coordination or alignment of training interventions for example can
also help increase the effectiveness and sustainability of the individual interventions
Fragmentation is in turn likely to increase costs and decrease impacts
55 Key lessons in terms of monitoring
With a greater number of improved indicators it will also be possible to improve
monitoring and evaluation so that results and impacts can be better traced during the
new programming period However this is potentially at odds with the intention to
minimise the administrative burden for organisations involved in the implementation
of ESF interventions For this reason the following improvements have been
suggested
A specificity of SIC PAs and actions seems to be that they tend to cover such a
variety of activities that a comparison of financial and participantsrsquo data is
rather meaningless (section 314) The introduction of compulsory types of
indicators per type of intervention according to a classification of interventions
can be beneficial such as the pre-existing one for training the number of
participants would also help in solving this issue
Ex-ante review of output and result indicators which have been proposed by
MSs to see if they comply with SMART criteria as a minimum measurable and
time-bound
Categorisation of indicators in the SFC database with categories such as the
number of persons supported number of organisations supported number of
studies provided etc
The fields of activity mentioned under section 51 represent objectives at various
levels in the intervention logic Sometimes these fields represent expected results
from the capacity building interventions (introduction of e-government systems and
more efficient public administration) sometimes they seem more focused on impacts
directly following from these results (a business-friendly environment and less
corruption) and sometimes they focus on a specific sector (judiciary reform) They
seem to move back and forth between results and intermediate impacts or between
capacity and performance outcomes More systematic guidance on where to situate
these fields could help countries formulate better indicators for monitoring results
In order to draw conclusions it does not suffice to just have good indicators One
must also establish a benchmark against which achievements can be measured
Sometimes other interventions or countries can act as a benchmark However
additional information is sometimes required This is illustrated by the example of
gender A more direct approach would be to develop indicators or targets that include
such a benchmark such as those based on proportional participation (section 44)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
77
56 Key lessons in terms of evaluation
One of the main shortcomings encountered during this evaluation is the lack of
information on achievements (in terms of results) and on impacts
Concerning results several limitations hamper the formulation of a concise and clear-
cut assessment of achievements causality and extent to which results have been
achieved at the level These relate to the quality and availability of monitoring data
and the heterogeneity of national evaluations coupled with a broad range of
intervention logics Furthermore information from national evaluations is typically of a
more qualitative nature with less evidence-based findings and is thus not conducive
to drawing hard conclusions
The formulation of impact indicators is not mandatory and they turn out to be virtually
absent This problem is not compensated for in national evaluations
Any attempt to measure impacts must begin with the formulation of a good
intervention logic as well as an objectives tree Two approaches could be envisaged
Bottom-up measuring the impact of individual activities (actionsPAsOPs)
aggregating the evaluation findings for such individual activities (etc) and
using the indicators developed in the MSs
Formulating one or more lsquoframework intervention logicsrsquo with specific
objectives that are the compulsory final targets of any action of MSsrsquo indicators
Both approaches require further examination with regard to their feasibility The
aggregation of findings from a large number of evaluations may lead to abstract
conclusions that convey little more than a final quantitative score in the most
extreme cases they will only convey whether there has or has not been an impact
This effect can perhaps be mitigated by the agreement of guidelines on the structure
of evaluations carried out at national level With regard to the framework intervention
logic it is important to determine whether this can do justice to the individual and
specific character of the programmes in light of the national contexts This approach
may also imply that the formulation of actions must be aligned with the envisaged
specific objectives of the framework logic The current variety in programming SIC
interventions would need to be reviewed both in terms of the benefits it brings to MSs
in targeting their interventions and the drawbacks it has for evaluation
The distinction between capacity enhancement and performance indicators raised by
the World Bank Institute and their overview of capacity enhancement indicators can
help MSs formulate appropriate (results and) impact indicators
During the analysis of efficiency (section 42) it became apparent that the nature of
SIC activities makes it hard to apply the usual indicators for efficiency based on costs
per participant or institution supported In order to arrive at meaningful indicators
financial data would need to be available at activity level so that they can be linked to
a typology of activities As this seems to be too cumbersome an obligation to be
introduced into the regular monitoring system it is recommended that this should be
addressed in the national ex-ante evaluations so that synthesis evaluations can
expand upon this
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Thematic EU synthesis report Strengthening Institutional Capacity
78
References
De Koning et al (2006)
Jaap de Koning Katja Korolkova Emiel Maasland Peter van Nes With the assistance
of Marinka van de Kamp Jan Joost Kessler Evaluation of the ESF support to capacity
building Final report October 2006
Ecorys (2011)
Jan Maarten De Vet Aimar Ferran Guijarro Sacha Koppert Colm McClements
Assessment of administrative and institutional capacity building interventions and
future needs in the context of European Social Fund(VC2009066-009) April 2011
Europan Union (2010)
European Union The European Social Fund and institutional capacity of public bodies
2010
European Commission (2012)
European Commission Quality of public administration European Semester 2012 ndash
Thematic Fiche 2012
European Commission (2013)
Strategic Report 2013 ndash Programme implementation 2007-2013 Factsheet
Institutional Capacity Building Factsheet produced in support of the Commission 2013
Strategic report on cohesion policy programme implementation 2007-2013
European Commission (2013b)
Report from the Commission to the European Parliament the Council the European
Economic and Social Committee and the Committee of the Regions Cohesion policy
Strategic report 2013 on programme implementation 2007-2013 SWD(2013) 129
final
European Commission (2014)
European Commission Directorate-General for Employment Social Affairs and
Inclusion Unit E1 Promoting good governance European Social Fund thematic paper
2014
European Commission (2014b)
European Commission Reindustrialising Europe Member Statesrsquo Competitiveness
Report 2014 Commission staff working document SWD(2014) 278 2014 (chapter 2
Public administration scoreboard)
European Commission (2014c)
Guidance document on indicators Public Administration Capacity building 2014
EIPA (2013)
Guidelines for the verification process of the ex-ante conditionality of the thematic
objective ldquoEnhancing Institutional capacity of public authorities and stakeholders and
efficient public administrationrdquo Guidelines drafted by the European Institute of Public
Administration (EIPA) on behalf of DG Employment Social Affairs and Inclusion of the
European Commission Version 6 - 14 August 2013
EIPA (2014)
Alexander Heichlinger Nick Thijs Julia Bosse From Strengthening Administrative
Capacity Building (ACB) to Public Sector Innovation (PSI) Building Blocks and
Successful lsquoBridgesrsquo EIPA 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
79
Ferry (2013)
Martin Ferry The Achievements of Cohesion Policy Evidence and Methodological
Challenges from an EU 10 Perspective European Policies research Centre University
of Strathclyde May 2013
Panteia (2013)
Panteia Preparatory study for the ex-post evaluation of ESF 2007-2013 Final report
October 2013
Knott (2007)
Julian Knott the impact of the EU accession process on the establishment of
evaluation capacity in Bulgaria and Romania in International Public Policy Review
Vol 3 No 1 ndash June 2007
The Worldwide Governance Indicators 2015 Update Aggregate Governance Indicators
1996-2014 Sept 25 2015
The World Bank (2003)
Yemile Mizrahi Capacity Enhancement Indicators Review of the Literature WBI
Evaluation Studies No EG03-72 World Bank Institute
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
80
Annex I - Overview of OPs PAs and Actions explicitly addressing SIC
MS OP PA A1 A2 A3 A4 A5 A6
BG OP Human Resources Development
PA 6
Improving the effectiveness of labour market
institutions and of social and
healthcare services
61 Development and modernisation of
the labour market system
62 Strengthening the capacity of
institutions for social inclusion
and for provision of health services
BG OP Administrative Capacity
PA 1
Good governance
11 Effective Structure of the State
Administration
12 Transparency and Integrity of
the State
Administration
13 Effective Coordination and Partnership
in Policy-Making
and Implementation of Policies
14 The Administration ndash Partner of the
Business
15 Transparent and Effective
Judicial System
16 Transnational and Inter-
regional
Cooperation
BG OP Administrative
Capacity
PA 2
Human resources
management
21 Modern human resources
management in the state administration
22 Competent and effective
state administration
23 Strengthening
the capacity of the civil society structures
24 Competent judicial system and
effective human resource management
25 Transnational
and interregional cooperation
BG OP Administrative
Capacity
PA 3
Quality administrative
service delivery and e-Governance development
31 Improvement of
the service delivery to the citizens and the business sector including through e-governance
development
32 Standard information and
communication environment and interoperability
33 Improvement of
the service delivery provided by the bodies of the judiciary through development of
information technologies
34 Transnational and interregional
cooperation
CZ Operational Programme
PA 4
Public administration
41 Strengthening of
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Thematic EU synthesis report Strengthening Institutional Capacity
81
MS OP PA A1 A2 A3 A4 A5 A6
Human Resources
Development
and public services
institutional capacity and
efficiency in public administration
EE OP for Human Resource Development
PA 5
Enhancing administrative capacity
Measure ldquoEnhancement of strategic
management of the public sector and NGOsrdquo
Measure ldquoBetter regulationrdquo
Measure ldquoTraining and development of
employees of the State local authorities and NGOsrdquo
Measure ldquoSupporting county-level
support structuresrdquo
EL OP for Human
Resource Development
PA1 ldquoImproving
national public policies
modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA2 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA3 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human Resource Development
PA4 ldquoDevelopment of the human capital in the public
administration
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Thematic EU synthesis report Strengthening Institutional Capacity
82
MS OP PA A1 A2 A3 A4 A5 A6
EL OP for Human Resource
Development
PA5 ldquoDevelopment of the human
capital in the public administration
EL OP for Human Resource Development
PA6 ldquoDevelopment of the human capital in the
public administration
EL OP for Human Resource Development
PA7 Strengthening policies aiming at ensuring
equal
opportunities for all in the whole range of the public administration
EL OP for Human Resource Development
PA8 Strengthening policies aiming at ensuring equal opportunities for
all in the whole range of the
public administration
EL OP for Human Resource Development
PA9 Strengthening policies aiming at ensuring
equal opportunities for all in the whole
range of the
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Thematic EU synthesis report Strengthening Institutional Capacity
83
MS OP PA A1 A2 A3 A4 A5 A6
public administration
HU State Reform OP
PA 1
Renewal of processes and organisation
development
11 Improvement of the capacity for
self-governance and the quality of legislation
12 Renewal of procedures and work processes
as well as organisation development
HU State Reform OP
PA 2
Improving the quality of human resources
21 Establishment of open recruitment and an efficient internal
replacement
22 Performance-based career pathways
HU State Reform OP
PA 3
Developments to be attained in the Central Hungarian Region
31 Renewal of the processes and organisational development
32 The improvement of the quality of human resources
IT Campania ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies programming
monitoring and
evaluation capacities at the National regional and local level with a view to
improving territorial governance
Specific Objective P ndash Strengthen capacity of institutions and
systems for the
implementation of policies and programmes
IT Calabria ROP PA Institutional Specific Specific
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Thematic EU synthesis report Strengthening Institutional Capacity
84
MS OP PA A1 A2 A3 A4 A5 A6
7 capacity Objective P ndash Improving
policies programming monitoring and evaluation
capacities at the National regional and
local level with a view to improving territorial governance
Objective Q ndash Strengthen
capacity of institutions and systems for the implementation
of policies and programmes
IT Sicily ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation
capacities at the National regional and local level with a view to
improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation
of policies and programmes
IT Basilicata ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies
programming monitoring and
evaluation capacities at the
Specific Objective P ndash Strengthen capacity of
institutions and systems for the
implementation of policies and
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Thematic EU synthesis report Strengthening Institutional Capacity
85
MS OP PA A1 A2 A3 A4 A5 A6
National regional and
local level with a view to improving territorial
governance
programmes
IT Apulia ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation capacities at the
National regional and local level with a view to improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation of policies and
programmes
IT Governance and System Actions
(Ministry of Labour)
National OP
PA E5
Institutional capacity
Specific Objective 51 (Increasing
innovation effectiveness
and transparency of public action)
Specific Objective 52 (Improving
inter-institutional negotiation
capacities with specific reference to public-private partnerships)
Specific Objective 53 (Improving
public services standards)
Specific Objective 54 (Defining together with
Regions standards and methodologies
for managing monitoring evaluating and supporting ESF and non-ESF interventions
quality and effectiveness as
well as their reciprocal
Specific Objective 55 (Strengthening
and integrating the
environmental governance system)
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Thematic EU synthesis report Strengthening Institutional Capacity
86
MS OP PA A1 A2 A3 A4 A5 A6
complementarity)
IT Competencies for development (Ministry of
Education) National OP
PA 2
Institutional capacity
Specific Objective H (Improving Education
System Governance and Evaluation)
LT OP for the Development of Human Resources 2007-2013
PA 4
Fostering Administrative Competences and Increasing Efficiency of
Public Administrationrdquo
Specific Objective 1 Improving management of human resources
and strengthening
administrative capabilities in public service
Specific Objective 2 Improving management of activities better
implementing EU policies
improving structure of public administration
Specific Objective 3 Improving regulation of economic
activities and providing
services to people and business
LV OP Human Resources and Employment
PA 5
Administrative Capacity Building
51 Better Regulation Policy
52Capacity Building of Human Resources
53 Administrative Capacity and Development Planning Capacity
Building of
Planning Regions and Local Governments
MT OP II -
Empowering people for more jobs and
a better quality of life
PA
4
Strengthening of
institutional and administrative capacity
Supporting
public sector reform
Lifelong learning
for the Public Sector
Strengthening
the quality of employment services
Promoting a more
effective social and civil dialogue in Malta
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
87
MS OP PA A1 A2 A3 A4 A5 A6
PL Human Capital Operational
Programme
PA 5
Good governance
51 Strengthening
potential of government administration
52 Strengthening
potential of local government administration
53 Support for implementation
of the Lisbon Strategy
54 Development of the third
sectorrsquos potential
55 Development
of social dialogue
RO OP ACD ndash Operational Programme
Administrative Capacity Development
PA 1
Improving structure and processes of
public policies cycle management
11 - Improving decision making processes at
administrative and political level
12 ndash Increasing public administration
responsibility
13 - Improving organisational effectiveness
RO OP ACD ndash Operational
Programme
Administrative Capacity Development
PA 2
Improving quality and
efficiency of
public services with a focus on decentralisation
21 ndash Support for sectoral
decentralisation
of services
22 - Improving quality and
efficiency of
public services
SI OP Development
of human resources for the period 2007-2013
PA 5
Institutional and administrative
capacity
51 Efficient and effective public
administration
52 Reform of the institutions
in the labour market
SK Operational Programme
Employment and Social Inclusion
PA 4
Capacity building and
enhancement of the quality of public administration
41 Enhancement of
services quality provided by public administration and NGOs ndash activities focused
on increasing of quality and effectiveness of
the services
42 Establishing of quality
management systems in public administration and NGOs in the field of employment and
social policy ndash improvement of process
management in
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Thematic EU synthesis report Strengthening Institutional Capacity
88
MS OP PA A1 A2 A3 A4 A5 A6
provided by public
administration
public administration
was planned NOTE not implemented
UK West Wales and the Valleys ESF
Convergence programme
PA 4
Modernising and improving the quality of public
services
A = Action see section 312 for clarifications
Source Country experts based on relevant Operational Programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
89
ANNEX II Country specific recommendations in the field of SIC
2007 2008 2009 2011 20122013
BG urgently further strengthen administrative
capacity in particular focusing on key government functions including regulatory authorities and the judiciary
adopt new measures and
rapidly implement adopted measures to
substantially cut red tape and shorten procedural
delays in order to improve the business environment (in particular for SMEs and facilitating start-ups) which will also help in the fight against corruption
tackling undeclared work
by strengthening
institutional capacity to perform inspections and ensure legal enforcement
urgently further strengthen the efficiency and the
effectiveness of the public administration in particular by focusing on key government functions including the competition
supervisory and regulatory authorities and the judiciary and continue taking all measures necessary to ensure effective financial controls and
sound management of structural funds
rapidly adopt and implement
new measures to substantially cut red tape at central and local level and shorten procedural delays in order to improve the business
environment which will also help in the fight against corruption -
(low efficiency of public services quality of staff or key functions e-services)
enhance administrative capacity in key government functions and regulatory authorities in order to make
public services more effective in responding to the needs of citizens and businesses introduce measures to check
public procurement on the basis of risk assessments
strengthen the capacity of the authorities to prevent and sanction irregularities in order to improve quality and value-for-money in the use of public funds
(The use of EU funds remains low )
Complicated administrative procedures
business and regulatory environment
e-government
Step up efforts to enhance
administrative capacity and reforms by reducing red tape
and the cost of tax compliance and collection and further improving the absorption of
EU funds Improve the quality and independence of the judicial system and speed up the introduction of e-government Strengthen public administrative capacity in key transport sectors and
regulatory authorities
Ensure sound implementation
of public procurement legislation Strengthen the prevention of irregularities and effectively apply the sanctions under the Public Procurement
Law and those of the Law on Conflict of Interest
CZ speeding up progress in speeding up progress in (quality of the Czech legal (efficiency of public
ESF 2007-2013 ex-post evaluation synthesis
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90
2007 2008 2009 2011 20122013
the ICT area including by implementing and monitoring the development of a fully
enabling legal environment for e-government
meet targets for reducing the administrative burden on enterprises
further developing access
to finance for innovative companies
the ICT area including by implementing and monitoring a fully enabled legal environment for e-
government
and regulatory framework frequent and far-reaching reorganisations of PA impede its efficiency transparency of
public procurement
improve the quality of public services in areas essential for the business environment In this context speed up the
implementation of the anti-corruption strategy in line with the identified targets adopt
the Public Servants Act to promote stability and effectiveness of the public administration and revise the
Commercial Code to abolish anonymous shareholding
administration
e- services
reduction of administrative burden for businesses
Anticorruption
adoption of the new Public Procurement Act)
Adopt and implement as a matter of urgency the Public
Servants Act to promote
stability and effectiveness of the public administration to avoid irregularities
Ensure adequate implementation of the new Public Procurement Act
Address the issue of anonymous share holding
Ensure correct implementation
of EU Funds and step up the fight against corruption
EE - launching the new
immunity and leniency programme and
strengthening competition enforcement
One of the aims within the Priority Axis 5 ldquoEnhancing administrative capacityldquo of OP
for Human Resource Development was to provide more modern and efficient public services From the standpoint of the public
service training and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
91
2007 2008 2009 2011 20122013
developmental activities it was considered important to assist in the unified formation of the know-how for public
sector workers public servants and NGOs (incl social partners) as regards job skills management cooperation and coordination However the ESF did not
support directly the merging of municipalities)
- (Being limited in size the majority of local governments have difficulties to universally deliver the necessary social
health labour market transport and educational services)
- - Enhance fiscal sustainability of
municipalities while improving
efficiency of local governments
and ensure effective service provision notably through stronger incentives for merger or increased cooperation of municipalities
EL - modernises its public administration by building
up effective regulatory control and enforcement
capacities including
- implement the reform of its public administration
by building up effective regulatory control and
enforcement capacities
- implement reform of the public administration by
building up effective regulatory control and enforcement capacities with
an emphasis on simplifying
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
92
2007 2008 2009 2011 20122013
through upgrading skills so as to also ensure effective use of Structural Funds
by modernising its human resources policy and through effective use of the Structural Funds
- improve further the transposition of internal market legislation
the regulatory environment for business and citizens and reducing red tape
HU - reforms the public administration health
care pension and education systems with a view to ensuring long-term fiscal sustainability and improve economic
efficiency - further reductions of the
administrative burden on enterprises
- continue to reform the public administration
healthcare pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic
efficiency - improving the regulatory
environment through further reducing administrative burden and legislative simplification
- continue to reform the public administration health care
pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic efficiency
- PES administrative capacity - Improve the business
environment by implementing all the measures envisaged for regulatory reform and lowering administrative burdens in the National
Reform Programme
- (transparency and quality of public administration where
progress would also help in improving the stability of the institutional and policy environment)
- capacity of the PES
- Implement measures envisaged to reduce the
administrative burden Ensure that public procurement and the legislative process support market competition and ensure a stable regulatory and business-friendly
environment for financial and nonfinancial enterprises including foreign direct
investors Reduce tax compliance costs
IT - strengthening and fully implementing the system of impact assessment for proposed regulation
- improving the efficiency of regulatory environment
with particular focus on legislative simplification
- support economic activity by advancing implementation of
EU programmes financed by EU structural funds
- (to enhance the performance-orientation and accountability of the public administration
scope for removing regulatory and administrative barriers in product and services markets particularly in professional services)
- Take steps to accelerate
- (deficiencies in terms of administrative capacity continue to hamper absorption
and hence the implementation of the Plan notably in the convergence regions complex and burdensome tax administrative procedures
Although some measures have
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
93
2007 2008 2009 2011 20122013
growth-enhancing expenditure co-financed by cohesion policy funds in order to reduce the persistent disparities between
regions by improving administrative capacity and political governance Respect the commitments made in the national Strategic Reference Framework in terms of the
amount of resources and quality of expenditure
already been adopted to encourage administrative simplification the business environment in Italy remains
complex In particular the judiciary system suffers from a number of inefficiencies in terms of resource utilisation procedures and institutional organisation that are reflected
in the low performance of the Italian civil justice in particular as regards the excessive duration of case-
handling and the amount of backlogs)
- Simplify further the regulatory
framework for businesses and enhance administrative capacity Implement the planned reorganisation of the civil justice system and promote the use of alternative dispute settlement mechanism
LT - improving the efficiency
of regulatory environment with particular focus on legislative simplification
- support economic activity by
advancing implementation of EU programmes financed by EU structural funds
business environment
strengthen business inspectorates increase transparency and reduce the administrative burden on business
LV
(poor transparency complicates evidence-based local decision making)
Take measures to improve
management and efficiency of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
94
2007 2008 2009 2011 20122013
the judiciary in particular to reduce the backlog and length of procedures Take steps to improve the insolvency regime
and the mediation laws
MT - introducing systematic impact assessment and speeding up progress towards simplification of regulations
- further improving the regulatory environment by continuing simplifying legislation by introducing systematic impact assessments and effective
one-stop-shops for business start-ups
PL - improving human capital and incentives to work
- speeding-up the business
registration process - ensuring timely
implementation of the e-
government programmes - improve the transposition
of internal market legislation
- (quality of the business environment and efficiency of public administration is low)
- Establish a timetable to
simplify legal procedures involved in enforcing contracts revise construction and zoning legislation with a view to streamlining appeal procedures and speeding up administrative procedures
- (business remains high and public administration continues to lack efficiency The main areas of concern
include high compliance costs complex and unstable tax legislation weak contract enforcement lengthy and burdensome licensing Judicial proceedings and other legal actions are lengthy and there
are a relatively high number of cases pending)
RO - urgently strengthen
administrative capacity at both central and local levels of government by building up effective
regulatory control and enforcement capacity
- take rapid measures to
reduce substantially
- strengthen the efficiency effectiveness and independence of the public administration at both central and local level by building up
effective regulatory control and enforcement capacity
- in the context of a coherent
better regulation policy
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Thematic EU synthesis report Strengthening Institutional Capacity
95
2007 2008 2009 2011 20122013
administrative procedures and delays to obtain authorisations as part of a coherent better regulation
policy in order to improve the business environment which will also help in the fight against corruption
urgently implement measures to substantially reduce administrative procedures and delays in obtaining
authorisations in order to improve the business environment which will also help in the fight against corruption
SI - strengthening the enforcement of the legal framework for protecting intellectual property rights
NA NA Streamline regulated
professions and improve the administrative capacity of the Competition Protection Office in order to enhance the
business environment and attract investment
NA
SK - Reduction of
administrative burden is a must
- -Recommendations to improve the evaluation system and to stabilise the administrative
capacities improvements
in the better regulation system
- improve the regulatory
environment notably by implementing a comprehensive better regulation strategy covering both impact assessment and simplification of existing
legislation - full implementation of
one-stop-shops for start-up companies
- implement a comprehensive
better regulation strategy conduct impact assessments and continuously simplify the existing legislation while stepping up the reduction of administrative burdens on businesses particularly SMEs
(quality of the business
environment and efficiency of public administration is low)
- Establish a timetable to simplify legal procedures involved in enforcing contracts revise construction
and zoning legislation with a
view to streamlining appeal procedures and speeding up administrative procedures
(business remains high and
public administration continues to lack efficiency The main areas of concern include high compliance costs complex and unstable tax legislation weak contract
enforcement lengthy and
burdensome licensing Judicial proceedings and other legal actions are lengthy and there are a relatively high number of cases pending)
Strengthen the quality of the
public service including by
improving management of human resources Further
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Thematic EU synthesis report Strengthening Institutional Capacity
96
2007 2008 2009 2011 20122013
shorten the length of judicial proceedings and strengthen the role of the Public Procurement office as an
independent body
UK NA NA
NA NA NA
Sources own analysis of country specific recommendations
Annex III - Factors influencing success and failure of SIC interventions for individual countries per category
Management
The activation of a clear well dimensioned and recognised SIC theme management structure able to assume and carry out the oversight of the various implementing interventions and
equally important of the relations between the different actors and stakeholders (IT)
A ldquoCapacity traprdquo is often at work in weak regions SIC is affected by the same problems that should be solved This reinforces the need for a strong and result oriented governance (IT)
the constant concern of the MA for managing the programme in correlation with the available resources at the level of OP ACD The financial allocation was correlated with the specific objectives of OP ACD for each Priority Axis The financial reallocations between the KAIs of
the same PA show the concern for correlating the available financial allocations with the interest shown by potential beneficiaries and for maintaining the balance between the allocated resources and the result indicators of the programme (RO)
Lack of administrative capacity of the Intermediate Body This was demonstrated for example by a long length of the projectsrsquo evaluation process and by frequent requirements of the IB to get exceptions from the Operational Manual (CZ)
Personal fluctuation and related staffing instability of the IB in projectsrsquo administration (CA)
Finally the SROP projects have extensively involved external experts which proved not to be the guarantee of the success of the SROP projects supposing the lack of familiarity with the local administration (HU)
The low capacity level of MA OP DAC both in terms of headcount and in terms of experience and expertise The significant personnel outflows prevented the development of the OP DAC team in an adequate manner causing faults in communicating with beneficiaries and in effectively managing project implementation from the programme level (RO)
Relevance and quality of the activities for the target groups (eg relevant and high quality
trainings for different categories of civil servants) (LT)
Complicated administration of the projects and often changed rules (SK)
Huge number of mistakes in financial reporting timesheets eligible and non-eligible costs direct and indirect costs (SK)
Non-observance of deadlines by first level financial control (SK)
Strategic approach and intervention logic
Romania The analysis developed in order to support the OP ACD correctly identified the
horizontal issues affecting the Romanian public administration but its lack of focus on types of beneficiaries and target groups led to the elaboration of a programme with objectives which are difficult to quantify with a low level of prioritisation and with an untargeted implementation strategy The lack of depth of the analysis underpinning OP DAC is the weakest point in the logic of intervention of the programmerdquo For some indicators the targets
were not correctly planned due to a lack of analyses and research studies but there were also cases when the targets became unrealistic during the programming period due to the
context changes occurred Finally beneficiaries often lacked a strategic approach particularly in respect of the decentralisation process The question to be answered here is whether these problems were due to contextual factors as described above or had to do with the capacity of institutions and people the very thing the interventions were supposed to address
The approach based on calls for project ideas (for large projects) was one mechanism used
for this strategic approach which proved to be successful This approach resulted in an increased relevance to KAI considering also the contribution to meeting the specific objectives (RO)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
98
SIC requires structural and long-term strategy (IT)
Evaluation of SIC must identify a proper theory of change based on fundamental mechanisms and has to identify the structural changes in the PA (IT)
The definition and implementation of SIC theme as an internally coherent and consistent policy line and not as a sum or juxtaposition of single interventions (IT)
The ex-ante identification of few and relevant areas of interventions to tackle with an adequate funds and resources critical mass (IT)
The Public Administration(s) capacity to identify precise objectives definite implementing actions coherent instruments and coherent responsibilities for results and outputs (IT)
Well-developed intervention logic (it was a positive factor in the case of successful development of HR and a negative factor in the case of system-level reforms under PA 4 in Lithuania) (LT)
The target groups of OP DAC are generally relevant for the programme intervention logic but the lack of individualization coming out of the supporting analysis led to their identification in a rather general manner (RO)
Motivation and capacities of beneficiaries
Proper motivation of target groups (for instance in certain cases lack of motivation was one of the key negative factors affecting the results of trainings funded under PA 4 in Lithuania) (LT)
The willingness of the public sector to engage in training activities and the provision of training which is organised in a manner which caters for the need of the public sector (MT)
The evaluation points to the importance of the support of local government leaders as key issues in the success of the interventionsprojects Without strong support the projects have never been successful (HU)
Projectslsquo beneficiaries that resign from the projects lsquorealisation or cancel their projectslsquo proposals (CZ)
guarantors of the projectslsquo proposals that have not enforced implementation of their projects within their subordinate organisations (CZ)
Leadership and organisational maturity on the part of project implementersmanagers Low organisation maturity was a somewhat negative factor in HR trainings funded by ESF (a large part of trainings was implemented by private companies) At the same time it was a positive factor in the case of initiatives focusing on the improvement of internal management activities within public institutions (LT)
The ability of civil society organisations to consolidate their efforts and participate in actions is an important aspect to be addressed as the success of civil organisations depends on their ability to strengthen their capacity and networking opportunities (MT)
The low capacity of project beneficiaries in project formulation implementation and the lack general project management skills (RO)
Errors in implementation process and huge number of projects that were not completed (SK)
Cooperation and coordination
Efficient coordination of different funded activities and efficient cooperation between different institutions in implementing the changes An incomplete cooperation between institutions was
responsible for only partly successful implementation of e-governance measures (LT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
99
inter-ministerial coordination structures that not work continuously (CZ)
Context factors
PAR
The existence before ESF intervention of a clear and explicit capacity building strategy to be integrated and boosted by ESF funding (but able to go beyond ESF support) (IT)
The existence of strategic vision (at statesystem level) in relation to the implemented interventions (LT)
Legislation
Maladjustment of the applicable law to the IT projects In many cases existing regulations require the delivery of documents in paper form Therefore the introduction of electronic services was possible only partially So it is necessary to modify certain provisions as well as
identify such barriers at the stage of diagnosis (PL)
A systemic issue which also causes a significant negative impact on the low efficiency of OP DAC by the end of 2012 is the complex legislation in the area of public procurement and its different interpretation by the institutions involved in certifying and controlling the subsequent procedures (RO)
Huge number of mistakes in public procurement (often changed rules as well) (SK)
Institutional and political
The support and awareness of political authorities and institutions involved on the importance of reformschanges (LT)
Changing political environment (EL SI)
Politicised institutional environment (EL HU)
the support by politicians (SI)
Source Own elaboration on the basis of information provided by Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
100
Annex IV - Evaluations relevant to SIC interventions
The following table provides an overview of Member States evaluations that focus on ESF
SIC interventions and were an important source for the assessments made in this
chapter
Table 22 SIC related evaluations in Member States ESF 2007-2013
MS Relevant evaluations for SIC
BG OPAC Interim Evaluation Report for the period 2007-2013 first Report on the evaluation of OP AC implementation for the period January-
December 2014 May 2015
CZ Supreme Audit Office of the Czech Republic Information from the control action No
1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
Ministry of Interior (2015) Annual report on Smart Administration strategy for the period 142014 ndash 3132015 Ministerstvo vnitra Ročniacute zpraacuteva o Smart Administration
za obdobiacute od 14 2014 do 313 2015 Informace pro vlaacutedu Českeacute republiky zpracovanou 3042015
Ministry of Labour and Social Affairs (2014) Final report from the internal evaluation of the PA 4 of the OP HRE Ministerstvo praacutece a sociaacutelniacutech věciacute Zaacutevěrečnaacute zpraacuteva z interniacute evaluace provaacuteděniacute PO 4 OP LZZ
EE The evaluation of the effectiveness and the impact of the PA 5 ldquoRaising Estonian
administrative capacityrdquo CPD 2011 in Estonian
httpwwwstruktuurifondideepublicInimressursi_arendamise_rakenduskava_IARKpdf
Executive summary in English httpwwwavalikteenistuseepublicHaldusmeedeEvaluation_Report_Administrative_Capacity_Estonia_2011_-_Executive_Summary_-_Logopdf
EL Logotech-Prooptiki 2007 lsquoEx-ante evaluation of the OP Administrative Reformrsquo March
2007 Athens EEO Group-Eurotec 2013 lsquoInterim evaluation of the OP Administrative Reformrsquo
February 2013 Athens EEO Group-Eurotec 2014 lsquoField research on women non-governmental organisations
active in the fields of equality and human rights protectionrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network of improving the quality of
public services towards enterprisesrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network supporting consumers in issues
relating to indebtednessrsquo Athens
HU Final evaluation (AAM 2012) Final evaluation report on the State Reform OP 2007-2010
institutional development projects executed (Eacuterteacutekeleacutesi zaacuteroacutejelenteacutes az AacuteROP 2007-2010 koumlzoumltt megvaloacutesiacutetott szervezeti ceacuteluacute fejleszteacuteseiről) AAM Consulting November
2012 httpswwwpalyazatgovhukozigazgatasi_fejlesztesek_ertekelese Executive Summary ndashEx-post evaluation of the organisational development measures
founded by the State Reform OP AAM consulting nov 2012 (Az Aacutellamreform OP szervezetfejleszteacutesi ceacuteluacute fejleszteacuteseinek eacuterteacutekeleacutese)
SROP case DUNAUacuteJVAacuteROS (2014) Study paper on the evaluation and revision results of previous State Reform OP system development project (Tanulmaacuteny a koraacutebbi AacuteROP szervezetfejleszteacutesi projekt eacuterteacutekeleacutesi eacutes feluumllvizsgaacutelati eredmeacutenyeiről -
Eredmeacutenytermeacutekek hasznosulaacutesaacutenak eacutes horizontaacutelis szempontok eacuterveacutenyesuumlleacuteseacutenek vizsgaacutelata) Case project of the local government of DUNAUacuteJVAacuteROS (SROP - 1A5 ndash 2013-2013-0090) 2014 February 28
httpwwwdunaujvaroshusitesallfilesdokumentumokpalyazatokarop1a5dunaujvaros_korabbi_arop_felulvizsgalat_1_tanulmany_v30pdf
IT Annual evaluation reports of the Governance and System Actions OP (4 covering until
now w 2011 2012 2013 2014)
LT Evaluation of the implementation of result indicators in the Human Resources
Development Programmes priority axis 4 measures 2 and 3 2009 Evaluation of the quality and effectiveness of the training financed by the ESF 2011 Interim evaluation of the Human Resources Development Operational Programmes
priority axis 4 Final evaluation report 2013
European Union Structural Funds Investments for Human Resource Development 2015
Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
101
MS Relevant evaluations for SIC
Improvement of Public Management in Lithuania 2014
LV Ongoing evaluation started in 2014 Impact evaluation of 151 Better Regulation
Policy and 152Capacity Building of Human Resources
lsquoImpact evaluation of the activities implemented under the Operational Programme ldquoHuman Resources and Employmentrdquo and Operational Programmersquos Compliment measures 151 ldquoBetter Regulations Policyrdquo and 152 ldquoStrengthening Capacity of Human Resourcesrdquo during the 2007 ndash 2013 programming periodrsquo 2015 httpwwwesfondilvuploadPetijumi_un_izvertejumigala-zin_pec-saskanosanas-sanaksmes_081015pdf
MT Thematic Evaluations presentations PWC dated October 2014 and May 2015 available
at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx The Thematic Evaluation is not published
PL Assessment of the level of achievement the HC OP main and specific objectives as well
as impact of the ESF funds on results accomplished within specific areas of intervention ndash II thematic report (2015) - The main goal of this research was to assess the contribution by ESF funds to the results achieved within specific areas of intervention and their impact on the social and economic changes in Poland (including the level of satisfaction in the population living in the areas receiving support)
Evaluation of the indicator named Gender Index in the institutions participating in the
implementation of the HC OP (2011) ndash Main topics Recruitment releases remuneration promotion training and development work-life balance and prevention of mobbing and sexual harassment - measured in the HC OPrsquos implementing institutions
Evaluation of barriers and legal gaps in the effectiveness of the European Social Fundrsquos support (2013) - legal system of a country and its coherence with ESF requirements
opportunities and provisions Public administration - effective and modern (2011) - achievement of Measures
objectives with regard to capacity of public administration possible strengthening of its potential and modernisation of management system and structure
RO Second interim evaluation OP ACD 2010-2012 - Second evaluation OP ACD 2013 Performance evaluation of OP ACD management and implementation ndash OP ACD
performance evaluation 2015
SI The institutional evaluation of the ESRS (Employment Service of the Republic of
Slovenia) 2012
The institutional evaluation of the ESRS (Employment Service of the Republic of Slovenia) is not considered in this evaluation as it is not related to ESF financing It
evaluates however the effectiveness and efficiency of processes analyses obstacles to effective provision of services and proposes 12 indicators for the monitoring of the processes
SK Possibly relevant evaluations mentioned in EEN-INV_SK but not available on internet
(planned probably not realised) 1) Final Evaluation of Implementation of OP Employment and Social Inclusion (beginning planned in 2014 end planned in 2015 not
available in time for this study) Evaluation of Improvement of Human Resources Quality and Management in Public
Administration and NGOs (end of the evaluation was planned in 2012 not made available in time for this study)
UK Thematic Evaluations of the 2007-2013 Structural Funds Programmes in Wales
including Modernising Public Services (ESF Convergence Priority 4)
Source Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
102
HOW TO OBTAIN EU PUBLICATIONS
Free publications
bull one copy
via EU Bookshop (httpbookshopeuropaeu)
bull more than one copy or postersmaps
from the European Unionrsquos representations (httpeceuropaeurepresent_enhtm)
from the delegations in non-EU countries
(httpeeaseuropaeudelegationsindex_enhtm)
by contacting the Europe Direct service (httpeuropaeueuropedirectindex_enhtm)
or calling 00 800 6 7 8 9 10 11 (freephone number from anywhere in the EU) () () The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
Priced publications
bull via EU Bookshop (httpbookshopeuropaeu)
Priced subscriptions
bull via one of the sales agents of the Publications Office of the European Union
(httppublicationseuropaeuothersagentsindex_enhtm)
doi[102767271126]
[KE-0
2-1
6-9
29-E
N-N
]
EUROPEAN COMMISSION
Directorate-General for Employment Social Affairs and Inclusion
Directorate G mdash Audit and Evaluation
Unit EMPL G4 mdash Evaluation and Impact Assessment
E-mail EMPL-G4-UNITeceuropaeu
European Commission B-1049 Brussels
ESF 2007-2013 ex-post synthesis evaluation
Synthesis EU thematic report Strengthening Institutional Capacity
Directorate General for Employment Social Affairs and Inclusion
ESF 2007-2013 Ex-post
Evaluation Synthesis
Thematic EU Synthesis Report
Strengthening Institutional Capacity
LEGAL NOTICE
This document has been prepared for the European Commission however it reflects the views only of the authors and the Commission cannot be held responsible for any use which may be made of the information contained therein
More information on the European Union is available on the Internet (httpwwweuropaeu)
Luxembourg Publications Office of the European Union 2016
copy European Union 2016
Reproduction is authorised provided the source is acknowledged
ISBN [978-92-79-61657-0]
doi [102767271126]
Please quote this report as Metis GmbH (2016) 2007-2013 ESF 2007-2013 Ex-post Evaluation Synthesis
Thematic EU Synthesis Report Strengthening Institutional Capacity for the European Commission Directorate-General Employment Social Affairs and Inclusion The opinions expressed are those of the Contractor only and do not represent the Commissionrsquos official position
Europe Direct is a service to help you find answers
to your questions about the European Union
Freephone number ()
00 800 6 7 8 9 10 11
() The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Glossary of key concepts
Access to Employment
(A2E)
A key policy area in the ESF focused on enhancing access to
employment and the sustainable inclusion in the labour market
of job seekers and inactive people preventing unemployment
in particular long-term and youth unemployment encouraging
active ageing and longer working lives and increasing
participation in the labour market A2E is one of the Priorities
of Article 3 ldquoScope of assistanceldquo of the ESF Regulation No
10812006
Action The second level in the OP architecture usually the Priority Axis (see below) consists of several actions
Adaptability A key policy area in the ESF consisting of activities to increase the adaptation of workers and enterprises to the changing economic circumstances and labour market demands - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
Allocated expenditure Expenditure allocated to the ESF activities during the programming stage of the Operational Programmes
Annex XXIII categories The socio-economic characteristics of ESF participants reported in the ESF monitoring systems relating to the participant gender labour market status (employed (of which self-employed) unemployed (of which long-term unemployed) inactive of which in education and training) age (young people aged 15-24 and older people aged 55-64) disadvantaged status (migrants minorities disabled other disadvantaged)
and educational attainment status (by ISCED levels)
Category of expenditure (CoE)
Categorisation of the Structural Fund expenditure cf ANNEX IV of COUNCIL REGULATION (EC) No 10832006 of 11 July 2006 ESF expenditure relates to Categories 62 to 74
Certified expenditure Expenditure incurred in the implementation of the ESF activities which has been approved by the Managing Authority
of the Operational Programme and the European Commission
Cluster A group of actions or interventions with common objectives and activities
Community added value (CAV)
The extent to which the ESF activities provided effects additional to the national regional activities
Convergence region NUTS level 2 regions in the EU Member States whose gross domestic product (GDP) per capita was less than 75 of the
average GDP of the EU-25 for the same reference period
Effectiveness The extent to which the set aims and objectives have been reached
Efficiency The comparison between the achieved outputs and results and the costs incurred
Gender sensitivity The extent to which the planning design implementation and monitoring reflects the gender issues
Human capital (HC) A key policy area in the ESF consisting of activities to develop the skills and knowledge of human resources across the different stages of the education and training system cycle
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
this theme is subject to another thematic evaluation - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
ISCED International Standard Classification of Education an
international standard classification used to classify the education levels
1 Primary education
2 Lower secondary education
3 Upper secondary education
4 Post-secondary non-tertiary education
5 Short-cycle tertiary education
6 Bachelor or equivalent
Intermediate Body (IB) The organisation charged by the Managing Authority to implement the ESF funds in the OP
Intervention The third level in the OP architecture usually the Actions in the OP consist of several interventions
Managing Authority (MA) The institution in each Member State OP responsible for the
strategic direction and financial management of the OP
Multi-Objective OP An OP in which both RCE and Convergence regions participate
Operational Programme (OP)
The means through which the ESF support was implemented in the Member States as agreed between the European Commission and the Member States Each OP consists of several Priority Axes which in turn consist of several actions
which in turn consist of several interventions
Output The immediate reach of the ESF activity (eg number of participants reached number of schools or enterprises supported)
Participant The person who participated in the ESF funded activity
Priority Axis (PA) The first level in the OP architecture usually the OP consists of several Priority Axes (concepts of priorities areas and others
are also used in the OPs) which in turn consist of several actions and each action of several interventions
Project promoter The organisation in charge of implementing specific ESF funded projects
Promoting Partnerships (PP)
Policy area focused on partnerships pacts and initiatives
through networking of relevant stakeholders such as the social
partners and non-governmental organisations at the
transnational national regional and local levels in order to
mobilise for reforms in the field of employment and labour
market inclusiveness PP is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006
Regional competitiveness and employment objective
(RCE)
NUTS level 2 regions in the EU Member States whose GDP per capita was above 90 of the average GDP of the EU-25 for
the same reference period
Result The change achieved through the activity leading to long term achievements of ESF activities (eg number of qualifications
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
acquired by participants number of enterprises providing training)
Social Inclusion Refers to a wide range of issues and activities covering
aspects such as fundamental rights access to adequate
income support and quality services From the perspective of
ESF SI interventions the most common strand of activity in
the Recommendation is that relating to inclusive labour
markets This focus is also echoed in the ESF Regulation
where the SI priority focuses on inclusion into the labour
market as the best means of integrating individuals into
society and of combatting social exclusion SI is one of the
Priorities of Article 3 ldquoScope of assistanceldquo of the ESF
Regulation No 10812006
Strengthening Institutional Capacity
A key policy area focussing on the efficiency of public
administrations and public services at national regional and
local level by promoting mechanisms to improve good policy
and programme design monitoring and evaluation and
capacity building in the delivery of policies and programmes in
the relevant fields SIC is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006 and
is the object of this evaluation
Sustainability The extent to which the achieved results last
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Acronyms
A2E Access to employment and sustainable integration into employment
AIR Annual Implementation Report
CAV Community Added Value
CoE Category of expenditure
CSR Country Specific Recommendation
EC European Commission
EEN Expert Evaluation Network
ESF European Social Fund
EU European Union
HC Human Capital
LTU Long Term Unemployment
MA Managing Authority
MS Member State
NGO Non-governmental organisation
OP Operational Programme
PA Priority Axis
PAR Public Administration Reform
PES Public Employment Service
SFC Structural Funds Common Database
SIC Strengthening Institutional Capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Table of contents
Executive Summary i
1 Introduction 6
11 Background 6
12 Objectives 6
13 Scope 7
14 Methodological Approach and information sources 7
15 Structure of the report 7
2 Key SIC challenges and policy directions in the EU in the 2007-2013
programming period 9
21 Evolution of the institutional capacity building focus 9
211 The origins of institutional capacity building support 9
212 Good governance as a deciding factor for competitiveness and cohesion 9
213 Definitions and concepts 10
22 Capacity building and ESF 11
3 Overview of key ESF SIC investment features in the 27 Member States 13
31 Links to the national and EU policy priorities main activities and target
groups 13
311 Links to the national and EU policy directions 13
312 Key characteristics of activities and target groups at EU and MS level 17
313 Key characteristics of specific dimensions and categories 19
314 Structures and processes 20
315 Human resources 24
316 Tools 27
32 The overall strategy for ESF SIC investment 28
33 The impact of the economic crisis on ESF SIC priorities actions and funding
(EU-27) 33
34 The ESF expenditure in the area of SIC 34
341 Overall funding levels 34
342 Programmed expenditure on Category of Expenditure 81 36
4 The effectiveness efficiency sustainability gender sensitivity community
added value and the socio-economic impact of ESF SIC investment in the 27 Member
States 39
41 The effectiveness of ESF SIC interventions 40
411 Progress in the financial implementation of ESF SIC 40
412 Types of output and result indicators selected by the OPs 44
413 Overall achievements 46
414 Achievements in specific fields of activity 48
415 Effectiveness 49
416 Reaching the different target groups 53
42 Efficiency 56
43 The sustainability of ESF SIC interventions 57
44 Gender sensitivity of ESF SIC interventions 58
45 Community added value of ESF SIC interventions 60
451 Volume effects 60
452 Scope effects 61
453 Role effects 62
454 Process effects 62
46 The socio-economic impact of ESF SIC 63
461 Impact indicators and evidence from national ESF evaluations 63
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
462 Impacts in relation to changes in the quality of administrations65
463 Key factors determining success or failure 68
5 Overview of key lessons learned 72
51 Key lessons in terms of policy choices 72
52 Key lessons in terms of target groups 74
53 Key lessons in terms of appropriate programming 74
54 Key lessons in terms of effective implementation 76
55 Key lessons in terms of monitoring 76
56 Key lessons in terms of evaluation 77
References
Annex I Overview of OPs PAs and Actions explicitly addressing SIC
Annex II Country specific recommendations in the field of SIC
Annex III Factors influencing success and failure of SIC interventions for individual
countries per category
Annex IV Evaluations relevant to SIC interventions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
List of figures and tables
Figure 1 SIC in OPs and PAs 29
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of funds
allocated to SIC-related Priority Axes over total ESF budget) 35
Figure 3 Budget allocated to expenditure category 81 per MS 36
Figure 4 Government effectiveness 65
Figure 5 Regulatory quality 66
Figure 6 Rule of law 67
Figure 7 Key factors for success and failure mentioned for MS 69
Table 1 Institutional capacity objectives tree for ESF 11
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP 14
Table 3 CSR addressed under SIC interventions by MS 15
Table 4 Contribution of ESF SIC interventions to MS policies 16
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category 18
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS) 19
Table 7 Characteristics of SIC actions 20
Table 8 Countries covered in programming and expenditure based analyses 30
Table 9 Overview of SIC dedicated OPs and PAs by MS 31
Table 10 ESF SIC investment and over total ESF (total funding) 35
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS 37
Table 12 SIC and overall ESF implementation rate () by MS (31 December 2014)
40
Table 13 Share of the budget spent per SIC relevant PA43
Table 14 Target setting and achievement for outputs SIC and ESF 50
Table 15 Achievement of output targets for SIC and all ESF interventions 50
Table 16 Target setting and achievement for results SIC and ESF 51
Table 17 Achievement of results targets for SIC and all ESF interventions 52
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014) 54
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women
participants55
Table 20 Funding per participation for SIC related OPsPAs 56
Table 21 Examples of tentative impact evaluations 64
Table 22 SIC related evaluations in Member States ESF 2007-2013 100
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
i
Executive Summary
Key findings
EU-28 Member States (MS) allocated euro2419 million to Operational Programmes
(OPs) or Priority Axes (PAs) that were dedicated to Strengthening Institutional
Capacity (SIC) objectives This includes funding from national (public and private)
sources as well as the amount of co-funding foreseen from the EU
As of the 311220141 693 of SIC allocated funding at EU-27 level was spent
compared to 793 of total ESF budget which demonstrates that on average
fewer SIC funds have been spent in relation to overall ESF funding The economic
crisis contributed to budget reductions or lower impact in several MS
Almost 14 million participations were reported to have been involved in SIC-
related interventions
Almost all participants are employees of beneficiary institutions the majority
are women (64) and well educated (ISCED 5 and 6)
Most countries used ESF to provide additional funding for good governance to
test new and innovative activities to reach new target groups and to
improve public administration service and delivery systems and methods
In doing this they responded to the issues identified by Country Specific
Recommendations in the SIC field
At least 17000 training programmes were developed while 4000 studies
campaigns public consultations reviews (laws procedures) and reports have been
implemented amongst other actions At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures
including client centres or regional offices
ESF contributed to reforms of the judiciary system improved access to e-
government services a better business environment and a better
management of public administrations in general
Introduction
This report analyses how the theme of strengthening institutional capacity (SIC) was
integrated in the ESF 2007-2013 programming in EU-27 MS how it was implemented
and what its main achievements were with a view to determining the key lessons
learned and recommendations for ESF programming and implementation
Strengthening institutional capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
10812006 which only covers Convergence regions describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo With the support for SIC a more horizontal
approach to capacity building was introduced in the 2007-2013 programming which
1 It is to be noted that according to the Regulation expenditure of the 2007-2013 period is eligible if incurred by 31122015 which is why the current report does not cover the last year of implementation Final data on spending participants and results are then higher than the ones reported
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
ii
complemented the existing institutional capacity support provided in other policy
fields Notable areas where this was the case include employment education and
social inclusion as well as in the implementation of the structural funds themselves
(technical assistance)
Programming of SIC under the ESF
During the 2007-2013 programming period 14 MSs included Priority Axes
dedicated to SIC interventions in their ESF programming (the report does not
cover Croatia due to late start of ESF activities upon accession to EU) Four of them
(BG EL HU RO) have explicitly dedicated one OP to institutional capacity building
The remaining ten countries (CZ EE IT LT LV MT PL SI SK UK) have OPs with
one or more PA dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting SIC
Most OPs are national but in Italy (5 out of 7) and in the United Kingdom there are
also regional OPs
ESF SIC investment is closely linked to SIC-related challenges in the relevant MS
and the corresponding Country Specific Recommendations (CSR) that the European
Commission issued during the programming period Besides a general need for
improved effectiveness and efficiency of public administrations recurring themes in
the CSRs are simplifying the regulatory system and improving the business
environment Other themes include the introduction of e-government reforms in the
judiciary sector and anti-corruption policies and public procurement regulation and
practices Most of the individual CSRs were explicitly addressed by ESF SIC
interventions
Capacity building under the SIC theme addressed structures and processes as well as
human resources Some 70 of actions at the level between PA and the actual
interventions addressed structures and processes The horizontal approach under
SIC enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and management
strengthening quality assurance or the role of the regional or local level in policy
development and implementation In the majority of actions organisational changes
address national local or regional levels by optimising the structures of the central
district and municipal administration An almost equally high share of the actions
addressed the development of human capital This included staff capacity building
interventions as well as the development and implementation of human resources
management strategies Developing human resource management under ESF covers
several areas including recruitment staff motivation systems for accreditation of
public servants internal mobility gender mainstreaming and mutual learning ESF
SIC also supported the development of tools related to e-government and helped
improve monitoring and evaluation systems While most activities seem to target the
public sector as a whole some focus on a specific policy sector such as the judicial
system
In capacity building interventions the target group is typically the staff of the
beneficiary organisations
Financial programming and implementation
In the EU-28 a total of euro2419 million was allocated to OPs or PAs that were dedicated
to SIC objectives This constitutes 21 of total allocated funding under ESF and 4
of funds available in convergence regions and includes funding from national (public
and private) sources as well as the amount of co-funding planned from the EU This
sum includes euro10 million allocated in Croatia whose interventions do not fall under
the scope of the present study The highest absolute levels of SIC allocation are found
in EL and PL while countries that allocate the highest share to SIC relative to their
overall ESF budgets (over 12) are BG and LT followed by MT and SI
The total amount of certified eligible expenditure by the end 2014 was euro167 million
This constitutes 693 of SIC allocated funding at the EU-27 level For comparison
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iii
the implementation rate (level of spending) for the total ESF budget of SIC allocated
funding amounted to 793 Implementation rates differ considerably between
countries and PAs It is worth mentioning that the lack of adequate administrative
capacity of beneficiaries might have contributed to the low absorption of ESF SIC
investments in these MSregions according to the so-called ldquocapacity traprdquo effect
Effectiveness and impacts
In total 14 million participations were registered in SIC related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training These participations result in a set of
characteristics which is very different from other ESF priorities as almost all
participants are employees and most of the participants in SIC interventions (57)
are well educated (ISCED 5 and 6) Participants in SIC interventions are older than
ESF participants on average Young people (15-24) are strongly under-represented
(4 for SIC interventions versus 31 for ESF as a whole) The majority of
participants are women (64)
In terms of outputs during the 2007-2013 programming period 17000 training
programmes were conducted and 4000 studies campaigns public consultations
reviews (laws procedures) reports etc implemented Some 95000 organisations
institutions were involved in SIC-related interventions The organisations that the ESF
supported besides public administrations include bodies of the judiciary county level
government offices boards of public benefit activities at the regional level and
municipalities Other outputs include at least 1500 projects or activities launched
some 250 guides and guidelines produced and 150 new structures established
including client centres or regional offices
The results achieved through ESF SIC funding during the 2007-2013 period vary
Approximately 512000 individuals gained a qualification 87000 reported other
positive results some 2000 entities or organisations were established or recorded
other positive results and more than 1700 productssystemstools were developed It
should be mentioned however that due to data limitations it was not possible to
aggregate all results as reported in the AIR of ESF programmes and as a consequence
this leads to systematic underreporting of the results of ESF
ESF supported interventions helped to reduce the administrative burden for citizens
and businesses and contributed to the production of better quality policies and
legislation Management systems and practices were changed to incorporate modern
human resource management and planning techniques The support for developing
institutional capacity also contributed to achievements in specific policy areas such as
equal opportunities environmental policies and the social dialogue
Four fields of activities were analysed in more depth during the study
Strengthening of the judiciary was supported by activities including the training of
magistrates or employees of judiciary offices and the introduction of court case
management systems These activities resulted in a reduction of the duration of
judicial procedures in several countries (SI PL) The effectiveness of judiciary bodies
and offices was also increased in terms of management and quality assurance HR and
provision and equipping judiciary staff dealing with economic cases Strategic
planning and management was improved (EL LT LV and PL) by increasing the
number or the share of public administration offices that implemented management
systems and quality assurance processes Increasing the number of services available
to citizens and businesses online and training public administration staff to use them
properly were a means to achieve MS ambitions in the field of e-government
Improving the environment for businesses was achieved by shortening the time
needed for setting up or registering a business and decreasing administrative costs
Other achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iv
Information on impacts is available for six countries only Typically this information
is of a more qualitative nature and does not permit hard conclusions to be drawn
According to World Bank data improvements in the quality of public administrations
occurred between 2007 and 2014 especially in the field of government effectiveness
and rule of law The perception of regulatory quality improved in several countries
particularly the three Baltic States as well as in Poland and Romania It is to be
expected that ESF has contributed to these changes However this causal relationship
can only be established through impact assessments and evaluations The evidence
available at this point is insufficient to draw conclusions in this respect
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by various countries (CZ EL HU IT LT MT
RO SK) Rapid changes in government politicised institutions and lack of political
support were all cited as impediments to the effectiveness of SIC interventions
Other evaluation findings
The findings regarding four further evaluation criteria are as follows
Efficiency Available information does not allow conclusions regarding the
efficiency of SIC interventions The assessment of efficiency is hampered by the
fact that the outputs of various activities are not defined in terms of the
number of persons or objects
Sustainability SIC interventions sustainability refers to both the continuation
of funded projects (with or without EU funding) and the achieved results in
terms of increased empowerment and adaptation to new needs as they
develop The sustainability of SIC interventions is particularly dependent on the
context in which they are implemented and which these same interventions aim
to support
Gender sensitivity Gender equality is seldom targeted directly by SIC
interventions through positive actions However in some countries SIC
interventions were designed in such a way that in their implementation at
least women and womenrsquos interests are taken into account or possibly
furthered SIC interventions typically have more female than male participants
For most countries this reflects the over-representation of women in public
institutions
Community added value The main effect from ESF SIC support is a volume
effect This effect has been even greater than it otherwise would have been due
to the impact of the financial crisis on MS budgets ESF has also added value by
broadening the scope of the interventions undertaken by MSs or by putting
administrative capacity on the agenda SIC funding played a relevant role in
supporting the introduction and testing of innovative tools or systems such as
the introduction of e-government
Overview of key lesson learned
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe
2020 Strategy might be further enhanced by specifying the more relevant fields
of ESF SIC support such as e-government or business-friendly administration
The institutional and political context remains a key success and risk factor for
capacity building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are
important factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to
capacity building as well as a well-defined intervention logic are required by
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
v
MS Programming should go well beyond the specific objectives and into the
realm of intermediate and final impact Support provided to countries should
consider the five key factors that influence the success of SIC interventions
management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
New programmes need to make sure that results and impacts whose
sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or
PA are often linked to a lack of administrative capacity in the Managing
Authority or Intermediate Body both in terms of the number and qualifications
of staff Significant personnel turnover and frequent changes in staff
contributed to mistakes being made in financial reporting by beneficiaries
which was further hampered by complicated and often-changing rules and
errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review
ex-ante the output and result indicators proposed by MS to see if they comply
with SMART criteria apply a categorisation into common output and result
indicators in the SFC database More systematic guidance on the difference
between indicators for capacity enhancement performance and impact
indicators could help countries formulate better indicators for monitoring
results In addition a benchmark is needed against which achievements can be
measured
Evaluation Fields of activities as found in the CSRs for example could
provide a starting point for the development of impact indicators for ex-post
evaluation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
6
1 Introduction
11 Background
This report is for Task 3A Thematic EU Synthesis Reports of the ldquoESF 2007-2013 Ex-
Post Evaluation Synthesisrdquo (Contract No VC20150098)
The purpose of the Ex-Post Evaluation is to synthesise and update the results of three
ESF thematic ex-post evaluations that were launched by DG EMPL during 2014 and
covered the following ESF Priorities Adaptability and Human Capital (grouped under
the ex-post evaluation Investment in Human Capital) Supporting the Integration of
Disadvantaged Groups into Labour Marked and Society (Social Inclusion) and Access
and Sustainable Integration into Employment (Access to employment) Under Task 3A
the Synthesis shall provide a supplementary evaluation of the ESF Priorities
lsquoStrengthening Institutional Capacityrsquo (ESF Reg 10812006 Art 32b) - the present
report - and - lsquoPromoting Partnershipsrsquo (Art 31e) which is presented in a separate
document These priorities were not covered by separate services and therefore
providing the key information needed in order to compile the EU synthesis report
covering all the ESF Priorities
Strengthening Institutional Capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
108120062 only covers Convergence regions and describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo
Strengthening institutional capacity was a new theme introduced for the 2007-2013
period Until then capacity building was supported for specific sectors notably
employment social inclusion and education and for the implementation of the
structural funds themselves (technical assistance) With SIC a more horizontal
approach was introduced that aimed at improving good policy and programme design
monitoring and evaluating a variety of activities and supporting capacity building in
the delivery of policies and programmes Specific fields supported by ESF SIC include
strategic planning and management support to the judiciary sector e-government
and promoting a business-friendly environment
This thematic report builds upon the knowledge and information collected during the
previous tasks of the synthesis evaluation particularly the Country Synthesis Reports
(CSR) that provide information on each and every ESF policy priority including a
summary overview of the Strengthening Institutional Capacity priority
12 Objectives
This thematic synthesis report provides an overview of the implementation of the ESF
Priority SIC at EU level in terms of implemented actions financial resources
participants outputs and results The report also illustrates how resources have been
used the effectiveness of implemented interventions (in terms of results) and
efficiency measured in terms of financial resources spent in order to achieve them
2 Regulation (EC) No 10812006 of the European Parliament and of the Council of 5 July 2006 on the European Social Fund and repealing Regulation (EC) No 17841999
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
7
The report also aims to provide an assessment of the sustainability community added
value and contribution to gender equality of the SIC priority thus feeding the most
relevant lessons learned and conclusions of the analysis
13 Scope
In total 14 of the EU-27 MSs defined one or more ESF OPs that have one or more
Priority Axes (PA) that predominantly address SIC (in total 34 SIC-related PAs in 21
OPs)3 A full list of these Priority Axes is presented in Annex I The programmes
covered the period between 1 January 2007 and 31 December 2013 with operations
continuing until 31 December 2015 However the evaluation could only draw on 2014
data reported by the MSs in the Annual Implementation Reports (AIR) submitted to
the Commission by 30 June 2015
14 Methodological Approach and information sources
The identification of Priority Axes relevant to SIC was based on the Preparatory Study
of the Ex-post evaluation of the ESF 2007-2013 the ESF Expert Evaluation Network
reports and the three ex-post thematic evaluations This selection was used as the
main reference to identify MSs and OPs with Priority Axes relevant to this field this
selection was further refined over the course of Task 2 ndash Country Synthesis Reports
For these PAs an analysis of the participants was carried out (Annex XXIII data) as
well as of the groups of outputs and results achieved by the ESF Each MS has to
report on these in the AIR and they can be extracted from the System for Fund
Management in the European Union (SFC2007)
Country experts in the relevant MSs were asked to review and integrate SFC data
(based on AIRs) if necessary Most importantly experts were asked to fill in country
templates enabling the assessment of the main activities of SIC that have been
carried out under the selected OPs for this report Also any other relevant information
such as the sustainability of the activities and results the contribution to gender
equality the community added value (CAV) the key success and failure factors and
the main lessons learned These templates were to be completed based on the
expertrsquos own assessment information drawn from the Operational Programmes and
AIRs 2007-2014 relevant evaluations or other sources of information available at
national level and in some cases through ad-hoc interviews with Managing
Authorities (MA)
The Country Synthesis Reports and templates filled in by country experts were a key
information source as the SIC Priority covers a relatively small share of ESF resources
SIC differs from the other priorities as it is not directly focused on educationtraining
or employment-related objectives for individuals but rather focuses on strengthening
structures and entities directly or indirectly involved in implementing such objectives
For this reason available quantitative data may not be representative of the relevance
and effectiveness of related interventions which is why additional qualitative
information had to be collected
15 Structure of the report
The report begins by reviewing briefly the background and content of the theme
(Chapter 2) Chapter 3 links SIC interventions to national and EU policies and
3 Please note that this could be a PA but in some cases also sub priorities when a PA is split up across more than one ESF theme
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
8
explains and analyses the activities foreseen It goes on to describe how SIC related
interventions are integrated into the ESF programming by MSs and the subsequent
impact of the economic crisis on the actual implementation Finally this chapter
discusses the financial performance Chapter 4 focuses on the evaluation criteria (ie
effectiveness efficiency sustainability gender sensitivity community added value and
socio-economic impact) The conclusions of the above analyses are presented in the
final chapter (Chapter 5) in terms of the lessons learned in six areas
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
9
2 Key SIC challenges and policy directions in the EU in the 2007-2013 programming period
Key findings
The quality of public policies and their implementation has been on the European
agenda since the beginning of the century It was also a key issue in the
preparation of countries for EU accession and the support the EU provided to them
amongst others in the framework of the PHARE programme
The modernisation of public administration was identified as one of the five
priorities in the Commissionrsquos recent Annual Growth Surveys Between 2012 and
2014 around 20 countries have been receiving country specific recommendations
related to public administration every year
Three dimensions of institutional capacity can be identified structures and
processes human resources systems and tools
Article 32b of ESF 2007-2013 Regulation identifies SIC as one of the five ESF
priorities focusing exclusively on Convergence regions
21 Evolution of the institutional capacity building focus
211 The origins of institutional capacity building support
The concept of institutional capacity owes much to the work conducted in the
framework of development aid According to De Koning et al (2006) the term
capacity building was introduced in the late 1980s It has various predecessors
though with the concept of institution building arising as early as the 1950s
It was also a key issue in the preparation of countries for EU accession and the
support the EU provided to them amongst others in the framework of the PHARE
programme It was recognised that only by developing appropriate administrative and
judicial structures would the new or adapted legislation be implemented effectively
(European Union 2010 p 16-17) The PHARE programme and the instrument for
pre-accession assistance (IPA) as of 2007 the Technical Assistance and Information
Exchange instrument (TAIEX) and Twinning have helped accession countries to
increase their institutional capacity After accession further support was deemed
necessary in this area and the ESF became the new vehicle for delivering it (European
Union 2010 p 18)
According to Ferry (2013) institutional capacity has remained an issue for Cohesion
policy in these countries His literature review revealed that there are many absorption
challenges faced by EU-10 countries both during and after accession Administrative
reforms and institutional instability were impeding the effectiveness of management
and implementation systems The collection and analysis of monitoring data has also
greatly suffered from this as did the implementation of ESF Ferry refers to a number
of issues in particular ldquoadministrative capacity weaknesses in managing authorities
(MA) lack of funding shortages of administrative resources high staff turnover lack
of political steer and administrative complexitiesrdquo (Ferry 2013 p 30)
212 Good governance as a deciding factor for competitiveness and cohesion
The quality of public policies and their implementation has also been on the European
agenda since the beginning of the century In the early 2000s the European
Commission identified the reform of European governance as one of its four strategic
objectives This entailed adapting European institutions and increasing the coherence
of its policies The Lisbon Treaty (ratified at the end of 2009) supported this by giving
a stronger role to the European Parliament and national parliaments and more
opportunities for citizens to have their voices heard The Lisbon Treaty also underlines
the importance of public services in MSs for social and regional cohesion it also
included key principles for action to promote effective services of general economic
interest Subsequently the Europe 2020 strategy for smart sustainable and inclusive
growth builds on this and emphasises the modernisation of labour markets and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
10
enhancing the performance of education systems The modernisation of public
administration was identified as one of the five priorities in the Commissionrsquos recent
Annual Growth Surveys Between 2012 and 2014 around 20 countries have been
receiving country specific recommendations related to public administration every
year4
The reason for making institutional capacity a priority across the European Union is
that it is assumed to promote competitiveness eg through a stable business
environment and lower regulatory and administrative burdens This will also help
increase employment levels along with the number of stable and high quality jobs It
can also be argued that increased administrative capacity will foster social inclusion
and social cohesion Increased revenue from taxation and social security contributions
from well-functioning economies as well as government services operating more
efficiently will allow the maintenance of adequate levels of social protection It will in
brief increase productivity and in the economy improve the quality of the design and
implementation of policies for growth and employment and is the basis for good
governance (European Union 2010)
The European Union has been systematically and actively promoting public
administration reforms (PAR) in central and Eastern European countries both during
and after the accession process These MSs are part of an EU-wide effort of
modernising Public Employment Services (PES) and other institutions in the field of
labour social and educational policies which are supported under the Human Capital
and Access to Employment priorities (and are covered by the relevant thematic
evaluations)
213 Definitions and concepts
A number of dimensions of capacity building can be emphasised De Koning et al
(2006) identify investment in the human capital of individuals group-oriented
development organisational development or institutional development Building on
the classification applied by the World Bank the Ecorys (2011) report identifies three
dimensions that have since been used in various sources These concern structures
people and tools and are as follows
Structures relate to legislation delivery and development structures as well as
overall coordination cooperation and partnership
Human resources area include competence gaps (especially among senior and
line managers) staff turnover lack of HR policies (especially of modern HR
management approaches) lack of employee engagement and rigorous
application to tasks and in some cases a focus on narrow specialisms rather
than on broader management and public service competences
Systems and tools include the use of ICT and its embeddedness in
organisational processes the management of information systems finance
monitoring and evaluation and the state of play with regards to performance
management and the management of workloads
4 For more information see httpeceuropaeueurope2020making-it-happencountry-specific-recommendationsindex_enhtm
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
11
De Koning et al (2006) also distinguish different types of interventions that may be
used in capacity building projects and programmes knowledge skills tools and
equipment
22 Capacity building and ESF
The ESF thematic paper on promoting good governance highlights the importance of
having high quality public administration for economic prosperity as well as the well-
being of societies and their citizens (European Commission 2014)
For the 2007-2013 programming period three articles of the ESF Regulation (EC
10812006) are of particular relevance to capacity building
Article 31b addresses both the Convergence and the Regional
Competitiveness and Employment objectives It states that the ESF shall
support actions in MSs by promoting the modernisation and strengthening of
labour market institutions particularly employment services and other relevant
initiatives in the context of the strategies of the European Union and the MSs
for full employment
Article 31d refers to ESF support to enhance human capital by promoting the
design and introduction of reforms in education and training systems [] and
the continual updating of the skills of training personnel
Article 32b focuses exclusively on the Convergence regions mentioning that
the ESF shall support actions in MSs that are strengthening institutional
capacity and the efficiency of public administrations and public services at
national regional and local level Where relevant Article 32b also focuses on
strengthening social partners and non-governmental organisations These
interventions are targeted towards implementing reforms better regulation and
good governance This is especially the case in the economic employment
education social environmental and judicial fields
Article 32b covers SIC interventions as evaluated in the present study The focus on
institutional capacity and efficiency was new in the 2007-2013 programming period
Before 2007 the ESF objectives were defined only in the areas of employment social
inclusion and education
SIC interventions represent one of the additional objectives for so-called Convergence
regions Convergence regions are defined as those regions having per capita gross
domestic product (GDP) less than 75 of the average GDP of the EU-255
The following table summarises the logic behind ESF interventions in the field of
institutional capacity
Table 1 Institutional capacity objectives tree for ESF
Driver Economic growth employment and good governance (Lisbon Strategy)
Global objectives
The ESF shall contribute to the priorities of the Community with regard to
strengthening economic and social cohesion by improving employment
and job opportunities encouraging a high level of employment and a
5 Commission Decision C(2006)3475 of 4th August 2006 and Commission Decision C(2007) 1283 of 26 March 2007 amending Decision 2006595EC as concerns Bulgaria and Romania)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
12
greater number of better jobs It shall achieve this by supporting MSs
policies aiming to achieve full employment ensure quality and
productivity at work promote social inclusion including the access of
disadvantaged people to employment and reduce national regional
and local employment disparities
Specific objectives
Article 32b Within the framework of the Convergence objective ESF shall
support actions in MSs under the priorities listed below
ldquoStrengthening institutional capacity and the efficiency of public
administrations and public services at national regional and local level Where
relevant these policies will also target social partners and non-governmental
organisations with a view to reforms better regulation and good governance
especially in the economic employment education social environmental and
judicial fieldsrdquo
Types
of interventions
(i) Mechanisms to improve good policy and programme design monitoring
and evaluation will be achieved through studies statistics expert advice
support for interdepartmental coordination and dialogue between relevant
public and private bodies
(ii) Capacity building in the delivery of policies and programmes in the
relevant fields including those regarding the enforcement of legislation
especially through continuous managerial and staff training as well as specific
support to key services inspectorates and socio-economic actors this includes
social and environmental partners relevant non-governmental organisations
and representative professional organisations
Source Assessment of administrative and institutional capacity building interventions and future needs in the context of European Social Fund (VC2009066 - 009)
The analytical framework developed for the previous evaluation of administrative
capacity under ESF (Ecorys 2011) summarised the need for capacity building
interventions as follows
poor performance of public administration
weak response to citizensrsquo and firmsrsquo needs
higher well-being of citizens through increased competitiveness and cohesion
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
13
3 Overview of key ESF SIC investment features in the 27 Member States
Key findings
ESF SIC investment is closely linked with SIC-related challenges in the relevant
MS All countries that have programmed a SIC-dedicated OP or PA received CSR
over the 2007-2013 period covering SIC-related themes
SIC-related CSR can take the form of general recommendations such as improving
the overall effectiveness of the public administration of the regulatory capacity of
the public bodies for example or they can relate to specific fields of interventions
such as the judiciary or the business environment
Some 70 of SIC actions at the level between PA and the actual interventions
addressed structures and processes The horizontal approach under SIC
enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and
management and strengthening quality assurance
An almost equally high share of the actions addressed the development of human
capital This included staff capacity building interventions as well as the
development and implementation of human resources management strategies
ESF SIC also supported the development of tools such as those related to e-
government and the improvement of monitoring and evaluation systems
While most activities seem to target the public sector as a whole some focus on a
specific policy sector such as the judicial system
During the 2007-2013 programming period 14 of EU-27 included Priority Axes
dedicated to SIC interventions in their ESF programming Four of them (BG EL
HU RO) have explicitly dedicated one OP to institutional capacity building The
remaining ten countries (IT LT LV MT PL RO SI SL SK UK) have OPs with one
or more PAs dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting
SIC
Within EU-28 a total of euro2419 million was allocated to OPs or PAs that were
dedicated to SIC objectives (EU+national) this constitutes 21 of total allocated
funding under ESF and 4 of the funds available in convergence regions The
highest absolute levels of SIC allocation are found in EL and PL while countries
that allocate the highest share to SIC relative to their overall ESF budgets (over
12) are BG and LT followed by MT and SI
31 Links to the national and EU policy priorities main activities and target groups
311 Links to the national and EU policy directions
ESF SIC investment is closely linked with SIC-related challenges in the relevant MS
All countries that have programmed a SIC-dedicated OP or PA received Country
specific recommendations over the 2007-2013 period covering SIC-related themes
Country Specific Recommendations (CSRs) are issued for each MS
In the context of the European Semester since 2011 the Commission undertakes a
detailed analysis of MS plans for budgetary macroeconomic and structural reforms
and provides them with CSR for the next 12-18 months These recommendations also
contribute to the objectives of the EUs long-term strategy for jobs and growth and the
Europe 2020 strategy
Annex I presents a full overview of how SIC interventions addressed country specific
recommendations
The content of the CSRs varies from country to country and from year to year
Although all MSs have their own CSR proposals there are common themes that arise
This section highlights the common key messages in the fields that are relevant for
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
14
SIC and provides an overview of the types of categoriesmeasures in which the
European Commission issued CSRs over the years from 2007-2013 and indicates how
these relate to specific MSs
Table 2 below shows how these CSRs clustered by typology are lsquodistributedrsquo across
the relevant MS over the 2007-2013 programming period SIC-related CSR can take
the form of general recommendations such as improving the overall effectiveness of
the public administration of the regulatory capacity of the public bodies for example
or they can relate to specific fields of interventions such as the judiciary or the
business environment The table illustrates that the overall improvement of the public
administration is a challenge identified in at least nine out of the 14 MSs Improving
the business environment facilitating entrepreneurship and business start-ups and
increasing the attractiveness of a country as an investment destination has been
identified a challenge in at least 11 MSs Improving the regulatory capacity of public
bodies and supporting simplification (including the aim to improve the business
environment) has been identified as a challenge in at least six MSs The reform and
the support of the judiciary sector has been identified as a specific challenge in at
least three MSs (this does not mean it is not a challenge for other MS with the
judiciary being a part of public administration)
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP
Type of challenge BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
effectiveness and efficiency
of the public administration x x x x x x x x x
effectiveness of the judiciaryreform x x x x
business environment x x x x x x x x x x x
Anti-corruptionpromotion of rule of law x x x
public procurement x x x
absorption of ESI funds x
e-government x x x x
regulatory systemsimplification administrative burden
x x x x x x
Source own elaboration on the basis of CSR2007-2009 2010-201213
Challenges and related recommendations are also visible in national strategies and
ESF SIC investments constitute an integral part of the national effort to support good
governance and improvements to the public administration in many countries This is
particularly the case in countries that have concentrated a relatively large amount of
ESF resources to this priority or those that have dedicated a full OP to it such as in
the case of BG EL HU and RO
In the case of Bulgaria for example where there is a separate OP devoted to
administrative reform and strengthening institutional capacity ndash OP Administrative
Capacity (OPAC) ndash the ESF plays an important role in supporting reforms and capacity
OPAC financed some of the most important measures in the National Reform
Programme (NRP) and was indeed a key instrument for the administrative reform in
Bulgaria where these reform processes play an important role in the national agenda
also considering its relatively recent accession to the EU and of its political past
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Thematic EU synthesis report Strengthening Institutional Capacity
15
In Greece a number of reforms have been implemented in the past decade mainly in
the fields of state-citizen relationships the development of e-government human
resource management better regulation and control mechanisms These are fully in
line with the strategic goal of the OP Administrative Reform 2007-2013 which aimed
to improve the quality of governance through enhancing the effectiveness and
efficiency of public organisations whilst also strengthening the accountability and
professionalism through broadening public consultation and the participation of
stakeholders
In Romania the main contribution of the State Reform OP was to support the
accomplishment of the strategy for improving the capacity of the public
administration The main leverage used involved creating more efficient local
administration units and reducing the development gap between local and central
public administrations Increasing the expertise of staff in public institutions through
participation in specialised training (ICT data management systems) helped in
preparing them for the development of e-government services and facilitated the
simplification processes relating to administrative procedures in line with the National
Strategy for the Digital agenda for Romania and the European Digital agenda
During the last few decades public administration reform strategies in Italy have
been focusing on two main areas a) the delivery of (public) services to citizens and
companies b) the management of public (material and immaterial) goods Both areas
have been subject to reforms aimed at improving their levels of effectiveness and
efficiency In more detail the reform strategies focused on service delivery (covering
the national regional and sub-regional level along with relevant policy actors) and
tackling long-standing criticisms such as the overall lack of efficiency in Public
Administrations (especially in terms of the optimisation of governance mechanisms)
They also concentrated in the simplification of administrative rules and regulations and
the efficiency and effectiveness of (mainly civil) justice As for the reforms they
focused on improving the management of public goods the main critical issues that
have been covered relate to the fight against corruption (especially in public tenders
and contracts) the effective spending of public funding (national but also EU) and the
full implementation of relevant infrastructure investments These strategies have been
accompanied by reforms supporting the productivity and assessment of PA employees
and management as well as of the organisations themselves
Table 3 shows the linkage between the CSRs received and whether relevant MSs had
addressed these through ESF SIC investment Only in five MSs (BG CZ EE IT LT)
were the recommendations not fully addressed in some specific years
Table 3 CSR addressed under SIC interventions by MS
Country 2007 2008 2009 2011 2012
BG NA YES partially YES partially YES partially YES partially
CZ YES NO NA YES YES
EE NA YES NA NA YES partially
EL YES YES YES NA NA
HU YES YES YES YES YES
IT NO NO YES YES
LT NA YES partially YES partially YES NA
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
16
Country 2007 2008 2009 2011 2012
LV NA NA NA NA NA
MT YES YES NA NA NA
PL YES YES NA YES YES
RO NA YES YES NA NA
SI NA NA YES NA
SK YES YES YES YES YES
UK NA NA NA NA NA
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
NA means that no recommendations were made
Details of the recommendations are provided in Annex II
In the Czech Republic SIC-related ESF programming addressed all the
recommendations apart from the one aiming to further quicken the ldquoprogress in the
ICT area including through the implementation and monitoring of a fully enabled legal
environment for e-governmentrdquo This implementation began in 2008 although a start
was made in 2007 as was then recommended
Estonia also used ESF funding for SIC interventions to address most of the
recommendations it received although SIC interventions were not explicitly used to
support the merging of municipalities as was recommended in 2012
Italy did not use ESF funds to explicitly address the recommendations it received in
2007 and 2008 These recommendations involved the introduction of an impact
assessment system and the competition in product and service markets The latter
was taken up again by the recommendations in the following years and ESF SIC
interventions were used to improve the situation
Table 4 below provides an overview of the linkages between MSsrsquo policies and ESF
support to SIC
Most MSs that have included PAs on SIC use ESF to obtain additional funding to
support good governance and to improve the delivery systems and methods for
services to citizens and businesses in their country Most countries also use it to test
innovative activities ESF is least commonly used to reach new target groups which is
understandable for SIC interventions
Table 4 Contribution of ESF SIC interventions to MS policies
ESF provided additional funding to
support good governance
ESF was used to test new and innovative
activities
ESF was used to reach new target groups
ESF was used to improve PA service
delivery- systems and methods
BG Y Y N Y
CZ Y Y N Y
EE Y Y Y Y
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
17
ESF provided additional funding to support good governance
ESF was used to test new and innovative activities
ESF was used to reach new target groups
ESF was used to improve PA service delivery- systems and
methods
EL Y Y N Y
HU Y N N Y
IT Y Y N Y
LT Y Y Y Y
LV Y Y Y Y
MT Y Y Y Y
PL Y Y N Y
RO Y N N Y
SI Y Y Y Y
SK Y Y N Y
UK N N N Y
Source overall assessment of country experts based on research carried out by them and
national evaluations conducted in the country
312 Key characteristics of activities and target groups at EU and MS level
An overview of the key characteristics of activities and targets groups that are the
focus of ESF SIC investment is provided below This is based mainly on the analysis of
lsquoactionsrsquo that have been programmed and carried out at MS level By actions we refer
to the unit of analysis below PA level6
Art 32b of the ESF Regulation distinguishes two main groups of interventions those
that relate to design monitoring and evaluation and those related to the delivery of
policies and programmes Only one in 10 actions focuses solely on the first objective
More than one-third of the actions focus on delivery and almost half of the measures
address both (see Table 5 below)
Most of the actions target the national level (70) However substantial numbers
address additionally local (41) andor regional (53) levels Only 4 of actions
have an international character
6 In the 2007-2013 programming period there is no standardised unit below the PA level such
as the measures in the 2000-2006 period However many Member States distinguish a lsquomeasure typersquo level Sometimes these are still called measures although sometimes other names are given In this report they are referred to as lsquoactionsrsquo and some of the analyses are conducted at this level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
18
Public entities were the main beneficiary of SIC actions (85) Social partners and
NGOs were targeted by approximately a quarter of the actions
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category
Characteristic and categories Absolute
no
Objective (ESF Regulation Art 32b i and ii)
Design MampE 8 103
Delivery 28 359
Both 38 487
No information 4 51
Total 78 100
Level of the intervention (multiple answers possible)
Local 33 423
Regional 42 539
National 56 718
International 3 39
No information 8 103
Recipients
Public entities 66 846
Social partners 21 269
NGOs 19 244
Source country templates - assessment by country experts based on review of relevant
literature and Country synthesis reports
In order to carry out a more detailed analysis we reviewed the key characteristics at
MS level Table 6 below shows whether a certain characteristic occurs in one or more
of the actions in each country This analysis is similar to that carried out at an OP
level However in the analysis at OP level the results for Bulgaria (two OPs) and
Italy (seven OPs) would lsquocolourrsquo the results excessively which is the reason why we
opted for a comparison of MSs
Table 6 illustrates the results for the various characteristics Very few MSs have
measures that focus exclusively on the design monitoring and evaluation of policies
and programmes or measures with an international component Few MSs have
measures that focus on e-government under ESF SIC actions Of course these actions
may be specifically targeted under other themes
Some more detailed conclusions emerge when we compare countries by the most
common types of OPs (section 313) dedicated OPs regional OPs and human
resources or sectoral OPs
Objective of the interventions
In Hungary and Bulgaria only (two of the countries with dedicated OPs) can
actions be found that focus solely on design monitoring and evaluation (obj
32bi)
All four countries with dedicated OPs have one or more actions that uniquely
target the second objective (delivery) In the two other groups this is the case
for around half of the countries
The mixed approach can be found in some of the countries in all three groups
Level of the interventions
All Member States have one or more actions at national level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
19
As expected all regional OPs target the regional level In the two other groups
around half of the countries have PAsactions addressing the regional level
In Bulgaria only do the actions under the administrative capacity OP have an
international dimension
Recipients
In all MSs public institutions benefit from institutional capacity building actions
Social partners and NGOs are often targeted as an explicit (BG EE SK) or
implicit (EL IT SI) target group of human resource development actions They
are also more likely to be amongst the recipients when the objective of actions
is to increase cooperation (BG) to further social dialogue (MT) or to improve
service delivery to citizens or businesses (BG LT) Social partners or NGOs are
also target groups when better regulation (EE) and equal opportunities (EE) are
prioritised
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS)
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK Tot
ESF objective 32b i and ii
Design MampE 1 1 2
Delivery 1 1 1 1 1 1 1 1 1 9
Both 1 1 1 1 1 1 1 1 8
Level of the intervention (multiple answers possible)
Local 1 1 1 1 1 1 1 1 1 9
Regional 1 1 1 1 1 1 1 1 9
National 1 1 1 1 1 1 1 1 1 1 1 1 12
International 1 1
Recipients (multiple answers possible)
Public entities 1 1 1 1 1 1 1 1 1 1 1 1 1 13
Social
partners 1 1 1 1 1 1 1 1 8
NGOs 1 1 1 1 1 1 1 1 8
Source country templates - assessment by country experts based on review of relevant literature and synthesis country report prepared previously
In Italy OP Sicily action linked to Specific Objective ldquoOrdquo and SK action 42 not implemented
so not included in Hungary no information available on level of interventions and recipients in
Slovakia and Czeck Rep no information on objectives
Target groups
In capacity building interventions the concept of target group needs to be considered
carefully If developing structures processes or tools are the objectives of the
intervention the only target group is the staff involved or (other) users of these
systems Thus the target group of SIC interventions are typically the employees of
the beneficiary institutions
313 Key characteristics of specific dimensions and categories
As mentioned above in order to bring out the variety of interventions implemented
with support from the ESF the actions are taken as the starting point for a more
detailed characterisation of SIC interventions The classification departs from the three
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
20
dimensions distinguished in section 213 structures and processes human resources
systems and tools Categories have been developed that reflect the objectives of ESF
with regard to capacity building on the one hand and the actual objectives and
activities in countries on the other Table 7 below presents the classification as well
as the number of actions to which a dimension or category applies
Table 7 Characteristics of SIC actions
Dimension and categories no of actions
Structures and processes (SampP)
Structures (general) 17
Processes (general or core processes) 5
Structures and processes with a regional or local dimension 36
Processes related to strategic planning and management 12
Structures processes aimed at creating of a business-friendly environment 10
Processes related to quality assurance and quality management systems 6
Human resources (HR)
Human resources management (eg working environment training policies and programmes certification mobility)
17
Staff capacity building 24
Tools
E-governance 14
Monitoring and evaluation systems (MampE) 14
Source information from country templates on objectives and types of activities supported by
ESF
multiple categories possible
The number of actions cannot be added as more than one category may apply to one
action both structures and processes may be addressed in one action as could
human resources systems and staff capacity building Other examples include quality
assurance or e-governance In addition 33 out of the 78 actions (42) could be
classified under more than one dimension
It should be mentioned here that capacity building in the justice system plays an
important role in assuring good governance The activities carried out under these
actions may cover all three of the dimensions identified above
Methodological justification of the classification
The fact that not all actions were classified on all three dimensions is partly due to the nature of
the actions and partly to the fact that this analysis could not be based on a more disaggregated
level of analysis such as the individual interventions The classification was based on a summary description prepared by country experts of the main typologies of interventions or activities that were carried out under the different actions it also includes a global assessment of their characteristics which was also made by country experts The formal titles and the objectives of the relevant OP and PA provided further guidance for the classification These
three sources enabled a detailed classification but cannot capture every single activity and their characteristics carried out in the framework of an action
The three dimensions are discussed in more detail below
314 Structures and processes
Structures (general) 3141
Objectives and activities
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Thematic EU synthesis report Strengthening Institutional Capacity
21
Changing organisational structures is not an aim in itself It is accomplished to create
conditions for other changes that will help realise good governance in the country or
to improve public policies and their implementation directly
In Hungary the ESF SIC investment is aimed at creating lsquothe organisational conditions
for a strategy driven specialised policy approach in the central administrationrsquo This
should contribute to the capacity for self-governance and the quality of legislation
which is targeted under Action 11 of the State Reform OP Under Action 12 support
to the creation and operation of institutional models will help create a simpler and
more transparent organisational structure which in turn will further the development
of more efficient and cost-effective public organisations In Romania revising
developing and optimising the structure of public services (action 21) was undertaken
in order to improve their quality and efficiency
In the majority of actions organisational changes address national as well as local or
regional levels Action 11 of the Bulgarian OP Administrative Capacity aims to create
an effective structure for the State administration by optimising the structures of the
central district and municipal administration ESF SIC support is also used to bring
about and support decentralisation processes Lithuania aims to affect structural
changes at all levels (central regional and local municipality) and identified the need
for support in decentralisation and processes to reduce concentration This is in order
to achieve an optimal distribution of functions among central territorial and local
municipal levels In Romania the main objective of Action 21 in the OP Administrative
Capacity Development is to support structure and process changes resulting from
sectoral decentralisation initiatives The support provided includes training and
technical assistance as well as for the evaluation of pilots for the process of
decentralisation and reducing concentration
Organisational change is sometimes internally driven where it can be aimed at
achieving less fragmentation and duplication of work in Malta for example In other
cases it can be externally driven such as the lsquoone-stop-shoprsquo system developed for
start-ups in Poland (Action 51 OP Human Capital)
The ESF in Poland furthered the development of an important policy design instrument the Social Diagnosis It was a project designed to support the diagnostic work with detailed data
that had been derived from institutional indicators concerning households with a view to investigating the attitudes mind-sets and behaviours of their members It is a diagnosis of Polish conditions and quality of life as they report it Although this research has been ongoing since the 1990s under the ESF programme it has developed and become the main basis for designing policies and providing a source of information for decision makers The scale and impact of the research carried out has been changed considerably thus providing an effective tool for designing policies and strategies7
Beneficiaries and geographical level
All actions address solely public authorities except for the Greek actions that also
target social partners and in one case NGOs Most actions target the national as well
as the regional or local level
Processes (general) 3142
Objectives and activities
7 EEN 2014 Final country report Poland
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
22
The Greek administrative reform OP provides a good example to demonstrate the type
of activities undertaken in the framework of structural reforms It captures a range of
activities and interventions which are all addressing the organisational and
operational re-engineering of public organisations A key aim is the rationalisation of
specific administrative functions such as budgeting and the reduction of
administrative burdens Concrete activities include the
introduction of performance and efficiency systems in the central and regional
public organisations
modernisation and rationalisation of the budgeting
simplification of administrative procedures to reduce the administrative
burdens
reduction of the time needed for the issuance of social and state pensions
enhancement of the E-health program (individual e-papers)
introduction of one stop shops for enterprise licences
The Hungarian actions specifically address the renewal of procedures and work
processes as well as organisational development In Malta renewed processes aim to
support the public sector reform whereas in the Czech Republic renewed processes
seek to increase institutional capacity and efficiency The Bulgarian action focuses on
the judicial sector aiming to make it more transparent and effective
The activities undertaken under this heading can be summarised as simplification and
streamlining They include lsquooptimisation of the workflow and better coordinationrsquo in
the judiciary system (BG) streamlining the activities of public administration
authorities (CZ) simplifying the procedures mostly used by the citizens (HU) and
streamlining management processes within the public sector with a view to facilitating
more rapid decision-making and implementation as well as greater accountability of
results (MT)
Beneficiaries and geographical level
The SIC interventions that aimed to change processes targeted public administration
itself rather than social partners or NGOs the interventions were a mixture of
national regional and local actions although the emphasis was focused at the national
level
Structures and processes with a regional or local dimension 3143
The overarching characteristic of this category of actions is their aim to strengthen
administrative capacity or good governance at the regional or local level These
actions aim to support regional or local authorities in the development and
implementation of policies An element of decentralisation is needed to be present for
actions to be categorised under this heading The classification was performed by
triangulating information from the objectives and description of the OPPA and actions
along with the assessment made by country experts considering the level at which
the actions were foreseen This was the case in regional OPs
Objectives and activities
Theoretically four elements were identified integrated development territorial
reform regional local and municipal governance and decentralisation In the PAs
dedicated to SIC however no regional planning and development activities were
found Neither were actions aimed at territorial reform Support for decentralisation is
provided as has been discussed above but the undertaking of decentralisation itself is
not encountered in the SIC PAs The only clear decentralisation objective is found in
the Romanian administrative capacity development OP The main objective of action
21 is to support structure and process changes resulting from initiatives of sectoral
decentralisation Studies consultancy training evaluation and mutual learning were
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
23
all delivered to structures and staff involved in the planning and coordination of the
decentralisation process The evaluation of pilot projects was supported along with
more general studies on the decentralisation process
The predominant types of action classified under this category are therefore those that
aim to strengthen regional local and municipal governance As the majority of
activities undertaken for these actions are already discussed in other categories no
further description is provided here
Some interesting examples of this type of intervention can be found in Italy Two of the most relevant projects implemented by the National OP Governance (that accounts for the majority of ESF SIC-related investment across all OPs) are lsquoCapacitagrave Sudrsquo aimed at reinforcing the
institutional and administrative capacity of Regions in the field of Structural Funds management and networking and lsquoPerformancersquo PA which aims to supporting the reform and modernisation of public administration mainly involving Municipalities At the level of the regional OPs the implementation of the Institution building programme aimed to strengthen the institutional
capacity of the regional public administrations (development of a favourable administrative environment and public policies) the regional OP of Campania in cooperation with the central government funded this programme The main interventions implemented under this
programme include the following organisational support development of a management control system support to administrative simplification and e-government development of an anti-corruption plan and strengthening local development systems
Beneficiaries and geographical level
Most of the actions solely target public authorities Actions are always carried out at
regional or local level besides the national level
Processes related to strategic planning and management 3144
Six countries have used strategic planning or management tools to enhance their
functioning and performance Estonia Greece Hungary Italy Lithuania and Romania
Objectives and activities
Most of the activities are part of more general SIC interventions However two
countries have established PAs that are dedicated to performance management
Estonia under its human resources OP has formulated a PA for the enhancement of
strategic management in the public sector and NGOs Hungary also under a human
resources OP formulated a PA dedicated to performance-based career pathways
Examples of such tools are management by objectivesresults policy cycle
management performance management and strategic planning lsquoEfficiency and
performancersquo systems were foreseen for Greece and Hungary which may imply a
somewhat heavy focus on staff performance Information on individual interventions
would be required to clarify this
Beneficiaries and geographical level
The beneficiaries are public institutions (all) and NGOs (Greece) The activities target
institutions at national regional and local level
Structures and processes aimed at creating of a business-friendly 3145
environment
Creating a more business-friendly environment is an important feature of the
European 2020 Strategy Actions that address this issue are found in several countries
(including CZ EE EL LT LV MT PL)
Objectives and activities
Improving the regulatory environment for businesses and reducing their
administrative burden is undertaken with a view to improving the performance of
these and the competitiveness of the MSs Many activities under this heading aim to
improve and simplify the regulatory environment thereby creating an attractive
environment for enterprises and for domestic and foreign investors (CZ EE EL LT
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
24
MT PL) They also include the development of ex-ante impact assessments or
evaluation systems for calculating the administrative burden for enterprises (EE LT
LV) as well as the introduction of one-stop-shop systems (EL LT PL) Other
activities such as quality assurance and management (discussed below) will also help
to improve the environment in which businesses operate
Beneficiaries and geographical level
The end recipients of these actions are businesses but the final beneficiaries are
public authorities at all geographical levels though somewhat more often at national
level
Processes related to quality assurance and quality management 3146
systems
Seven countries focused on quality assurance or quality management as a tool
Bulgaria Hungary Lithuania Latvia Malta Slovenia and Slovakia However the
Slovak action did not end up being implemented
Objectives and activities
Quality Assurance (QA) and Quality Management (QM) systems can and do support
virtually all objectives foreseen for SIC interventions Slovenia for example used the
European common assessment framework (CAF) and the European Foundation for
Quality Management (EFQM) framework Bulgaria Lithuania and Latvia introduced QM
systems with the aim of enhancing the quality of administrative service delivery
These systems are also introduced as part of an overall administrative reform (HU
MT) The introduction of minimum quality standards is part of quality management
although this is not considered to belong in this category if occurring in isolation As
the introduction of quality management systems was usually one of many activities
undertaken in the framework of an individual action more detailed information is not
available on the activities carried out to introduce these systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector on the national level
315 Human resources
In this section we provide an overview of the actions related to human resources
development as they have been programmed and implemented across the 14 MSs
These actions can be divided into two broad categories Human Resources
Management and Capacity building of staff Capacity building of staff usually takes the
form of training activities and programmes although it should be mentioned that
training takes place also outside of HR focused actions In this case training is not a
capacity building objective in itself but aims to improve the strategic management of
an organisation or the implementation an e-government programme
Human resource management 3151
Objectives and activities
Developing human resource management (HRM) under SIC ESF investment covers
various human resource management areas such as recruitment staff motivation
internships systems of accrediting public servants internal mobility gender
mainstreaming and mutual learning While most activities seem to target the public
sector at large some focus on a specific policy sector such as the judicial system
The Bulgarian Administrative capacity OP has one PA targeting human resource
management in public administration This is further articulated into five actions
Action 21 Modern human resources management in the state (improving recruitment
and human resources management systems including motivation internship
opportunities certification of public servantsrsquo skills and mechanisms for mobility)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
25
Action 22 Competent and effective state administration (training programmes and
training for public servants of the central district and municipal administration)
Action 23 Strengthening the capacity of civil society organisations in policymaking
(training for organisational development strategic planning etc)
Action 24 Competent judicial system and effective human resource management
(introducing new human resources management systems and the provision of training
to magistrates and administrative staff)
Action 25 Transnational and interregional cooperation (projects for exchange of good
practices in the field of human resources management)
In Greece the OP for Administrative Reform seeks to improve modernise and reform
the operational capacity of Human Resources Departments in central administrative
units The objective is to improve the quality design and implementation of vocational
education programmes in public administration thereby upgrading the skills
qualifications and knowledge of the personnel in the public administration Concrete
activities include the development of tools for the improvement of the Human
Resources departments and the development of strategic and operational plans for
vocational education institutions Other Greek PAs under the HRD OP focus on gender
mainstreaming in the public sector This is to be attained by a variety of activities
which include improving the legislative framework for gender mainstreaming
increasing the participation of women in decision making evaluating the impact of
public policies in gender mainstreaming enhancing the integration of gender
mainstreaming in public policy enhancing actions targeting the prevention and
combating of violence against women and supporting NGOs that help further female
participation
The Hungarian OP State Reform addressed the need to increase the participation of
women through Human resources improvement strategies through PA 2 (Increasing
the quality of Human Resources) Action 22 which focuses on performance-based
career pathways This PA aims to modernise the instruments for human resources
management focusing in particular on the elaboration and scheduled introduction of
the life path-career management system Aside from the activities such as the
establishment of a government human resource centre which is responsible for the
application of the new HR policy other actions include the elaboration of an
international government officersrsquo and civil servantsrsquo exchange programme along with
the introduction of individual performance assessments that link outcomes to the
remuneration system The PA supports activities that help staff to reconcile obligations
from family and work life
In Lithuania one of the actions under the OP for the development of human resources
targets HRM It aims to improve the management of human resources and strengthen
the administrative capabilities in the public sector Modernising the management of
human resources is undertaken in order to further a more productive use of
knowledge capabilities and skills in the public administration It includes activities
that promote the own initiative of public employees and improving the system of
encouragement
The human resources development OP in Slovenia has an action dedicated to efficient
and effective public administration which includes activities for developing public
management This is done through enforcing the use of modern management
techniques and developing active management of human resources and knowledge
The action also included a system for strategic planning as well as for monitoring the
status of results related to objectives of the priority
In Estonia the OP for human resource development has an action aiming to train and
develop State employees as well as those of local authorities and NGOs It covers
various areas including human resources management Interventions are mostly
implemented in the form of different training studies analyses and development
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
26
activities Interventions are also to a certain extent enacted through the
development of methodological materials practicing and information activities
Beneficiaries and geographical level
All PAs target public authorities The Greek and Estonian PAs also target social
partners NGOs are potential beneficiaries in some Bulgarian Greek and the Estonian
PAs
Staff capacity building 3152
Objectives and activities
Sometimes activities under HRM and staff capacity building are strongly intertwined
such as in Poland and the United Kingdom The PA dealing with staff capacity building
under the human capital OP in Poland includes an action advancing the modernisation
of management in public administration and justice administration It used a variety of
activities to achieve this aim revision of all legal acts related to public finance
management improvement of budgetary and strategic planning developing the
system of public tasks evaluation based on indicators strengthening the divisions of
self-government units responsible for monitoring and evaluation improvement of
cooperation mechanisms between public administration units new methods of
management increasing the quality of services implementation of the altered
remuneration system in the public administration development of competence
standards for self-government administration employees and ethical standards
development
Similarly in the United Kingdom the action to build the capacity of public service
sectors includes a more strategic approach to the management of human resources
The aim of staff capacity building in the UK PA is to deliver higher quality services
This entails developing the skills and capacity of the public sector workforce and of the
organisations they are engaged in deliver and sustain the reform agenda It also
included helping leaders and managers build their capacity to lead the workforce
through change securing a more strategic approach to the management of human
resources and addressing specific skills gaps
Specific staff capacity building is undertaken through different types of activities The
main activity is training A variety of possible training subjects are covered by the
Bulgarian example organisational development strategic planning policy making
monitoring of policies business planning and financial management and effective
negotiation and partnership Additional types of training actions are covered by other
MSs such as raising managerial capacity (HU) strategic planning (LV) implementation
of policies and programmes (IT) and negotiation capacities for public private
partnerships (IT)
Other types of activities are found in Malta for example Under the OP that aims to
empower people to seek out new jobs and a better quality of life one of the actions
establishes and elaborates the principle of lifelong learning for the public sector
Activities identified under this intervention area in the OP include training in areas
such as financial regulation and basic skills related to financial management public
procurement project management national environmental and planning legislation
and Community policies which include competition policy Other associated activities
include analyses of training needs scholarships and internships accreditation of
trainers and academic development of the trainers and the introduction of stronger
linkages between training and career development particularly at the boundary
between middle and senior management levels
Greece introduced systems for job profiles and job descriptions programmes for
enhancing the mobility of staff a training needs analysis and a standardisation of
Educational Plans in public administration and certification systems
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
27
The Estonian OP for human resource development has one action supporting country-
level support structures Interventions include different training counselling
practicing (study tours) and mentoring activities
Beneficiaries and geographical level
Most actions aimed at beneficiaries in the public sector Some of the PAs in Greece
Lithuania and Malta also target social partners NGOs are amongst the potential
beneficiaries in Bulgaria Estonia Latvia Malta and Slovakia
Capacity building usually targets the public sector as a whole A clear exception is
found in the Bulgarian lsquoHuman resources developmentrsquo OP The PA dealing with SIC
has two actions with each action concentrating on specific policy sectors
development and modernisation of the labour market system and strengthening the
capacity of institutions for social inclusion and the provision of health services
The target groups do not always remain the same over time however
In Slovakia most of the calls focused on public bodies There was only one call (in two
rounds) designed for NGOs After the experience with the implementation and
administration of projects at NGO level the managing authority took the decision to
focus on the public sector Most of the actions focused on training the employees in
the sector or in some of its institutions (eg building analytical capacities in the
Ministry of Finance capacity building of the Constitutional Court of the Slovak
Republic preparation for EU Presidency and human resource capacity building of
some institutions)
In Latvia the objective was the administrative capacity building of all parties involved
in the design and implementation of action policies This was undertaken in order to
ensure the active participation and representation of all interest groups in
policymaking processes and to improve the quality of decisions made At first the
activities were targeted at the administrative capacity building of social partners
(Latvian Employersrsquo Confederation and Free Trade Union Confederation of Latvia) and
to strengthen social dialogue at the regional level This activity resulted in the
establishment of regional structures of the Latvian Employersrsquo Confederation and Free
Trade Union Confederation of Latvia which contributed to the formation of non-
governmental organisations and a significant increase in their activities Another
branch of capacity building activities was targeted at non-governmental organisations
and local governments mainly to promote their participation in decision-making and
the efficient planning and management of EU projects
316 Tools
E-governance 3161
The introduction of some type of e-governance is a horizontal element to many SIC
investments under the ESF In at least six countries support of e-governance was a
key component of capacity building efforts under SIC dedicated OPsPAs (this does not
mean that e-governance support did not also take place in other MSs as part of their
overall SIC strategy) These countries are Bulgaria Greece Italy Lithuania Malta and
Slovenia Some of the actions in this field take place in specific policy sectors justice
(eg BG IT) health (eg EL) and employment (eg IT SI) In some instances such
as in Italy e-governance support was used to implement and improve ESF monitoring
systems Other countries support e-governance across policy sectors (eg BG SI)
The Bulgarian administrative reform OP also supports the introduction of an integrated
information system of the state administration
Objectives and activities
The support for e-governance was provided with a view to making public
administrations more effective (BG IT) modernise them (EL) and improve the
service delivery to citizens and businesses (BG)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
28
In the case of policy sector initiatives some examples of the objectives included the
creation of a transparent and effective judicial system (BG) and the improvement of
the service delivery provided by the bodies of the judiciary The information available
typically mentions the introduction of e-government e-health etc In Slovenia some
more detailed information is available on the type of activities carried out in this
framework Slovenia supported e-government as part of its efforts to achieve an
efficient and effective public administration The support for e-government consisted
of two parts an e-portal and e-administration Within the framework of the e-portal
development further progress of e-government was achieved The objectives were to
secure permanent availability support e-democracy in cooperation with the
interested public in making decisions on the abolition of obstacles in the
administration and further develop e-services E-administration was designed for
legal persons and based on a single access point The activities focused on providing a
permanent single access point for legal personnel and businesses This online
resource harnesses the interaction between the state and businesses Examples of
possible services include the registration of employees data transfer and requesting
confirmation
Beneficiaries and geographical level
The beneficiaries always include public sector institutions The actions also target
social partners and NGOs but it is unclear as to whether these concern the e-
governance related or other activities carried out in the framework of these actions
Similarly actions target all geographical levels but it is entirely possible that this is
due to the governance structure in the country or the presence of non e-government
activities within the actions identified here
Monitoring and evaluation systems 3162
Monitoring and evaluation (MampE) systems are an important tool for measuring
progress towards the objectives that governments set themselves in capacity building
interventions They are also important in measuring performance as a supplier of
services to citizens and businesses and in achieving objectives related to these such
as the reduction of the administrative burden The seven countries that included
monitoring and evaluation in their actions are Bulgaria Estonia Italy Malta Poland
Romania and Slovenia
Objectives and activities
Monitoring and evaluation was used to measure internal and external performance as
well as for capacity building good governance policies and policy sector policies
Consequently MampE systems were developed to measure the needs of target groups
such as marginalised groups labour markets or working conditions (BG IT)
progress in achieving good governance (BG PL) or cooperation (PL) better
application of specific capacity building policies including better regulation or reducing
the administrative burden (BG EE) and sector policies like employment policies (IT
MT RO)
No further information is available on the concrete activities undertaken to introduce
or improve MampE systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector They often address
the national level but also the local or regional level if these levels were targeted by
the actions under which MampE is promoted
32 The overall strategy for ESF SIC investment
As has already been stated during the 2007-2013 programming period 14 out of the
EU-27 MSs included specific SIC interventions in their programming and 21 OPs were
dedicated to SIC or had one or more Priority Axes dedicated to this theme Seven of
these OPs were Italian In total 34 PAs and 78 actions have been identified as
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
29
dedicated to SIC Four out of the 14 MSs that have integrated SIC into their planning
have explicitly dedicated one Operational Programme to institutional capacity building
These countries are Bulgaria Greece Hungary and Romania The remaining ten
countries have OPs with one or more PAs dedicated to SIC
Figure 1 SIC in OPs and PAs
OPs with SIC dedicated PAs typically aim to develop human resources In Italy (five
out of seven) and in the United Kingdom there are regional programmes In Slovakia
it is the OP Employment and Social Inclusion that has a SIC related PA
The PAs typically apply a horizontal approach Only Bulgaria has focused one of its SIC
PAs on labour market institutions and on social and healthcare services corresponding
with the two sectors to which the OP was dedicated Slovakia originally foresaw both a
horizontal and a vertical PA (Establishing quality management systems in public
administration and NGOs in the field of employment and social policy) but the latter
was never implemented It should be noted though that below the level of PAs
individual actions sometimes do focus again at specific sectors This is further
discussed in the following section
Other MSs have developed interventions that aim to reinforce institutional capacity
under PAs that are dealing with other themes such as access to employment or
reform of the educational system which are covered by the other thematic
evaluations This becomes apparent when looking at Categories of Expenditure (CoE)
where expenditure category 81 Mechanisms for improving good policy and
programme design monitoring and evaluation at national regional and local level
capacity building in the delivery of policies and programmes shows the planned or
actual Union contribution to SIC interventions independent of PAs Furthermore it
should be noted that some capacity building interventions take place under other CoE
Important examples are the modernisation and strengthening of labour market
institutions (or expenditure category 65) the design introduction and implementation
of reforms in education and training systems (or category 72) as well as promoting
partnerships (category 80) SIC is sometimes supported as a crosscutting theme
across all Priority Axes without specific references in programming or reporting
Table 8 below shows that 14 MSs programmed SIC in OPs or PAs Two more countries
(Cyprus and Spain) did not programme SIC but did foresee expenditure on this theme
under category 81
Dedicated OP(s)
Dedicated PA(s)AT
BG
HU
IT
NL
FR
EL
ROLT
UK
CZ EE
SI
SK
LV
MT PL
BE CY
DEDK
ES
FI
IRLUPT
SE
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
30
Table 8 Countries covered in programming and expenditure based analyses
Country SIC in
programming (OPPA)
With an OP dedicated to
SIC
With expenditure in Cat 81
Yes No
Austria X
Belgium X
Bulgaria X X X
Cyprus X
Czech R X X
Germany X
Denmark X
Estonia X X
Spain X
Finland X
France X
Greece X X X
Hungary X X X
Ireland X
Italy X X
Lithuania X X
Luxembourg X
Latvia X X
Malta X X
Netherlands X
Poland X X
Portugal X
Romania X X X
Sweden X
Slovenia X X
Slovakia X X
UK X X
TOTAL 14 4 16 11
Source Own elaborations on the basis of SFC data and information from Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
31
Table 9 Overview of SIC dedicated OPs and PAs by MS
MS OP TITLE SIC PA DESCRIPTION
BG OP Human Resources Development PA 6 Improving the effectiveness of labour market institutions and of social and healthcare services
BG OP Administrative Capacity PA 12
and 3
Good governance Human resources management Quality administrative service delivery and e-
Governance development
CZ OP Human Resources Development PA 4 Public administration and public services
EE OP for Human Resource Development PA 5 Enhancing administrative capacity
EL OP Administrative Reform PA1 - 9
Improving national public policies modernisation of the public administration Development of
the human capital in the public administration strengthening policies aiming at ensuring equal
opportunities for all in the whole range of the public administration
HU State Reform OP PA 1 2
and 3
Renewal of processes and organisation development Improving the quality of human resources
Developments to be attained in the Central Hungarian Region
IT Regional OP Campania PA 7 Institutional capacity
IT Regional OP Calabria PA 7 Institutional capacity
IT Regional OP Sicily PA 7 Institutional capacity
IT Regional OP Basilicata PA 7 Institutional capacity
IT Regional OP Apulia PA 7 Institutional capacity
IT OP Governance and System Actions (Ministry of
Labour) PA E5 Institutional capacity
IT OP Competences for Development (Ministry of
Education) PA 2 Institutional capacity
LT OP for the Development of Human Resources PA 4 Fostering Administrative Competences and Increasing Efficiency of Public Administrationrdquo
LV OP Human Resources and Employment PA 5 Administrative Capacity Building
MT OP II - Empowering people for more jobs and a
better quality of life PA 4 Strengthening of institutional and administrative capacity
PL OP Human Capital PA 5 Good governance
RO OP Administrative Capacity Development PA 1 2 Improving structure and processes of public policies cycle management Improving quality and
efficiency of public services with a focus on decentralisation
SI OP Development of human resources for the
period 2007-2013 PA 5 Institutional and administrative capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
32
MS OP TITLE SIC PA DESCRIPTION
SK OP Employment and Social Inclusion PA 4 Capacity building and enhancement of the quality of public administration
UK OP West Wales and the Valleys PA 4 Modernising and improving the quality of public services
Annex I contains a complete overview of OPs PAs and actions dedicated to SIC
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
33
33 The impact of the economic crisis on ESF SIC priorities actions and funding (EU-27)
There is a number of reasons why the economic crisis can be expected to have an
impact on the allocation of ESF funds to SIC interventions The main reason is that
high unemployment rates will exert high pressure on political decision makers to
provide measures that directly address the problems resulting from this and can be
expected to yield results in the short term Capacity building interventions can be
expected to contribute to better functioning social protection and labour market
reintegration systems thereby improving social inclusion and employment rates
However they do so indirectly and effects take time to materialise With this in mind
it could be expected that MSs would redirect resources from SIC to other objectives in
response to the crisis
This was not the case for Bulgaria where reallocations were limited and unrelated to
the crisis They were caused by delays in numerous tender procedures resulting from
the insufficient capacity of beneficiaries As such implementation delays may signal
the emergence of the so-called ldquocapacity traprdquo effect where beneficiaries are unable
to use funds for improvement of administrative capacity due to the low initial capacity
Similarly in the United Kingdom funds were switched to other priorities because of
insufficient take-up The transfer of funds was unrelated to the crisis This has also
been the case in several other countries
In other countries some of the resources were reallocated Greece diverted SIC
resources towards employment (OP Human Resources Development) Two Italian
regions reduced their SIC budgets This was the case for the OPs for Sicily and
Campania No reductions were found for the other regions or the two OPs at the
national level The most likely destinations of these funds are the Access to
Employment and Human Capital themes Furthermore in response to the crisis Latvia
diverted resources from SIC to other objectives mainly to promote employability In
Slovakia in 2012 substantial reallocations took place taking away resources from SIC
to spend on other priorities It is not clear if this diversion was caused by the crisis
but according to the reallocation to PA 1 focused on employment it can be assumed
that the crisis was at least one of the reasons
Planned allocations for SIC were not implemented at all in Spain In the Autonomous
Community Castilla-La Mancha there were no certified expenditures on SIC due to a
restructuring of funds to face the economic and financial crisis in order to alleviate
problems related to unemployment reinforcing active employment policies and
supporting the most disadvantaged groups or territories This was a rsquoremedialrsquo action
carried out by several Spanish Autonomous Communities in order to finally dedicate
1687 of the ESF expenditure planned for the 2007-2013 financing period in order to
reduce the national unemployment rate (262 in 2013 compared to 83 in 2007)
which was one of the highest unemployment rates in the European Union
A reallocation of resources was not the only impact that the crisis had on SIC
interventions It also made the implementation of SIC interventions more difficult As
a result of the economic crisis and the Memorandum of Understanding Greece had to
implement downsizing and cuts in the wages and social security benefits of civil
servants Amidst this climate civil servants were bound to become demoralised and
the introduction of reforms was bound to face additional difficulties Italy saw a
general slowdown of its physical and financial implementation especially in ROPs
(other priorities emerged) It increased the role of the national OP from the Ministry of
Labour as it supported cross-territorial interventions The crisis also induced a growing
emphasis on the importance of having effective and efficient Public Administrations
that are more able to cope with crisis effects This applied especially to policy fields
like employment social inclusion education and local development The
aforementioned effect also occurred in Latvia the additional pressure was felt
especially by those implementing activities on the ground who had to use the
available resources as efficiently as possible This side effect of economic crisis
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
34
manifested itself in a positive way by encouraging political activities and decision
making capacity
Finally the crisis had a negative impact on the results of SIC interventions According
to the evaluation of the effectiveness and the impact of PA 5 lsquoRaising Estonian
administrative capacityrsquo the financial crisis was one of the main external factors that
had a negative impact on the achievement of the results of the PA 5 The
consequences of the crisis were not anticipated during the planning of the objectives
and activities of the programming period One outcome was that the budget cuts
diminished the share of top managers that were participating in the development
activities In addition the reduction of staff levels as a result of the economic
recession increased their workload and thereby reduced their possibilities to engage
in development activities However various activities might not have been carried out
at all if it had not been for the PA mainly due to the severe effects of the financial
crisis on public sector expenditure in general
In Lithuania the number of civil servants and public institutions were reduced in
response to the economic crisis As a consequence the effectiveness of investments in
the quality of public services and improvement of organisational capacities suffered a
number civil servants of beneficiaries lost their jobs and a number of beneficiary
organisations were simply abolished On the other hand the economic crisis also
increased the relevance of ESF support in the area of SIC to some extent The
evidence shows that as a result of the economic crisis the national funds focused on
training civil servants were replaced by ESF funds Thus because of the cuts in
national funds in the area of ISC ESF funds became more important in Lithuania
According to the capacity building OP evaluation in Romania the economic and
financial crisis influenced the public administration sector which also affected the
implementation of this OP The reduction of tax revenues resulting from the
decreased income from private businesses and taxpayers along with the reduction of
state budget allocations towards public administrations units (main OP beneficiaries)
lead to the impossibility of insuring appropriate co-financing for running projects and
consequently affected the achievement of projectsrsquo programme indicators At the
same time the restructuring measures taken to counter the economic crisis effects
implied reduction of PA unitsrsquo personnel which affected the target groups involved in
the projects and the underachievement of programme indicators
34 The ESF expenditure in the area of SIC
341 Overall funding levels
In total EU-28 MSs allocated euro2418710066 to OPs or PAs that were dedicated to
SIC objectives equating to 21 of total ESF funding (see Table 10 below) This
includes funding from national (public and private) sources as well as the amount of
co-funding foreseen from the EU Most funding is allocated to national Operational
Programmes with only IT and UK having regional OPs In Italy however the majority
of the SIC funding goes to the National OP Governance (20 of total ESF SIC
investment) This sum includes Croatia whose interventions do not fall under the
scope of the present study due to the late start of ESF activities upon accession to EU
The highest absolute amounts allocated to SIC are found in Greece and Poland
followed by Italy and Romania Expenditure on SIC does not always correlate with
overall ESF expenditure In other words MSs consciously choose to prioritise SIC or
not In fact percentages of SIC allocation to overall ESF investment vary considerably
across countries with BG and LT allocating 15 of their ESF budget to SIC followed
by Malta and Slovenia (131 and 128 respectively) Greece invests 81 while
the other countries with high absolute amounts of SIC investments such as PL and IT
allocate a relatively small percentage of their ESF resources to SIC (39 and 18
respectively)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
35
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of
funds allocated to SIC-related Priority Axes over total ESF budget)
Source SFC2007 latest version OPs
Table 10 ESF SIC investment and over total ESF (total funding)
allocation to SIC-dedicated PAs (euro)
over total ESF
BG 209654707 151
CZ 186595775 43
EE 24465675 53
EL 418273566 81
HU 166276830 39
IT 252539187 18
LT 181629418 150
LV 24271094 35
MT 17199118 131
PL 455967699 39
RO 234920609 54
SI 114178243 128
SK 67615059 39
UK 55726379 06
Total SIC EU27 2409313359
HR 9396707 50
Total SIC EU28 2418710066
TOTAL ESF 115596750390 21
Source SFC2007 Operational Programmes as of 31-12-2014
HR interventions are excluded from this evaluation due to the late start of ESF activities upon accession to EU
0
2
4
6
8
10
12
14
16
BG LT MT SI EL RO EE CZ HU PL SK LV EU27 IT UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
36
The total amount of certified eligible expenditure paid by beneficiaries by the end 2014
(or actual expenditure) was euro1669 million The difference between planned and actual
expenditure is discussed in section 411
342 Programmed expenditure on Category of Expenditure 81
In this section we provide an overview of the allocation of Category of Expenditure
81 relating to Mechanisms for improving good policy and programme design
monitoring and evaluation at national regional and local level capacity building in the
delivery of policies and programmes and it involves comparing it with the funding on
SIC-dedicated PAs
The budget foreseen by the EU for Category of Expenditure 81 relating to
Mechanisms for improving good policy and programme design monitoring and
evaluation at national regional and local level capacity building in the delivery of
policies and programmes amounted to euro14 billion ie 19 of the total budget
provided by community funding was allocated to SIC
With regard to the spending foreseen on SIC according to CoE 81 three distinct
groups of countries emerge
Countries with relatively high or fairly high programmed expenditure on SIC
are Bulgaria Estonia Hungary Lithuania Latvia Malta and Romania with
12 5 4 7 4 8 and 5 of their co-funding respectively
Countries with medium scores on SIC Cyprus Czech Republic Poland (3-
4) Italy and Slovenia (2-25) Greece and Slovakia (1-15)
The third group of countries has allocated very small parts of their budget
typically zero or at least less than 1 for SIC Austria Belgium Germany
Denmark Spain Finland France Ireland Luxembourg The Netherlands
Portugal Sweden and the United Kingdom
Figure 3 Budget allocated to expenditure category 81 per MS
Source SFC 2007-2013 latest version OPs community amounts
It is worth noting that capacity building under the ESF is not limited to expenditures
under category 81 only presented above Nor is it limited to SIC-dedicated OPsPAs
-
50 000 000
100 000 000
150 000 000
200 000 000
250 000 000
300 000 000
350 000 000
400 000 000
450 000 000
AT BE BG CY CZ DE DK EE ES FI FR GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
37
In total some euro12 billion out of the euro77 billion8 budgeted for co-funding from ESF
were reserved for the three main other expenditure categories that are likely to
include capacity building actions or activities Modernisation of labour market
institutions (CoE 65) Reforming education and training systems (CoE 72) and
Partnerships Networks and initiatives (CoE 80) Altogether these four categories
constitute 157 of the total community funding budgeted for the 2007-2013
programming period These figures are provided just for completeness of information
as SIC spending (and investment) for the purposes of this report only relates to SIC-
dedicated PAs (ie those PAs which focused exclusively or for a large part on SIC as
per Article 32b of the ESF Regulation
The first group that was identified in the previous section which is comprised of
countries that earmark high shares of their ESF budget to SIC can be expected to
dedicate one or more OPsPAs or actions to SIC This is indeed the case as can be
seen from the table below
Nonetheless one third of the countries that place a medium emphasis on SIC -three
out of nine ndash also included SIC in their programming Czech Republic Italy and
Poland
Even amongst the group with relatively small budgets for SIC one country is found
with dedicated OPs or PAs to SIC the United Kingdom Of course a small share may
still total several millions of euros The United Kingdom earmarked only 1 of its
budget for SIC but this still amounts to euro25 million
Countries devoting neither financial nor material attention to SIC are Austria Belgium
Germany Denmark Finland Ireland Luxembourg the Netherlands and Sweden
The programming of SIC in ESF is discussed in more detail in the following section
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
AT 00 -
BE 00 -
BG 122 143988501 2 4 17
CY 39 4615273
CZ 35 127571573 1 1 1
DE 00 -
DK 00 -
EE 51 20126546 1 1 4
ES 01 6564559
FI 00 -
FR 00 2599325
EL 11 47010448 1 9 9
HU 41 147490451 1 3 6
IR 00 -
8 Source SFC 2007-2013 section on programming ndash operational programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
38
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
IT 25 171426165 7 7 16
LT 68 69552049 1 1 3
LU 00 -
LV 42 24275976 1 1 3
MT 78 8752517 1 1 4
NL 00 -
PL 38 381835672 1 1 5
PT 01 9888970
RO 54 199682518 1 2 5
SE 00 -
SI 21 15861756 1 1 2
SK 13 19308570 1 1 2
UK 05 24585962 1 1 1
EU27 19 1425136831 21 34 78
Envisaged community funding programmed for category 81 SFC 2007-2013 latest version OPs
Dedicated OPs in this table also includes OPs with one or more SIC dedicated PAs
PA 4 of the OP for Guiana covered both Promoting partnerships and SIC and is discussed
under the thematic review of the former
As explained in section 341 the money allocated for OPs and PAs which has been
specifically dedicated to SIC amounts to euro2409 million However this amount
includes national funding which therefore cannot be compared to the allocated
community funding for category 81 expenditure
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
39
4 The effectiveness efficiency sustainability gender sensitivity community added value and the socio-economic
impact of ESF SIC investment in the 27 member States
Key findings
The total amount of certified eligible expenditure by the end 2014 was euro167
million This constitutes 69 of SIC allocated funding at EU level versus 793
for total ESF Implementation rates differ considerably among countries and PAs
In total almost 14 million participations were registered in SIC-related
interventions covering mostly staff from public institutions social partners and
NGOs receiving training This results in a set of characteristics which is very
different from other ESF priorities
In terms of outputs during the 2007-2013 programming period 17000 training
programmes and 4000 studies were undertaken campaigns public consultations
reviews (laws procedures) reports etc were implemented Some 95000
organisationsinstitutions were involved in SIC-related interventions at least
1500 projects or activities launched some 250 guides and guidelines produced
and 150 new structures established
The results achieved through ESF SIC funding during the 2007-2013 period are
varied Approximately 512000 individuals gained a qualification 87000 reported
other positive results some 2000 entities or organisations were established and
more than 1700 productssystemstools were developed
Activities aimed at strengthening of the judiciary resulted in a reduction of the
duration of judicial procedures in a number of countries Strategic planning and
management was improved by increasing the number or the share of public
administration offices that implemented management systems and quality
assurance processes Increasing the number of services available to citizens
online businesses and training of public administration staff to use them correctly
were a means to achieve MS ambitions in the field of e-government Improving
the environment for businesses was achieved by shortening the time needed for
setting up or registering a business and decreasing administrative costs Other
achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by a number of MS
The sustainability of SIC interventions is particularly dependent on the context in
which they are implemented and which they aim to support
Gender equality is seldom targeted directly by SIC interventions through positive
actions However in some countries SIC interventions were designed in such a
way that in their implementation at least women and womenrsquos interests are
taken into account or possibly furthered SIC interventions typically have more
female than male participants
The main Community added value of ESF SIC investment is a volume effect
ESF has also added value by broadening the scope of the interventions
undertaken in MS or by putting administrative capacity on the agenda SIC
funding played a relevant role in supporting the introduction and testing of
innovative tools or systems such as the introduction of e-government
The data presented in this chapter were gathered from the EC Structural Funds
database (SFC) They reflect the situation as available in December 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
40
41 The effectiveness of ESF SIC interventions
The effectiveness of the selected interventions was assessed through
Analysis of financial implementation comparing the actual spending reported
with the allocated funds However as many projects in the interventions are
still ongoing the current analysis at the end of 2014 is only indicative of the
final financial implementation of the interventions
Analysis of the different participant groups addressed in the selected
interventions
Analysis of the intervention outputs and results comparing the targets for
outputs and results with those achieved However this analysis needs to be
treated with caution as it was not possible to systematically assess whether
the initial targets were set in a comparable and appropriate way across the OPs
(eg were the set targets challenging comfortable or realistic) In OPs the
targets have also been adjusted over time further complicating these like-for-
like comparisons
Additional evidence and information derived from national evaluations and
other relevant documents
It was not possible to conduct a systematic comparison with the results of similar non-
ESF sponsored interventions in the national regional contexts due to the lack of
sufficiently similar non-ESF sponsored interventions
411 Progress in the financial implementation of ESF SIC
At EU level euro1670 million or 693 of SIC allocated funding was spent as at
311220149 On average less SIC funds have been spent in relation to the overall ESF
funding with an implementation rate of 793 (See Table 12 below)
Table 12 SIC and overall ESF implementation rate () by MS (31 December
2014)
MS certified expenditure (euro) total allocation (euro)
SIC impl rate ()
total
ESF impl rate ()
BG 137491170 209654707 656 758
CZ 94381124 186595775 506 734
EE 21210585 24465675 867 835
EL 381930601 418273566 913 792
HU 122203794 166276830 735 703
IT 131069031 252539187 519 769
9 Figure does not include Croatia
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
41
MS certified expenditure (euro) total allocation (euro)
SIC impl
rate ()
total ESF impl rate ()
LT 143977869 181629418 793 827
LV 20683459 24271094 852 973
MT 7687444 17199118 447 674
PL 315293255 455967699 691 844
RO 159318804 234920609 678 441
SI 89112721 114178243 780 838
SK 31545122 67615059 467 649
UK 13331326 55726379 239 770
Total 1669537980 2409313359 693 793
Source SFC 2007 The implementation rate corresponds to the percentage of certified expenditure over the total funding of the PA
HR not included
Table 13 below shows considerable differences among PAs Extremely low rates can
be observed for most of the Italian and the UK OPs dedicated to SIC They all spent
less than one-third of their budget for the period by the end of 2014
For Italy low implementation rates were recorded in all (convergence) regional OPs
and in the National OP Competencies for Development which was due in the latter
case to the slow start of activities10 A number of explanations can be offered for the
low implementation rates of regional Italian OPs a) involving public administrations in
reform processes traditionally requires a large amount of time (in Italy) b)
implementation was slow for the regional OPs in general (not only for the SIC PAs) c)
other important public administration reform processes involved MAs and this shifted
its attention from SIC theme implementation d) the theme funding was generally not
so relevant (for regional OPs but also in the case of the Ministry of Education for
national OP for example) e) generally small sized interventions (also for
administrative reasons) have been implemented and the spending speed was
therefore slow f) (probably) an overestimation of funding needs occurred in OPs
Within that context overall allocation to SIC PAs in Italy (EU and national funding)
decreased significantly from the beginning of the programming period due to the
reallocation of resources
10 In fact implementation accelerated significantly in 2015 national data (29022016) account for a commitment rate above 100 and payments around 60
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
42
Most of the Greek PAs on the other hand had extremely high implementation rates
spending more than 90 of the money budgeted The extremely high implementation
rate of PA 3 in the Greek OP Administrative Reform is due to the fact that this PA
underwent several revisions and eventually financed a major intervention lsquoFemale
entrepreneurship 24-64rsquo (implemented by OAED-Ministry of Labour) Concurrently co-
financing rates were also revised
Other high implementation rates (over 80) can be noted for the Bulgarian
administrative reform OP as well as for the Estonian OP the Latvian OP the Italian
Basilicata region and the Italian national governance OP (the most relevant OP in
terms of SIC investment in Italy) the Lithuanian OP the Czech Republic OP the
Slovenian OP the Hungarian reform OP and one of Romanias PAs
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Thematic EU synthesis report Strengthening Institutional Capacity
43
Table 13 Share of the budget spent per SIC relevant PA
MS OP - PA
Total
funding
(euro)
Impl rate
()
IT OP Competencies for Development ndash PA2 29740000 1488
UK OP West Wales and the Valleys- A4 55726379 2392
IT OP ESF Calabria ndash PA7 23803512 3109
IT OP ESF Sicily ndash PA7 14350000 3135
IT OP ESF Campania ndash PA7 40000000 3374
IT OP Apulia ESF ndash PA7 31340400 3474
MT Empowering people for more jobs and better quality PA4 17199118 4470
BG OP Human Resources Development ndash PA6 42559453 4569
SK OP Employment and Social Inclusion ndash PA4 67615059 4670
CZ OP Human Resources Development ndash PA44a 178020742 4923
RO OP Administrative Capacity Development 97883587 6282
BG OP Administrative Capacity ndash PA2 62440507 6290
HU State Reform OP ndash PA1 84742365 6750
BG OP Administrative Capacity ndash PA3 65819495 6774
PL OP Human Capital ndash PA5 455967699 6915
EL Administrative Reform ndash PA4 40905059 7046
RO OP Administrative Capacity Development ndash PA1 137037022 7139
HU State Reform OP ndash PA2 33738453 7580
SI OP Development of human resources ndash PA5 114178243 7810
CZ OP Human Resources Development ndash PA44b 8575033 7862
LT OP for the Development of Human Resources - PA4 181629418 7930
IT Governance and System Actions ndash PA5 103634307 7935
HU State Reform OP ndash PA3 47796012 8260
IT ESF Basilicata ndash PA7 9670968 8407
EL Administrative Reform ndash PA6 4047043 8465
LV Human Resources and Employment 24271094 8520
EE OP Human Resource Development ndashPA5 24465675 8670
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Thematic EU synthesis report Strengthening Institutional Capacity
44
MS OP - PA
Total
funding
(euro)
Impl rate
()
EL Administrative Reform ndash PA1 132496530 8758
BG Administrative Capacity ndash PA1 38835252 8803
EL Administrative Reform ndash PA5 50938324 8815
EL Administrative Reform ndash PA7 48235348 9022
EL Administrative Reform ndash PA8 41147810 9262
EL Administrative Reform ndash PA9 11062398 9707
EL Administrative Reform ndash PA2 87045034 10203
EL Administrative Reform ndash PA3 2396020 31574
Source SFC 2007-2013 Country Synthesis Reports
412 Types of output and result indicators selected by the OPs
A variety of outputs have been generated by SIC interventions Countries have
developed several types of indicators to monitor them
Important outputs relate to the participation of individuals in ESF activities This
category is made up of the traditional indicators to monitor progress with regard to
participants in events which are usually training events Human resources however
also include interventions other than training for which indicators can also be found
Examples of these indicators refer to number of persons participating in training or
persons achieving a qualification at the end of the intervention
Other outputs relate to the institutions that benefitted or those that were the object of
certain activities As SIC events also address structures and processes a whole series
of indicators have been used that in essence measure the number of supported
organisations This includes the number of supported organisations (eg supported
NGOs) also more specific output indicators have often been formulated to take the
object or content of the intervention into account Example of these are as follows
number of judiciary that have introduced court case management systems
administrations that have introduced systems for in-house electronic exchange
of documents
number of local governments whose employees have completed training
civil society structures that have trained their staff
functional reviews carried out for improving organisation and HR management
A further series of indicators measure the production of tools andor deliverables such
as the number of guides and other methodological documents prepared information
campaigns carried out and e-government services developedintroduced
The results are less easy to cluster and the indicators used raise some questions A
discussion of these issues has been used as a framework to show the types of results
that MSs aim for and achieve with SIC interventions that have been co-financed by
ESF
The first thing that stands out when examining the results indicators used for SIC
interventions is that a number of them are quite similar to the output indicators
discussed above This does not necessarily mean that these are not the correct
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
45
indicators for the results of the intervention This entirely depends on the type of
intervention and the intervention logic behind it Results indicators build upon the
indicators defined for outputs If these are defined as lsquothe number of trainingsrsquo for
example the results can be measured as the lsquonumber of successfully trained staffrsquo
However if the outputs were measured by lsquothe number of trained staffrsquo the result
should assess the next step in the objectives tree (eg the number of trained staff
that have obtained a qualification or have mastered specific skills) If new
organisations have been set up and this was used as a measure of outputs this could
be accompanied by an indicator for results that measures the use of such a structure
for example the number of visitors or number of services provided Occasionally it can
also be a point of discussion on where to draw the line between output and result
level
Result indicators that could also be found as output indicators are listed below
number of participants gaining a qualificationcertification
share of persons successfully completing a training programme
number of successful course graduates
newly created structures
public administration units supported in improving management standards
number of NGOs per year who have received advice
proportion of civil servants with individualised performance ratings
A second observation concerns the quality of the indicators The results indicators in
some cases appear to be less specific than the output indicators It may be the case
though that the SFC database only mentions the measure used (eg lsquopersonnel
turnoverrsquo or lsquothe average administrative costs associated with starting a business
activityrsquo) while the details (decrease how much by when) are specified elsewhere
The number of countries not specifying targets for results is also somewhat higher
than for outputs Six MSs did not set targets for part of the results of SIC
interventions whereas this only occurs in four countries for outputs
Indicators that are good examples of being specific measurable and relevant are
Administrations that have undertaken the optimisation of procedures as a
result of a functional review
Ratio of persons becoming civil servants within the central administration
system in the current year in relation to those previously employed The hiring
of these new staff members must be the result of an open call for applications
The second example also includes the time element required for SMART indicators
Several indicators refer to the introduction of systems or tools resulting from the
intervention It is clear that certain activities and outputs are required for these results
to be achieved such as training awareness raising promotion or even new legislative
requirements These are examples of indicators that clearly measure results rather
than outputs
legislative drafts accompanied by an impact assessment
administrations using the Single HRM Information System
bodies of the judiciary that have introduced a HRM system
normative acts adopted after consultation with stakeholders
the percentage of local governments that have implemented management
systems involving customer satisfaction measurement
administrations that observe the time standard for service provision
public sectors that have elaborated specific public private partnership rules
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
46
administrations that have introduced rules of procedure for the monitoring of
policy implementation
number of laws amended as a result of the programme
The more lsquostrategic naturersquo called for in the ESF Regulation is visible in a limited
number of results indicators Examples include
shortening the length of judicial proceedings
reducing the time for servicing clients
increasing the share of persons from target groups receiving services
providing compliance with the Maastricht criteria
Requirements for indicators and targets in the framework of ESF assistance
In its preamble (26) to the General Regulation ((EC) No 10832006) the Council states that ldquoit
is appropriate to set measurable targetsrdquo and that it is necessary to identify appropriate ways to measure and report the attainment of those targets Article 93 specifies the share of the budget to be devoted to activities that further the Unionrsquos objectives regarding competitiveness and job creation including the objectives of the Integrated Guidelines for Growth and Jobs (2005 to 2008) The targets set by MSs should reflect this Article 36c stipulates that targets
shall be quantified ldquousing a limited number of indicators for output and results taking into account the proportionality principlerdquo The ESF Regulation ((EC) No 10812006) specifies for programmes co-financed by ESF that the indicators shall be rdquostrategic in nature and limited in numberrdquo They must also rdquoreflect those used in the implementation of the European Employment Strategy and in the context of the relevant Community objectives in the fields of social inclusion and education and trainingrdquo
413 Overall achievements
In this section we provide an overview of the main achievements in terms of the
values of output and results indicators
In terms of outputs recorded during the 2007-2013 programming period 17000
training programmes were developed and 4000 studies undertaken campaigns
public consultations reviews (laws procedures) and reports have been implemented
Some 95000 organisationsinstitutions were involved under SIC-related interventions
The organisations that the ESF supported besides the obvious beneficiaries include
bodies of the judiciary government offices at county level boards of public benefit
activities at regional level and municipalities At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures including client
centres or regional offices
Most of the individuals that participated in a SIC-funded projectinitiative received
support in the form of training Examples of other achievements for individual persons
include lsquoattracting new specialistsrsquo and lsquoemployers assisting or financially supporting
These achievements were monitored through output indicators These figures probably
underestimate the number of outputs as countries have not necessarily included both
the number of organisations involved in training and the number of staff trained as
output indicators Sometimes the development of training plans was a distinct activity
however for many training programmes plans may exist without being monitored
through output indicators
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
47
The results achieved through ESF during the 2007-2013 programming period are
varied too
In order to illustrate them we first present the aggregate of realised values of result
indicators for SIC based on a limited set of key ESF results common to all ESF
priorities as reported in the EU Synthesis Report of the present service 11
as such
these values can be aggregated and compared with those of other ESF priorities
During the 2007-2013 programming period under the SIC priority approximately
512000 individuals gained a qualification and 87100 reported other positive results
Some 2000 entities or organisations were established or they recorded other positive
results and more than 1700 productssystemstools were developed It should be
mentioned however that due to data limitations it was not possible to aggregate all
results as reported in the AIR of ESF programmes and as a consequence this leads to
systematic under-reporting of the results of ESF12
In addition we provide a more detailed overview of the main types of results
customised to SIC interventions while section 414 provides a more in-depth analysis
of some of these indicators per typology of intervention
However it should be highlighted that several limitations mainly in the quality and
availability of monitoring data and heterogeneity of national evaluations coupled with
a broad range of intervention logics hamper the formulation of a concise and clear cut
assessment of achievements causality and extent to which results have been
achieved at EU level Furthermore as it will be mentioned below in more detail
typically information from national evaluations is of a more qualitative nature with
fewer evidence-based findings and is thus not conducive to drawing hard conclusions
ESF-supported interventions helped in reducing the administrative burden for citizens
and businesses The processing time was shortened for documents servicing clients
obtaining the necessary paperwork for starting a business and judicial procedures
(BG CZ PL) administrative costs were also reduced (EL RO PL)
Services were made more accessible through the introduction of on-line service
delivery at various administrative levels (BG CZ PL)
SIC interventions also contributed to the production of better quality policies and
legislation through the introduction of monitoring and evaluation procedures in
administrative bodies (BG RO) the increase in impact studies conducted before
introducing new legislation (BG CZ) the development of quality management in
public institutions (LV) and laws that were amended to better serve the community
(HU)
Management systems and practices were changed to incorporate modern human
resource management and planning techniques (EE PL LV) performance ratings used
for staff assessment (HU) and new staff that were attracted to join government
11 these are People in employment directly or sometime after the intervention People receiving a qualificationcertificate People reporting positive results other than employment or qualification such as for example improving skills competences or successfully completing the
ESF supported intervention (or reporting a combination of employment qualification and other positive result aggregating combined indicators) People in self-employment Entities being established or obtaining other positive results and Productssystemstools developed
12 For a more detailed analysis of data limitations in calculating ESF results see the EU Synthesis Report Chapter 41
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
48
institutions (HU) Cooperation with other actors was furthered through the preparation
of rules for public-private partnerships in public administrations (BG) and the inclusion
of NGOs in activities (LV) SIC interventions of course also led to many reforms in
public institutions (RO)
The support to institutional capacity also contributed to achievements in specific policy
areas equal opportunities through the increased number of public bodies of the
central government that promote the integration of gender policy (EL) environmental
policies through the development of territory plans in municipalities (LT) and
environmental management systems in companies (UK) and the social dialogue
through the increased number of employees that are covered by collective agreements
(LV)
The above overview of achievements is based on the indicators that MSs formulated to
measure results From the information provided in chapter 3 it is obvious that this
captures only some of the achievements
414 Achievements in specific fields of activity
In this section we provide a more in-depth analysis of achievements obtained through
the implementation of SIC-related interventions in some specific sectors according to
a classification of indicators per field of activity By looking at these different fields of
activity some interesting findings at country level emerge
Capacity building related to judiciary reforms
Relevant output indicators have been identified in this field in three countries (BG PL
and EL) Five of output indicators (BG and PL) relate to the training of individuals
such as magistrates or employees of judiciary offices and one to the number of
training modules developed (BG) In Greece the selected indicator refers to the
number of implemented upgrading actions of courtsrsquo administrative capacity One
more indicator in Bulgaria refers to the number of judicial bodies that have introduced
court case management systems
Of the twelve result indicators selected by four MSs (BG CZ PL and SI) seven
measure the decrease in the duration of proceedings of judicial cases (CZ PL and SI)
In Slovenia the average duration time for judicial procedures (in months) was reduced
from 95 to 39 thus surpassing the target (6) In the Czech Republic the length of
judicial proceedings was down to 497 (days) by the end of 2014 from an initial
baseline of 1057 (versus a target of 846) The remaining indicators refer to the
increased effectiveness of judiciary bodies and offices in terms of management and
quality assurance HR and provision of services
Results for BG and PL were less positive In Poland although the share of cases
handled by the courts for longer than 12 months decreased to 14 (target 1330
baseline 167) the indicators related to the average duration of proceedings in
commercial cases did not show a progress towards the set target In Bulgaria the
intervention on the web platform for e-justice failed due to lack of interest
Processes related to strategic planning and management
Eight output indicators have been selected by four MSs in the field of Strategic
planning and management (EL LT LV and PL) They refer to the number or the share
of public administration offices that implemented management systems and quality
assurance processes including the training of employees on these subjects
Eight result indicators for this field have been selected by five MS (EE LV LT PL and
RO) which measure the number of units or offices that have changed their
management system or introduced quality standards or management systems
E-government
Six output indicators have been selected in the field of e-government One indicator in
Slovenia refers to the number of online administration services available It is
interesting to note that in the case of Slovenia the target was overachieved by 249
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
49
(805 services online versus 323 targeted starting from an initial baseline of 308) In
Bulgaria the indicator refers to the number of administration units having introduced
systems for the in-house electronic exchange of documents (in total 108 although no
initial target was set) In Poland the selected indicator refers to the number of
employees who received training for the provision of online services (this indicator
shows a relevant underachievement as only 23 of the foreseen 800 workers received
the training)
By the end of 2014 in Slovenia the availability of e-government services has
increased from an initial baseline of 87 to 95 (initial target over achieved) usage
of ICT services by medical personnel has increased to 65 from an initial baseline of
60 while use by patients has risen to 25 from an initial 22 Usage of e-services
by the unemployed has increased from an initial baseline of 7 to 27
(implementation rate of 163) In Bulgaria 436 services have been made available
online (1000 were foreseen) In the Czech Republic achieved results relate to the
increased use of e-government public administration
Promoting a business-friendly administration
Five MSs selected result indicators relating to the promotion of a business-friendly
administration these mostly relate to shortening the time needed for setting up or
registering a business or in the rebate of administrative costs for business
In Slovenia the number of days required for setting up a corporate entity decreased
from 61 to 29 days (versus a target value of 7) In Poland the OP selected a
relatively high number of indicators to measure the goal of having a more conducive
administrative environment for companies the decrease in the number of days for
registration of an economic activity (for companies and individuals) and of the
administrative costs for setting up a business In all instances the indicators show that
initial targets have been achieved or over-achieved Lithuania also focuses on the
reduction of the time required to set up a business over the 2007-2014 period this
has decreased from 26 to 3 days
In Poland significant results in the area of administrative capacity connected with
diminishing burdens on economic activity have been found Diminishing burdens on
starting-up businesses are connected with a friendlier law and organisational setup ndash
simplifications were made of 92 legal acts which were most relevant in terms of
conducting economic activity (target 40) The average number of days required for the
registration of economic activity (starting up business) dropped to 005 (target 1
baseline 7) for individuals and 348h (target 24h baseline 168h) for companies The
empowerment of citizens was achieved through the results connected with access to
free legal consultations Other successful programmes include the implementation of
the lsquoone-stop-shoprsquo system for start-ups the simplification of administrative
procedures related to start up business increasing the quality of services rendered by
tax administration and equipping judiciary staff with necessary competences relevant
to dealing with economic cases (PA 512)
415 Effectiveness
Effectiveness can be measured by comparing achievements with initially set targets
As targets for outputs and results are defined in different ways a composite indicator
has been constructed which counts the number of targets that have been met and the
number of those that have not been reached for each ESF theme
Outputs
The table below shows the share of output targets achieved and not achieved for SIC
interventions and for ESF interventions as a whole It should be noted that no targets
were set for a number of outputs in Bulgaria the Czech Republic Greece Italy Latvia
and the United Kingdom The share of outputs without targets for these countries
amounted to 5 65 2 65 30 and 24 respectively
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50
It is to be recalled that targets were set for the end of the programming period with
the 2007-2013 expenditure being eligible until 31122015 Therefore tables and
figures below underestimate the attainment of targets as data on results refer to
2014 only
For the ESF as a whole only slightly more than half of the output targets were set
Where targets were set for outputs a majority of them were achieved (63) Targets
were more often set in countries that had allocated resources to SIC-related
interventions In those countries targets were set for 61 of the outputs defined
These targets were achieved to roughly the same degree as the other types of
interventions (see table below) For the SIC interventions themselves a relatively
large number of targets was set However only half of these targets were met which
is considerably less than for ESF interventions as a whole and this has not been
explained by the MS Obviously the fact that targets were set for a larger share of the
PAs did increase the chances of failing to meet targets this is because targets were
also set when this was more complicated to achieve (See Table 14)
Table 14 Target setting and achievement for outputs SIC and ESF
Targets set Targets achieved if set
ESF as a whole 54 63
MS with SIC related interventions 61 61
SIC related interventions 78 52
Source SFC 2007-2013Draft Country Synthesis Reports
Achieved or over-performed
In eight of the 14 countries SIC interventions performed better than interventions in
general These countries show the same or higher achievement rates for SIC
interventions than for all ESF interventions the Czech Republic Estonia Hungary
Latvia Romania Slovenia Slovakia and the United Kingdom With the exception of
Slovakia in particular these countries also performed considerably better than the
other countries (See Table 15)
Table 15 Achievement of output targets for SIC and all ESF interventions
ESF
SIC
Below target Above or = target Below target Above or = target
BG 73 27 94 6
CZ 27 73 0 100
EE 16 84 0 100
EL 63 38 74 26
HU 35 65 14 86
IT 37 63 77 23
LT 28 72 47 53
LV 16 84 0 100
MT 50 50 67 33
PL 33 67 42 58
RO 52 48 40 60
SI 35 65 14 86
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51
ESF
SIC
Below target Above or = target Below target Above or = target
SK 63 37 63 38
UK 30 70 25 75
BG Incl PA4 TA
CZ No data for PA 44b
Source SFC 2007-2013Draft CS Reports
Results
Tables 16 and 17 below provide a consolidated overview of the degree to which set
targets for results were met
Table 16 Target setting and achievement for results SIC and ESF
Targets set Targets achieved if set
ESF as a whole 63 39
MS with SIC related interventions 57 41
SIC related interventions 81 43
Source SFC 2007-2013Draft CS Reports
Achieved or over-performed
Result targets were considerably more often set for SIC related interventions rather
than for ESF interventions in general (81 compared to 63) Only four out of ten
SIC PAs achieved their targets In this they are comparable to other types of
interventions under ESF
Only four countries have performed equally or better in terms of achieving their
results targets for SIC compared with their performance regarding ESF interventions
as a whole Estonia Hungary Italy and Latvia (see table below)
In general countries set targets for results more often than they do for outputs (63
compared with 54) However the difference is negligible for SIC interventions On
the other hand the targets set for results were achieved much less often than those
for outputs For ESF as a whole 39 of the targets set for results were achieved
compared to 63 for the output targets Only 43 of the SIC interventions met their
targeted results compared with 52 of the output targets As this is the first period
for which targets had to be developed for SIC interventions it could be that these
targets were set at levels which were too ambitious It is conceivable that assessing
the chances of outputs being achieved would be easier than assessing likely results
ESF 2007-2013 ex-post evaluation synthesis
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52
Table 17 Achievement of results targets for SIC and all ESF interventions
ESF SIC
Below target Above or = target Below target Above or = target
BG 76 24 87 13
CZ 31 69 56 44
EE 34 66 0 100
EL 78 22 100 0
HU 0 100 0 100
IT 78 22 56 44
LT 27 73 50 50
LV 36 64 29 71
MT 36 64 50 50
PL 47 53 52 48
RO 61 39 78 22
SI 52 48 75 25
SK 86 14 100 0
UK 29 71 86 14
BG Incl PA4 TA
CZ No data for PA 44b
For SI PP and SIC data are combined and this table therefore includes the PP interventions too
Source SFC
Of course target achievement is only one way of assessing results and national
evaluations in a number of cases more detailed analyses at the level of PAs have
provided more positive or more nuanced statements about the results (eg EL MT
PL RO SI) One reason is that these evaluations provide more information than is
available in the database or that they make a more detailed comparison between the
effectiveness of PAs or actions related to SIC However the assessment of the results
is also influenced by expectations and previous experience as well as by the use of
other criteria
The PA for lsquoModernising and improving the quality of public services for West Wales
and the Valleysrsquo met only 14 of the results targets according to the SFC database
However it can still be assessed positively when looking at national sources bearing in
mind that most targets were met or exceeded (AIR 2014) Also the projects within this
thematic area had a clear focus on seeking to instigate a positive change with a view
to creating long-standing service improvements This thematic area provided impetus
in moving some agendas and pilot ideas into practice due to the additional funding
provided13
13 Thematic Evaluations presentations PWC dated October 2014 and May 2015 available at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
53
416 Reaching the different target groups
In total over 14 million participations were reported in SIC-related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training
The fact that the target groups of SIC interventions are usually the staff of the
institutions concerned is reflected in the participantsrsquo characteristics These differ
considerably from the average ESF population
Almost all participants are as logic suggests employees The only exception is
Slovenia where lsquoonlyrsquo 865 of the participants are employed For the ESF as a
whole only one third of the participants are employed as many interventions focus on
promoting the labour market participation of unemployed and inactive people
The majority of the participants are well educated (ISCED 5 and 6) With 57 of the
participants in this category the educational level of participants is much higher in SIC
interventions than it is for ESF as whole where only 17 fall into this category
Conversely participation of people with lower educational levels especially ISCED 1
and 2 is much higher for ESF participants as a whole The highest educational levels
are found amongst participants in Lithuania Romania and Slovenia the lowest in the
Czech Republic Hungary and Italy
Participants in SIC interventions are older than ESF participants on average The vast
majority of the participants in SIC interventions are 25-54 years of age (86) while
this number amounts to only 63 for ESF as a whole They also belong to the older
age group of 55-65 years of age somewhat more often 11 versus 6 of the
population for ESF as a whole Young people (15-24) on the other hand are strongly
under-represented (4 for SIC interventions versus 31 for ESF as a whole)
Although in some countries young people are better represented (LT LV SI) but with
still far lower shares than for ESF as a whole Countries with the lowest share of young
people in SIC interventions are the Czech Republic Greece and Italy
The majority are women (64) For the ESF as a whole only 52 of the participants
are women This over-representation of women might be due to the fact that they are
usually over-represented in public administration which represents the most
important target of SIC interventions The share of women in SIC interventions is
somewhat lower in Italy and the United Kingdom (50-59) and considerably lower in
Malta and Slovakia (40-49) Women are over-represented in all sub-groups The
difference is however considerably less pronounced amongst the higher educated
This is caused by the fact that for ESF as a whole the share of women amongst
higher educated participants is relatively high (63) while for SIC interventions the
share of women remains in line with SIC interventions as a whole If we assume that
for SIC interventions higher education is accompanied by higher positions in the
organisations concerned this could reflect a lower representation of women at higher
levels in such positions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
54
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014)
Source SFC 2007 Country Synthesis Reports
Values BG CZ EE EL HU IT LT LV MT PL RO SI SK UK TOTAL SIC
over
total W TOTAL ESF
over
total W
Total
participants252126 140810 43434 130340 210547 13878 92410 49538 20264 367776 70249 927 42725 822 1436920 64 98658829 52
Employed 241728 140810 43434 126685 205701 13878 87180 46318 20182 352000 70249 802 42151 822 1392409 969 64 33041257 335 53
of which self-
employed8799 - - - 1009 - 3323 1304 792 3619 - 97 170 - 19134 54 2437321 25 45
Unemployed 4531 - - 3655 1653 - 481 599 22 4004 - 78 46 - 15525 72 30039410 304 53
of which LTU 2062 - - - 482 - 166 330 4 935 - 7 11 - 4201 62 8996113 91 52
Inactive 5867 - - - 3193 - 4749 2621 60 11772 - 47 528 - 28986 64 35578162 361 50
of which in
educationtr
aining
1484 - - - 395 - 3967 2621 38 3898 - 41 76 - 12598 63 25207563 256 50
Young
people (15-
24 years)
13524 1 2512 950 4740 7 8022 4275 1270 16823 3497 98 2188 21 58157 40 61 30063502 305 47
Older people
(55-64
years)
39485 48 6384 15697 11244 995 12806 6508 2248 42046 7266 102 6317 101 151350 105 61 6106942 62 50
Migrants 125 - - 16 214 - 34 12 16 3 - 3 15 12 483 56 5152191 52 50
Minorities 9593 - - 38 1083 - 2150 447 - 40 3317 2 428 27 17309 58 3856947 39 47
Disabled 4737 - - 102 745 - 599 1082 94 948 146 12 357 37 8939 63 5265599 53 46
Others 1968 - - 101 - - 2637 48049 209 - - 6 335 - 53468 71 7017829 71 51
Primary or
lower
secondary
education
6421 - 667 3066 7087 7 3227 1041 3988 3909 - 16 4873 25 34454 24 57 38840296 394 48
Upper
secondary
education
49741 4 6730 31186 17941 780 2716 5347 3657 42521 9289 103 10136 169 180739 126 60 26014203 264 52
Post-
secondary
non tertiary
education
23951 - 5844 2970 5744 134 3720 3278 3460 52931 2214 150 1587 - 106029 74 66 4934362 50 57
Tertiary
education172013 71 30193 93114 38649 1385 82378 32254 9159 268415 58746 658 24057 611 812185 565 66 16297940 165 63
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
55
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women participants
Source SFC 2007 Country Synthesis Reports
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
Total participants 630 633 707 648 601 543 678 725 437 684 606 669 476 564
Employed 631 633 707 638 600 543 684 721 437 685 606 647 476 564
of which self-
employed 574 - - - 640 - 569 712 188 429 - 237 247 -
Unemployed 591 - - 998 600 - 568 791 500 666 - 808 522 -
of which LTU 559 - - - 676 - 512 758 1000 725 - 857 364 -
Inactive 605 - - - 673 - 576 785 450 650 - 809 511 -
of which in
educationtraining 610 - - - 666 - 569 785 526 604 - 829 487 -
Young people (15-
24 years) 603 1000 702 783 536 1000 560 581 521 662 614 571 546 524
Older people (55-
64 years) 586 625 699 579 558 432 705 732 280 634 590 235 512 554
Migrants 448 - - 1000 640 - 529 583 688 667 - 333 67 583
Minorities 561 - - 1000 540 - 610 785 - 675 614 - 614 519
Disabled 621 - - 686 558 - 723 742 202 660 507 417 602 541
Others 615 - - 1000 - - 669 724 282 - - 500 254 -
Primary or lower
secondary
education 556 - 643 698 616 - 553 744 316 607 - 125 591 560
Upper secondary
education 581 750 680 656 554 505 419 732 468 626 571 359 464 556
Post-secondary
non tertiary
education 593 - 702 684 579 500 544 741 464 716 573 320 565 -
Tertiary
education 652 634 716 642 496 453 697 738 467 688 612 465 493 566
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
56
42 Efficiency
As in other thematic evaluations the lack of information on the costs per result
hinders an assessment of the efficiency of ESF SIC investment It is always possible to
calculate the cost per participant but this is a less relevant and potentially confusing
indicator for SIC interventions The table below illustrates the limitations of this effort
Both Slovenia and the United Kingdom report an extremely small number of
participants and high cost per participant Under the Slovenian PA IT expenditure was
planned which involved substantial budgets for software hardware and expertise
with only a small proportion of the budget reserved for the training of future users
This was not the case for the United Kingdom and this combination of a small number
of participants and high cost per participant may be partly explained by the fact that
the number of trained people fell far below the original target Therefore only by
analysing the interventions undertaken by each country would it be possible to draw
any meaningful conclusions
Table 20 Funding per participation for SIC related OPsPAs
Total participants
Total expenditure (euro)
Cost per participant (euro)
BG 252126 137491170 545
CZ 140810 94381124 670
EE 43434 21210585 488
EL 130340 381930601 2930
HU 210547 122203794 580
IT 13878 131069031 9444
LT 92410 143977869 1558
LV 49538 20683459 418
MT 20264 7687444 379
PL 367776 315293255 857
RO 70249 159318804 2268
SI 927 89112721 96130
SK 42725 31545122 738
UK 822 13331326 16218
Source SFC database
Another indicator for efficiency was used in the ex-post evaluation of the Romanian
capacity development OP This programme was judged to be efficient because with a
similar level of investment it generated more immediate effects than initially
envisaged This is despite the fact that 120 of the selected projects in this country
could not be awarded due to depletion of funds this decreased the efficiency of the
OP somewhat as time was spent on processing and assessing these projects but with
no subsequent activity delivered or results achieved
Another more qualitative dimension of efficiency is assessed by looking at the
implementation process to see if there are features that are impeding or facilitating
the programme Two examples illustrate this In the Czech Republic only 75 of the
financial resources which were committed for the realisation of the selected projects
were fully spent This was caused by mistakes made during the procurement process
that resulted in delays in implementation Hungary showed that reforms could produce
the opposite or mixed effects on efficiency On the one hand state reforms may
increase the activity undertaken and the outputs and results produced On the other
hand the accompanying reorganisation of institutions may have a negative impact on
the efficiency of such interventions as they initially cause inefficiencies where people
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
57
are adjusting to the new situation Sometimes the complexity of procedures also
influences costs indirectly One example of this is when due to the complexity of
project administration huge amounts of money are spent on project management
which is provided by private companies that were established especially and solely for
this purpose (SK)
It can be concluded that the available information does not allow conclusions to be
drawn regarding the efficiency of SIC interventions The assessment of efficiency is
strongly hampered by the fact that the outputs of various activities are objects rather
than people This renders a comparison of costs per participant between PAs or
countries meaningless In addition there is a wide variation in the objects produced
which can range from studies to IT-systems therefore their costs also cannot be
compared without collecting detailed information on outputs and costs at activity level
The current evaluation does not encompass this level of analysis
43 The sustainability of ESF SIC interventions
Sustainability of SIC intervention refers to both the continuation of funded projects
(with or without EU funding) and the achieved results in terms of increased
empowerment and adaptation to new needs as they develop Although no clear-cut
evidence on sustainability has been detected it could be argued that in this respect
interventions are likely to be sustainable to a large extent Such interventions have
set in motion other activities which will continue beyond the lifespan of the original
activity Alternatively the tools developed provide a platform for new initiatives
without time constraints related to the project that introduced them For example
Those that have upgraded or added value to other interventions These are
mainly the training programmes based on needs assessments made through
functional analysis (BG)
E-governance and other tools (BG MT)
Quality management (LV)
A common learning portal for local authorities (UK)
Training or manpower interventions (EE IT MT)
Sustainability can be deliberately ensured by procedures and regulations to this end
In Poland changes in public administration institutions which were introduced as part
of the ESF project will have a permanent nature this is guaranteed by the
introduction of new procedures and regulations This applies to the Better Regulations
2015 adopted by the Council of Ministers on 22 January 2013 and concerning areas
such as legislative actions of simplification (solutions in removing barriers to
entrepreneurship development) impact assessment (an analytical tool that allows to
design regulations which correspond to the real socio-economic problems) and a public
consultation (the consultation facilitating stakeholder participation in the legislative
process - the on-line consultation system) The situation is the opposite for NGOs the
support they that received significantly influenced the development and strengthening
of the third sector but the lack of proven procedures and constant cooperation
between public authorities and NGOs adversely affects the durability of the results (the indicator - number of local government units that have implemented the
standards of cooperation with NGOs - has been achieved at the level of 856 in
Poland)
It should be mentioned however that the sustainability of SIC interventions is also
dependent on the context in which they are implemented and which these same
interventions aim to support Two main obstacles to sustainability have been identified
in this respect These are the lack of financial resources to sustain the action and the
institutional and political environment
Italy and Lithuania both highlight the importance of earmarking ESF funding for similar
interventions under the next programming period In Italy disappointing results of
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Thematic EU synthesis report Strengthening Institutional Capacity
58
regional SIC interventions led to the introduction of national thematic objectives
These cover the whole of Italy for the current programming period which the 2014-
2020 regulation now allows14 Between 2014 and 2020 the strategies and actions that
were started during the previous period will be continued and consolidated in a more
structured and defined framework For Lithuania the sustainability of the products
developed and results achieved at the end of the EU funding were identified as
moderate and dependent on the field of intervention and public management
institutions Since the budgets of the state and especially municipal institutions are
limited the continuity of products and results created from the 2007ndash2013 Structural
Funds in the field of public management depend on planned investments during the
2014ndash2020 programming period (this is particularly applicable to the fields of
performance management and e-government) In the case of decentralisation lack of
funding is also more likely to occur and national (or ESF) funding is needed to ensure
that interventions will be sustained (RO) Formalisation through public policies at
national level is required for this
The institutional environment is flagged up as a deterrent to the sustained
effectiveness of interventions in Greece and Slovakia Key institutional factors in this
respect include
a high employee turnover among state employees (SK)
lack of a systematic policy for human capital (SK)
changing management with new elections (EL SK)
an overall administrative culture that is not conducive to change (EL)
44 Gender sensitivity of ESF SIC interventions
SIC may have a direct or indirect impact on gender equality by strengthening and
supporting the gender infrastructure that is an integral part of the institutional set up
of a countryregion The term gender infrastructure refers to the administrative
political and legal mechanisms existing within the public administration which are
aimed at promoting gender equality such as provisions for gender mainstreaming
policies at the central and local level or gender budgeting for example Gender
infrastructure can be targeted directly by SIC interventions through positive actions
(such as training staff on gender issues promoting studies on gender pay gaps or
supporting the creation of gender units) or indirectly by strengthening the overall
capacity of the administration and therefore also implicitly improving awareness on
gender policies whilst also developing their effectiveness
An example of such an approach can be found in Greece which dedicated a PA to
lsquoStrengthening policies aiming at ensuring equal opportunities for all in the whole
range of the public administrationrsquo The PA foresaw measures to enhance the gender
mainstreaming policy in the public administration and increase the participation and
career progress of women in employment Actions included
codification and simplification of law regulations for the enhancement of gender
mainstreaming in all the fields of policy making
evaluation of public policiesrsquo impacts through gender mainstreaming
enhancement of the integration of gender mainstreaming in public policy
14 Institutional capacity being reserved to Convergence areas in the 2007-2013 period
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Thematic EU synthesis report Strengthening Institutional Capacity
59
enhancement of the participation of women in decision making centres
enhancement of actions in prefecture authorities targeting the prevention and
combating of violence against women
support for NGOrsquoS (womens organisations)
From the available evidence it seems that most of the interventions were
implemented as planned The latter intervention encountered difficulties as it coincided
with the restructuring of the public sector which was necessitated by the economic
crisis Very little is known on the impact of these interventions
Other countries did not address the gender infrastructure However SIC interventions
can also be designed in such a way that in their implementation at least women and
their interests are taken into account or even furthered Although SIC interventions do
not specifically target women in Poland the Polish OP can be considered a good
practice of designing an OP in a gender supportive way with several features that
may help ensure that women really benefit from the interventions
Women were the specific target groups of some of the interventions although
not in the case of any of the SIC interventions which has been continued in the
new programming period however there are no OPs or priorities specifically
dedicated to women
An obligatory minimum standard was introduced in projects so that all of the
institutions implementing ESF funds would respect the principle of gender
equality This meant that in all projects (also those implemented within the
SIC area) it had to be shown how the project would contribute to the fight
against inequalities or at least how it would not sustain or strengthen them
The minimum standard has been continued and developed in all ESF
programmes for the 2014-2020 programming period However the assessment
criteria have been tightened in terms of gender sensitivity which means that
project promoters are supposed to describe how they are going to implement
gender equality at all project stages In the 2014-20 programming period
there are also some requirements in terms of gender equality for project
promoters within other funds (ERDF EAFRD EMFF) The manual on gender
equality published by the MA contains recommendations for the MAs on
gender sensitivity in management OP implementation and the setting of
thematic objectives (the PA) amongst other things
Additionally the MA created a strategic vision on the strengthening of equal
rights for men and women which was adopted in the official MA agenda A
group which included the representatives of the intermediary bodies was
formed to control the application of gender equality as a horizontal issue in the
interventions
All institutions that are engaged in the management and implementation of the
ESF in Poland (ie the MA and the IBs) were assessed regarding their own
equality policies The idea behind this was that they would be in a better
position to stand ldquoon guardrdquo and protect gender mainstreaming and gender
equality if they knew of it from their own experience
SIC interventions and staff capacity building in particular can also be assessed in
light of the contribution they make to womenrsquos careers in the organisations that are
being supported by these interventions
SIC interventions typically have more female than male participants For most
countries this reflects the over-representation of women in public institutions As
precise figures are often lacking it is unclear as to whether women are proportionally
represented in interventions Women are also less represented at the higher and
managerial levels in administrations and sometimes in interventionsactions targeted
at managerial positions in public administrations (IT)
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Thematic EU synthesis report Strengthening Institutional Capacity
60
Proportional representation provides equal opportunities for women to better their
position It does not level the playing field however as is argued and exemplified in
the Estonia On the other hand more women participated in training than men in
Estonia For example in the central training program 2008-2009 three times more
women were trained than men this was also the case in training for NGOs where the
proportion of women was very high (nearly 75) This training ultimately influenced
the competitiveness of women in the labour market This should in theory help to
reduce the existing gap between women and men However it is not clear whether
the unequal labour market position really results from the differences in knowledge
and it is not likely that the gender pay gap will start to decrease as a result of the
training The effects on such a level are probably rather modest In this respect it is
worth noting that in programmes for top managers in the public sector the ratio
between men and women is very different there are twice as many men as women
Also the competence model and the related methodology for the regular evaluation of
competences which are developed for top managers in the Estonian public service
are gender neutral While this is obviously better than a system implicitly favouring
men this also means that it will not actively pursue a change in the gender balance at
this level
More specific actions would be required to improve the position of women in public
administrations in terms of qualitative criteria such as pay and function levels These
appear to be rare as women are seldom a specific target group in SIC interventions A
number of countries did make equal opportunities a selection criterion for projects
(CZ LT RO) However only two countries include actions that aim to further the
position of women In Greece specific PAs have the objective of enhancing gender
mainstreaming policy in the public administration increasing the participation and
career progression of women in employment and reducing genderndashbased segregation
in the public sector The Hungarian action lsquopromoting performance-based career
pathwaysrsquo includes specific activities to enable staff to better balance domestic and
work obligations which is something that will help women in particular
45 Community added value of ESF SIC interventions
Community added value can be achieved in four different ways volume role scope
and process
In the case of ESF SIC interventions this translates into the following options as
highlighted in Table 4 section 311 above
ESF funding was used to strengthen pre-existing good governance and capacity
building interventions funded by national strategies (volume)
ESF was used to reach new target groups (scope)
ESF was used to test new and innovative activities (role)
ESF was successfully used to improve PA service delivery by improving systems
and methods (process)
For most countries having ESF adds value to what would have been done in the
countries without this support
451 Volume effects
The main CAV dimension detected across the different MSs is the volume effect In
many countries (BG EE LV MT RO IT) interventions have been undertaken on a far
larger scale than would have been possible without the financial backing from ESF
This effect has been even greater than would have otherwise been possible due to the
impact that the financial crisis had on MSsrsquo budgets While this probably holds for
other areas of intervention too SIC interventions are more likely to suffer from budget
reductions as increasing unemployment and poverty rates are likely to be more
pressing concerns especially as administrative reform plans in several of the countries
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
61
concerned receive limited political backing Some examples of this effect can be
identified as follows
In Bulgaria the ESF provides key funding to support good governance on
municipal district and national levels as well as for reforms in important areas
including the judicial system which is one of the main recommendations to the
country and is the focus of the public opinion debate
In Poland ESF funds were used to train a larger share of public administration
employees
In Malta ESF funding complemented the Governmentrsquos efforts towards further
simplification and through building capacity amongst government employees
to assist citizens in accessing and using e-services Management processes
within the Public Service were streamlined with a view to facilitating more rapid
decision-making and implementation and more accountability of results
Support for regulatory reform in order to reduce the regulatory burdens on
businesses was also provided
In Lithuania available evidence confirms that the ESF provided additional
funding to support good governance according to the evaluation of the
lsquoEuropean Union Structural Funds Investments for Human Resource
Developmentrsquo through the interventions of measures under priorities 1 2 and
4 of the HRDOP more than 286 thousand public sector workers successfully
completed the training The increased quality of human capital in the public
sector resulted in the higher quality of work which was appreciated by the
public who expressed greater confidence in state and municipal institutions
and bodies15 In addition to this it should be mentioned that ESF funds were
almost the only source to support certain target groups in the context of the
economic crisis EU funds have become probably the only source of financing
for the employee qualification development initiatives for public institutions of
Lithuania16
In Slovenia an example of additional funding is the project lsquoInteroperability
and e-exchange of datarsquo which established amongst other things multi-
functional mechanisms for the implementation of complex data queries in
administrative records and an internet portal (NIO portal wwwniogovsi)
Today the latter is the central contact point for open data in the public sector
(Source AIR 2014)
452 Scope effects
ESF has also added value by broadening the scope of the interventions undertaken by
MSs The first way by which the scope of interventions changed was in terms of
actors such as NGOs or social partners (MT LV BG EE) In Slovenia new target
groups also included businesses and entrepreneurs through the creation of two online
portals (EUGO and e-VEM) providing information for the set-up registration operation
and closing of a company All processes can be undertaken online EUGO the Slovenia
Business Point is the English counterpart of e-VEM It helps foreign business entities
that want to do business in Slovenia
15 BGI Consulting European Union Structural Funds Investments for Human Resource Development Summary of the final report of evaluation (EN) 2015
16 PWC Evaluation of the quality and efficiency trainings financed by ESF 2011
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
62
SIC interventions also altered the scope of the national PAR (HU) or played a key role
in putting administrative capacity on the agenda (IT SK) Finally SIC helped to
introduce topics such as social inclusion equal opportunities and the reconciliation of
work and family life as policies these did not exist in the political agenda prior to the
ESF (SK)
453 Role effects
ESF SIC funding played a role in supporting the introduction and testing of innovative
tools or systems especially those concerning the introduction of e-government In
Bulgaria for example although with several delays and obstacles the Administrative
Capacity OP has supported the introduction of many e-services on a municipal level
as well as for specific national agencies and bodies including the judicial system In
Slovenia as an element of the modernisation and simplification of courtsrsquo
organisations a smart technology that had already been used successfully in the
medical sector was tested for speeding up the writing of judgments through voice
recognition Fifty judges tested this technology in a pilot project After three months
the software was developed fully and then mainstreamed (Source AIR 2013) In Italy
the ESF supported the digitalisation of ESF management administrative processes in
the Apulia OP
Role effects can be also identified in actions and fields not directly related to e-
governance such as
The introduction of monitoring and evaluation systems for policy
implementation on municipal and national levels which is also connected with
the introduction of the mechanism for public discussion of new policies (MT)
In Poland an impact assessment of regulations (an analytical tool that allows
to design regulations which correspond to the real socio-economic problems)
was introduced and tested along with the on-line public consultation system -
the consultation facilitating stakeholder participation in the legislative process
In Latvia under the action Reduction of administrative burden and improving
the quality of public servicesrdquo the Ministry of Environmental Protection and
Regional Development carried out a feasibility study for the setting up of a
single customer service centre network that brings together a number of
services carried out by public administrations
The support to PES in Campania region (IT)
454 Process effects
Process effects occurred in various countries and they relate to the programmatic and
cyclical nature of policy making monitoring and evaluation of policies and work
processes in general Some examples have been provided below
Improvement in the delivery of PA services is the main contribution of ESF SIC
investment in Bulgaria PA service delivery has been improved through the
training of civil servants the implementation of functional analysis on
municipal district and national levels setting up systems from monitoring and
evaluation of policy implementation the introduction of e-services and one
stop shop services exchange and the introduction of good practices from
other countries
In Italy new purchasing procedures were defined through the Ministry of
Education national OP (and also in the Calabria OP) interventions for
increasing the effectiveness of judiciary officesrsquo activities were introduced
(Campania Sicily Basilicata OPs) as well as projects aimed at improving ESF
programming management and control capacities (Apulia Sicily Ministry of
Labour OPs)
In Lithuania ESF support was used to improve PA service delivery systems and
methods for instance the ESF supported the development of the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
63
interoperability (interface) system and improved the safety and functionality of
the information systems in public administration institutions Similarly the ESF
also supported the development and implementation of a centralised public
procurement management system Both interventions were included among the
good practice examples in the Strategic Evaluation of the Effectiveness and
Impact of EU Structural Assistance on the Improvement of Public Management
in Lithuania17
In Latvia a specific project devoted to Improving the quality of public services
at national regional and local level was implemented with the funding of 25
projects Within this the State Employment Agency developed a management
method referred to as Management according to the objectivesrdquo in order to
improve its services while the State Land Service developed an e-guide for
customer service
In Slovenia in order to improve the processing of documents an electronic
documentation system was established at the Public Employment Service It
allows for shorter response times and quicker decisions and also lowers costs
The new system was introduced in ten key processes of the PES which
constitute 85 of the administrative activities
46 The socio-economic impact of ESF SIC
461 Impact indicators and evidence from national ESF evaluations
As discussed impact indicators are virtually non-existent for SIC interventions in the
SFC database18 National sources do include information on impacts Typically this
information is of a more qualitative nature and does not permit conclusions to be
drawn on the level of impacts However it is possible to provide an indication of the
type of impacts that are achieved with SIC related interventions
In their strategic reports on programme implementation over the 2007-2013 period
according to the overall report rdquoseveral MSs emphasise the role that the ERDF and
ESF play in fostering national reform efforts particularly in the field of better
regulation reform of education systems the labour market public administration and
structural reforms in the water sector In addition the ESF has fostered capacity
building for the social partnersrdquo (European Commission 2013) In general however
impacts are seldom so clearly defined or evaluated The table below provides an
overview of what can tentatively be called (intermediate) impacts and indicators
Some information on impacts is available for six countries On this basis some
tentative conclusions emerge that could be tested in future evaluations For each of
these the evidence is rated using a three-point scale
Monitoring systems for policies and ex-ante impact assessment of new
regulatory initiatives seem to be effective in increasing the quality of legislation
and monitoring progress in implementation of policies (weak evidence BG)
The impacts of initiatives aimed at furthering institutional cooperation seem too
low after suffering from fragmented or limited implementation (evidence EE
LT)
17 PPMI Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the Improvement of Public Management in Lithuania 2014
18 It is to be noted that they were not required by the Regulation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
64
The quality of public services shows clear signs of improvement during the
2007-2013 programming period It is likely that SIC interventions played a role
in this but lsquohardrsquo evidence on this is lacking (Strong evidence on changes but weak on causality CZ-regional level LT PL)
Table 21 Examples of tentative impact evaluations
MS ASSESSMENT
BG Based on the main conclusions in the First Report on the evaluation of OP AC
implementation for the period January-December 2014 the main achievements of this OP contributed to the optimisation and of the work of administration resulting in improved monitoring of policy implementation improved quality of the regulatory documents due to the introduction of their impact evaluation improved capacity of servants by training
CZ There is a slight increase of citizensrsquo satisfaction with the performance of the regional
administrations however the satisfaction with the state administration has been continuously declining
EE Although the effectiveness of the SIC investments has been good and the range of activities has been widened compared to previous programming periods the impacts have still stayed rather modest Even though a strategy unit was established in the
Government Office that has immensely contributed to the decrease in the number of strategic plans there is still room for strengthening the coordination between organisations (the ministries implementing agencies local and central governments) responsible for planning and implementing the strategies Also the social dialogue in policy-making has still room for development A number of joint committees (including the representatives of relevant organisations and social partners) have been created to include relevant partners incl social partners and to consequently add transparency
to policy-making At the same time such committees are criticised facilitating
transparency only seemingly and also diffusing responsibility
LT During the 2007-2013 period the key positive achievements of ESF SIC investments in Lithuania was the improvement of the overall quality and accessibility of public sector services in the country This was achieved through several different mechanisms The
ESF support contributed to the development of the HR capacity in public service Also the investments had positive influence on the management of internal activities in the public sector in Lithuania in particular a number of internal processes were digitalised and a number of strategic planning documents were developed In addition the investments are expected to contribute to the development of e-governance in the country and thereby improve the communication between the public authorities and citizens The key under-achievements of ESF SIC investments in Lithuania were the
very low impact on system-level reforms in public sector as well as low impact on institutional cooperation and partnership building Because of the lack or complete absence of necessary preconditions the reforms at system-level were implemented are fragmentary and are unlikely to produce any significant results Similarly because of a
number of negative factors (lack of coordination of different institutional cooperation initiatives lack of support and awareness on the part of political authorities and executive bodies lack of proper methods for involvement of relevant institutions) the
initiatives enhancing cooperation and partnerships between public institutions will most likely result in low or null impacts in these areas
PL Considering the impact of the ESF on improving the regulatory business environment it is worth mentioning the significant advancement of Poland in the World Banks Doing Business rankings 2015 In terms of ease of doing business Poland took 32nd position
(out of 189 countries) and moved up thirteen places in comparison with the previous year The World Bank assessed countries in 10 categories such as among others ease of opening of the company the necessary start-up capital or tax returns
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
65
462 Impacts in relation to changes in the quality of administrations
The World Bank publishes a broad range of data on the perceived quality of
governance In particular the Worldwide Governance Indicators cover six broad
dimensions three of which are particularly relevant to this report
government effectiveness
regulatory quality
rule of law
This dataset aggregates the results of many surveys that have been conducted
worldwide It has been doing so since 1996 which means that developments can be
traced throughout the programming period
The charts below present the estimates of the perceived quality for each of the three
dimensions The perception of quality is rated ranging from approximately -25
(weak) to 25 (strong) in order to illustrate governance performance
Better quality services ndash competitiveness of companies 4621
Government effectiveness the first dimension of the Worldwide Governance
Indicators assesses the perception of public service quality the quality of the civil
service and its degree of independence from political pressures the quality of policy
formulation and implementation and the credibility of the governments commitment
to such policies Concerning public attitudes towards government effectiveness in the
case of ten of the fourteen countries citizens businesses and institutions felt that
their government had become more effective between 2007 and 2014 The four
exceptions were Greece Hungary Malta and the United Kingdom
The previous section showed that ESF had contributed to better quality services in the
three countries for which evidence was available (CZ LT PL) For the latter two
countries it is therefore likely that ESF has played a role in improving the regulatory
quality scores for their countries However as section 313 showed nine MSs had
actions aimed specifically at improving their delivery systems and eight MSs had
actions aiming at policy delivery as well as development
Figure 4 Government effectiveness
Source The Worldwide Governance Indicators 2015 Update
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Government effectiveness
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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Thematic EU synthesis report Strengthening Institutional Capacity
66
The dimension of regulatory quality measures the governmentrsquos ability to formulate
and implement sound policies and regulations that permit and promote private sector
development Regulatory quality was receiving slightly higher marks on average in
2007 than government effectiveness However for only five countries this assessment
had improved by 2014 Estonia Latvia Lithuania Poland and Romania Four of these
countries already had relatively high scores in 2007 but so did some of the countries
with decreasing evaluations such as Hungary Slovakia and the United Kingdom
Ten MSs implemented actions that were dedicated to improving the business
environment while 14 MSs had actions aimed at introducing and strengthening the
use of e-services in public administrations (sections 313 and 314) In light of this
the fact that only five MSs were deemed to have improved the quality of their
regulatory process is again a sign that the impact of efforts made under SIC actions is
not or at least not yet noticeable
Figure 5 Regulatory quality
Source The Worldwide Governance Indicators 2015 Update
The overall conclusion is therefore that in the majority of the MSs the impact of
these actions on the governmental performance is not yet evident or if it is it is still
not noticeable to citizens and businesses However with the nature of SIC
interventions it may be a matter of time before these impacts become obvious only
then will a further impact on the performance of businesses and the wellbeing of
citizens be expected to occur
000
020
040
060
080
100
120
140
160
180
200
2007 2008 2009 2010 2011 2012 2013 2014
Regulatory quality
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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67
Better quality justice and rule of law ndash a conducive socio-economic 4622
environment
The 2015 EU Justice scoreboard shows that there is significant divergence in the
effectiveness of judicial systems across MSs According to the 2015 EU
Competitiveness report the functioning of justice systems in several countries
requires further improvements19
Rule of law measures the extent to which agents have confidence in and abide by the
rules of society and more specifically in the quality of contract enforcement property
rights the police and the courts as well as the likelihood of crime and violence The
satisfaction with rule of law increased between 2007 and 2014 for nine countries
which is almost as many as for government effectiveness Greece Hungary Italy and
Malta experienced decreasing evaluations over this period
Of the nine countries with increasing scores for rule of law four countriesrsquo evidence is
available on the results actions undertaken in the justice sector (section 414) These
results were decidedly mixed with SI and CZ showing positive achievements and
Bulgaria and Poland showing under-achievements As the rule of law indicator is a
very general indicator and the evidence on ESF SIC actions in this area are few and
mixed in terms of results the conclusion here is that the necessary evidence on the
impact of ESF SIC actions in this sector is insufficient to draw conclusions
Nonetheless the increased satisfaction with the rule of law is a positive development
Figure 6 Rule of law
Source The Worldwide Governance Indicators 2015 Update
19 European Commission Single Market Integration and Competitiveness in the EU and its Member States Report 2015 October 2015 section 326
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Rule of law
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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Thematic EU synthesis report Strengthening Institutional Capacity
68
4623 Assessment
Improvements in the quality of public administration occurred between 2007 and
2014 especially in the fields of government effectiveness and rule of law The
perception of regulatory quality improved in a smaller number of countries
The best performance could be seen in Romania Poland and the three Baltic States
These countries improved their ratings on each of the three dimensions between 2007
and 2014 On the other end of the scale three countries saw their assessment
decreasing on all three dimensions Greece Hungary and Malta
It is to be expected that ESF would have contributed to positive changes However
this causal relationship can only be established through impact assessments and
evaluations and the evidence available at this point is insufficient to draw conclusions
in this respect
463 Key factors determining success or failure
Overview 4631
Several factors determine whether interventions are successful and can be considered
good practice in achieving their objectives and whether they do so in an efficient
manner Factors for success and failure are complementary For this reason the two
are discussed together here although the national evaluations do distinguish between
them as can be seen from the figure below
The key factors are similar to those identified in earlier evaluations of ESF SIC
interventions Five factors were identified in national evaluations or by the country
experts based on more general sources
Management this factor is typically linked with the lack of administrative
capacity in the Managing Authority or Intermediate Body itself and was
identified as a key factor for the Czech Republic Italy Romania and Slovakia
Strategic approach and intervention logic this factor refers to coherence and
consistency in policies regarding SIC interventions as well as the detailed
development of an intervention logic It was identified as a key factor for Italy
Lithuania and Romania
Motivation and capacities of beneficiaries this factor directly influences the
performance of individual activities and is therefore of obvious importance It
was identified as playing a key role in Bulgaria the Czech Republic Latvia
Lithuania Malta and Slovakia
Cooperation and coordination efficient coordination of various funded activities
and efficient cooperation between different organisations were listed as key
factors for performance in the Czech Republic Estonia and Lithuania
Context factors these factors include national public administration reform
strategies legislation and the political and institutional environment
Contextual factors are the most regularly cited explanatory factor for success
and failure for Bulgaria Greece Hungary Italy Lithuania Malta Poland
Slovenia and Slovakia
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69
Figure 7 Key factors for success and failure mentioned for MS
The colour of the country abbreviations signifies that the factor was deemed either a success
(blue) or a failure (red) for that country In the case of some countries it turned out to be both
Source country templates based on national evaluations or assessment of country experts based on more general sources
Because of its importance the institutional and political context is discussed in more
detail here It also constitutes a rather specific factor for successful capacity building
interventions Annex III provides a complete overview of the success and risk factors
identified for individual countries
The role of the institutional and political context 4632
This section looks at the role of the institutional and political context as a determinant
for success or failure of ESF interventions that were aimed at strengthening
institutional capacity The information in this section is based upon expert assessment
provided by the country experts where these contextual factors were flagged up as a
success or risk factor to a greater or lesser extent The political and institutional
environment has been flagged up as a crucial factor for successful SIC interventions
under ESF by several countries (BG CZ EL HU IT LT MT RO SK) Rapid changes in
government politicised institutions and lacking political support were all cited as
impediments to the effectiveness of SIC interventions
According to the synthesis evaluation country report for the Czech Republic in all
international comparisons the institutional environment is evaluated as one of the
most significant weaknesses of the Czech Republic When discussing the institutional
environment of the country reference is made to inefficient institutions an excessive
regulatory burden and corruption The performance of the countryrsquos administration
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Thematic EU synthesis report Strengthening Institutional Capacity
70
has been continuously declining since 200620 This is impacting on the performance of
ESF SIC interventions According to the AIR 2014 OP HRE and the evaluation
conducted the realisation of the PA 4 of the OP HRE has been lagging behind the
other priority axes over a long-term period The core problems deal with the
administrative capacity of the Ministry of Interior in its role as an Intermediate Body
as well as the organisational changes of the state institutions in their role as
beneficiaries In addition a high error rate exists in the management of individual
projects which is usually linked to the procurement arrangements and to
irregularities
In Greece the OP Administrative Reform has encountered serious difficulties that
hindered its smooth implementation Besides other factors the institutional
environment plays a key role in this The administrative culture has been criticised for
its absence of strategic action wasteful maladministration of the scarce public
resources organisational overlapping absence of rational planning regarding the
allocation of functions and unsatisfactory services provided to citizens Another
important contextual constraint lies in the absence of an enduring political will and
clientelism accompanied by the politicisation of the senior civil service At least until
very recently these conditions remained unchanged and were reinforced by
widespread corrupt practices Furthermore civil society is only weakly developed in
Greece while consultation structures and practices as part of policy preparation are
also underdeveloped Of particular concern is the on-going politicisation and
subsequent instability at senior levels of the administration
The Hungarian State Reform has gone through essential changes which have had a
substantial impact on the effectiveness and efficiency of the SIC PAs in this country
The direction of the reform was changed and the reform has intensified since 2010
with the election of the new conservative government This has boosted the efforts
made and increased the number of activities and outputs produced under the relevant
PAs This was particularly visible in the number of laws and the activities connected to
their preparation At the same time these political changes seem to have had a
negative impact on the efficiency of the implementation of the PAs This inefficiency
resulted from the fact that new government took time to establish and had partly
different priorities This meant that many changes in the planning and implementation
of interventions had to be made and much adjustment was necessary by those
involved in the implementation
Because of the lack or complete absence of necessary preconditions in Lithuania
the reforms at system-level were implemented in a fragmented manner and are
unlikely to produce any significant results Consequently the key under-achievements
of ESF SIC investments in Lithuania were the very low impact on system-level reforms
in the public sector as well as low impact on institutional cooperation and partnership
building Similarly because of a combination of negative factors the initiatives
enhancing cooperation and partnerships between public institutions will most likely
result in low or no impact in these areas These factors include the lack of coordination
of different institutional cooperation initiatives lack of proper methods for the
involvement of relevant institutions but also the lack of support and awareness on the
part of political authorities and executive bodies
20 Source Supreme Audit Office of the Czech Republic Information from the control action No 1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
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Thematic EU synthesis report Strengthening Institutional Capacity
71
In Slovakia the institutional environment is politicised in the sense that as a rule
following every general election new management enters the administration
Systematic work with human capital in public administration is largely absent As a
result employee turnover is high among state employees This in turn is potentially
dangerous to the sustainability of the results and impacts achieved with SIC related
interventions
According to a publication of the EUOECD SIGMA initiative five years after accession
political processes and considerations still substantially impacted the effect and
sustainability of EU capacity building interventions in Central and Eastern Europe In
addition the 2015 single market integration and competitiveness report pointed out
that regulatory and political instability are important barriers to economic growth as
they negatively impact on investment decisions especially longer term ones The
2014 competitiveness report draws attention to insufficient political will as a factor
besides the lack of capacity to enforce rules hampering the effect of anti-corruption
policies in several of the convergence countries From the present study it can be
concluded that during the 2007-2013 period several factors in the institutional and
political environment were indeed hampering progress in achieving the objectives
associated with capacity building interventions These factors include a lack of political
awareness or support (LT) rapid changes in government (EL HU SK) often
changing inefficient change-averse or politicised institutions (CZ EL HU LT) and
clientelism (EL)
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72
5 Overview of key lessons learned
Key findings
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe 2020
Strategy might be further enhanced by specifying the more relevant fields of ESF
SIC support such as e-government or business friendly administration The
institutional and political context remains a key success and risk factor for capacity
building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to the staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to capacity
building is required by MSs as well as a well-defined intervention logic This should
go well beyond the specific objectives and into the realm of intermediate and final
impacts Support provided to countries should take into account the five key factors
that influence the success of SIC interventions management strategic approach
and intervention logic motivation and capacities of beneficiaries cooperation and
coordination and context factors New programmes need to make sure that results
and impacts whose sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or PA
are often linked to a lack of administrative capacity in the Managing Authority or
Intermediate Body both in terms of numbers and qualifications of staff Significant
personnel turnover and frequent changes in staff contributed to mistakes being
made in financial reporting by beneficiaries which was further hampered by
complicated and often-changing rules and errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review ex-
ante the output and result indicators proposed by MSs to see if they comply with
SMART criteria apply a categorisation to common output and result indicators in
the SFC database
Evaluation Fields of activities as found in the CSRs for example could provide a
starting point for the development of impact indicators for ex-post evaluation More
systematic guidance on the distinction between indicators for capacity
enhancement performance and impact indicators could help countries formulate
better indicators for monitoring results In addition a benchmark is needed against
which achievements can be measured
51 Key lessons in terms of policy choices
In the 2007-2013 period strengthening the institutional capacity and efficiency of
public administrations and public services became an ESF objective for convergence
regions (section 22) Supporting SIC interventions in a general or horizontal manner
was new to the 2007-2013 period as increasing administrative capacity was deemed
to be vital for delivering on the Europe 2020 Strategy
The budget spent on SIC interventions has been small in comparison to overall
expenditure under ESF and in comparison to vertical capacity building aimed at labour
market and education institutions (section 34) Impacts are slow to emerge and
difficult to detect which is particularly the case for this priority theme (section 46)
Capacity building takes time and the crisis has had a negative influence on the results
of SIC interventions in the 2007-2013 programming period Community added value
of SIC interventions supported under ESF (section 45) confirms the need for SIC
interventions It therefore stands to reason for the EU to continue funding such
activities in future programming periods
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Thematic EU synthesis report Strengthening Institutional Capacity
73
There are specific areas of interest or fields of activity as referred to in this report
(section 412) which are clearly deemed important in the framework of SIC and that
bear a more direct link to the objectives of the Europe 2020 Strategy These are
visible in the country specific recommendations prepared by the European
Commission but also in the topics chosen by the EU funded network that examined
how to make better use of the ESF for public administration reforms21 ESF SIC
interventions have proven to be instrumental in helping countries follow-up on the
recommendations they receive from the Commission (section 31) At the same time
however many actions focus on more general capacity enhancement In order to
emphasise support for the Europe 2020 Strategy it could be considered to adapt and
further specify the relevant provisions in the ESF Regulation (Article 32b) inserting
those fields of activity that best contribute to this Possible examples include
lsquoimproving the environment for businessesrsquo and lsquoincreasing e-government servicesrsquo
The institutional and political context is a key success or risk factor for capacity
building interventions For all countries it is impossible to achieve results without
political backing and support Some of the countries studied here are still dealing with
structural political and cultural features in their environment that will effectively block
SIC interventions if they are not addressed (section 462)
It is therefore important to make the provision of financial support for capacity
building dependent on proven commitment and capacity in the institutional and
political context As a result the Commission can apply as Knott (2007) phrased it
the logic of consequences The logic of consequences assumes that rational actors will
seek to maximise their welfare or utility through strategic actions Depending on how
it is enforced in practice it constitutes a tool with which resources can be directed to
environments where they are likely to be more effective although MSs with less
favourable conditions in which to choose face an obvious choice Knott quoting
others also distinguishes the logic of appropriateness This logic encourages actorsrsquo
motivation by internalising identities values and norms This raises the question of
whether lsquosofterrsquo methods such as those associated with mutual learning could play a
role in this lsquostrategy for changersquo A good starting point to look for answers is the
existing and ongoing mutual learning benchmarking and policy coordination
mechanisms that are practiced by the EU in its employment and social policies A
second place is the strengthening of mutual learning initiatives for regional and local
actors as these are often absent in regular EU employment initiatives
One of the reasons why output targets are not met includes problems related to the
management of projects by MA and IB (section 46) this would suggest the need to
continue interventions aimed at improving the implementation capacity of such bodies
21 From 1 January 2010 to 31 December 2012 an EU funded project lsquoFacing the Challenge ndash How to Effectively Support Public Administration Reforms by ESF Fundsrsquo sought to learn more about making better use of the European Social Fund for public administration reforms The topics chosen were strategic planning e-governance the partnership principle for better regulation and local development business-friendly administration local government reform
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Thematic EU synthesis report Strengthening Institutional Capacity
74
52 Key lessons in terms of target groups
As discussed earlier in this report target groups have a specific meaning in the
framework of SIC interventions For SIC interventions the distinction between
beneficiaries and target groups is somewhat blurred Typically target groups will be
employees of beneficiary institutions
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions Motivation and capacities of
beneficiaries have been cited as a reason why projects are delayed or abandoned
impacting on the degree to which the envisaged outputs and results are achieved ESF
should therefore continue to provide support to beneficiaries However lessons should
also be learned by MSs on the criteria and conditions to be met by potential
beneficiaries before qualifying for support
One reason why output targets are not met (section 41) involves problems related to
the actual implementation by beneficiaries For a number of countries reports exist
about projects that have been abandoned before completion or not even started
Some projects are also poorly implemented with low quality training on offer Some
interventions do not achieve their target Several factors cause this but the interest
and motivation of beneficiaries are a key factor in the success of a programme Higher
involvement of beneficiaries in the preparation of programmes may provide a means
by which to increase such motivation offer concrete support to project managers in
the form of training or provide mutual learning events as a means to increase their
capacity (section 46) However without the right culture in the public sector which
is attentive to human resource management for example this will be insufficient Of
course other factors will also determine the interest of those participating in SIC
interventions such as workload
For several countries the lack of capacity for project management in the target
organisations may itself constitute a barrier to success This applies to those that are
promoting or managing projects This may endanger project implementation but
above all the consolidation of results
Finally with regard to beneficiary institutions it can be observed that national
institutions are the main beneficiary of ESF SIC interventions In the absence of an
objective criterion for the required degree of local and regional authority involvement
it would be good to monitor the satisfaction of these parties in terms of their
involvement in ESF The same applies to NGOs and social partner institutions (section
312)
53 Key lessons in terms of appropriate programming
A number of conclusions can be drawn regarding the strategic approach taken as well
as the intervention logics developed and applied in MSs (section 31)
Strategic approach and intervention logic are related but they are not the same The
strategic approach starts with a call for a unitary coherent and consistent policy
regarding SIC interventions rather than a series of unrelated independent SIC
interventions This can also result in an overall vision or framework for SIC The
strategic approach can also be applied during implementation Selection procedures
for projects based upon calls for project ideas are an example of this Key factors
related to intervention logics include the identification of intervention areas that
respond to a clear need but will also be sufficiently substantial in reaching a critical
mass whilst also fitting the funding possibilities It also concerns the precise
identification and definition of objectives coherence in instruments outputs and
results Target groups need to be well defined but formal delineations should not
prohibit a dedicated search for the actual intended beneficiaries during
implementation
A substantial part of the capacity building interventions takes place under OPs and PAs
that are of a more thematic or sectoral nature (section 34) From the viewpoint of
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75
expenditure categories the SIC interventions are small compared to other sectors
notably more policy sector oriented categories Nevertheless and perhaps because of
this SIC interventions have a specific role to play in the interaction with vertical
capacity building interventions For developing such a role the following questions
could provide some guidance
How does SIC relate to capacity building activities in the framework of other
priorities
How does SIC contribute to the wider objectives of this strategy as well as
national priorities
How and where do SIC interventions interact with other capacity building
interventions How does alignment take place at the strategic level during
implementation
Should SIC support be horizontal as was often the case during the 2007-2013
programming period or be more focused on certain sectors
What are the underlying considerations and criteria for this
A SIC strategic approach towards capacity building under ESF could be strengthened
with questions such as
What are the overall needs and objectives of capacity building in the country
How does ESF capacity building fit into to the overall PAR strategy
How does it contribute to and how is it supported by it
This comprehensive and strategic approach to capacity building should be the starting
point for the development of a well-defined intervention logic that goes well beyond
the specific objectives into the realm of intermediate and final impacts At present
few indicators at impact level exist but the results indicators seem to harbour
distinctive levels amongst them Objectives and indicators could be better delineated
through the use of the general intervention logic for example which was developed in
the interim evaluation (Ecorys 2011) This study used the following sequence as the
basis for the objectives tree underlying the intervention logic better administration
performance leads to more effective governance that in turn will ensure a better
response to citizensrsquo and firmsrsquo needs which will eventually contribute to
competitiveness and growth in the European Union
Nevertheless a word of caution is in order here The ESF plays an important role in
providing support for SIC interventions The efforts made are large but the
performance of these interventions seems lower than desired SIC interventions were
less likely to achieve their output targets than ESF interventions in general (section
41) and evidence on quality improvements in public administrations is mixed (section
46) This lower performance may be partly explained by inexperience in target setting
for this type of activity and it does not prevent progress being made Progress is in
fact being made albeit slower in some countries and faster in others Capacity
building needs time For the newer MSs it has been a process driven largely by the
EU-accession process over a long time The 2007-2013 programming period could
have been the period during which the EU assumptions and objectives regarding the
role of modern public institutions could have become more internalised The crisis
has however been a strong counteracting force in this respect with an immediate
impact on staff and human resources development in public institutions Admittedly it
requires time and a long-term perspective for capacity building to realise its effects
and reach the top level of the objectives tree Support to countries in this process
should take into account the five key factors that influence the success of SIC
interventions management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
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76
54 Key lessons in terms of effective implementation
Issues concerning the management of the OP or PA are often linked to the lack of
administrative capacity in the Managing Authority or Intermediate Body itself (see
Annex III) both in quantitative and in qualitative terms Significant personnel outflow
along with complicated rules and errors in the implementation process as well as
often changing rules contributed to mistakes being made in financial reporting by
beneficiaries (section 46) Vice versa an attentive MA closely monitoring and
aligning project and financial considerations will be a contributing factor to a
successful programme implementation
Other lessons concerning the implementation of ESF interventions relate to
coordination and cooperation Efficient coordination of different funded activities and
efficient cooperation between different organisations involved are factors for success
(section 463) the lack of these elements was identified as a reason for the
unsuccessful implementation of programmes Coordination is also required to avoid
overlap in activities especially when targeting NGOs or local governments as there is
a greater risk that they are being approached from multiple directions for similar
interventions Coordination or alignment of training interventions for example can
also help increase the effectiveness and sustainability of the individual interventions
Fragmentation is in turn likely to increase costs and decrease impacts
55 Key lessons in terms of monitoring
With a greater number of improved indicators it will also be possible to improve
monitoring and evaluation so that results and impacts can be better traced during the
new programming period However this is potentially at odds with the intention to
minimise the administrative burden for organisations involved in the implementation
of ESF interventions For this reason the following improvements have been
suggested
A specificity of SIC PAs and actions seems to be that they tend to cover such a
variety of activities that a comparison of financial and participantsrsquo data is
rather meaningless (section 314) The introduction of compulsory types of
indicators per type of intervention according to a classification of interventions
can be beneficial such as the pre-existing one for training the number of
participants would also help in solving this issue
Ex-ante review of output and result indicators which have been proposed by
MSs to see if they comply with SMART criteria as a minimum measurable and
time-bound
Categorisation of indicators in the SFC database with categories such as the
number of persons supported number of organisations supported number of
studies provided etc
The fields of activity mentioned under section 51 represent objectives at various
levels in the intervention logic Sometimes these fields represent expected results
from the capacity building interventions (introduction of e-government systems and
more efficient public administration) sometimes they seem more focused on impacts
directly following from these results (a business-friendly environment and less
corruption) and sometimes they focus on a specific sector (judiciary reform) They
seem to move back and forth between results and intermediate impacts or between
capacity and performance outcomes More systematic guidance on where to situate
these fields could help countries formulate better indicators for monitoring results
In order to draw conclusions it does not suffice to just have good indicators One
must also establish a benchmark against which achievements can be measured
Sometimes other interventions or countries can act as a benchmark However
additional information is sometimes required This is illustrated by the example of
gender A more direct approach would be to develop indicators or targets that include
such a benchmark such as those based on proportional participation (section 44)
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77
56 Key lessons in terms of evaluation
One of the main shortcomings encountered during this evaluation is the lack of
information on achievements (in terms of results) and on impacts
Concerning results several limitations hamper the formulation of a concise and clear-
cut assessment of achievements causality and extent to which results have been
achieved at the level These relate to the quality and availability of monitoring data
and the heterogeneity of national evaluations coupled with a broad range of
intervention logics Furthermore information from national evaluations is typically of a
more qualitative nature with less evidence-based findings and is thus not conducive
to drawing hard conclusions
The formulation of impact indicators is not mandatory and they turn out to be virtually
absent This problem is not compensated for in national evaluations
Any attempt to measure impacts must begin with the formulation of a good
intervention logic as well as an objectives tree Two approaches could be envisaged
Bottom-up measuring the impact of individual activities (actionsPAsOPs)
aggregating the evaluation findings for such individual activities (etc) and
using the indicators developed in the MSs
Formulating one or more lsquoframework intervention logicsrsquo with specific
objectives that are the compulsory final targets of any action of MSsrsquo indicators
Both approaches require further examination with regard to their feasibility The
aggregation of findings from a large number of evaluations may lead to abstract
conclusions that convey little more than a final quantitative score in the most
extreme cases they will only convey whether there has or has not been an impact
This effect can perhaps be mitigated by the agreement of guidelines on the structure
of evaluations carried out at national level With regard to the framework intervention
logic it is important to determine whether this can do justice to the individual and
specific character of the programmes in light of the national contexts This approach
may also imply that the formulation of actions must be aligned with the envisaged
specific objectives of the framework logic The current variety in programming SIC
interventions would need to be reviewed both in terms of the benefits it brings to MSs
in targeting their interventions and the drawbacks it has for evaluation
The distinction between capacity enhancement and performance indicators raised by
the World Bank Institute and their overview of capacity enhancement indicators can
help MSs formulate appropriate (results and) impact indicators
During the analysis of efficiency (section 42) it became apparent that the nature of
SIC activities makes it hard to apply the usual indicators for efficiency based on costs
per participant or institution supported In order to arrive at meaningful indicators
financial data would need to be available at activity level so that they can be linked to
a typology of activities As this seems to be too cumbersome an obligation to be
introduced into the regular monitoring system it is recommended that this should be
addressed in the national ex-ante evaluations so that synthesis evaluations can
expand upon this
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78
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Jaap de Koning Katja Korolkova Emiel Maasland Peter van Nes With the assistance
of Marinka van de Kamp Jan Joost Kessler Evaluation of the ESF support to capacity
building Final report October 2006
Ecorys (2011)
Jan Maarten De Vet Aimar Ferran Guijarro Sacha Koppert Colm McClements
Assessment of administrative and institutional capacity building interventions and
future needs in the context of European Social Fund(VC2009066-009) April 2011
Europan Union (2010)
European Union The European Social Fund and institutional capacity of public bodies
2010
European Commission (2012)
European Commission Quality of public administration European Semester 2012 ndash
Thematic Fiche 2012
European Commission (2013)
Strategic Report 2013 ndash Programme implementation 2007-2013 Factsheet
Institutional Capacity Building Factsheet produced in support of the Commission 2013
Strategic report on cohesion policy programme implementation 2007-2013
European Commission (2013b)
Report from the Commission to the European Parliament the Council the European
Economic and Social Committee and the Committee of the Regions Cohesion policy
Strategic report 2013 on programme implementation 2007-2013 SWD(2013) 129
final
European Commission (2014)
European Commission Directorate-General for Employment Social Affairs and
Inclusion Unit E1 Promoting good governance European Social Fund thematic paper
2014
European Commission (2014b)
European Commission Reindustrialising Europe Member Statesrsquo Competitiveness
Report 2014 Commission staff working document SWD(2014) 278 2014 (chapter 2
Public administration scoreboard)
European Commission (2014c)
Guidance document on indicators Public Administration Capacity building 2014
EIPA (2013)
Guidelines for the verification process of the ex-ante conditionality of the thematic
objective ldquoEnhancing Institutional capacity of public authorities and stakeholders and
efficient public administrationrdquo Guidelines drafted by the European Institute of Public
Administration (EIPA) on behalf of DG Employment Social Affairs and Inclusion of the
European Commission Version 6 - 14 August 2013
EIPA (2014)
Alexander Heichlinger Nick Thijs Julia Bosse From Strengthening Administrative
Capacity Building (ACB) to Public Sector Innovation (PSI) Building Blocks and
Successful lsquoBridgesrsquo EIPA 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
79
Ferry (2013)
Martin Ferry The Achievements of Cohesion Policy Evidence and Methodological
Challenges from an EU 10 Perspective European Policies research Centre University
of Strathclyde May 2013
Panteia (2013)
Panteia Preparatory study for the ex-post evaluation of ESF 2007-2013 Final report
October 2013
Knott (2007)
Julian Knott the impact of the EU accession process on the establishment of
evaluation capacity in Bulgaria and Romania in International Public Policy Review
Vol 3 No 1 ndash June 2007
The Worldwide Governance Indicators 2015 Update Aggregate Governance Indicators
1996-2014 Sept 25 2015
The World Bank (2003)
Yemile Mizrahi Capacity Enhancement Indicators Review of the Literature WBI
Evaluation Studies No EG03-72 World Bank Institute
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
80
Annex I - Overview of OPs PAs and Actions explicitly addressing SIC
MS OP PA A1 A2 A3 A4 A5 A6
BG OP Human Resources Development
PA 6
Improving the effectiveness of labour market
institutions and of social and
healthcare services
61 Development and modernisation of
the labour market system
62 Strengthening the capacity of
institutions for social inclusion
and for provision of health services
BG OP Administrative Capacity
PA 1
Good governance
11 Effective Structure of the State
Administration
12 Transparency and Integrity of
the State
Administration
13 Effective Coordination and Partnership
in Policy-Making
and Implementation of Policies
14 The Administration ndash Partner of the
Business
15 Transparent and Effective
Judicial System
16 Transnational and Inter-
regional
Cooperation
BG OP Administrative
Capacity
PA 2
Human resources
management
21 Modern human resources
management in the state administration
22 Competent and effective
state administration
23 Strengthening
the capacity of the civil society structures
24 Competent judicial system and
effective human resource management
25 Transnational
and interregional cooperation
BG OP Administrative
Capacity
PA 3
Quality administrative
service delivery and e-Governance development
31 Improvement of
the service delivery to the citizens and the business sector including through e-governance
development
32 Standard information and
communication environment and interoperability
33 Improvement of
the service delivery provided by the bodies of the judiciary through development of
information technologies
34 Transnational and interregional
cooperation
CZ Operational Programme
PA 4
Public administration
41 Strengthening of
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Thematic EU synthesis report Strengthening Institutional Capacity
81
MS OP PA A1 A2 A3 A4 A5 A6
Human Resources
Development
and public services
institutional capacity and
efficiency in public administration
EE OP for Human Resource Development
PA 5
Enhancing administrative capacity
Measure ldquoEnhancement of strategic
management of the public sector and NGOsrdquo
Measure ldquoBetter regulationrdquo
Measure ldquoTraining and development of
employees of the State local authorities and NGOsrdquo
Measure ldquoSupporting county-level
support structuresrdquo
EL OP for Human
Resource Development
PA1 ldquoImproving
national public policies
modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA2 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA3 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human Resource Development
PA4 ldquoDevelopment of the human capital in the public
administration
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Thematic EU synthesis report Strengthening Institutional Capacity
82
MS OP PA A1 A2 A3 A4 A5 A6
EL OP for Human Resource
Development
PA5 ldquoDevelopment of the human
capital in the public administration
EL OP for Human Resource Development
PA6 ldquoDevelopment of the human capital in the
public administration
EL OP for Human Resource Development
PA7 Strengthening policies aiming at ensuring
equal
opportunities for all in the whole range of the public administration
EL OP for Human Resource Development
PA8 Strengthening policies aiming at ensuring equal opportunities for
all in the whole range of the
public administration
EL OP for Human Resource Development
PA9 Strengthening policies aiming at ensuring
equal opportunities for all in the whole
range of the
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Thematic EU synthesis report Strengthening Institutional Capacity
83
MS OP PA A1 A2 A3 A4 A5 A6
public administration
HU State Reform OP
PA 1
Renewal of processes and organisation
development
11 Improvement of the capacity for
self-governance and the quality of legislation
12 Renewal of procedures and work processes
as well as organisation development
HU State Reform OP
PA 2
Improving the quality of human resources
21 Establishment of open recruitment and an efficient internal
replacement
22 Performance-based career pathways
HU State Reform OP
PA 3
Developments to be attained in the Central Hungarian Region
31 Renewal of the processes and organisational development
32 The improvement of the quality of human resources
IT Campania ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies programming
monitoring and
evaluation capacities at the National regional and local level with a view to
improving territorial governance
Specific Objective P ndash Strengthen capacity of institutions and
systems for the
implementation of policies and programmes
IT Calabria ROP PA Institutional Specific Specific
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
84
MS OP PA A1 A2 A3 A4 A5 A6
7 capacity Objective P ndash Improving
policies programming monitoring and evaluation
capacities at the National regional and
local level with a view to improving territorial governance
Objective Q ndash Strengthen
capacity of institutions and systems for the implementation
of policies and programmes
IT Sicily ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation
capacities at the National regional and local level with a view to
improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation
of policies and programmes
IT Basilicata ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies
programming monitoring and
evaluation capacities at the
Specific Objective P ndash Strengthen capacity of
institutions and systems for the
implementation of policies and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
85
MS OP PA A1 A2 A3 A4 A5 A6
National regional and
local level with a view to improving territorial
governance
programmes
IT Apulia ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation capacities at the
National regional and local level with a view to improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation of policies and
programmes
IT Governance and System Actions
(Ministry of Labour)
National OP
PA E5
Institutional capacity
Specific Objective 51 (Increasing
innovation effectiveness
and transparency of public action)
Specific Objective 52 (Improving
inter-institutional negotiation
capacities with specific reference to public-private partnerships)
Specific Objective 53 (Improving
public services standards)
Specific Objective 54 (Defining together with
Regions standards and methodologies
for managing monitoring evaluating and supporting ESF and non-ESF interventions
quality and effectiveness as
well as their reciprocal
Specific Objective 55 (Strengthening
and integrating the
environmental governance system)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
86
MS OP PA A1 A2 A3 A4 A5 A6
complementarity)
IT Competencies for development (Ministry of
Education) National OP
PA 2
Institutional capacity
Specific Objective H (Improving Education
System Governance and Evaluation)
LT OP for the Development of Human Resources 2007-2013
PA 4
Fostering Administrative Competences and Increasing Efficiency of
Public Administrationrdquo
Specific Objective 1 Improving management of human resources
and strengthening
administrative capabilities in public service
Specific Objective 2 Improving management of activities better
implementing EU policies
improving structure of public administration
Specific Objective 3 Improving regulation of economic
activities and providing
services to people and business
LV OP Human Resources and Employment
PA 5
Administrative Capacity Building
51 Better Regulation Policy
52Capacity Building of Human Resources
53 Administrative Capacity and Development Planning Capacity
Building of
Planning Regions and Local Governments
MT OP II -
Empowering people for more jobs and
a better quality of life
PA
4
Strengthening of
institutional and administrative capacity
Supporting
public sector reform
Lifelong learning
for the Public Sector
Strengthening
the quality of employment services
Promoting a more
effective social and civil dialogue in Malta
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
87
MS OP PA A1 A2 A3 A4 A5 A6
PL Human Capital Operational
Programme
PA 5
Good governance
51 Strengthening
potential of government administration
52 Strengthening
potential of local government administration
53 Support for implementation
of the Lisbon Strategy
54 Development of the third
sectorrsquos potential
55 Development
of social dialogue
RO OP ACD ndash Operational Programme
Administrative Capacity Development
PA 1
Improving structure and processes of
public policies cycle management
11 - Improving decision making processes at
administrative and political level
12 ndash Increasing public administration
responsibility
13 - Improving organisational effectiveness
RO OP ACD ndash Operational
Programme
Administrative Capacity Development
PA 2
Improving quality and
efficiency of
public services with a focus on decentralisation
21 ndash Support for sectoral
decentralisation
of services
22 - Improving quality and
efficiency of
public services
SI OP Development
of human resources for the period 2007-2013
PA 5
Institutional and administrative
capacity
51 Efficient and effective public
administration
52 Reform of the institutions
in the labour market
SK Operational Programme
Employment and Social Inclusion
PA 4
Capacity building and
enhancement of the quality of public administration
41 Enhancement of
services quality provided by public administration and NGOs ndash activities focused
on increasing of quality and effectiveness of
the services
42 Establishing of quality
management systems in public administration and NGOs in the field of employment and
social policy ndash improvement of process
management in
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Thematic EU synthesis report Strengthening Institutional Capacity
88
MS OP PA A1 A2 A3 A4 A5 A6
provided by public
administration
public administration
was planned NOTE not implemented
UK West Wales and the Valleys ESF
Convergence programme
PA 4
Modernising and improving the quality of public
services
A = Action see section 312 for clarifications
Source Country experts based on relevant Operational Programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
89
ANNEX II Country specific recommendations in the field of SIC
2007 2008 2009 2011 20122013
BG urgently further strengthen administrative
capacity in particular focusing on key government functions including regulatory authorities and the judiciary
adopt new measures and
rapidly implement adopted measures to
substantially cut red tape and shorten procedural
delays in order to improve the business environment (in particular for SMEs and facilitating start-ups) which will also help in the fight against corruption
tackling undeclared work
by strengthening
institutional capacity to perform inspections and ensure legal enforcement
urgently further strengthen the efficiency and the
effectiveness of the public administration in particular by focusing on key government functions including the competition
supervisory and regulatory authorities and the judiciary and continue taking all measures necessary to ensure effective financial controls and
sound management of structural funds
rapidly adopt and implement
new measures to substantially cut red tape at central and local level and shorten procedural delays in order to improve the business
environment which will also help in the fight against corruption -
(low efficiency of public services quality of staff or key functions e-services)
enhance administrative capacity in key government functions and regulatory authorities in order to make
public services more effective in responding to the needs of citizens and businesses introduce measures to check
public procurement on the basis of risk assessments
strengthen the capacity of the authorities to prevent and sanction irregularities in order to improve quality and value-for-money in the use of public funds
(The use of EU funds remains low )
Complicated administrative procedures
business and regulatory environment
e-government
Step up efforts to enhance
administrative capacity and reforms by reducing red tape
and the cost of tax compliance and collection and further improving the absorption of
EU funds Improve the quality and independence of the judicial system and speed up the introduction of e-government Strengthen public administrative capacity in key transport sectors and
regulatory authorities
Ensure sound implementation
of public procurement legislation Strengthen the prevention of irregularities and effectively apply the sanctions under the Public Procurement
Law and those of the Law on Conflict of Interest
CZ speeding up progress in speeding up progress in (quality of the Czech legal (efficiency of public
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
90
2007 2008 2009 2011 20122013
the ICT area including by implementing and monitoring the development of a fully
enabling legal environment for e-government
meet targets for reducing the administrative burden on enterprises
further developing access
to finance for innovative companies
the ICT area including by implementing and monitoring a fully enabled legal environment for e-
government
and regulatory framework frequent and far-reaching reorganisations of PA impede its efficiency transparency of
public procurement
improve the quality of public services in areas essential for the business environment In this context speed up the
implementation of the anti-corruption strategy in line with the identified targets adopt
the Public Servants Act to promote stability and effectiveness of the public administration and revise the
Commercial Code to abolish anonymous shareholding
administration
e- services
reduction of administrative burden for businesses
Anticorruption
adoption of the new Public Procurement Act)
Adopt and implement as a matter of urgency the Public
Servants Act to promote
stability and effectiveness of the public administration to avoid irregularities
Ensure adequate implementation of the new Public Procurement Act
Address the issue of anonymous share holding
Ensure correct implementation
of EU Funds and step up the fight against corruption
EE - launching the new
immunity and leniency programme and
strengthening competition enforcement
One of the aims within the Priority Axis 5 ldquoEnhancing administrative capacityldquo of OP
for Human Resource Development was to provide more modern and efficient public services From the standpoint of the public
service training and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
91
2007 2008 2009 2011 20122013
developmental activities it was considered important to assist in the unified formation of the know-how for public
sector workers public servants and NGOs (incl social partners) as regards job skills management cooperation and coordination However the ESF did not
support directly the merging of municipalities)
- (Being limited in size the majority of local governments have difficulties to universally deliver the necessary social
health labour market transport and educational services)
- - Enhance fiscal sustainability of
municipalities while improving
efficiency of local governments
and ensure effective service provision notably through stronger incentives for merger or increased cooperation of municipalities
EL - modernises its public administration by building
up effective regulatory control and enforcement
capacities including
- implement the reform of its public administration
by building up effective regulatory control and
enforcement capacities
- implement reform of the public administration by
building up effective regulatory control and enforcement capacities with
an emphasis on simplifying
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
92
2007 2008 2009 2011 20122013
through upgrading skills so as to also ensure effective use of Structural Funds
by modernising its human resources policy and through effective use of the Structural Funds
- improve further the transposition of internal market legislation
the regulatory environment for business and citizens and reducing red tape
HU - reforms the public administration health
care pension and education systems with a view to ensuring long-term fiscal sustainability and improve economic
efficiency - further reductions of the
administrative burden on enterprises
- continue to reform the public administration
healthcare pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic
efficiency - improving the regulatory
environment through further reducing administrative burden and legislative simplification
- continue to reform the public administration health care
pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic efficiency
- PES administrative capacity - Improve the business
environment by implementing all the measures envisaged for regulatory reform and lowering administrative burdens in the National
Reform Programme
- (transparency and quality of public administration where
progress would also help in improving the stability of the institutional and policy environment)
- capacity of the PES
- Implement measures envisaged to reduce the
administrative burden Ensure that public procurement and the legislative process support market competition and ensure a stable regulatory and business-friendly
environment for financial and nonfinancial enterprises including foreign direct
investors Reduce tax compliance costs
IT - strengthening and fully implementing the system of impact assessment for proposed regulation
- improving the efficiency of regulatory environment
with particular focus on legislative simplification
- support economic activity by advancing implementation of
EU programmes financed by EU structural funds
- (to enhance the performance-orientation and accountability of the public administration
scope for removing regulatory and administrative barriers in product and services markets particularly in professional services)
- Take steps to accelerate
- (deficiencies in terms of administrative capacity continue to hamper absorption
and hence the implementation of the Plan notably in the convergence regions complex and burdensome tax administrative procedures
Although some measures have
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
93
2007 2008 2009 2011 20122013
growth-enhancing expenditure co-financed by cohesion policy funds in order to reduce the persistent disparities between
regions by improving administrative capacity and political governance Respect the commitments made in the national Strategic Reference Framework in terms of the
amount of resources and quality of expenditure
already been adopted to encourage administrative simplification the business environment in Italy remains
complex In particular the judiciary system suffers from a number of inefficiencies in terms of resource utilisation procedures and institutional organisation that are reflected
in the low performance of the Italian civil justice in particular as regards the excessive duration of case-
handling and the amount of backlogs)
- Simplify further the regulatory
framework for businesses and enhance administrative capacity Implement the planned reorganisation of the civil justice system and promote the use of alternative dispute settlement mechanism
LT - improving the efficiency
of regulatory environment with particular focus on legislative simplification
- support economic activity by
advancing implementation of EU programmes financed by EU structural funds
business environment
strengthen business inspectorates increase transparency and reduce the administrative burden on business
LV
(poor transparency complicates evidence-based local decision making)
Take measures to improve
management and efficiency of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
94
2007 2008 2009 2011 20122013
the judiciary in particular to reduce the backlog and length of procedures Take steps to improve the insolvency regime
and the mediation laws
MT - introducing systematic impact assessment and speeding up progress towards simplification of regulations
- further improving the regulatory environment by continuing simplifying legislation by introducing systematic impact assessments and effective
one-stop-shops for business start-ups
PL - improving human capital and incentives to work
- speeding-up the business
registration process - ensuring timely
implementation of the e-
government programmes - improve the transposition
of internal market legislation
- (quality of the business environment and efficiency of public administration is low)
- Establish a timetable to
simplify legal procedures involved in enforcing contracts revise construction and zoning legislation with a view to streamlining appeal procedures and speeding up administrative procedures
- (business remains high and public administration continues to lack efficiency The main areas of concern
include high compliance costs complex and unstable tax legislation weak contract enforcement lengthy and burdensome licensing Judicial proceedings and other legal actions are lengthy and there
are a relatively high number of cases pending)
RO - urgently strengthen
administrative capacity at both central and local levels of government by building up effective
regulatory control and enforcement capacity
- take rapid measures to
reduce substantially
- strengthen the efficiency effectiveness and independence of the public administration at both central and local level by building up
effective regulatory control and enforcement capacity
- in the context of a coherent
better regulation policy
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
95
2007 2008 2009 2011 20122013
administrative procedures and delays to obtain authorisations as part of a coherent better regulation
policy in order to improve the business environment which will also help in the fight against corruption
urgently implement measures to substantially reduce administrative procedures and delays in obtaining
authorisations in order to improve the business environment which will also help in the fight against corruption
SI - strengthening the enforcement of the legal framework for protecting intellectual property rights
NA NA Streamline regulated
professions and improve the administrative capacity of the Competition Protection Office in order to enhance the
business environment and attract investment
NA
SK - Reduction of
administrative burden is a must
- -Recommendations to improve the evaluation system and to stabilise the administrative
capacities improvements
in the better regulation system
- improve the regulatory
environment notably by implementing a comprehensive better regulation strategy covering both impact assessment and simplification of existing
legislation - full implementation of
one-stop-shops for start-up companies
- implement a comprehensive
better regulation strategy conduct impact assessments and continuously simplify the existing legislation while stepping up the reduction of administrative burdens on businesses particularly SMEs
(quality of the business
environment and efficiency of public administration is low)
- Establish a timetable to simplify legal procedures involved in enforcing contracts revise construction
and zoning legislation with a
view to streamlining appeal procedures and speeding up administrative procedures
(business remains high and
public administration continues to lack efficiency The main areas of concern include high compliance costs complex and unstable tax legislation weak contract
enforcement lengthy and
burdensome licensing Judicial proceedings and other legal actions are lengthy and there are a relatively high number of cases pending)
Strengthen the quality of the
public service including by
improving management of human resources Further
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
96
2007 2008 2009 2011 20122013
shorten the length of judicial proceedings and strengthen the role of the Public Procurement office as an
independent body
UK NA NA
NA NA NA
Sources own analysis of country specific recommendations
Annex III - Factors influencing success and failure of SIC interventions for individual countries per category
Management
The activation of a clear well dimensioned and recognised SIC theme management structure able to assume and carry out the oversight of the various implementing interventions and
equally important of the relations between the different actors and stakeholders (IT)
A ldquoCapacity traprdquo is often at work in weak regions SIC is affected by the same problems that should be solved This reinforces the need for a strong and result oriented governance (IT)
the constant concern of the MA for managing the programme in correlation with the available resources at the level of OP ACD The financial allocation was correlated with the specific objectives of OP ACD for each Priority Axis The financial reallocations between the KAIs of
the same PA show the concern for correlating the available financial allocations with the interest shown by potential beneficiaries and for maintaining the balance between the allocated resources and the result indicators of the programme (RO)
Lack of administrative capacity of the Intermediate Body This was demonstrated for example by a long length of the projectsrsquo evaluation process and by frequent requirements of the IB to get exceptions from the Operational Manual (CZ)
Personal fluctuation and related staffing instability of the IB in projectsrsquo administration (CA)
Finally the SROP projects have extensively involved external experts which proved not to be the guarantee of the success of the SROP projects supposing the lack of familiarity with the local administration (HU)
The low capacity level of MA OP DAC both in terms of headcount and in terms of experience and expertise The significant personnel outflows prevented the development of the OP DAC team in an adequate manner causing faults in communicating with beneficiaries and in effectively managing project implementation from the programme level (RO)
Relevance and quality of the activities for the target groups (eg relevant and high quality
trainings for different categories of civil servants) (LT)
Complicated administration of the projects and often changed rules (SK)
Huge number of mistakes in financial reporting timesheets eligible and non-eligible costs direct and indirect costs (SK)
Non-observance of deadlines by first level financial control (SK)
Strategic approach and intervention logic
Romania The analysis developed in order to support the OP ACD correctly identified the
horizontal issues affecting the Romanian public administration but its lack of focus on types of beneficiaries and target groups led to the elaboration of a programme with objectives which are difficult to quantify with a low level of prioritisation and with an untargeted implementation strategy The lack of depth of the analysis underpinning OP DAC is the weakest point in the logic of intervention of the programmerdquo For some indicators the targets
were not correctly planned due to a lack of analyses and research studies but there were also cases when the targets became unrealistic during the programming period due to the
context changes occurred Finally beneficiaries often lacked a strategic approach particularly in respect of the decentralisation process The question to be answered here is whether these problems were due to contextual factors as described above or had to do with the capacity of institutions and people the very thing the interventions were supposed to address
The approach based on calls for project ideas (for large projects) was one mechanism used
for this strategic approach which proved to be successful This approach resulted in an increased relevance to KAI considering also the contribution to meeting the specific objectives (RO)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
98
SIC requires structural and long-term strategy (IT)
Evaluation of SIC must identify a proper theory of change based on fundamental mechanisms and has to identify the structural changes in the PA (IT)
The definition and implementation of SIC theme as an internally coherent and consistent policy line and not as a sum or juxtaposition of single interventions (IT)
The ex-ante identification of few and relevant areas of interventions to tackle with an adequate funds and resources critical mass (IT)
The Public Administration(s) capacity to identify precise objectives definite implementing actions coherent instruments and coherent responsibilities for results and outputs (IT)
Well-developed intervention logic (it was a positive factor in the case of successful development of HR and a negative factor in the case of system-level reforms under PA 4 in Lithuania) (LT)
The target groups of OP DAC are generally relevant for the programme intervention logic but the lack of individualization coming out of the supporting analysis led to their identification in a rather general manner (RO)
Motivation and capacities of beneficiaries
Proper motivation of target groups (for instance in certain cases lack of motivation was one of the key negative factors affecting the results of trainings funded under PA 4 in Lithuania) (LT)
The willingness of the public sector to engage in training activities and the provision of training which is organised in a manner which caters for the need of the public sector (MT)
The evaluation points to the importance of the support of local government leaders as key issues in the success of the interventionsprojects Without strong support the projects have never been successful (HU)
Projectslsquo beneficiaries that resign from the projects lsquorealisation or cancel their projectslsquo proposals (CZ)
guarantors of the projectslsquo proposals that have not enforced implementation of their projects within their subordinate organisations (CZ)
Leadership and organisational maturity on the part of project implementersmanagers Low organisation maturity was a somewhat negative factor in HR trainings funded by ESF (a large part of trainings was implemented by private companies) At the same time it was a positive factor in the case of initiatives focusing on the improvement of internal management activities within public institutions (LT)
The ability of civil society organisations to consolidate their efforts and participate in actions is an important aspect to be addressed as the success of civil organisations depends on their ability to strengthen their capacity and networking opportunities (MT)
The low capacity of project beneficiaries in project formulation implementation and the lack general project management skills (RO)
Errors in implementation process and huge number of projects that were not completed (SK)
Cooperation and coordination
Efficient coordination of different funded activities and efficient cooperation between different institutions in implementing the changes An incomplete cooperation between institutions was
responsible for only partly successful implementation of e-governance measures (LT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
99
inter-ministerial coordination structures that not work continuously (CZ)
Context factors
PAR
The existence before ESF intervention of a clear and explicit capacity building strategy to be integrated and boosted by ESF funding (but able to go beyond ESF support) (IT)
The existence of strategic vision (at statesystem level) in relation to the implemented interventions (LT)
Legislation
Maladjustment of the applicable law to the IT projects In many cases existing regulations require the delivery of documents in paper form Therefore the introduction of electronic services was possible only partially So it is necessary to modify certain provisions as well as
identify such barriers at the stage of diagnosis (PL)
A systemic issue which also causes a significant negative impact on the low efficiency of OP DAC by the end of 2012 is the complex legislation in the area of public procurement and its different interpretation by the institutions involved in certifying and controlling the subsequent procedures (RO)
Huge number of mistakes in public procurement (often changed rules as well) (SK)
Institutional and political
The support and awareness of political authorities and institutions involved on the importance of reformschanges (LT)
Changing political environment (EL SI)
Politicised institutional environment (EL HU)
the support by politicians (SI)
Source Own elaboration on the basis of information provided by Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
100
Annex IV - Evaluations relevant to SIC interventions
The following table provides an overview of Member States evaluations that focus on ESF
SIC interventions and were an important source for the assessments made in this
chapter
Table 22 SIC related evaluations in Member States ESF 2007-2013
MS Relevant evaluations for SIC
BG OPAC Interim Evaluation Report for the period 2007-2013 first Report on the evaluation of OP AC implementation for the period January-
December 2014 May 2015
CZ Supreme Audit Office of the Czech Republic Information from the control action No
1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
Ministry of Interior (2015) Annual report on Smart Administration strategy for the period 142014 ndash 3132015 Ministerstvo vnitra Ročniacute zpraacuteva o Smart Administration
za obdobiacute od 14 2014 do 313 2015 Informace pro vlaacutedu Českeacute republiky zpracovanou 3042015
Ministry of Labour and Social Affairs (2014) Final report from the internal evaluation of the PA 4 of the OP HRE Ministerstvo praacutece a sociaacutelniacutech věciacute Zaacutevěrečnaacute zpraacuteva z interniacute evaluace provaacuteděniacute PO 4 OP LZZ
EE The evaluation of the effectiveness and the impact of the PA 5 ldquoRaising Estonian
administrative capacityrdquo CPD 2011 in Estonian
httpwwwstruktuurifondideepublicInimressursi_arendamise_rakenduskava_IARKpdf
Executive summary in English httpwwwavalikteenistuseepublicHaldusmeedeEvaluation_Report_Administrative_Capacity_Estonia_2011_-_Executive_Summary_-_Logopdf
EL Logotech-Prooptiki 2007 lsquoEx-ante evaluation of the OP Administrative Reformrsquo March
2007 Athens EEO Group-Eurotec 2013 lsquoInterim evaluation of the OP Administrative Reformrsquo
February 2013 Athens EEO Group-Eurotec 2014 lsquoField research on women non-governmental organisations
active in the fields of equality and human rights protectionrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network of improving the quality of
public services towards enterprisesrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network supporting consumers in issues
relating to indebtednessrsquo Athens
HU Final evaluation (AAM 2012) Final evaluation report on the State Reform OP 2007-2010
institutional development projects executed (Eacuterteacutekeleacutesi zaacuteroacutejelenteacutes az AacuteROP 2007-2010 koumlzoumltt megvaloacutesiacutetott szervezeti ceacuteluacute fejleszteacuteseiről) AAM Consulting November
2012 httpswwwpalyazatgovhukozigazgatasi_fejlesztesek_ertekelese Executive Summary ndashEx-post evaluation of the organisational development measures
founded by the State Reform OP AAM consulting nov 2012 (Az Aacutellamreform OP szervezetfejleszteacutesi ceacuteluacute fejleszteacuteseinek eacuterteacutekeleacutese)
SROP case DUNAUacuteJVAacuteROS (2014) Study paper on the evaluation and revision results of previous State Reform OP system development project (Tanulmaacuteny a koraacutebbi AacuteROP szervezetfejleszteacutesi projekt eacuterteacutekeleacutesi eacutes feluumllvizsgaacutelati eredmeacutenyeiről -
Eredmeacutenytermeacutekek hasznosulaacutesaacutenak eacutes horizontaacutelis szempontok eacuterveacutenyesuumlleacuteseacutenek vizsgaacutelata) Case project of the local government of DUNAUacuteJVAacuteROS (SROP - 1A5 ndash 2013-2013-0090) 2014 February 28
httpwwwdunaujvaroshusitesallfilesdokumentumokpalyazatokarop1a5dunaujvaros_korabbi_arop_felulvizsgalat_1_tanulmany_v30pdf
IT Annual evaluation reports of the Governance and System Actions OP (4 covering until
now w 2011 2012 2013 2014)
LT Evaluation of the implementation of result indicators in the Human Resources
Development Programmes priority axis 4 measures 2 and 3 2009 Evaluation of the quality and effectiveness of the training financed by the ESF 2011 Interim evaluation of the Human Resources Development Operational Programmes
priority axis 4 Final evaluation report 2013
European Union Structural Funds Investments for Human Resource Development 2015
Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
101
MS Relevant evaluations for SIC
Improvement of Public Management in Lithuania 2014
LV Ongoing evaluation started in 2014 Impact evaluation of 151 Better Regulation
Policy and 152Capacity Building of Human Resources
lsquoImpact evaluation of the activities implemented under the Operational Programme ldquoHuman Resources and Employmentrdquo and Operational Programmersquos Compliment measures 151 ldquoBetter Regulations Policyrdquo and 152 ldquoStrengthening Capacity of Human Resourcesrdquo during the 2007 ndash 2013 programming periodrsquo 2015 httpwwwesfondilvuploadPetijumi_un_izvertejumigala-zin_pec-saskanosanas-sanaksmes_081015pdf
MT Thematic Evaluations presentations PWC dated October 2014 and May 2015 available
at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx The Thematic Evaluation is not published
PL Assessment of the level of achievement the HC OP main and specific objectives as well
as impact of the ESF funds on results accomplished within specific areas of intervention ndash II thematic report (2015) - The main goal of this research was to assess the contribution by ESF funds to the results achieved within specific areas of intervention and their impact on the social and economic changes in Poland (including the level of satisfaction in the population living in the areas receiving support)
Evaluation of the indicator named Gender Index in the institutions participating in the
implementation of the HC OP (2011) ndash Main topics Recruitment releases remuneration promotion training and development work-life balance and prevention of mobbing and sexual harassment - measured in the HC OPrsquos implementing institutions
Evaluation of barriers and legal gaps in the effectiveness of the European Social Fundrsquos support (2013) - legal system of a country and its coherence with ESF requirements
opportunities and provisions Public administration - effective and modern (2011) - achievement of Measures
objectives with regard to capacity of public administration possible strengthening of its potential and modernisation of management system and structure
RO Second interim evaluation OP ACD 2010-2012 - Second evaluation OP ACD 2013 Performance evaluation of OP ACD management and implementation ndash OP ACD
performance evaluation 2015
SI The institutional evaluation of the ESRS (Employment Service of the Republic of
Slovenia) 2012
The institutional evaluation of the ESRS (Employment Service of the Republic of Slovenia) is not considered in this evaluation as it is not related to ESF financing It
evaluates however the effectiveness and efficiency of processes analyses obstacles to effective provision of services and proposes 12 indicators for the monitoring of the processes
SK Possibly relevant evaluations mentioned in EEN-INV_SK but not available on internet
(planned probably not realised) 1) Final Evaluation of Implementation of OP Employment and Social Inclusion (beginning planned in 2014 end planned in 2015 not
available in time for this study) Evaluation of Improvement of Human Resources Quality and Management in Public
Administration and NGOs (end of the evaluation was planned in 2012 not made available in time for this study)
UK Thematic Evaluations of the 2007-2013 Structural Funds Programmes in Wales
including Modernising Public Services (ESF Convergence Priority 4)
Source Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
102
HOW TO OBTAIN EU PUBLICATIONS
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bull more than one copy or postersmaps
from the European Unionrsquos representations (httpeceuropaeurepresent_enhtm)
from the delegations in non-EU countries
(httpeeaseuropaeudelegationsindex_enhtm)
by contacting the Europe Direct service (httpeuropaeueuropedirectindex_enhtm)
or calling 00 800 6 7 8 9 10 11 (freephone number from anywhere in the EU) () () The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
Priced publications
bull via EU Bookshop (httpbookshopeuropaeu)
Priced subscriptions
bull via one of the sales agents of the Publications Office of the European Union
(httppublicationseuropaeuothersagentsindex_enhtm)
doi[102767271126]
[KE-0
2-1
6-9
29-E
N-N
]
ESF 2007-2013 ex-post synthesis evaluation
Synthesis EU thematic report Strengthening Institutional Capacity
Directorate General for Employment Social Affairs and Inclusion
ESF 2007-2013 Ex-post
Evaluation Synthesis
Thematic EU Synthesis Report
Strengthening Institutional Capacity
LEGAL NOTICE
This document has been prepared for the European Commission however it reflects the views only of the authors and the Commission cannot be held responsible for any use which may be made of the information contained therein
More information on the European Union is available on the Internet (httpwwweuropaeu)
Luxembourg Publications Office of the European Union 2016
copy European Union 2016
Reproduction is authorised provided the source is acknowledged
ISBN [978-92-79-61657-0]
doi [102767271126]
Please quote this report as Metis GmbH (2016) 2007-2013 ESF 2007-2013 Ex-post Evaluation Synthesis
Thematic EU Synthesis Report Strengthening Institutional Capacity for the European Commission Directorate-General Employment Social Affairs and Inclusion The opinions expressed are those of the Contractor only and do not represent the Commissionrsquos official position
Europe Direct is a service to help you find answers
to your questions about the European Union
Freephone number ()
00 800 6 7 8 9 10 11
() The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Glossary of key concepts
Access to Employment
(A2E)
A key policy area in the ESF focused on enhancing access to
employment and the sustainable inclusion in the labour market
of job seekers and inactive people preventing unemployment
in particular long-term and youth unemployment encouraging
active ageing and longer working lives and increasing
participation in the labour market A2E is one of the Priorities
of Article 3 ldquoScope of assistanceldquo of the ESF Regulation No
10812006
Action The second level in the OP architecture usually the Priority Axis (see below) consists of several actions
Adaptability A key policy area in the ESF consisting of activities to increase the adaptation of workers and enterprises to the changing economic circumstances and labour market demands - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
Allocated expenditure Expenditure allocated to the ESF activities during the programming stage of the Operational Programmes
Annex XXIII categories The socio-economic characteristics of ESF participants reported in the ESF monitoring systems relating to the participant gender labour market status (employed (of which self-employed) unemployed (of which long-term unemployed) inactive of which in education and training) age (young people aged 15-24 and older people aged 55-64) disadvantaged status (migrants minorities disabled other disadvantaged)
and educational attainment status (by ISCED levels)
Category of expenditure (CoE)
Categorisation of the Structural Fund expenditure cf ANNEX IV of COUNCIL REGULATION (EC) No 10832006 of 11 July 2006 ESF expenditure relates to Categories 62 to 74
Certified expenditure Expenditure incurred in the implementation of the ESF activities which has been approved by the Managing Authority
of the Operational Programme and the European Commission
Cluster A group of actions or interventions with common objectives and activities
Community added value (CAV)
The extent to which the ESF activities provided effects additional to the national regional activities
Convergence region NUTS level 2 regions in the EU Member States whose gross domestic product (GDP) per capita was less than 75 of the
average GDP of the EU-25 for the same reference period
Effectiveness The extent to which the set aims and objectives have been reached
Efficiency The comparison between the achieved outputs and results and the costs incurred
Gender sensitivity The extent to which the planning design implementation and monitoring reflects the gender issues
Human capital (HC) A key policy area in the ESF consisting of activities to develop the skills and knowledge of human resources across the different stages of the education and training system cycle
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
this theme is subject to another thematic evaluation - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
ISCED International Standard Classification of Education an
international standard classification used to classify the education levels
1 Primary education
2 Lower secondary education
3 Upper secondary education
4 Post-secondary non-tertiary education
5 Short-cycle tertiary education
6 Bachelor or equivalent
Intermediate Body (IB) The organisation charged by the Managing Authority to implement the ESF funds in the OP
Intervention The third level in the OP architecture usually the Actions in the OP consist of several interventions
Managing Authority (MA) The institution in each Member State OP responsible for the
strategic direction and financial management of the OP
Multi-Objective OP An OP in which both RCE and Convergence regions participate
Operational Programme (OP)
The means through which the ESF support was implemented in the Member States as agreed between the European Commission and the Member States Each OP consists of several Priority Axes which in turn consist of several actions
which in turn consist of several interventions
Output The immediate reach of the ESF activity (eg number of participants reached number of schools or enterprises supported)
Participant The person who participated in the ESF funded activity
Priority Axis (PA) The first level in the OP architecture usually the OP consists of several Priority Axes (concepts of priorities areas and others
are also used in the OPs) which in turn consist of several actions and each action of several interventions
Project promoter The organisation in charge of implementing specific ESF funded projects
Promoting Partnerships (PP)
Policy area focused on partnerships pacts and initiatives
through networking of relevant stakeholders such as the social
partners and non-governmental organisations at the
transnational national regional and local levels in order to
mobilise for reforms in the field of employment and labour
market inclusiveness PP is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006
Regional competitiveness and employment objective
(RCE)
NUTS level 2 regions in the EU Member States whose GDP per capita was above 90 of the average GDP of the EU-25 for
the same reference period
Result The change achieved through the activity leading to long term achievements of ESF activities (eg number of qualifications
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
acquired by participants number of enterprises providing training)
Social Inclusion Refers to a wide range of issues and activities covering
aspects such as fundamental rights access to adequate
income support and quality services From the perspective of
ESF SI interventions the most common strand of activity in
the Recommendation is that relating to inclusive labour
markets This focus is also echoed in the ESF Regulation
where the SI priority focuses on inclusion into the labour
market as the best means of integrating individuals into
society and of combatting social exclusion SI is one of the
Priorities of Article 3 ldquoScope of assistanceldquo of the ESF
Regulation No 10812006
Strengthening Institutional Capacity
A key policy area focussing on the efficiency of public
administrations and public services at national regional and
local level by promoting mechanisms to improve good policy
and programme design monitoring and evaluation and
capacity building in the delivery of policies and programmes in
the relevant fields SIC is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006 and
is the object of this evaluation
Sustainability The extent to which the achieved results last
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Acronyms
A2E Access to employment and sustainable integration into employment
AIR Annual Implementation Report
CAV Community Added Value
CoE Category of expenditure
CSR Country Specific Recommendation
EC European Commission
EEN Expert Evaluation Network
ESF European Social Fund
EU European Union
HC Human Capital
LTU Long Term Unemployment
MA Managing Authority
MS Member State
NGO Non-governmental organisation
OP Operational Programme
PA Priority Axis
PAR Public Administration Reform
PES Public Employment Service
SFC Structural Funds Common Database
SIC Strengthening Institutional Capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Table of contents
Executive Summary i
1 Introduction 6
11 Background 6
12 Objectives 6
13 Scope 7
14 Methodological Approach and information sources 7
15 Structure of the report 7
2 Key SIC challenges and policy directions in the EU in the 2007-2013
programming period 9
21 Evolution of the institutional capacity building focus 9
211 The origins of institutional capacity building support 9
212 Good governance as a deciding factor for competitiveness and cohesion 9
213 Definitions and concepts 10
22 Capacity building and ESF 11
3 Overview of key ESF SIC investment features in the 27 Member States 13
31 Links to the national and EU policy priorities main activities and target
groups 13
311 Links to the national and EU policy directions 13
312 Key characteristics of activities and target groups at EU and MS level 17
313 Key characteristics of specific dimensions and categories 19
314 Structures and processes 20
315 Human resources 24
316 Tools 27
32 The overall strategy for ESF SIC investment 28
33 The impact of the economic crisis on ESF SIC priorities actions and funding
(EU-27) 33
34 The ESF expenditure in the area of SIC 34
341 Overall funding levels 34
342 Programmed expenditure on Category of Expenditure 81 36
4 The effectiveness efficiency sustainability gender sensitivity community
added value and the socio-economic impact of ESF SIC investment in the 27 Member
States 39
41 The effectiveness of ESF SIC interventions 40
411 Progress in the financial implementation of ESF SIC 40
412 Types of output and result indicators selected by the OPs 44
413 Overall achievements 46
414 Achievements in specific fields of activity 48
415 Effectiveness 49
416 Reaching the different target groups 53
42 Efficiency 56
43 The sustainability of ESF SIC interventions 57
44 Gender sensitivity of ESF SIC interventions 58
45 Community added value of ESF SIC interventions 60
451 Volume effects 60
452 Scope effects 61
453 Role effects 62
454 Process effects 62
46 The socio-economic impact of ESF SIC 63
461 Impact indicators and evidence from national ESF evaluations 63
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
462 Impacts in relation to changes in the quality of administrations65
463 Key factors determining success or failure 68
5 Overview of key lessons learned 72
51 Key lessons in terms of policy choices 72
52 Key lessons in terms of target groups 74
53 Key lessons in terms of appropriate programming 74
54 Key lessons in terms of effective implementation 76
55 Key lessons in terms of monitoring 76
56 Key lessons in terms of evaluation 77
References
Annex I Overview of OPs PAs and Actions explicitly addressing SIC
Annex II Country specific recommendations in the field of SIC
Annex III Factors influencing success and failure of SIC interventions for individual
countries per category
Annex IV Evaluations relevant to SIC interventions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
List of figures and tables
Figure 1 SIC in OPs and PAs 29
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of funds
allocated to SIC-related Priority Axes over total ESF budget) 35
Figure 3 Budget allocated to expenditure category 81 per MS 36
Figure 4 Government effectiveness 65
Figure 5 Regulatory quality 66
Figure 6 Rule of law 67
Figure 7 Key factors for success and failure mentioned for MS 69
Table 1 Institutional capacity objectives tree for ESF 11
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP 14
Table 3 CSR addressed under SIC interventions by MS 15
Table 4 Contribution of ESF SIC interventions to MS policies 16
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category 18
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS) 19
Table 7 Characteristics of SIC actions 20
Table 8 Countries covered in programming and expenditure based analyses 30
Table 9 Overview of SIC dedicated OPs and PAs by MS 31
Table 10 ESF SIC investment and over total ESF (total funding) 35
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS 37
Table 12 SIC and overall ESF implementation rate () by MS (31 December 2014)
40
Table 13 Share of the budget spent per SIC relevant PA43
Table 14 Target setting and achievement for outputs SIC and ESF 50
Table 15 Achievement of output targets for SIC and all ESF interventions 50
Table 16 Target setting and achievement for results SIC and ESF 51
Table 17 Achievement of results targets for SIC and all ESF interventions 52
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014) 54
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women
participants55
Table 20 Funding per participation for SIC related OPsPAs 56
Table 21 Examples of tentative impact evaluations 64
Table 22 SIC related evaluations in Member States ESF 2007-2013 100
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
i
Executive Summary
Key findings
EU-28 Member States (MS) allocated euro2419 million to Operational Programmes
(OPs) or Priority Axes (PAs) that were dedicated to Strengthening Institutional
Capacity (SIC) objectives This includes funding from national (public and private)
sources as well as the amount of co-funding foreseen from the EU
As of the 311220141 693 of SIC allocated funding at EU-27 level was spent
compared to 793 of total ESF budget which demonstrates that on average
fewer SIC funds have been spent in relation to overall ESF funding The economic
crisis contributed to budget reductions or lower impact in several MS
Almost 14 million participations were reported to have been involved in SIC-
related interventions
Almost all participants are employees of beneficiary institutions the majority
are women (64) and well educated (ISCED 5 and 6)
Most countries used ESF to provide additional funding for good governance to
test new and innovative activities to reach new target groups and to
improve public administration service and delivery systems and methods
In doing this they responded to the issues identified by Country Specific
Recommendations in the SIC field
At least 17000 training programmes were developed while 4000 studies
campaigns public consultations reviews (laws procedures) and reports have been
implemented amongst other actions At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures
including client centres or regional offices
ESF contributed to reforms of the judiciary system improved access to e-
government services a better business environment and a better
management of public administrations in general
Introduction
This report analyses how the theme of strengthening institutional capacity (SIC) was
integrated in the ESF 2007-2013 programming in EU-27 MS how it was implemented
and what its main achievements were with a view to determining the key lessons
learned and recommendations for ESF programming and implementation
Strengthening institutional capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
10812006 which only covers Convergence regions describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo With the support for SIC a more horizontal
approach to capacity building was introduced in the 2007-2013 programming which
1 It is to be noted that according to the Regulation expenditure of the 2007-2013 period is eligible if incurred by 31122015 which is why the current report does not cover the last year of implementation Final data on spending participants and results are then higher than the ones reported
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
ii
complemented the existing institutional capacity support provided in other policy
fields Notable areas where this was the case include employment education and
social inclusion as well as in the implementation of the structural funds themselves
(technical assistance)
Programming of SIC under the ESF
During the 2007-2013 programming period 14 MSs included Priority Axes
dedicated to SIC interventions in their ESF programming (the report does not
cover Croatia due to late start of ESF activities upon accession to EU) Four of them
(BG EL HU RO) have explicitly dedicated one OP to institutional capacity building
The remaining ten countries (CZ EE IT LT LV MT PL SI SK UK) have OPs with
one or more PA dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting SIC
Most OPs are national but in Italy (5 out of 7) and in the United Kingdom there are
also regional OPs
ESF SIC investment is closely linked to SIC-related challenges in the relevant MS
and the corresponding Country Specific Recommendations (CSR) that the European
Commission issued during the programming period Besides a general need for
improved effectiveness and efficiency of public administrations recurring themes in
the CSRs are simplifying the regulatory system and improving the business
environment Other themes include the introduction of e-government reforms in the
judiciary sector and anti-corruption policies and public procurement regulation and
practices Most of the individual CSRs were explicitly addressed by ESF SIC
interventions
Capacity building under the SIC theme addressed structures and processes as well as
human resources Some 70 of actions at the level between PA and the actual
interventions addressed structures and processes The horizontal approach under
SIC enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and management
strengthening quality assurance or the role of the regional or local level in policy
development and implementation In the majority of actions organisational changes
address national local or regional levels by optimising the structures of the central
district and municipal administration An almost equally high share of the actions
addressed the development of human capital This included staff capacity building
interventions as well as the development and implementation of human resources
management strategies Developing human resource management under ESF covers
several areas including recruitment staff motivation systems for accreditation of
public servants internal mobility gender mainstreaming and mutual learning ESF
SIC also supported the development of tools related to e-government and helped
improve monitoring and evaluation systems While most activities seem to target the
public sector as a whole some focus on a specific policy sector such as the judicial
system
In capacity building interventions the target group is typically the staff of the
beneficiary organisations
Financial programming and implementation
In the EU-28 a total of euro2419 million was allocated to OPs or PAs that were dedicated
to SIC objectives This constitutes 21 of total allocated funding under ESF and 4
of funds available in convergence regions and includes funding from national (public
and private) sources as well as the amount of co-funding planned from the EU This
sum includes euro10 million allocated in Croatia whose interventions do not fall under
the scope of the present study The highest absolute levels of SIC allocation are found
in EL and PL while countries that allocate the highest share to SIC relative to their
overall ESF budgets (over 12) are BG and LT followed by MT and SI
The total amount of certified eligible expenditure by the end 2014 was euro167 million
This constitutes 693 of SIC allocated funding at the EU-27 level For comparison
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iii
the implementation rate (level of spending) for the total ESF budget of SIC allocated
funding amounted to 793 Implementation rates differ considerably between
countries and PAs It is worth mentioning that the lack of adequate administrative
capacity of beneficiaries might have contributed to the low absorption of ESF SIC
investments in these MSregions according to the so-called ldquocapacity traprdquo effect
Effectiveness and impacts
In total 14 million participations were registered in SIC related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training These participations result in a set of
characteristics which is very different from other ESF priorities as almost all
participants are employees and most of the participants in SIC interventions (57)
are well educated (ISCED 5 and 6) Participants in SIC interventions are older than
ESF participants on average Young people (15-24) are strongly under-represented
(4 for SIC interventions versus 31 for ESF as a whole) The majority of
participants are women (64)
In terms of outputs during the 2007-2013 programming period 17000 training
programmes were conducted and 4000 studies campaigns public consultations
reviews (laws procedures) reports etc implemented Some 95000 organisations
institutions were involved in SIC-related interventions The organisations that the ESF
supported besides public administrations include bodies of the judiciary county level
government offices boards of public benefit activities at the regional level and
municipalities Other outputs include at least 1500 projects or activities launched
some 250 guides and guidelines produced and 150 new structures established
including client centres or regional offices
The results achieved through ESF SIC funding during the 2007-2013 period vary
Approximately 512000 individuals gained a qualification 87000 reported other
positive results some 2000 entities or organisations were established or recorded
other positive results and more than 1700 productssystemstools were developed It
should be mentioned however that due to data limitations it was not possible to
aggregate all results as reported in the AIR of ESF programmes and as a consequence
this leads to systematic underreporting of the results of ESF
ESF supported interventions helped to reduce the administrative burden for citizens
and businesses and contributed to the production of better quality policies and
legislation Management systems and practices were changed to incorporate modern
human resource management and planning techniques The support for developing
institutional capacity also contributed to achievements in specific policy areas such as
equal opportunities environmental policies and the social dialogue
Four fields of activities were analysed in more depth during the study
Strengthening of the judiciary was supported by activities including the training of
magistrates or employees of judiciary offices and the introduction of court case
management systems These activities resulted in a reduction of the duration of
judicial procedures in several countries (SI PL) The effectiveness of judiciary bodies
and offices was also increased in terms of management and quality assurance HR and
provision and equipping judiciary staff dealing with economic cases Strategic
planning and management was improved (EL LT LV and PL) by increasing the
number or the share of public administration offices that implemented management
systems and quality assurance processes Increasing the number of services available
to citizens and businesses online and training public administration staff to use them
properly were a means to achieve MS ambitions in the field of e-government
Improving the environment for businesses was achieved by shortening the time
needed for setting up or registering a business and decreasing administrative costs
Other achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iv
Information on impacts is available for six countries only Typically this information
is of a more qualitative nature and does not permit hard conclusions to be drawn
According to World Bank data improvements in the quality of public administrations
occurred between 2007 and 2014 especially in the field of government effectiveness
and rule of law The perception of regulatory quality improved in several countries
particularly the three Baltic States as well as in Poland and Romania It is to be
expected that ESF has contributed to these changes However this causal relationship
can only be established through impact assessments and evaluations The evidence
available at this point is insufficient to draw conclusions in this respect
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by various countries (CZ EL HU IT LT MT
RO SK) Rapid changes in government politicised institutions and lack of political
support were all cited as impediments to the effectiveness of SIC interventions
Other evaluation findings
The findings regarding four further evaluation criteria are as follows
Efficiency Available information does not allow conclusions regarding the
efficiency of SIC interventions The assessment of efficiency is hampered by the
fact that the outputs of various activities are not defined in terms of the
number of persons or objects
Sustainability SIC interventions sustainability refers to both the continuation
of funded projects (with or without EU funding) and the achieved results in
terms of increased empowerment and adaptation to new needs as they
develop The sustainability of SIC interventions is particularly dependent on the
context in which they are implemented and which these same interventions aim
to support
Gender sensitivity Gender equality is seldom targeted directly by SIC
interventions through positive actions However in some countries SIC
interventions were designed in such a way that in their implementation at
least women and womenrsquos interests are taken into account or possibly
furthered SIC interventions typically have more female than male participants
For most countries this reflects the over-representation of women in public
institutions
Community added value The main effect from ESF SIC support is a volume
effect This effect has been even greater than it otherwise would have been due
to the impact of the financial crisis on MS budgets ESF has also added value by
broadening the scope of the interventions undertaken by MSs or by putting
administrative capacity on the agenda SIC funding played a relevant role in
supporting the introduction and testing of innovative tools or systems such as
the introduction of e-government
Overview of key lesson learned
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe
2020 Strategy might be further enhanced by specifying the more relevant fields
of ESF SIC support such as e-government or business-friendly administration
The institutional and political context remains a key success and risk factor for
capacity building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are
important factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to
capacity building as well as a well-defined intervention logic are required by
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
v
MS Programming should go well beyond the specific objectives and into the
realm of intermediate and final impact Support provided to countries should
consider the five key factors that influence the success of SIC interventions
management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
New programmes need to make sure that results and impacts whose
sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or
PA are often linked to a lack of administrative capacity in the Managing
Authority or Intermediate Body both in terms of the number and qualifications
of staff Significant personnel turnover and frequent changes in staff
contributed to mistakes being made in financial reporting by beneficiaries
which was further hampered by complicated and often-changing rules and
errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review
ex-ante the output and result indicators proposed by MS to see if they comply
with SMART criteria apply a categorisation into common output and result
indicators in the SFC database More systematic guidance on the difference
between indicators for capacity enhancement performance and impact
indicators could help countries formulate better indicators for monitoring
results In addition a benchmark is needed against which achievements can be
measured
Evaluation Fields of activities as found in the CSRs for example could
provide a starting point for the development of impact indicators for ex-post
evaluation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
6
1 Introduction
11 Background
This report is for Task 3A Thematic EU Synthesis Reports of the ldquoESF 2007-2013 Ex-
Post Evaluation Synthesisrdquo (Contract No VC20150098)
The purpose of the Ex-Post Evaluation is to synthesise and update the results of three
ESF thematic ex-post evaluations that were launched by DG EMPL during 2014 and
covered the following ESF Priorities Adaptability and Human Capital (grouped under
the ex-post evaluation Investment in Human Capital) Supporting the Integration of
Disadvantaged Groups into Labour Marked and Society (Social Inclusion) and Access
and Sustainable Integration into Employment (Access to employment) Under Task 3A
the Synthesis shall provide a supplementary evaluation of the ESF Priorities
lsquoStrengthening Institutional Capacityrsquo (ESF Reg 10812006 Art 32b) - the present
report - and - lsquoPromoting Partnershipsrsquo (Art 31e) which is presented in a separate
document These priorities were not covered by separate services and therefore
providing the key information needed in order to compile the EU synthesis report
covering all the ESF Priorities
Strengthening Institutional Capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
108120062 only covers Convergence regions and describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo
Strengthening institutional capacity was a new theme introduced for the 2007-2013
period Until then capacity building was supported for specific sectors notably
employment social inclusion and education and for the implementation of the
structural funds themselves (technical assistance) With SIC a more horizontal
approach was introduced that aimed at improving good policy and programme design
monitoring and evaluating a variety of activities and supporting capacity building in
the delivery of policies and programmes Specific fields supported by ESF SIC include
strategic planning and management support to the judiciary sector e-government
and promoting a business-friendly environment
This thematic report builds upon the knowledge and information collected during the
previous tasks of the synthesis evaluation particularly the Country Synthesis Reports
(CSR) that provide information on each and every ESF policy priority including a
summary overview of the Strengthening Institutional Capacity priority
12 Objectives
This thematic synthesis report provides an overview of the implementation of the ESF
Priority SIC at EU level in terms of implemented actions financial resources
participants outputs and results The report also illustrates how resources have been
used the effectiveness of implemented interventions (in terms of results) and
efficiency measured in terms of financial resources spent in order to achieve them
2 Regulation (EC) No 10812006 of the European Parliament and of the Council of 5 July 2006 on the European Social Fund and repealing Regulation (EC) No 17841999
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
7
The report also aims to provide an assessment of the sustainability community added
value and contribution to gender equality of the SIC priority thus feeding the most
relevant lessons learned and conclusions of the analysis
13 Scope
In total 14 of the EU-27 MSs defined one or more ESF OPs that have one or more
Priority Axes (PA) that predominantly address SIC (in total 34 SIC-related PAs in 21
OPs)3 A full list of these Priority Axes is presented in Annex I The programmes
covered the period between 1 January 2007 and 31 December 2013 with operations
continuing until 31 December 2015 However the evaluation could only draw on 2014
data reported by the MSs in the Annual Implementation Reports (AIR) submitted to
the Commission by 30 June 2015
14 Methodological Approach and information sources
The identification of Priority Axes relevant to SIC was based on the Preparatory Study
of the Ex-post evaluation of the ESF 2007-2013 the ESF Expert Evaluation Network
reports and the three ex-post thematic evaluations This selection was used as the
main reference to identify MSs and OPs with Priority Axes relevant to this field this
selection was further refined over the course of Task 2 ndash Country Synthesis Reports
For these PAs an analysis of the participants was carried out (Annex XXIII data) as
well as of the groups of outputs and results achieved by the ESF Each MS has to
report on these in the AIR and they can be extracted from the System for Fund
Management in the European Union (SFC2007)
Country experts in the relevant MSs were asked to review and integrate SFC data
(based on AIRs) if necessary Most importantly experts were asked to fill in country
templates enabling the assessment of the main activities of SIC that have been
carried out under the selected OPs for this report Also any other relevant information
such as the sustainability of the activities and results the contribution to gender
equality the community added value (CAV) the key success and failure factors and
the main lessons learned These templates were to be completed based on the
expertrsquos own assessment information drawn from the Operational Programmes and
AIRs 2007-2014 relevant evaluations or other sources of information available at
national level and in some cases through ad-hoc interviews with Managing
Authorities (MA)
The Country Synthesis Reports and templates filled in by country experts were a key
information source as the SIC Priority covers a relatively small share of ESF resources
SIC differs from the other priorities as it is not directly focused on educationtraining
or employment-related objectives for individuals but rather focuses on strengthening
structures and entities directly or indirectly involved in implementing such objectives
For this reason available quantitative data may not be representative of the relevance
and effectiveness of related interventions which is why additional qualitative
information had to be collected
15 Structure of the report
The report begins by reviewing briefly the background and content of the theme
(Chapter 2) Chapter 3 links SIC interventions to national and EU policies and
3 Please note that this could be a PA but in some cases also sub priorities when a PA is split up across more than one ESF theme
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
8
explains and analyses the activities foreseen It goes on to describe how SIC related
interventions are integrated into the ESF programming by MSs and the subsequent
impact of the economic crisis on the actual implementation Finally this chapter
discusses the financial performance Chapter 4 focuses on the evaluation criteria (ie
effectiveness efficiency sustainability gender sensitivity community added value and
socio-economic impact) The conclusions of the above analyses are presented in the
final chapter (Chapter 5) in terms of the lessons learned in six areas
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
9
2 Key SIC challenges and policy directions in the EU in the 2007-2013 programming period
Key findings
The quality of public policies and their implementation has been on the European
agenda since the beginning of the century It was also a key issue in the
preparation of countries for EU accession and the support the EU provided to them
amongst others in the framework of the PHARE programme
The modernisation of public administration was identified as one of the five
priorities in the Commissionrsquos recent Annual Growth Surveys Between 2012 and
2014 around 20 countries have been receiving country specific recommendations
related to public administration every year
Three dimensions of institutional capacity can be identified structures and
processes human resources systems and tools
Article 32b of ESF 2007-2013 Regulation identifies SIC as one of the five ESF
priorities focusing exclusively on Convergence regions
21 Evolution of the institutional capacity building focus
211 The origins of institutional capacity building support
The concept of institutional capacity owes much to the work conducted in the
framework of development aid According to De Koning et al (2006) the term
capacity building was introduced in the late 1980s It has various predecessors
though with the concept of institution building arising as early as the 1950s
It was also a key issue in the preparation of countries for EU accession and the
support the EU provided to them amongst others in the framework of the PHARE
programme It was recognised that only by developing appropriate administrative and
judicial structures would the new or adapted legislation be implemented effectively
(European Union 2010 p 16-17) The PHARE programme and the instrument for
pre-accession assistance (IPA) as of 2007 the Technical Assistance and Information
Exchange instrument (TAIEX) and Twinning have helped accession countries to
increase their institutional capacity After accession further support was deemed
necessary in this area and the ESF became the new vehicle for delivering it (European
Union 2010 p 18)
According to Ferry (2013) institutional capacity has remained an issue for Cohesion
policy in these countries His literature review revealed that there are many absorption
challenges faced by EU-10 countries both during and after accession Administrative
reforms and institutional instability were impeding the effectiveness of management
and implementation systems The collection and analysis of monitoring data has also
greatly suffered from this as did the implementation of ESF Ferry refers to a number
of issues in particular ldquoadministrative capacity weaknesses in managing authorities
(MA) lack of funding shortages of administrative resources high staff turnover lack
of political steer and administrative complexitiesrdquo (Ferry 2013 p 30)
212 Good governance as a deciding factor for competitiveness and cohesion
The quality of public policies and their implementation has also been on the European
agenda since the beginning of the century In the early 2000s the European
Commission identified the reform of European governance as one of its four strategic
objectives This entailed adapting European institutions and increasing the coherence
of its policies The Lisbon Treaty (ratified at the end of 2009) supported this by giving
a stronger role to the European Parliament and national parliaments and more
opportunities for citizens to have their voices heard The Lisbon Treaty also underlines
the importance of public services in MSs for social and regional cohesion it also
included key principles for action to promote effective services of general economic
interest Subsequently the Europe 2020 strategy for smart sustainable and inclusive
growth builds on this and emphasises the modernisation of labour markets and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
10
enhancing the performance of education systems The modernisation of public
administration was identified as one of the five priorities in the Commissionrsquos recent
Annual Growth Surveys Between 2012 and 2014 around 20 countries have been
receiving country specific recommendations related to public administration every
year4
The reason for making institutional capacity a priority across the European Union is
that it is assumed to promote competitiveness eg through a stable business
environment and lower regulatory and administrative burdens This will also help
increase employment levels along with the number of stable and high quality jobs It
can also be argued that increased administrative capacity will foster social inclusion
and social cohesion Increased revenue from taxation and social security contributions
from well-functioning economies as well as government services operating more
efficiently will allow the maintenance of adequate levels of social protection It will in
brief increase productivity and in the economy improve the quality of the design and
implementation of policies for growth and employment and is the basis for good
governance (European Union 2010)
The European Union has been systematically and actively promoting public
administration reforms (PAR) in central and Eastern European countries both during
and after the accession process These MSs are part of an EU-wide effort of
modernising Public Employment Services (PES) and other institutions in the field of
labour social and educational policies which are supported under the Human Capital
and Access to Employment priorities (and are covered by the relevant thematic
evaluations)
213 Definitions and concepts
A number of dimensions of capacity building can be emphasised De Koning et al
(2006) identify investment in the human capital of individuals group-oriented
development organisational development or institutional development Building on
the classification applied by the World Bank the Ecorys (2011) report identifies three
dimensions that have since been used in various sources These concern structures
people and tools and are as follows
Structures relate to legislation delivery and development structures as well as
overall coordination cooperation and partnership
Human resources area include competence gaps (especially among senior and
line managers) staff turnover lack of HR policies (especially of modern HR
management approaches) lack of employee engagement and rigorous
application to tasks and in some cases a focus on narrow specialisms rather
than on broader management and public service competences
Systems and tools include the use of ICT and its embeddedness in
organisational processes the management of information systems finance
monitoring and evaluation and the state of play with regards to performance
management and the management of workloads
4 For more information see httpeceuropaeueurope2020making-it-happencountry-specific-recommendationsindex_enhtm
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
11
De Koning et al (2006) also distinguish different types of interventions that may be
used in capacity building projects and programmes knowledge skills tools and
equipment
22 Capacity building and ESF
The ESF thematic paper on promoting good governance highlights the importance of
having high quality public administration for economic prosperity as well as the well-
being of societies and their citizens (European Commission 2014)
For the 2007-2013 programming period three articles of the ESF Regulation (EC
10812006) are of particular relevance to capacity building
Article 31b addresses both the Convergence and the Regional
Competitiveness and Employment objectives It states that the ESF shall
support actions in MSs by promoting the modernisation and strengthening of
labour market institutions particularly employment services and other relevant
initiatives in the context of the strategies of the European Union and the MSs
for full employment
Article 31d refers to ESF support to enhance human capital by promoting the
design and introduction of reforms in education and training systems [] and
the continual updating of the skills of training personnel
Article 32b focuses exclusively on the Convergence regions mentioning that
the ESF shall support actions in MSs that are strengthening institutional
capacity and the efficiency of public administrations and public services at
national regional and local level Where relevant Article 32b also focuses on
strengthening social partners and non-governmental organisations These
interventions are targeted towards implementing reforms better regulation and
good governance This is especially the case in the economic employment
education social environmental and judicial fields
Article 32b covers SIC interventions as evaluated in the present study The focus on
institutional capacity and efficiency was new in the 2007-2013 programming period
Before 2007 the ESF objectives were defined only in the areas of employment social
inclusion and education
SIC interventions represent one of the additional objectives for so-called Convergence
regions Convergence regions are defined as those regions having per capita gross
domestic product (GDP) less than 75 of the average GDP of the EU-255
The following table summarises the logic behind ESF interventions in the field of
institutional capacity
Table 1 Institutional capacity objectives tree for ESF
Driver Economic growth employment and good governance (Lisbon Strategy)
Global objectives
The ESF shall contribute to the priorities of the Community with regard to
strengthening economic and social cohesion by improving employment
and job opportunities encouraging a high level of employment and a
5 Commission Decision C(2006)3475 of 4th August 2006 and Commission Decision C(2007) 1283 of 26 March 2007 amending Decision 2006595EC as concerns Bulgaria and Romania)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
12
greater number of better jobs It shall achieve this by supporting MSs
policies aiming to achieve full employment ensure quality and
productivity at work promote social inclusion including the access of
disadvantaged people to employment and reduce national regional
and local employment disparities
Specific objectives
Article 32b Within the framework of the Convergence objective ESF shall
support actions in MSs under the priorities listed below
ldquoStrengthening institutional capacity and the efficiency of public
administrations and public services at national regional and local level Where
relevant these policies will also target social partners and non-governmental
organisations with a view to reforms better regulation and good governance
especially in the economic employment education social environmental and
judicial fieldsrdquo
Types
of interventions
(i) Mechanisms to improve good policy and programme design monitoring
and evaluation will be achieved through studies statistics expert advice
support for interdepartmental coordination and dialogue between relevant
public and private bodies
(ii) Capacity building in the delivery of policies and programmes in the
relevant fields including those regarding the enforcement of legislation
especially through continuous managerial and staff training as well as specific
support to key services inspectorates and socio-economic actors this includes
social and environmental partners relevant non-governmental organisations
and representative professional organisations
Source Assessment of administrative and institutional capacity building interventions and future needs in the context of European Social Fund (VC2009066 - 009)
The analytical framework developed for the previous evaluation of administrative
capacity under ESF (Ecorys 2011) summarised the need for capacity building
interventions as follows
poor performance of public administration
weak response to citizensrsquo and firmsrsquo needs
higher well-being of citizens through increased competitiveness and cohesion
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
13
3 Overview of key ESF SIC investment features in the 27 Member States
Key findings
ESF SIC investment is closely linked with SIC-related challenges in the relevant
MS All countries that have programmed a SIC-dedicated OP or PA received CSR
over the 2007-2013 period covering SIC-related themes
SIC-related CSR can take the form of general recommendations such as improving
the overall effectiveness of the public administration of the regulatory capacity of
the public bodies for example or they can relate to specific fields of interventions
such as the judiciary or the business environment
Some 70 of SIC actions at the level between PA and the actual interventions
addressed structures and processes The horizontal approach under SIC
enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and
management and strengthening quality assurance
An almost equally high share of the actions addressed the development of human
capital This included staff capacity building interventions as well as the
development and implementation of human resources management strategies
ESF SIC also supported the development of tools such as those related to e-
government and the improvement of monitoring and evaluation systems
While most activities seem to target the public sector as a whole some focus on a
specific policy sector such as the judicial system
During the 2007-2013 programming period 14 of EU-27 included Priority Axes
dedicated to SIC interventions in their ESF programming Four of them (BG EL
HU RO) have explicitly dedicated one OP to institutional capacity building The
remaining ten countries (IT LT LV MT PL RO SI SL SK UK) have OPs with one
or more PAs dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting
SIC
Within EU-28 a total of euro2419 million was allocated to OPs or PAs that were
dedicated to SIC objectives (EU+national) this constitutes 21 of total allocated
funding under ESF and 4 of the funds available in convergence regions The
highest absolute levels of SIC allocation are found in EL and PL while countries
that allocate the highest share to SIC relative to their overall ESF budgets (over
12) are BG and LT followed by MT and SI
31 Links to the national and EU policy priorities main activities and target groups
311 Links to the national and EU policy directions
ESF SIC investment is closely linked with SIC-related challenges in the relevant MS
All countries that have programmed a SIC-dedicated OP or PA received Country
specific recommendations over the 2007-2013 period covering SIC-related themes
Country Specific Recommendations (CSRs) are issued for each MS
In the context of the European Semester since 2011 the Commission undertakes a
detailed analysis of MS plans for budgetary macroeconomic and structural reforms
and provides them with CSR for the next 12-18 months These recommendations also
contribute to the objectives of the EUs long-term strategy for jobs and growth and the
Europe 2020 strategy
Annex I presents a full overview of how SIC interventions addressed country specific
recommendations
The content of the CSRs varies from country to country and from year to year
Although all MSs have their own CSR proposals there are common themes that arise
This section highlights the common key messages in the fields that are relevant for
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
14
SIC and provides an overview of the types of categoriesmeasures in which the
European Commission issued CSRs over the years from 2007-2013 and indicates how
these relate to specific MSs
Table 2 below shows how these CSRs clustered by typology are lsquodistributedrsquo across
the relevant MS over the 2007-2013 programming period SIC-related CSR can take
the form of general recommendations such as improving the overall effectiveness of
the public administration of the regulatory capacity of the public bodies for example
or they can relate to specific fields of interventions such as the judiciary or the
business environment The table illustrates that the overall improvement of the public
administration is a challenge identified in at least nine out of the 14 MSs Improving
the business environment facilitating entrepreneurship and business start-ups and
increasing the attractiveness of a country as an investment destination has been
identified a challenge in at least 11 MSs Improving the regulatory capacity of public
bodies and supporting simplification (including the aim to improve the business
environment) has been identified as a challenge in at least six MSs The reform and
the support of the judiciary sector has been identified as a specific challenge in at
least three MSs (this does not mean it is not a challenge for other MS with the
judiciary being a part of public administration)
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP
Type of challenge BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
effectiveness and efficiency
of the public administration x x x x x x x x x
effectiveness of the judiciaryreform x x x x
business environment x x x x x x x x x x x
Anti-corruptionpromotion of rule of law x x x
public procurement x x x
absorption of ESI funds x
e-government x x x x
regulatory systemsimplification administrative burden
x x x x x x
Source own elaboration on the basis of CSR2007-2009 2010-201213
Challenges and related recommendations are also visible in national strategies and
ESF SIC investments constitute an integral part of the national effort to support good
governance and improvements to the public administration in many countries This is
particularly the case in countries that have concentrated a relatively large amount of
ESF resources to this priority or those that have dedicated a full OP to it such as in
the case of BG EL HU and RO
In the case of Bulgaria for example where there is a separate OP devoted to
administrative reform and strengthening institutional capacity ndash OP Administrative
Capacity (OPAC) ndash the ESF plays an important role in supporting reforms and capacity
OPAC financed some of the most important measures in the National Reform
Programme (NRP) and was indeed a key instrument for the administrative reform in
Bulgaria where these reform processes play an important role in the national agenda
also considering its relatively recent accession to the EU and of its political past
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
15
In Greece a number of reforms have been implemented in the past decade mainly in
the fields of state-citizen relationships the development of e-government human
resource management better regulation and control mechanisms These are fully in
line with the strategic goal of the OP Administrative Reform 2007-2013 which aimed
to improve the quality of governance through enhancing the effectiveness and
efficiency of public organisations whilst also strengthening the accountability and
professionalism through broadening public consultation and the participation of
stakeholders
In Romania the main contribution of the State Reform OP was to support the
accomplishment of the strategy for improving the capacity of the public
administration The main leverage used involved creating more efficient local
administration units and reducing the development gap between local and central
public administrations Increasing the expertise of staff in public institutions through
participation in specialised training (ICT data management systems) helped in
preparing them for the development of e-government services and facilitated the
simplification processes relating to administrative procedures in line with the National
Strategy for the Digital agenda for Romania and the European Digital agenda
During the last few decades public administration reform strategies in Italy have
been focusing on two main areas a) the delivery of (public) services to citizens and
companies b) the management of public (material and immaterial) goods Both areas
have been subject to reforms aimed at improving their levels of effectiveness and
efficiency In more detail the reform strategies focused on service delivery (covering
the national regional and sub-regional level along with relevant policy actors) and
tackling long-standing criticisms such as the overall lack of efficiency in Public
Administrations (especially in terms of the optimisation of governance mechanisms)
They also concentrated in the simplification of administrative rules and regulations and
the efficiency and effectiveness of (mainly civil) justice As for the reforms they
focused on improving the management of public goods the main critical issues that
have been covered relate to the fight against corruption (especially in public tenders
and contracts) the effective spending of public funding (national but also EU) and the
full implementation of relevant infrastructure investments These strategies have been
accompanied by reforms supporting the productivity and assessment of PA employees
and management as well as of the organisations themselves
Table 3 shows the linkage between the CSRs received and whether relevant MSs had
addressed these through ESF SIC investment Only in five MSs (BG CZ EE IT LT)
were the recommendations not fully addressed in some specific years
Table 3 CSR addressed under SIC interventions by MS
Country 2007 2008 2009 2011 2012
BG NA YES partially YES partially YES partially YES partially
CZ YES NO NA YES YES
EE NA YES NA NA YES partially
EL YES YES YES NA NA
HU YES YES YES YES YES
IT NO NO YES YES
LT NA YES partially YES partially YES NA
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
16
Country 2007 2008 2009 2011 2012
LV NA NA NA NA NA
MT YES YES NA NA NA
PL YES YES NA YES YES
RO NA YES YES NA NA
SI NA NA YES NA
SK YES YES YES YES YES
UK NA NA NA NA NA
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
NA means that no recommendations were made
Details of the recommendations are provided in Annex II
In the Czech Republic SIC-related ESF programming addressed all the
recommendations apart from the one aiming to further quicken the ldquoprogress in the
ICT area including through the implementation and monitoring of a fully enabled legal
environment for e-governmentrdquo This implementation began in 2008 although a start
was made in 2007 as was then recommended
Estonia also used ESF funding for SIC interventions to address most of the
recommendations it received although SIC interventions were not explicitly used to
support the merging of municipalities as was recommended in 2012
Italy did not use ESF funds to explicitly address the recommendations it received in
2007 and 2008 These recommendations involved the introduction of an impact
assessment system and the competition in product and service markets The latter
was taken up again by the recommendations in the following years and ESF SIC
interventions were used to improve the situation
Table 4 below provides an overview of the linkages between MSsrsquo policies and ESF
support to SIC
Most MSs that have included PAs on SIC use ESF to obtain additional funding to
support good governance and to improve the delivery systems and methods for
services to citizens and businesses in their country Most countries also use it to test
innovative activities ESF is least commonly used to reach new target groups which is
understandable for SIC interventions
Table 4 Contribution of ESF SIC interventions to MS policies
ESF provided additional funding to
support good governance
ESF was used to test new and innovative
activities
ESF was used to reach new target groups
ESF was used to improve PA service
delivery- systems and methods
BG Y Y N Y
CZ Y Y N Y
EE Y Y Y Y
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
17
ESF provided additional funding to support good governance
ESF was used to test new and innovative activities
ESF was used to reach new target groups
ESF was used to improve PA service delivery- systems and
methods
EL Y Y N Y
HU Y N N Y
IT Y Y N Y
LT Y Y Y Y
LV Y Y Y Y
MT Y Y Y Y
PL Y Y N Y
RO Y N N Y
SI Y Y Y Y
SK Y Y N Y
UK N N N Y
Source overall assessment of country experts based on research carried out by them and
national evaluations conducted in the country
312 Key characteristics of activities and target groups at EU and MS level
An overview of the key characteristics of activities and targets groups that are the
focus of ESF SIC investment is provided below This is based mainly on the analysis of
lsquoactionsrsquo that have been programmed and carried out at MS level By actions we refer
to the unit of analysis below PA level6
Art 32b of the ESF Regulation distinguishes two main groups of interventions those
that relate to design monitoring and evaluation and those related to the delivery of
policies and programmes Only one in 10 actions focuses solely on the first objective
More than one-third of the actions focus on delivery and almost half of the measures
address both (see Table 5 below)
Most of the actions target the national level (70) However substantial numbers
address additionally local (41) andor regional (53) levels Only 4 of actions
have an international character
6 In the 2007-2013 programming period there is no standardised unit below the PA level such
as the measures in the 2000-2006 period However many Member States distinguish a lsquomeasure typersquo level Sometimes these are still called measures although sometimes other names are given In this report they are referred to as lsquoactionsrsquo and some of the analyses are conducted at this level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
18
Public entities were the main beneficiary of SIC actions (85) Social partners and
NGOs were targeted by approximately a quarter of the actions
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category
Characteristic and categories Absolute
no
Objective (ESF Regulation Art 32b i and ii)
Design MampE 8 103
Delivery 28 359
Both 38 487
No information 4 51
Total 78 100
Level of the intervention (multiple answers possible)
Local 33 423
Regional 42 539
National 56 718
International 3 39
No information 8 103
Recipients
Public entities 66 846
Social partners 21 269
NGOs 19 244
Source country templates - assessment by country experts based on review of relevant
literature and Country synthesis reports
In order to carry out a more detailed analysis we reviewed the key characteristics at
MS level Table 6 below shows whether a certain characteristic occurs in one or more
of the actions in each country This analysis is similar to that carried out at an OP
level However in the analysis at OP level the results for Bulgaria (two OPs) and
Italy (seven OPs) would lsquocolourrsquo the results excessively which is the reason why we
opted for a comparison of MSs
Table 6 illustrates the results for the various characteristics Very few MSs have
measures that focus exclusively on the design monitoring and evaluation of policies
and programmes or measures with an international component Few MSs have
measures that focus on e-government under ESF SIC actions Of course these actions
may be specifically targeted under other themes
Some more detailed conclusions emerge when we compare countries by the most
common types of OPs (section 313) dedicated OPs regional OPs and human
resources or sectoral OPs
Objective of the interventions
In Hungary and Bulgaria only (two of the countries with dedicated OPs) can
actions be found that focus solely on design monitoring and evaluation (obj
32bi)
All four countries with dedicated OPs have one or more actions that uniquely
target the second objective (delivery) In the two other groups this is the case
for around half of the countries
The mixed approach can be found in some of the countries in all three groups
Level of the interventions
All Member States have one or more actions at national level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
19
As expected all regional OPs target the regional level In the two other groups
around half of the countries have PAsactions addressing the regional level
In Bulgaria only do the actions under the administrative capacity OP have an
international dimension
Recipients
In all MSs public institutions benefit from institutional capacity building actions
Social partners and NGOs are often targeted as an explicit (BG EE SK) or
implicit (EL IT SI) target group of human resource development actions They
are also more likely to be amongst the recipients when the objective of actions
is to increase cooperation (BG) to further social dialogue (MT) or to improve
service delivery to citizens or businesses (BG LT) Social partners or NGOs are
also target groups when better regulation (EE) and equal opportunities (EE) are
prioritised
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS)
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK Tot
ESF objective 32b i and ii
Design MampE 1 1 2
Delivery 1 1 1 1 1 1 1 1 1 9
Both 1 1 1 1 1 1 1 1 8
Level of the intervention (multiple answers possible)
Local 1 1 1 1 1 1 1 1 1 9
Regional 1 1 1 1 1 1 1 1 9
National 1 1 1 1 1 1 1 1 1 1 1 1 12
International 1 1
Recipients (multiple answers possible)
Public entities 1 1 1 1 1 1 1 1 1 1 1 1 1 13
Social
partners 1 1 1 1 1 1 1 1 8
NGOs 1 1 1 1 1 1 1 1 8
Source country templates - assessment by country experts based on review of relevant literature and synthesis country report prepared previously
In Italy OP Sicily action linked to Specific Objective ldquoOrdquo and SK action 42 not implemented
so not included in Hungary no information available on level of interventions and recipients in
Slovakia and Czeck Rep no information on objectives
Target groups
In capacity building interventions the concept of target group needs to be considered
carefully If developing structures processes or tools are the objectives of the
intervention the only target group is the staff involved or (other) users of these
systems Thus the target group of SIC interventions are typically the employees of
the beneficiary institutions
313 Key characteristics of specific dimensions and categories
As mentioned above in order to bring out the variety of interventions implemented
with support from the ESF the actions are taken as the starting point for a more
detailed characterisation of SIC interventions The classification departs from the three
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
20
dimensions distinguished in section 213 structures and processes human resources
systems and tools Categories have been developed that reflect the objectives of ESF
with regard to capacity building on the one hand and the actual objectives and
activities in countries on the other Table 7 below presents the classification as well
as the number of actions to which a dimension or category applies
Table 7 Characteristics of SIC actions
Dimension and categories no of actions
Structures and processes (SampP)
Structures (general) 17
Processes (general or core processes) 5
Structures and processes with a regional or local dimension 36
Processes related to strategic planning and management 12
Structures processes aimed at creating of a business-friendly environment 10
Processes related to quality assurance and quality management systems 6
Human resources (HR)
Human resources management (eg working environment training policies and programmes certification mobility)
17
Staff capacity building 24
Tools
E-governance 14
Monitoring and evaluation systems (MampE) 14
Source information from country templates on objectives and types of activities supported by
ESF
multiple categories possible
The number of actions cannot be added as more than one category may apply to one
action both structures and processes may be addressed in one action as could
human resources systems and staff capacity building Other examples include quality
assurance or e-governance In addition 33 out of the 78 actions (42) could be
classified under more than one dimension
It should be mentioned here that capacity building in the justice system plays an
important role in assuring good governance The activities carried out under these
actions may cover all three of the dimensions identified above
Methodological justification of the classification
The fact that not all actions were classified on all three dimensions is partly due to the nature of
the actions and partly to the fact that this analysis could not be based on a more disaggregated
level of analysis such as the individual interventions The classification was based on a summary description prepared by country experts of the main typologies of interventions or activities that were carried out under the different actions it also includes a global assessment of their characteristics which was also made by country experts The formal titles and the objectives of the relevant OP and PA provided further guidance for the classification These
three sources enabled a detailed classification but cannot capture every single activity and their characteristics carried out in the framework of an action
The three dimensions are discussed in more detail below
314 Structures and processes
Structures (general) 3141
Objectives and activities
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Thematic EU synthesis report Strengthening Institutional Capacity
21
Changing organisational structures is not an aim in itself It is accomplished to create
conditions for other changes that will help realise good governance in the country or
to improve public policies and their implementation directly
In Hungary the ESF SIC investment is aimed at creating lsquothe organisational conditions
for a strategy driven specialised policy approach in the central administrationrsquo This
should contribute to the capacity for self-governance and the quality of legislation
which is targeted under Action 11 of the State Reform OP Under Action 12 support
to the creation and operation of institutional models will help create a simpler and
more transparent organisational structure which in turn will further the development
of more efficient and cost-effective public organisations In Romania revising
developing and optimising the structure of public services (action 21) was undertaken
in order to improve their quality and efficiency
In the majority of actions organisational changes address national as well as local or
regional levels Action 11 of the Bulgarian OP Administrative Capacity aims to create
an effective structure for the State administration by optimising the structures of the
central district and municipal administration ESF SIC support is also used to bring
about and support decentralisation processes Lithuania aims to affect structural
changes at all levels (central regional and local municipality) and identified the need
for support in decentralisation and processes to reduce concentration This is in order
to achieve an optimal distribution of functions among central territorial and local
municipal levels In Romania the main objective of Action 21 in the OP Administrative
Capacity Development is to support structure and process changes resulting from
sectoral decentralisation initiatives The support provided includes training and
technical assistance as well as for the evaluation of pilots for the process of
decentralisation and reducing concentration
Organisational change is sometimes internally driven where it can be aimed at
achieving less fragmentation and duplication of work in Malta for example In other
cases it can be externally driven such as the lsquoone-stop-shoprsquo system developed for
start-ups in Poland (Action 51 OP Human Capital)
The ESF in Poland furthered the development of an important policy design instrument the Social Diagnosis It was a project designed to support the diagnostic work with detailed data
that had been derived from institutional indicators concerning households with a view to investigating the attitudes mind-sets and behaviours of their members It is a diagnosis of Polish conditions and quality of life as they report it Although this research has been ongoing since the 1990s under the ESF programme it has developed and become the main basis for designing policies and providing a source of information for decision makers The scale and impact of the research carried out has been changed considerably thus providing an effective tool for designing policies and strategies7
Beneficiaries and geographical level
All actions address solely public authorities except for the Greek actions that also
target social partners and in one case NGOs Most actions target the national as well
as the regional or local level
Processes (general) 3142
Objectives and activities
7 EEN 2014 Final country report Poland
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
22
The Greek administrative reform OP provides a good example to demonstrate the type
of activities undertaken in the framework of structural reforms It captures a range of
activities and interventions which are all addressing the organisational and
operational re-engineering of public organisations A key aim is the rationalisation of
specific administrative functions such as budgeting and the reduction of
administrative burdens Concrete activities include the
introduction of performance and efficiency systems in the central and regional
public organisations
modernisation and rationalisation of the budgeting
simplification of administrative procedures to reduce the administrative
burdens
reduction of the time needed for the issuance of social and state pensions
enhancement of the E-health program (individual e-papers)
introduction of one stop shops for enterprise licences
The Hungarian actions specifically address the renewal of procedures and work
processes as well as organisational development In Malta renewed processes aim to
support the public sector reform whereas in the Czech Republic renewed processes
seek to increase institutional capacity and efficiency The Bulgarian action focuses on
the judicial sector aiming to make it more transparent and effective
The activities undertaken under this heading can be summarised as simplification and
streamlining They include lsquooptimisation of the workflow and better coordinationrsquo in
the judiciary system (BG) streamlining the activities of public administration
authorities (CZ) simplifying the procedures mostly used by the citizens (HU) and
streamlining management processes within the public sector with a view to facilitating
more rapid decision-making and implementation as well as greater accountability of
results (MT)
Beneficiaries and geographical level
The SIC interventions that aimed to change processes targeted public administration
itself rather than social partners or NGOs the interventions were a mixture of
national regional and local actions although the emphasis was focused at the national
level
Structures and processes with a regional or local dimension 3143
The overarching characteristic of this category of actions is their aim to strengthen
administrative capacity or good governance at the regional or local level These
actions aim to support regional or local authorities in the development and
implementation of policies An element of decentralisation is needed to be present for
actions to be categorised under this heading The classification was performed by
triangulating information from the objectives and description of the OPPA and actions
along with the assessment made by country experts considering the level at which
the actions were foreseen This was the case in regional OPs
Objectives and activities
Theoretically four elements were identified integrated development territorial
reform regional local and municipal governance and decentralisation In the PAs
dedicated to SIC however no regional planning and development activities were
found Neither were actions aimed at territorial reform Support for decentralisation is
provided as has been discussed above but the undertaking of decentralisation itself is
not encountered in the SIC PAs The only clear decentralisation objective is found in
the Romanian administrative capacity development OP The main objective of action
21 is to support structure and process changes resulting from initiatives of sectoral
decentralisation Studies consultancy training evaluation and mutual learning were
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
23
all delivered to structures and staff involved in the planning and coordination of the
decentralisation process The evaluation of pilot projects was supported along with
more general studies on the decentralisation process
The predominant types of action classified under this category are therefore those that
aim to strengthen regional local and municipal governance As the majority of
activities undertaken for these actions are already discussed in other categories no
further description is provided here
Some interesting examples of this type of intervention can be found in Italy Two of the most relevant projects implemented by the National OP Governance (that accounts for the majority of ESF SIC-related investment across all OPs) are lsquoCapacitagrave Sudrsquo aimed at reinforcing the
institutional and administrative capacity of Regions in the field of Structural Funds management and networking and lsquoPerformancersquo PA which aims to supporting the reform and modernisation of public administration mainly involving Municipalities At the level of the regional OPs the implementation of the Institution building programme aimed to strengthen the institutional
capacity of the regional public administrations (development of a favourable administrative environment and public policies) the regional OP of Campania in cooperation with the central government funded this programme The main interventions implemented under this
programme include the following organisational support development of a management control system support to administrative simplification and e-government development of an anti-corruption plan and strengthening local development systems
Beneficiaries and geographical level
Most of the actions solely target public authorities Actions are always carried out at
regional or local level besides the national level
Processes related to strategic planning and management 3144
Six countries have used strategic planning or management tools to enhance their
functioning and performance Estonia Greece Hungary Italy Lithuania and Romania
Objectives and activities
Most of the activities are part of more general SIC interventions However two
countries have established PAs that are dedicated to performance management
Estonia under its human resources OP has formulated a PA for the enhancement of
strategic management in the public sector and NGOs Hungary also under a human
resources OP formulated a PA dedicated to performance-based career pathways
Examples of such tools are management by objectivesresults policy cycle
management performance management and strategic planning lsquoEfficiency and
performancersquo systems were foreseen for Greece and Hungary which may imply a
somewhat heavy focus on staff performance Information on individual interventions
would be required to clarify this
Beneficiaries and geographical level
The beneficiaries are public institutions (all) and NGOs (Greece) The activities target
institutions at national regional and local level
Structures and processes aimed at creating of a business-friendly 3145
environment
Creating a more business-friendly environment is an important feature of the
European 2020 Strategy Actions that address this issue are found in several countries
(including CZ EE EL LT LV MT PL)
Objectives and activities
Improving the regulatory environment for businesses and reducing their
administrative burden is undertaken with a view to improving the performance of
these and the competitiveness of the MSs Many activities under this heading aim to
improve and simplify the regulatory environment thereby creating an attractive
environment for enterprises and for domestic and foreign investors (CZ EE EL LT
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
24
MT PL) They also include the development of ex-ante impact assessments or
evaluation systems for calculating the administrative burden for enterprises (EE LT
LV) as well as the introduction of one-stop-shop systems (EL LT PL) Other
activities such as quality assurance and management (discussed below) will also help
to improve the environment in which businesses operate
Beneficiaries and geographical level
The end recipients of these actions are businesses but the final beneficiaries are
public authorities at all geographical levels though somewhat more often at national
level
Processes related to quality assurance and quality management 3146
systems
Seven countries focused on quality assurance or quality management as a tool
Bulgaria Hungary Lithuania Latvia Malta Slovenia and Slovakia However the
Slovak action did not end up being implemented
Objectives and activities
Quality Assurance (QA) and Quality Management (QM) systems can and do support
virtually all objectives foreseen for SIC interventions Slovenia for example used the
European common assessment framework (CAF) and the European Foundation for
Quality Management (EFQM) framework Bulgaria Lithuania and Latvia introduced QM
systems with the aim of enhancing the quality of administrative service delivery
These systems are also introduced as part of an overall administrative reform (HU
MT) The introduction of minimum quality standards is part of quality management
although this is not considered to belong in this category if occurring in isolation As
the introduction of quality management systems was usually one of many activities
undertaken in the framework of an individual action more detailed information is not
available on the activities carried out to introduce these systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector on the national level
315 Human resources
In this section we provide an overview of the actions related to human resources
development as they have been programmed and implemented across the 14 MSs
These actions can be divided into two broad categories Human Resources
Management and Capacity building of staff Capacity building of staff usually takes the
form of training activities and programmes although it should be mentioned that
training takes place also outside of HR focused actions In this case training is not a
capacity building objective in itself but aims to improve the strategic management of
an organisation or the implementation an e-government programme
Human resource management 3151
Objectives and activities
Developing human resource management (HRM) under SIC ESF investment covers
various human resource management areas such as recruitment staff motivation
internships systems of accrediting public servants internal mobility gender
mainstreaming and mutual learning While most activities seem to target the public
sector at large some focus on a specific policy sector such as the judicial system
The Bulgarian Administrative capacity OP has one PA targeting human resource
management in public administration This is further articulated into five actions
Action 21 Modern human resources management in the state (improving recruitment
and human resources management systems including motivation internship
opportunities certification of public servantsrsquo skills and mechanisms for mobility)
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Thematic EU synthesis report Strengthening Institutional Capacity
25
Action 22 Competent and effective state administration (training programmes and
training for public servants of the central district and municipal administration)
Action 23 Strengthening the capacity of civil society organisations in policymaking
(training for organisational development strategic planning etc)
Action 24 Competent judicial system and effective human resource management
(introducing new human resources management systems and the provision of training
to magistrates and administrative staff)
Action 25 Transnational and interregional cooperation (projects for exchange of good
practices in the field of human resources management)
In Greece the OP for Administrative Reform seeks to improve modernise and reform
the operational capacity of Human Resources Departments in central administrative
units The objective is to improve the quality design and implementation of vocational
education programmes in public administration thereby upgrading the skills
qualifications and knowledge of the personnel in the public administration Concrete
activities include the development of tools for the improvement of the Human
Resources departments and the development of strategic and operational plans for
vocational education institutions Other Greek PAs under the HRD OP focus on gender
mainstreaming in the public sector This is to be attained by a variety of activities
which include improving the legislative framework for gender mainstreaming
increasing the participation of women in decision making evaluating the impact of
public policies in gender mainstreaming enhancing the integration of gender
mainstreaming in public policy enhancing actions targeting the prevention and
combating of violence against women and supporting NGOs that help further female
participation
The Hungarian OP State Reform addressed the need to increase the participation of
women through Human resources improvement strategies through PA 2 (Increasing
the quality of Human Resources) Action 22 which focuses on performance-based
career pathways This PA aims to modernise the instruments for human resources
management focusing in particular on the elaboration and scheduled introduction of
the life path-career management system Aside from the activities such as the
establishment of a government human resource centre which is responsible for the
application of the new HR policy other actions include the elaboration of an
international government officersrsquo and civil servantsrsquo exchange programme along with
the introduction of individual performance assessments that link outcomes to the
remuneration system The PA supports activities that help staff to reconcile obligations
from family and work life
In Lithuania one of the actions under the OP for the development of human resources
targets HRM It aims to improve the management of human resources and strengthen
the administrative capabilities in the public sector Modernising the management of
human resources is undertaken in order to further a more productive use of
knowledge capabilities and skills in the public administration It includes activities
that promote the own initiative of public employees and improving the system of
encouragement
The human resources development OP in Slovenia has an action dedicated to efficient
and effective public administration which includes activities for developing public
management This is done through enforcing the use of modern management
techniques and developing active management of human resources and knowledge
The action also included a system for strategic planning as well as for monitoring the
status of results related to objectives of the priority
In Estonia the OP for human resource development has an action aiming to train and
develop State employees as well as those of local authorities and NGOs It covers
various areas including human resources management Interventions are mostly
implemented in the form of different training studies analyses and development
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
26
activities Interventions are also to a certain extent enacted through the
development of methodological materials practicing and information activities
Beneficiaries and geographical level
All PAs target public authorities The Greek and Estonian PAs also target social
partners NGOs are potential beneficiaries in some Bulgarian Greek and the Estonian
PAs
Staff capacity building 3152
Objectives and activities
Sometimes activities under HRM and staff capacity building are strongly intertwined
such as in Poland and the United Kingdom The PA dealing with staff capacity building
under the human capital OP in Poland includes an action advancing the modernisation
of management in public administration and justice administration It used a variety of
activities to achieve this aim revision of all legal acts related to public finance
management improvement of budgetary and strategic planning developing the
system of public tasks evaluation based on indicators strengthening the divisions of
self-government units responsible for monitoring and evaluation improvement of
cooperation mechanisms between public administration units new methods of
management increasing the quality of services implementation of the altered
remuneration system in the public administration development of competence
standards for self-government administration employees and ethical standards
development
Similarly in the United Kingdom the action to build the capacity of public service
sectors includes a more strategic approach to the management of human resources
The aim of staff capacity building in the UK PA is to deliver higher quality services
This entails developing the skills and capacity of the public sector workforce and of the
organisations they are engaged in deliver and sustain the reform agenda It also
included helping leaders and managers build their capacity to lead the workforce
through change securing a more strategic approach to the management of human
resources and addressing specific skills gaps
Specific staff capacity building is undertaken through different types of activities The
main activity is training A variety of possible training subjects are covered by the
Bulgarian example organisational development strategic planning policy making
monitoring of policies business planning and financial management and effective
negotiation and partnership Additional types of training actions are covered by other
MSs such as raising managerial capacity (HU) strategic planning (LV) implementation
of policies and programmes (IT) and negotiation capacities for public private
partnerships (IT)
Other types of activities are found in Malta for example Under the OP that aims to
empower people to seek out new jobs and a better quality of life one of the actions
establishes and elaborates the principle of lifelong learning for the public sector
Activities identified under this intervention area in the OP include training in areas
such as financial regulation and basic skills related to financial management public
procurement project management national environmental and planning legislation
and Community policies which include competition policy Other associated activities
include analyses of training needs scholarships and internships accreditation of
trainers and academic development of the trainers and the introduction of stronger
linkages between training and career development particularly at the boundary
between middle and senior management levels
Greece introduced systems for job profiles and job descriptions programmes for
enhancing the mobility of staff a training needs analysis and a standardisation of
Educational Plans in public administration and certification systems
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
27
The Estonian OP for human resource development has one action supporting country-
level support structures Interventions include different training counselling
practicing (study tours) and mentoring activities
Beneficiaries and geographical level
Most actions aimed at beneficiaries in the public sector Some of the PAs in Greece
Lithuania and Malta also target social partners NGOs are amongst the potential
beneficiaries in Bulgaria Estonia Latvia Malta and Slovakia
Capacity building usually targets the public sector as a whole A clear exception is
found in the Bulgarian lsquoHuman resources developmentrsquo OP The PA dealing with SIC
has two actions with each action concentrating on specific policy sectors
development and modernisation of the labour market system and strengthening the
capacity of institutions for social inclusion and the provision of health services
The target groups do not always remain the same over time however
In Slovakia most of the calls focused on public bodies There was only one call (in two
rounds) designed for NGOs After the experience with the implementation and
administration of projects at NGO level the managing authority took the decision to
focus on the public sector Most of the actions focused on training the employees in
the sector or in some of its institutions (eg building analytical capacities in the
Ministry of Finance capacity building of the Constitutional Court of the Slovak
Republic preparation for EU Presidency and human resource capacity building of
some institutions)
In Latvia the objective was the administrative capacity building of all parties involved
in the design and implementation of action policies This was undertaken in order to
ensure the active participation and representation of all interest groups in
policymaking processes and to improve the quality of decisions made At first the
activities were targeted at the administrative capacity building of social partners
(Latvian Employersrsquo Confederation and Free Trade Union Confederation of Latvia) and
to strengthen social dialogue at the regional level This activity resulted in the
establishment of regional structures of the Latvian Employersrsquo Confederation and Free
Trade Union Confederation of Latvia which contributed to the formation of non-
governmental organisations and a significant increase in their activities Another
branch of capacity building activities was targeted at non-governmental organisations
and local governments mainly to promote their participation in decision-making and
the efficient planning and management of EU projects
316 Tools
E-governance 3161
The introduction of some type of e-governance is a horizontal element to many SIC
investments under the ESF In at least six countries support of e-governance was a
key component of capacity building efforts under SIC dedicated OPsPAs (this does not
mean that e-governance support did not also take place in other MSs as part of their
overall SIC strategy) These countries are Bulgaria Greece Italy Lithuania Malta and
Slovenia Some of the actions in this field take place in specific policy sectors justice
(eg BG IT) health (eg EL) and employment (eg IT SI) In some instances such
as in Italy e-governance support was used to implement and improve ESF monitoring
systems Other countries support e-governance across policy sectors (eg BG SI)
The Bulgarian administrative reform OP also supports the introduction of an integrated
information system of the state administration
Objectives and activities
The support for e-governance was provided with a view to making public
administrations more effective (BG IT) modernise them (EL) and improve the
service delivery to citizens and businesses (BG)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
28
In the case of policy sector initiatives some examples of the objectives included the
creation of a transparent and effective judicial system (BG) and the improvement of
the service delivery provided by the bodies of the judiciary The information available
typically mentions the introduction of e-government e-health etc In Slovenia some
more detailed information is available on the type of activities carried out in this
framework Slovenia supported e-government as part of its efforts to achieve an
efficient and effective public administration The support for e-government consisted
of two parts an e-portal and e-administration Within the framework of the e-portal
development further progress of e-government was achieved The objectives were to
secure permanent availability support e-democracy in cooperation with the
interested public in making decisions on the abolition of obstacles in the
administration and further develop e-services E-administration was designed for
legal persons and based on a single access point The activities focused on providing a
permanent single access point for legal personnel and businesses This online
resource harnesses the interaction between the state and businesses Examples of
possible services include the registration of employees data transfer and requesting
confirmation
Beneficiaries and geographical level
The beneficiaries always include public sector institutions The actions also target
social partners and NGOs but it is unclear as to whether these concern the e-
governance related or other activities carried out in the framework of these actions
Similarly actions target all geographical levels but it is entirely possible that this is
due to the governance structure in the country or the presence of non e-government
activities within the actions identified here
Monitoring and evaluation systems 3162
Monitoring and evaluation (MampE) systems are an important tool for measuring
progress towards the objectives that governments set themselves in capacity building
interventions They are also important in measuring performance as a supplier of
services to citizens and businesses and in achieving objectives related to these such
as the reduction of the administrative burden The seven countries that included
monitoring and evaluation in their actions are Bulgaria Estonia Italy Malta Poland
Romania and Slovenia
Objectives and activities
Monitoring and evaluation was used to measure internal and external performance as
well as for capacity building good governance policies and policy sector policies
Consequently MampE systems were developed to measure the needs of target groups
such as marginalised groups labour markets or working conditions (BG IT)
progress in achieving good governance (BG PL) or cooperation (PL) better
application of specific capacity building policies including better regulation or reducing
the administrative burden (BG EE) and sector policies like employment policies (IT
MT RO)
No further information is available on the concrete activities undertaken to introduce
or improve MampE systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector They often address
the national level but also the local or regional level if these levels were targeted by
the actions under which MampE is promoted
32 The overall strategy for ESF SIC investment
As has already been stated during the 2007-2013 programming period 14 out of the
EU-27 MSs included specific SIC interventions in their programming and 21 OPs were
dedicated to SIC or had one or more Priority Axes dedicated to this theme Seven of
these OPs were Italian In total 34 PAs and 78 actions have been identified as
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
29
dedicated to SIC Four out of the 14 MSs that have integrated SIC into their planning
have explicitly dedicated one Operational Programme to institutional capacity building
These countries are Bulgaria Greece Hungary and Romania The remaining ten
countries have OPs with one or more PAs dedicated to SIC
Figure 1 SIC in OPs and PAs
OPs with SIC dedicated PAs typically aim to develop human resources In Italy (five
out of seven) and in the United Kingdom there are regional programmes In Slovakia
it is the OP Employment and Social Inclusion that has a SIC related PA
The PAs typically apply a horizontal approach Only Bulgaria has focused one of its SIC
PAs on labour market institutions and on social and healthcare services corresponding
with the two sectors to which the OP was dedicated Slovakia originally foresaw both a
horizontal and a vertical PA (Establishing quality management systems in public
administration and NGOs in the field of employment and social policy) but the latter
was never implemented It should be noted though that below the level of PAs
individual actions sometimes do focus again at specific sectors This is further
discussed in the following section
Other MSs have developed interventions that aim to reinforce institutional capacity
under PAs that are dealing with other themes such as access to employment or
reform of the educational system which are covered by the other thematic
evaluations This becomes apparent when looking at Categories of Expenditure (CoE)
where expenditure category 81 Mechanisms for improving good policy and
programme design monitoring and evaluation at national regional and local level
capacity building in the delivery of policies and programmes shows the planned or
actual Union contribution to SIC interventions independent of PAs Furthermore it
should be noted that some capacity building interventions take place under other CoE
Important examples are the modernisation and strengthening of labour market
institutions (or expenditure category 65) the design introduction and implementation
of reforms in education and training systems (or category 72) as well as promoting
partnerships (category 80) SIC is sometimes supported as a crosscutting theme
across all Priority Axes without specific references in programming or reporting
Table 8 below shows that 14 MSs programmed SIC in OPs or PAs Two more countries
(Cyprus and Spain) did not programme SIC but did foresee expenditure on this theme
under category 81
Dedicated OP(s)
Dedicated PA(s)AT
BG
HU
IT
NL
FR
EL
ROLT
UK
CZ EE
SI
SK
LV
MT PL
BE CY
DEDK
ES
FI
IRLUPT
SE
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
30
Table 8 Countries covered in programming and expenditure based analyses
Country SIC in
programming (OPPA)
With an OP dedicated to
SIC
With expenditure in Cat 81
Yes No
Austria X
Belgium X
Bulgaria X X X
Cyprus X
Czech R X X
Germany X
Denmark X
Estonia X X
Spain X
Finland X
France X
Greece X X X
Hungary X X X
Ireland X
Italy X X
Lithuania X X
Luxembourg X
Latvia X X
Malta X X
Netherlands X
Poland X X
Portugal X
Romania X X X
Sweden X
Slovenia X X
Slovakia X X
UK X X
TOTAL 14 4 16 11
Source Own elaborations on the basis of SFC data and information from Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
31
Table 9 Overview of SIC dedicated OPs and PAs by MS
MS OP TITLE SIC PA DESCRIPTION
BG OP Human Resources Development PA 6 Improving the effectiveness of labour market institutions and of social and healthcare services
BG OP Administrative Capacity PA 12
and 3
Good governance Human resources management Quality administrative service delivery and e-
Governance development
CZ OP Human Resources Development PA 4 Public administration and public services
EE OP for Human Resource Development PA 5 Enhancing administrative capacity
EL OP Administrative Reform PA1 - 9
Improving national public policies modernisation of the public administration Development of
the human capital in the public administration strengthening policies aiming at ensuring equal
opportunities for all in the whole range of the public administration
HU State Reform OP PA 1 2
and 3
Renewal of processes and organisation development Improving the quality of human resources
Developments to be attained in the Central Hungarian Region
IT Regional OP Campania PA 7 Institutional capacity
IT Regional OP Calabria PA 7 Institutional capacity
IT Regional OP Sicily PA 7 Institutional capacity
IT Regional OP Basilicata PA 7 Institutional capacity
IT Regional OP Apulia PA 7 Institutional capacity
IT OP Governance and System Actions (Ministry of
Labour) PA E5 Institutional capacity
IT OP Competences for Development (Ministry of
Education) PA 2 Institutional capacity
LT OP for the Development of Human Resources PA 4 Fostering Administrative Competences and Increasing Efficiency of Public Administrationrdquo
LV OP Human Resources and Employment PA 5 Administrative Capacity Building
MT OP II - Empowering people for more jobs and a
better quality of life PA 4 Strengthening of institutional and administrative capacity
PL OP Human Capital PA 5 Good governance
RO OP Administrative Capacity Development PA 1 2 Improving structure and processes of public policies cycle management Improving quality and
efficiency of public services with a focus on decentralisation
SI OP Development of human resources for the
period 2007-2013 PA 5 Institutional and administrative capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
32
MS OP TITLE SIC PA DESCRIPTION
SK OP Employment and Social Inclusion PA 4 Capacity building and enhancement of the quality of public administration
UK OP West Wales and the Valleys PA 4 Modernising and improving the quality of public services
Annex I contains a complete overview of OPs PAs and actions dedicated to SIC
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
33
33 The impact of the economic crisis on ESF SIC priorities actions and funding (EU-27)
There is a number of reasons why the economic crisis can be expected to have an
impact on the allocation of ESF funds to SIC interventions The main reason is that
high unemployment rates will exert high pressure on political decision makers to
provide measures that directly address the problems resulting from this and can be
expected to yield results in the short term Capacity building interventions can be
expected to contribute to better functioning social protection and labour market
reintegration systems thereby improving social inclusion and employment rates
However they do so indirectly and effects take time to materialise With this in mind
it could be expected that MSs would redirect resources from SIC to other objectives in
response to the crisis
This was not the case for Bulgaria where reallocations were limited and unrelated to
the crisis They were caused by delays in numerous tender procedures resulting from
the insufficient capacity of beneficiaries As such implementation delays may signal
the emergence of the so-called ldquocapacity traprdquo effect where beneficiaries are unable
to use funds for improvement of administrative capacity due to the low initial capacity
Similarly in the United Kingdom funds were switched to other priorities because of
insufficient take-up The transfer of funds was unrelated to the crisis This has also
been the case in several other countries
In other countries some of the resources were reallocated Greece diverted SIC
resources towards employment (OP Human Resources Development) Two Italian
regions reduced their SIC budgets This was the case for the OPs for Sicily and
Campania No reductions were found for the other regions or the two OPs at the
national level The most likely destinations of these funds are the Access to
Employment and Human Capital themes Furthermore in response to the crisis Latvia
diverted resources from SIC to other objectives mainly to promote employability In
Slovakia in 2012 substantial reallocations took place taking away resources from SIC
to spend on other priorities It is not clear if this diversion was caused by the crisis
but according to the reallocation to PA 1 focused on employment it can be assumed
that the crisis was at least one of the reasons
Planned allocations for SIC were not implemented at all in Spain In the Autonomous
Community Castilla-La Mancha there were no certified expenditures on SIC due to a
restructuring of funds to face the economic and financial crisis in order to alleviate
problems related to unemployment reinforcing active employment policies and
supporting the most disadvantaged groups or territories This was a rsquoremedialrsquo action
carried out by several Spanish Autonomous Communities in order to finally dedicate
1687 of the ESF expenditure planned for the 2007-2013 financing period in order to
reduce the national unemployment rate (262 in 2013 compared to 83 in 2007)
which was one of the highest unemployment rates in the European Union
A reallocation of resources was not the only impact that the crisis had on SIC
interventions It also made the implementation of SIC interventions more difficult As
a result of the economic crisis and the Memorandum of Understanding Greece had to
implement downsizing and cuts in the wages and social security benefits of civil
servants Amidst this climate civil servants were bound to become demoralised and
the introduction of reforms was bound to face additional difficulties Italy saw a
general slowdown of its physical and financial implementation especially in ROPs
(other priorities emerged) It increased the role of the national OP from the Ministry of
Labour as it supported cross-territorial interventions The crisis also induced a growing
emphasis on the importance of having effective and efficient Public Administrations
that are more able to cope with crisis effects This applied especially to policy fields
like employment social inclusion education and local development The
aforementioned effect also occurred in Latvia the additional pressure was felt
especially by those implementing activities on the ground who had to use the
available resources as efficiently as possible This side effect of economic crisis
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
34
manifested itself in a positive way by encouraging political activities and decision
making capacity
Finally the crisis had a negative impact on the results of SIC interventions According
to the evaluation of the effectiveness and the impact of PA 5 lsquoRaising Estonian
administrative capacityrsquo the financial crisis was one of the main external factors that
had a negative impact on the achievement of the results of the PA 5 The
consequences of the crisis were not anticipated during the planning of the objectives
and activities of the programming period One outcome was that the budget cuts
diminished the share of top managers that were participating in the development
activities In addition the reduction of staff levels as a result of the economic
recession increased their workload and thereby reduced their possibilities to engage
in development activities However various activities might not have been carried out
at all if it had not been for the PA mainly due to the severe effects of the financial
crisis on public sector expenditure in general
In Lithuania the number of civil servants and public institutions were reduced in
response to the economic crisis As a consequence the effectiveness of investments in
the quality of public services and improvement of organisational capacities suffered a
number civil servants of beneficiaries lost their jobs and a number of beneficiary
organisations were simply abolished On the other hand the economic crisis also
increased the relevance of ESF support in the area of SIC to some extent The
evidence shows that as a result of the economic crisis the national funds focused on
training civil servants were replaced by ESF funds Thus because of the cuts in
national funds in the area of ISC ESF funds became more important in Lithuania
According to the capacity building OP evaluation in Romania the economic and
financial crisis influenced the public administration sector which also affected the
implementation of this OP The reduction of tax revenues resulting from the
decreased income from private businesses and taxpayers along with the reduction of
state budget allocations towards public administrations units (main OP beneficiaries)
lead to the impossibility of insuring appropriate co-financing for running projects and
consequently affected the achievement of projectsrsquo programme indicators At the
same time the restructuring measures taken to counter the economic crisis effects
implied reduction of PA unitsrsquo personnel which affected the target groups involved in
the projects and the underachievement of programme indicators
34 The ESF expenditure in the area of SIC
341 Overall funding levels
In total EU-28 MSs allocated euro2418710066 to OPs or PAs that were dedicated to
SIC objectives equating to 21 of total ESF funding (see Table 10 below) This
includes funding from national (public and private) sources as well as the amount of
co-funding foreseen from the EU Most funding is allocated to national Operational
Programmes with only IT and UK having regional OPs In Italy however the majority
of the SIC funding goes to the National OP Governance (20 of total ESF SIC
investment) This sum includes Croatia whose interventions do not fall under the
scope of the present study due to the late start of ESF activities upon accession to EU
The highest absolute amounts allocated to SIC are found in Greece and Poland
followed by Italy and Romania Expenditure on SIC does not always correlate with
overall ESF expenditure In other words MSs consciously choose to prioritise SIC or
not In fact percentages of SIC allocation to overall ESF investment vary considerably
across countries with BG and LT allocating 15 of their ESF budget to SIC followed
by Malta and Slovenia (131 and 128 respectively) Greece invests 81 while
the other countries with high absolute amounts of SIC investments such as PL and IT
allocate a relatively small percentage of their ESF resources to SIC (39 and 18
respectively)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
35
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of
funds allocated to SIC-related Priority Axes over total ESF budget)
Source SFC2007 latest version OPs
Table 10 ESF SIC investment and over total ESF (total funding)
allocation to SIC-dedicated PAs (euro)
over total ESF
BG 209654707 151
CZ 186595775 43
EE 24465675 53
EL 418273566 81
HU 166276830 39
IT 252539187 18
LT 181629418 150
LV 24271094 35
MT 17199118 131
PL 455967699 39
RO 234920609 54
SI 114178243 128
SK 67615059 39
UK 55726379 06
Total SIC EU27 2409313359
HR 9396707 50
Total SIC EU28 2418710066
TOTAL ESF 115596750390 21
Source SFC2007 Operational Programmes as of 31-12-2014
HR interventions are excluded from this evaluation due to the late start of ESF activities upon accession to EU
0
2
4
6
8
10
12
14
16
BG LT MT SI EL RO EE CZ HU PL SK LV EU27 IT UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
36
The total amount of certified eligible expenditure paid by beneficiaries by the end 2014
(or actual expenditure) was euro1669 million The difference between planned and actual
expenditure is discussed in section 411
342 Programmed expenditure on Category of Expenditure 81
In this section we provide an overview of the allocation of Category of Expenditure
81 relating to Mechanisms for improving good policy and programme design
monitoring and evaluation at national regional and local level capacity building in the
delivery of policies and programmes and it involves comparing it with the funding on
SIC-dedicated PAs
The budget foreseen by the EU for Category of Expenditure 81 relating to
Mechanisms for improving good policy and programme design monitoring and
evaluation at national regional and local level capacity building in the delivery of
policies and programmes amounted to euro14 billion ie 19 of the total budget
provided by community funding was allocated to SIC
With regard to the spending foreseen on SIC according to CoE 81 three distinct
groups of countries emerge
Countries with relatively high or fairly high programmed expenditure on SIC
are Bulgaria Estonia Hungary Lithuania Latvia Malta and Romania with
12 5 4 7 4 8 and 5 of their co-funding respectively
Countries with medium scores on SIC Cyprus Czech Republic Poland (3-
4) Italy and Slovenia (2-25) Greece and Slovakia (1-15)
The third group of countries has allocated very small parts of their budget
typically zero or at least less than 1 for SIC Austria Belgium Germany
Denmark Spain Finland France Ireland Luxembourg The Netherlands
Portugal Sweden and the United Kingdom
Figure 3 Budget allocated to expenditure category 81 per MS
Source SFC 2007-2013 latest version OPs community amounts
It is worth noting that capacity building under the ESF is not limited to expenditures
under category 81 only presented above Nor is it limited to SIC-dedicated OPsPAs
-
50 000 000
100 000 000
150 000 000
200 000 000
250 000 000
300 000 000
350 000 000
400 000 000
450 000 000
AT BE BG CY CZ DE DK EE ES FI FR GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
37
In total some euro12 billion out of the euro77 billion8 budgeted for co-funding from ESF
were reserved for the three main other expenditure categories that are likely to
include capacity building actions or activities Modernisation of labour market
institutions (CoE 65) Reforming education and training systems (CoE 72) and
Partnerships Networks and initiatives (CoE 80) Altogether these four categories
constitute 157 of the total community funding budgeted for the 2007-2013
programming period These figures are provided just for completeness of information
as SIC spending (and investment) for the purposes of this report only relates to SIC-
dedicated PAs (ie those PAs which focused exclusively or for a large part on SIC as
per Article 32b of the ESF Regulation
The first group that was identified in the previous section which is comprised of
countries that earmark high shares of their ESF budget to SIC can be expected to
dedicate one or more OPsPAs or actions to SIC This is indeed the case as can be
seen from the table below
Nonetheless one third of the countries that place a medium emphasis on SIC -three
out of nine ndash also included SIC in their programming Czech Republic Italy and
Poland
Even amongst the group with relatively small budgets for SIC one country is found
with dedicated OPs or PAs to SIC the United Kingdom Of course a small share may
still total several millions of euros The United Kingdom earmarked only 1 of its
budget for SIC but this still amounts to euro25 million
Countries devoting neither financial nor material attention to SIC are Austria Belgium
Germany Denmark Finland Ireland Luxembourg the Netherlands and Sweden
The programming of SIC in ESF is discussed in more detail in the following section
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
AT 00 -
BE 00 -
BG 122 143988501 2 4 17
CY 39 4615273
CZ 35 127571573 1 1 1
DE 00 -
DK 00 -
EE 51 20126546 1 1 4
ES 01 6564559
FI 00 -
FR 00 2599325
EL 11 47010448 1 9 9
HU 41 147490451 1 3 6
IR 00 -
8 Source SFC 2007-2013 section on programming ndash operational programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
38
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
IT 25 171426165 7 7 16
LT 68 69552049 1 1 3
LU 00 -
LV 42 24275976 1 1 3
MT 78 8752517 1 1 4
NL 00 -
PL 38 381835672 1 1 5
PT 01 9888970
RO 54 199682518 1 2 5
SE 00 -
SI 21 15861756 1 1 2
SK 13 19308570 1 1 2
UK 05 24585962 1 1 1
EU27 19 1425136831 21 34 78
Envisaged community funding programmed for category 81 SFC 2007-2013 latest version OPs
Dedicated OPs in this table also includes OPs with one or more SIC dedicated PAs
PA 4 of the OP for Guiana covered both Promoting partnerships and SIC and is discussed
under the thematic review of the former
As explained in section 341 the money allocated for OPs and PAs which has been
specifically dedicated to SIC amounts to euro2409 million However this amount
includes national funding which therefore cannot be compared to the allocated
community funding for category 81 expenditure
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
39
4 The effectiveness efficiency sustainability gender sensitivity community added value and the socio-economic
impact of ESF SIC investment in the 27 member States
Key findings
The total amount of certified eligible expenditure by the end 2014 was euro167
million This constitutes 69 of SIC allocated funding at EU level versus 793
for total ESF Implementation rates differ considerably among countries and PAs
In total almost 14 million participations were registered in SIC-related
interventions covering mostly staff from public institutions social partners and
NGOs receiving training This results in a set of characteristics which is very
different from other ESF priorities
In terms of outputs during the 2007-2013 programming period 17000 training
programmes and 4000 studies were undertaken campaigns public consultations
reviews (laws procedures) reports etc were implemented Some 95000
organisationsinstitutions were involved in SIC-related interventions at least
1500 projects or activities launched some 250 guides and guidelines produced
and 150 new structures established
The results achieved through ESF SIC funding during the 2007-2013 period are
varied Approximately 512000 individuals gained a qualification 87000 reported
other positive results some 2000 entities or organisations were established and
more than 1700 productssystemstools were developed
Activities aimed at strengthening of the judiciary resulted in a reduction of the
duration of judicial procedures in a number of countries Strategic planning and
management was improved by increasing the number or the share of public
administration offices that implemented management systems and quality
assurance processes Increasing the number of services available to citizens
online businesses and training of public administration staff to use them correctly
were a means to achieve MS ambitions in the field of e-government Improving
the environment for businesses was achieved by shortening the time needed for
setting up or registering a business and decreasing administrative costs Other
achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by a number of MS
The sustainability of SIC interventions is particularly dependent on the context in
which they are implemented and which they aim to support
Gender equality is seldom targeted directly by SIC interventions through positive
actions However in some countries SIC interventions were designed in such a
way that in their implementation at least women and womenrsquos interests are
taken into account or possibly furthered SIC interventions typically have more
female than male participants
The main Community added value of ESF SIC investment is a volume effect
ESF has also added value by broadening the scope of the interventions
undertaken in MS or by putting administrative capacity on the agenda SIC
funding played a relevant role in supporting the introduction and testing of
innovative tools or systems such as the introduction of e-government
The data presented in this chapter were gathered from the EC Structural Funds
database (SFC) They reflect the situation as available in December 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
40
41 The effectiveness of ESF SIC interventions
The effectiveness of the selected interventions was assessed through
Analysis of financial implementation comparing the actual spending reported
with the allocated funds However as many projects in the interventions are
still ongoing the current analysis at the end of 2014 is only indicative of the
final financial implementation of the interventions
Analysis of the different participant groups addressed in the selected
interventions
Analysis of the intervention outputs and results comparing the targets for
outputs and results with those achieved However this analysis needs to be
treated with caution as it was not possible to systematically assess whether
the initial targets were set in a comparable and appropriate way across the OPs
(eg were the set targets challenging comfortable or realistic) In OPs the
targets have also been adjusted over time further complicating these like-for-
like comparisons
Additional evidence and information derived from national evaluations and
other relevant documents
It was not possible to conduct a systematic comparison with the results of similar non-
ESF sponsored interventions in the national regional contexts due to the lack of
sufficiently similar non-ESF sponsored interventions
411 Progress in the financial implementation of ESF SIC
At EU level euro1670 million or 693 of SIC allocated funding was spent as at
311220149 On average less SIC funds have been spent in relation to the overall ESF
funding with an implementation rate of 793 (See Table 12 below)
Table 12 SIC and overall ESF implementation rate () by MS (31 December
2014)
MS certified expenditure (euro) total allocation (euro)
SIC impl rate ()
total
ESF impl rate ()
BG 137491170 209654707 656 758
CZ 94381124 186595775 506 734
EE 21210585 24465675 867 835
EL 381930601 418273566 913 792
HU 122203794 166276830 735 703
IT 131069031 252539187 519 769
9 Figure does not include Croatia
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
41
MS certified expenditure (euro) total allocation (euro)
SIC impl
rate ()
total ESF impl rate ()
LT 143977869 181629418 793 827
LV 20683459 24271094 852 973
MT 7687444 17199118 447 674
PL 315293255 455967699 691 844
RO 159318804 234920609 678 441
SI 89112721 114178243 780 838
SK 31545122 67615059 467 649
UK 13331326 55726379 239 770
Total 1669537980 2409313359 693 793
Source SFC 2007 The implementation rate corresponds to the percentage of certified expenditure over the total funding of the PA
HR not included
Table 13 below shows considerable differences among PAs Extremely low rates can
be observed for most of the Italian and the UK OPs dedicated to SIC They all spent
less than one-third of their budget for the period by the end of 2014
For Italy low implementation rates were recorded in all (convergence) regional OPs
and in the National OP Competencies for Development which was due in the latter
case to the slow start of activities10 A number of explanations can be offered for the
low implementation rates of regional Italian OPs a) involving public administrations in
reform processes traditionally requires a large amount of time (in Italy) b)
implementation was slow for the regional OPs in general (not only for the SIC PAs) c)
other important public administration reform processes involved MAs and this shifted
its attention from SIC theme implementation d) the theme funding was generally not
so relevant (for regional OPs but also in the case of the Ministry of Education for
national OP for example) e) generally small sized interventions (also for
administrative reasons) have been implemented and the spending speed was
therefore slow f) (probably) an overestimation of funding needs occurred in OPs
Within that context overall allocation to SIC PAs in Italy (EU and national funding)
decreased significantly from the beginning of the programming period due to the
reallocation of resources
10 In fact implementation accelerated significantly in 2015 national data (29022016) account for a commitment rate above 100 and payments around 60
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
42
Most of the Greek PAs on the other hand had extremely high implementation rates
spending more than 90 of the money budgeted The extremely high implementation
rate of PA 3 in the Greek OP Administrative Reform is due to the fact that this PA
underwent several revisions and eventually financed a major intervention lsquoFemale
entrepreneurship 24-64rsquo (implemented by OAED-Ministry of Labour) Concurrently co-
financing rates were also revised
Other high implementation rates (over 80) can be noted for the Bulgarian
administrative reform OP as well as for the Estonian OP the Latvian OP the Italian
Basilicata region and the Italian national governance OP (the most relevant OP in
terms of SIC investment in Italy) the Lithuanian OP the Czech Republic OP the
Slovenian OP the Hungarian reform OP and one of Romanias PAs
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
43
Table 13 Share of the budget spent per SIC relevant PA
MS OP - PA
Total
funding
(euro)
Impl rate
()
IT OP Competencies for Development ndash PA2 29740000 1488
UK OP West Wales and the Valleys- A4 55726379 2392
IT OP ESF Calabria ndash PA7 23803512 3109
IT OP ESF Sicily ndash PA7 14350000 3135
IT OP ESF Campania ndash PA7 40000000 3374
IT OP Apulia ESF ndash PA7 31340400 3474
MT Empowering people for more jobs and better quality PA4 17199118 4470
BG OP Human Resources Development ndash PA6 42559453 4569
SK OP Employment and Social Inclusion ndash PA4 67615059 4670
CZ OP Human Resources Development ndash PA44a 178020742 4923
RO OP Administrative Capacity Development 97883587 6282
BG OP Administrative Capacity ndash PA2 62440507 6290
HU State Reform OP ndash PA1 84742365 6750
BG OP Administrative Capacity ndash PA3 65819495 6774
PL OP Human Capital ndash PA5 455967699 6915
EL Administrative Reform ndash PA4 40905059 7046
RO OP Administrative Capacity Development ndash PA1 137037022 7139
HU State Reform OP ndash PA2 33738453 7580
SI OP Development of human resources ndash PA5 114178243 7810
CZ OP Human Resources Development ndash PA44b 8575033 7862
LT OP for the Development of Human Resources - PA4 181629418 7930
IT Governance and System Actions ndash PA5 103634307 7935
HU State Reform OP ndash PA3 47796012 8260
IT ESF Basilicata ndash PA7 9670968 8407
EL Administrative Reform ndash PA6 4047043 8465
LV Human Resources and Employment 24271094 8520
EE OP Human Resource Development ndashPA5 24465675 8670
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
44
MS OP - PA
Total
funding
(euro)
Impl rate
()
EL Administrative Reform ndash PA1 132496530 8758
BG Administrative Capacity ndash PA1 38835252 8803
EL Administrative Reform ndash PA5 50938324 8815
EL Administrative Reform ndash PA7 48235348 9022
EL Administrative Reform ndash PA8 41147810 9262
EL Administrative Reform ndash PA9 11062398 9707
EL Administrative Reform ndash PA2 87045034 10203
EL Administrative Reform ndash PA3 2396020 31574
Source SFC 2007-2013 Country Synthesis Reports
412 Types of output and result indicators selected by the OPs
A variety of outputs have been generated by SIC interventions Countries have
developed several types of indicators to monitor them
Important outputs relate to the participation of individuals in ESF activities This
category is made up of the traditional indicators to monitor progress with regard to
participants in events which are usually training events Human resources however
also include interventions other than training for which indicators can also be found
Examples of these indicators refer to number of persons participating in training or
persons achieving a qualification at the end of the intervention
Other outputs relate to the institutions that benefitted or those that were the object of
certain activities As SIC events also address structures and processes a whole series
of indicators have been used that in essence measure the number of supported
organisations This includes the number of supported organisations (eg supported
NGOs) also more specific output indicators have often been formulated to take the
object or content of the intervention into account Example of these are as follows
number of judiciary that have introduced court case management systems
administrations that have introduced systems for in-house electronic exchange
of documents
number of local governments whose employees have completed training
civil society structures that have trained their staff
functional reviews carried out for improving organisation and HR management
A further series of indicators measure the production of tools andor deliverables such
as the number of guides and other methodological documents prepared information
campaigns carried out and e-government services developedintroduced
The results are less easy to cluster and the indicators used raise some questions A
discussion of these issues has been used as a framework to show the types of results
that MSs aim for and achieve with SIC interventions that have been co-financed by
ESF
The first thing that stands out when examining the results indicators used for SIC
interventions is that a number of them are quite similar to the output indicators
discussed above This does not necessarily mean that these are not the correct
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
45
indicators for the results of the intervention This entirely depends on the type of
intervention and the intervention logic behind it Results indicators build upon the
indicators defined for outputs If these are defined as lsquothe number of trainingsrsquo for
example the results can be measured as the lsquonumber of successfully trained staffrsquo
However if the outputs were measured by lsquothe number of trained staffrsquo the result
should assess the next step in the objectives tree (eg the number of trained staff
that have obtained a qualification or have mastered specific skills) If new
organisations have been set up and this was used as a measure of outputs this could
be accompanied by an indicator for results that measures the use of such a structure
for example the number of visitors or number of services provided Occasionally it can
also be a point of discussion on where to draw the line between output and result
level
Result indicators that could also be found as output indicators are listed below
number of participants gaining a qualificationcertification
share of persons successfully completing a training programme
number of successful course graduates
newly created structures
public administration units supported in improving management standards
number of NGOs per year who have received advice
proportion of civil servants with individualised performance ratings
A second observation concerns the quality of the indicators The results indicators in
some cases appear to be less specific than the output indicators It may be the case
though that the SFC database only mentions the measure used (eg lsquopersonnel
turnoverrsquo or lsquothe average administrative costs associated with starting a business
activityrsquo) while the details (decrease how much by when) are specified elsewhere
The number of countries not specifying targets for results is also somewhat higher
than for outputs Six MSs did not set targets for part of the results of SIC
interventions whereas this only occurs in four countries for outputs
Indicators that are good examples of being specific measurable and relevant are
Administrations that have undertaken the optimisation of procedures as a
result of a functional review
Ratio of persons becoming civil servants within the central administration
system in the current year in relation to those previously employed The hiring
of these new staff members must be the result of an open call for applications
The second example also includes the time element required for SMART indicators
Several indicators refer to the introduction of systems or tools resulting from the
intervention It is clear that certain activities and outputs are required for these results
to be achieved such as training awareness raising promotion or even new legislative
requirements These are examples of indicators that clearly measure results rather
than outputs
legislative drafts accompanied by an impact assessment
administrations using the Single HRM Information System
bodies of the judiciary that have introduced a HRM system
normative acts adopted after consultation with stakeholders
the percentage of local governments that have implemented management
systems involving customer satisfaction measurement
administrations that observe the time standard for service provision
public sectors that have elaborated specific public private partnership rules
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
46
administrations that have introduced rules of procedure for the monitoring of
policy implementation
number of laws amended as a result of the programme
The more lsquostrategic naturersquo called for in the ESF Regulation is visible in a limited
number of results indicators Examples include
shortening the length of judicial proceedings
reducing the time for servicing clients
increasing the share of persons from target groups receiving services
providing compliance with the Maastricht criteria
Requirements for indicators and targets in the framework of ESF assistance
In its preamble (26) to the General Regulation ((EC) No 10832006) the Council states that ldquoit
is appropriate to set measurable targetsrdquo and that it is necessary to identify appropriate ways to measure and report the attainment of those targets Article 93 specifies the share of the budget to be devoted to activities that further the Unionrsquos objectives regarding competitiveness and job creation including the objectives of the Integrated Guidelines for Growth and Jobs (2005 to 2008) The targets set by MSs should reflect this Article 36c stipulates that targets
shall be quantified ldquousing a limited number of indicators for output and results taking into account the proportionality principlerdquo The ESF Regulation ((EC) No 10812006) specifies for programmes co-financed by ESF that the indicators shall be rdquostrategic in nature and limited in numberrdquo They must also rdquoreflect those used in the implementation of the European Employment Strategy and in the context of the relevant Community objectives in the fields of social inclusion and education and trainingrdquo
413 Overall achievements
In this section we provide an overview of the main achievements in terms of the
values of output and results indicators
In terms of outputs recorded during the 2007-2013 programming period 17000
training programmes were developed and 4000 studies undertaken campaigns
public consultations reviews (laws procedures) and reports have been implemented
Some 95000 organisationsinstitutions were involved under SIC-related interventions
The organisations that the ESF supported besides the obvious beneficiaries include
bodies of the judiciary government offices at county level boards of public benefit
activities at regional level and municipalities At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures including client
centres or regional offices
Most of the individuals that participated in a SIC-funded projectinitiative received
support in the form of training Examples of other achievements for individual persons
include lsquoattracting new specialistsrsquo and lsquoemployers assisting or financially supporting
These achievements were monitored through output indicators These figures probably
underestimate the number of outputs as countries have not necessarily included both
the number of organisations involved in training and the number of staff trained as
output indicators Sometimes the development of training plans was a distinct activity
however for many training programmes plans may exist without being monitored
through output indicators
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
47
The results achieved through ESF during the 2007-2013 programming period are
varied too
In order to illustrate them we first present the aggregate of realised values of result
indicators for SIC based on a limited set of key ESF results common to all ESF
priorities as reported in the EU Synthesis Report of the present service 11
as such
these values can be aggregated and compared with those of other ESF priorities
During the 2007-2013 programming period under the SIC priority approximately
512000 individuals gained a qualification and 87100 reported other positive results
Some 2000 entities or organisations were established or they recorded other positive
results and more than 1700 productssystemstools were developed It should be
mentioned however that due to data limitations it was not possible to aggregate all
results as reported in the AIR of ESF programmes and as a consequence this leads to
systematic under-reporting of the results of ESF12
In addition we provide a more detailed overview of the main types of results
customised to SIC interventions while section 414 provides a more in-depth analysis
of some of these indicators per typology of intervention
However it should be highlighted that several limitations mainly in the quality and
availability of monitoring data and heterogeneity of national evaluations coupled with
a broad range of intervention logics hamper the formulation of a concise and clear cut
assessment of achievements causality and extent to which results have been
achieved at EU level Furthermore as it will be mentioned below in more detail
typically information from national evaluations is of a more qualitative nature with
fewer evidence-based findings and is thus not conducive to drawing hard conclusions
ESF-supported interventions helped in reducing the administrative burden for citizens
and businesses The processing time was shortened for documents servicing clients
obtaining the necessary paperwork for starting a business and judicial procedures
(BG CZ PL) administrative costs were also reduced (EL RO PL)
Services were made more accessible through the introduction of on-line service
delivery at various administrative levels (BG CZ PL)
SIC interventions also contributed to the production of better quality policies and
legislation through the introduction of monitoring and evaluation procedures in
administrative bodies (BG RO) the increase in impact studies conducted before
introducing new legislation (BG CZ) the development of quality management in
public institutions (LV) and laws that were amended to better serve the community
(HU)
Management systems and practices were changed to incorporate modern human
resource management and planning techniques (EE PL LV) performance ratings used
for staff assessment (HU) and new staff that were attracted to join government
11 these are People in employment directly or sometime after the intervention People receiving a qualificationcertificate People reporting positive results other than employment or qualification such as for example improving skills competences or successfully completing the
ESF supported intervention (or reporting a combination of employment qualification and other positive result aggregating combined indicators) People in self-employment Entities being established or obtaining other positive results and Productssystemstools developed
12 For a more detailed analysis of data limitations in calculating ESF results see the EU Synthesis Report Chapter 41
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
48
institutions (HU) Cooperation with other actors was furthered through the preparation
of rules for public-private partnerships in public administrations (BG) and the inclusion
of NGOs in activities (LV) SIC interventions of course also led to many reforms in
public institutions (RO)
The support to institutional capacity also contributed to achievements in specific policy
areas equal opportunities through the increased number of public bodies of the
central government that promote the integration of gender policy (EL) environmental
policies through the development of territory plans in municipalities (LT) and
environmental management systems in companies (UK) and the social dialogue
through the increased number of employees that are covered by collective agreements
(LV)
The above overview of achievements is based on the indicators that MSs formulated to
measure results From the information provided in chapter 3 it is obvious that this
captures only some of the achievements
414 Achievements in specific fields of activity
In this section we provide a more in-depth analysis of achievements obtained through
the implementation of SIC-related interventions in some specific sectors according to
a classification of indicators per field of activity By looking at these different fields of
activity some interesting findings at country level emerge
Capacity building related to judiciary reforms
Relevant output indicators have been identified in this field in three countries (BG PL
and EL) Five of output indicators (BG and PL) relate to the training of individuals
such as magistrates or employees of judiciary offices and one to the number of
training modules developed (BG) In Greece the selected indicator refers to the
number of implemented upgrading actions of courtsrsquo administrative capacity One
more indicator in Bulgaria refers to the number of judicial bodies that have introduced
court case management systems
Of the twelve result indicators selected by four MSs (BG CZ PL and SI) seven
measure the decrease in the duration of proceedings of judicial cases (CZ PL and SI)
In Slovenia the average duration time for judicial procedures (in months) was reduced
from 95 to 39 thus surpassing the target (6) In the Czech Republic the length of
judicial proceedings was down to 497 (days) by the end of 2014 from an initial
baseline of 1057 (versus a target of 846) The remaining indicators refer to the
increased effectiveness of judiciary bodies and offices in terms of management and
quality assurance HR and provision of services
Results for BG and PL were less positive In Poland although the share of cases
handled by the courts for longer than 12 months decreased to 14 (target 1330
baseline 167) the indicators related to the average duration of proceedings in
commercial cases did not show a progress towards the set target In Bulgaria the
intervention on the web platform for e-justice failed due to lack of interest
Processes related to strategic planning and management
Eight output indicators have been selected by four MSs in the field of Strategic
planning and management (EL LT LV and PL) They refer to the number or the share
of public administration offices that implemented management systems and quality
assurance processes including the training of employees on these subjects
Eight result indicators for this field have been selected by five MS (EE LV LT PL and
RO) which measure the number of units or offices that have changed their
management system or introduced quality standards or management systems
E-government
Six output indicators have been selected in the field of e-government One indicator in
Slovenia refers to the number of online administration services available It is
interesting to note that in the case of Slovenia the target was overachieved by 249
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
49
(805 services online versus 323 targeted starting from an initial baseline of 308) In
Bulgaria the indicator refers to the number of administration units having introduced
systems for the in-house electronic exchange of documents (in total 108 although no
initial target was set) In Poland the selected indicator refers to the number of
employees who received training for the provision of online services (this indicator
shows a relevant underachievement as only 23 of the foreseen 800 workers received
the training)
By the end of 2014 in Slovenia the availability of e-government services has
increased from an initial baseline of 87 to 95 (initial target over achieved) usage
of ICT services by medical personnel has increased to 65 from an initial baseline of
60 while use by patients has risen to 25 from an initial 22 Usage of e-services
by the unemployed has increased from an initial baseline of 7 to 27
(implementation rate of 163) In Bulgaria 436 services have been made available
online (1000 were foreseen) In the Czech Republic achieved results relate to the
increased use of e-government public administration
Promoting a business-friendly administration
Five MSs selected result indicators relating to the promotion of a business-friendly
administration these mostly relate to shortening the time needed for setting up or
registering a business or in the rebate of administrative costs for business
In Slovenia the number of days required for setting up a corporate entity decreased
from 61 to 29 days (versus a target value of 7) In Poland the OP selected a
relatively high number of indicators to measure the goal of having a more conducive
administrative environment for companies the decrease in the number of days for
registration of an economic activity (for companies and individuals) and of the
administrative costs for setting up a business In all instances the indicators show that
initial targets have been achieved or over-achieved Lithuania also focuses on the
reduction of the time required to set up a business over the 2007-2014 period this
has decreased from 26 to 3 days
In Poland significant results in the area of administrative capacity connected with
diminishing burdens on economic activity have been found Diminishing burdens on
starting-up businesses are connected with a friendlier law and organisational setup ndash
simplifications were made of 92 legal acts which were most relevant in terms of
conducting economic activity (target 40) The average number of days required for the
registration of economic activity (starting up business) dropped to 005 (target 1
baseline 7) for individuals and 348h (target 24h baseline 168h) for companies The
empowerment of citizens was achieved through the results connected with access to
free legal consultations Other successful programmes include the implementation of
the lsquoone-stop-shoprsquo system for start-ups the simplification of administrative
procedures related to start up business increasing the quality of services rendered by
tax administration and equipping judiciary staff with necessary competences relevant
to dealing with economic cases (PA 512)
415 Effectiveness
Effectiveness can be measured by comparing achievements with initially set targets
As targets for outputs and results are defined in different ways a composite indicator
has been constructed which counts the number of targets that have been met and the
number of those that have not been reached for each ESF theme
Outputs
The table below shows the share of output targets achieved and not achieved for SIC
interventions and for ESF interventions as a whole It should be noted that no targets
were set for a number of outputs in Bulgaria the Czech Republic Greece Italy Latvia
and the United Kingdom The share of outputs without targets for these countries
amounted to 5 65 2 65 30 and 24 respectively
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50
It is to be recalled that targets were set for the end of the programming period with
the 2007-2013 expenditure being eligible until 31122015 Therefore tables and
figures below underestimate the attainment of targets as data on results refer to
2014 only
For the ESF as a whole only slightly more than half of the output targets were set
Where targets were set for outputs a majority of them were achieved (63) Targets
were more often set in countries that had allocated resources to SIC-related
interventions In those countries targets were set for 61 of the outputs defined
These targets were achieved to roughly the same degree as the other types of
interventions (see table below) For the SIC interventions themselves a relatively
large number of targets was set However only half of these targets were met which
is considerably less than for ESF interventions as a whole and this has not been
explained by the MS Obviously the fact that targets were set for a larger share of the
PAs did increase the chances of failing to meet targets this is because targets were
also set when this was more complicated to achieve (See Table 14)
Table 14 Target setting and achievement for outputs SIC and ESF
Targets set Targets achieved if set
ESF as a whole 54 63
MS with SIC related interventions 61 61
SIC related interventions 78 52
Source SFC 2007-2013Draft Country Synthesis Reports
Achieved or over-performed
In eight of the 14 countries SIC interventions performed better than interventions in
general These countries show the same or higher achievement rates for SIC
interventions than for all ESF interventions the Czech Republic Estonia Hungary
Latvia Romania Slovenia Slovakia and the United Kingdom With the exception of
Slovakia in particular these countries also performed considerably better than the
other countries (See Table 15)
Table 15 Achievement of output targets for SIC and all ESF interventions
ESF
SIC
Below target Above or = target Below target Above or = target
BG 73 27 94 6
CZ 27 73 0 100
EE 16 84 0 100
EL 63 38 74 26
HU 35 65 14 86
IT 37 63 77 23
LT 28 72 47 53
LV 16 84 0 100
MT 50 50 67 33
PL 33 67 42 58
RO 52 48 40 60
SI 35 65 14 86
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51
ESF
SIC
Below target Above or = target Below target Above or = target
SK 63 37 63 38
UK 30 70 25 75
BG Incl PA4 TA
CZ No data for PA 44b
Source SFC 2007-2013Draft CS Reports
Results
Tables 16 and 17 below provide a consolidated overview of the degree to which set
targets for results were met
Table 16 Target setting and achievement for results SIC and ESF
Targets set Targets achieved if set
ESF as a whole 63 39
MS with SIC related interventions 57 41
SIC related interventions 81 43
Source SFC 2007-2013Draft CS Reports
Achieved or over-performed
Result targets were considerably more often set for SIC related interventions rather
than for ESF interventions in general (81 compared to 63) Only four out of ten
SIC PAs achieved their targets In this they are comparable to other types of
interventions under ESF
Only four countries have performed equally or better in terms of achieving their
results targets for SIC compared with their performance regarding ESF interventions
as a whole Estonia Hungary Italy and Latvia (see table below)
In general countries set targets for results more often than they do for outputs (63
compared with 54) However the difference is negligible for SIC interventions On
the other hand the targets set for results were achieved much less often than those
for outputs For ESF as a whole 39 of the targets set for results were achieved
compared to 63 for the output targets Only 43 of the SIC interventions met their
targeted results compared with 52 of the output targets As this is the first period
for which targets had to be developed for SIC interventions it could be that these
targets were set at levels which were too ambitious It is conceivable that assessing
the chances of outputs being achieved would be easier than assessing likely results
ESF 2007-2013 ex-post evaluation synthesis
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52
Table 17 Achievement of results targets for SIC and all ESF interventions
ESF SIC
Below target Above or = target Below target Above or = target
BG 76 24 87 13
CZ 31 69 56 44
EE 34 66 0 100
EL 78 22 100 0
HU 0 100 0 100
IT 78 22 56 44
LT 27 73 50 50
LV 36 64 29 71
MT 36 64 50 50
PL 47 53 52 48
RO 61 39 78 22
SI 52 48 75 25
SK 86 14 100 0
UK 29 71 86 14
BG Incl PA4 TA
CZ No data for PA 44b
For SI PP and SIC data are combined and this table therefore includes the PP interventions too
Source SFC
Of course target achievement is only one way of assessing results and national
evaluations in a number of cases more detailed analyses at the level of PAs have
provided more positive or more nuanced statements about the results (eg EL MT
PL RO SI) One reason is that these evaluations provide more information than is
available in the database or that they make a more detailed comparison between the
effectiveness of PAs or actions related to SIC However the assessment of the results
is also influenced by expectations and previous experience as well as by the use of
other criteria
The PA for lsquoModernising and improving the quality of public services for West Wales
and the Valleysrsquo met only 14 of the results targets according to the SFC database
However it can still be assessed positively when looking at national sources bearing in
mind that most targets were met or exceeded (AIR 2014) Also the projects within this
thematic area had a clear focus on seeking to instigate a positive change with a view
to creating long-standing service improvements This thematic area provided impetus
in moving some agendas and pilot ideas into practice due to the additional funding
provided13
13 Thematic Evaluations presentations PWC dated October 2014 and May 2015 available at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx
ESF 2007-2013 ex-post evaluation synthesis
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53
416 Reaching the different target groups
In total over 14 million participations were reported in SIC-related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training
The fact that the target groups of SIC interventions are usually the staff of the
institutions concerned is reflected in the participantsrsquo characteristics These differ
considerably from the average ESF population
Almost all participants are as logic suggests employees The only exception is
Slovenia where lsquoonlyrsquo 865 of the participants are employed For the ESF as a
whole only one third of the participants are employed as many interventions focus on
promoting the labour market participation of unemployed and inactive people
The majority of the participants are well educated (ISCED 5 and 6) With 57 of the
participants in this category the educational level of participants is much higher in SIC
interventions than it is for ESF as whole where only 17 fall into this category
Conversely participation of people with lower educational levels especially ISCED 1
and 2 is much higher for ESF participants as a whole The highest educational levels
are found amongst participants in Lithuania Romania and Slovenia the lowest in the
Czech Republic Hungary and Italy
Participants in SIC interventions are older than ESF participants on average The vast
majority of the participants in SIC interventions are 25-54 years of age (86) while
this number amounts to only 63 for ESF as a whole They also belong to the older
age group of 55-65 years of age somewhat more often 11 versus 6 of the
population for ESF as a whole Young people (15-24) on the other hand are strongly
under-represented (4 for SIC interventions versus 31 for ESF as a whole)
Although in some countries young people are better represented (LT LV SI) but with
still far lower shares than for ESF as a whole Countries with the lowest share of young
people in SIC interventions are the Czech Republic Greece and Italy
The majority are women (64) For the ESF as a whole only 52 of the participants
are women This over-representation of women might be due to the fact that they are
usually over-represented in public administration which represents the most
important target of SIC interventions The share of women in SIC interventions is
somewhat lower in Italy and the United Kingdom (50-59) and considerably lower in
Malta and Slovakia (40-49) Women are over-represented in all sub-groups The
difference is however considerably less pronounced amongst the higher educated
This is caused by the fact that for ESF as a whole the share of women amongst
higher educated participants is relatively high (63) while for SIC interventions the
share of women remains in line with SIC interventions as a whole If we assume that
for SIC interventions higher education is accompanied by higher positions in the
organisations concerned this could reflect a lower representation of women at higher
levels in such positions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
54
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014)
Source SFC 2007 Country Synthesis Reports
Values BG CZ EE EL HU IT LT LV MT PL RO SI SK UK TOTAL SIC
over
total W TOTAL ESF
over
total W
Total
participants252126 140810 43434 130340 210547 13878 92410 49538 20264 367776 70249 927 42725 822 1436920 64 98658829 52
Employed 241728 140810 43434 126685 205701 13878 87180 46318 20182 352000 70249 802 42151 822 1392409 969 64 33041257 335 53
of which self-
employed8799 - - - 1009 - 3323 1304 792 3619 - 97 170 - 19134 54 2437321 25 45
Unemployed 4531 - - 3655 1653 - 481 599 22 4004 - 78 46 - 15525 72 30039410 304 53
of which LTU 2062 - - - 482 - 166 330 4 935 - 7 11 - 4201 62 8996113 91 52
Inactive 5867 - - - 3193 - 4749 2621 60 11772 - 47 528 - 28986 64 35578162 361 50
of which in
educationtr
aining
1484 - - - 395 - 3967 2621 38 3898 - 41 76 - 12598 63 25207563 256 50
Young
people (15-
24 years)
13524 1 2512 950 4740 7 8022 4275 1270 16823 3497 98 2188 21 58157 40 61 30063502 305 47
Older people
(55-64
years)
39485 48 6384 15697 11244 995 12806 6508 2248 42046 7266 102 6317 101 151350 105 61 6106942 62 50
Migrants 125 - - 16 214 - 34 12 16 3 - 3 15 12 483 56 5152191 52 50
Minorities 9593 - - 38 1083 - 2150 447 - 40 3317 2 428 27 17309 58 3856947 39 47
Disabled 4737 - - 102 745 - 599 1082 94 948 146 12 357 37 8939 63 5265599 53 46
Others 1968 - - 101 - - 2637 48049 209 - - 6 335 - 53468 71 7017829 71 51
Primary or
lower
secondary
education
6421 - 667 3066 7087 7 3227 1041 3988 3909 - 16 4873 25 34454 24 57 38840296 394 48
Upper
secondary
education
49741 4 6730 31186 17941 780 2716 5347 3657 42521 9289 103 10136 169 180739 126 60 26014203 264 52
Post-
secondary
non tertiary
education
23951 - 5844 2970 5744 134 3720 3278 3460 52931 2214 150 1587 - 106029 74 66 4934362 50 57
Tertiary
education172013 71 30193 93114 38649 1385 82378 32254 9159 268415 58746 658 24057 611 812185 565 66 16297940 165 63
ESF 2007-2013 ex-post evaluation synthesis
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55
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women participants
Source SFC 2007 Country Synthesis Reports
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
Total participants 630 633 707 648 601 543 678 725 437 684 606 669 476 564
Employed 631 633 707 638 600 543 684 721 437 685 606 647 476 564
of which self-
employed 574 - - - 640 - 569 712 188 429 - 237 247 -
Unemployed 591 - - 998 600 - 568 791 500 666 - 808 522 -
of which LTU 559 - - - 676 - 512 758 1000 725 - 857 364 -
Inactive 605 - - - 673 - 576 785 450 650 - 809 511 -
of which in
educationtraining 610 - - - 666 - 569 785 526 604 - 829 487 -
Young people (15-
24 years) 603 1000 702 783 536 1000 560 581 521 662 614 571 546 524
Older people (55-
64 years) 586 625 699 579 558 432 705 732 280 634 590 235 512 554
Migrants 448 - - 1000 640 - 529 583 688 667 - 333 67 583
Minorities 561 - - 1000 540 - 610 785 - 675 614 - 614 519
Disabled 621 - - 686 558 - 723 742 202 660 507 417 602 541
Others 615 - - 1000 - - 669 724 282 - - 500 254 -
Primary or lower
secondary
education 556 - 643 698 616 - 553 744 316 607 - 125 591 560
Upper secondary
education 581 750 680 656 554 505 419 732 468 626 571 359 464 556
Post-secondary
non tertiary
education 593 - 702 684 579 500 544 741 464 716 573 320 565 -
Tertiary
education 652 634 716 642 496 453 697 738 467 688 612 465 493 566
ESF 2007-2013 ex-post evaluation synthesis
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56
42 Efficiency
As in other thematic evaluations the lack of information on the costs per result
hinders an assessment of the efficiency of ESF SIC investment It is always possible to
calculate the cost per participant but this is a less relevant and potentially confusing
indicator for SIC interventions The table below illustrates the limitations of this effort
Both Slovenia and the United Kingdom report an extremely small number of
participants and high cost per participant Under the Slovenian PA IT expenditure was
planned which involved substantial budgets for software hardware and expertise
with only a small proportion of the budget reserved for the training of future users
This was not the case for the United Kingdom and this combination of a small number
of participants and high cost per participant may be partly explained by the fact that
the number of trained people fell far below the original target Therefore only by
analysing the interventions undertaken by each country would it be possible to draw
any meaningful conclusions
Table 20 Funding per participation for SIC related OPsPAs
Total participants
Total expenditure (euro)
Cost per participant (euro)
BG 252126 137491170 545
CZ 140810 94381124 670
EE 43434 21210585 488
EL 130340 381930601 2930
HU 210547 122203794 580
IT 13878 131069031 9444
LT 92410 143977869 1558
LV 49538 20683459 418
MT 20264 7687444 379
PL 367776 315293255 857
RO 70249 159318804 2268
SI 927 89112721 96130
SK 42725 31545122 738
UK 822 13331326 16218
Source SFC database
Another indicator for efficiency was used in the ex-post evaluation of the Romanian
capacity development OP This programme was judged to be efficient because with a
similar level of investment it generated more immediate effects than initially
envisaged This is despite the fact that 120 of the selected projects in this country
could not be awarded due to depletion of funds this decreased the efficiency of the
OP somewhat as time was spent on processing and assessing these projects but with
no subsequent activity delivered or results achieved
Another more qualitative dimension of efficiency is assessed by looking at the
implementation process to see if there are features that are impeding or facilitating
the programme Two examples illustrate this In the Czech Republic only 75 of the
financial resources which were committed for the realisation of the selected projects
were fully spent This was caused by mistakes made during the procurement process
that resulted in delays in implementation Hungary showed that reforms could produce
the opposite or mixed effects on efficiency On the one hand state reforms may
increase the activity undertaken and the outputs and results produced On the other
hand the accompanying reorganisation of institutions may have a negative impact on
the efficiency of such interventions as they initially cause inefficiencies where people
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
57
are adjusting to the new situation Sometimes the complexity of procedures also
influences costs indirectly One example of this is when due to the complexity of
project administration huge amounts of money are spent on project management
which is provided by private companies that were established especially and solely for
this purpose (SK)
It can be concluded that the available information does not allow conclusions to be
drawn regarding the efficiency of SIC interventions The assessment of efficiency is
strongly hampered by the fact that the outputs of various activities are objects rather
than people This renders a comparison of costs per participant between PAs or
countries meaningless In addition there is a wide variation in the objects produced
which can range from studies to IT-systems therefore their costs also cannot be
compared without collecting detailed information on outputs and costs at activity level
The current evaluation does not encompass this level of analysis
43 The sustainability of ESF SIC interventions
Sustainability of SIC intervention refers to both the continuation of funded projects
(with or without EU funding) and the achieved results in terms of increased
empowerment and adaptation to new needs as they develop Although no clear-cut
evidence on sustainability has been detected it could be argued that in this respect
interventions are likely to be sustainable to a large extent Such interventions have
set in motion other activities which will continue beyond the lifespan of the original
activity Alternatively the tools developed provide a platform for new initiatives
without time constraints related to the project that introduced them For example
Those that have upgraded or added value to other interventions These are
mainly the training programmes based on needs assessments made through
functional analysis (BG)
E-governance and other tools (BG MT)
Quality management (LV)
A common learning portal for local authorities (UK)
Training or manpower interventions (EE IT MT)
Sustainability can be deliberately ensured by procedures and regulations to this end
In Poland changes in public administration institutions which were introduced as part
of the ESF project will have a permanent nature this is guaranteed by the
introduction of new procedures and regulations This applies to the Better Regulations
2015 adopted by the Council of Ministers on 22 January 2013 and concerning areas
such as legislative actions of simplification (solutions in removing barriers to
entrepreneurship development) impact assessment (an analytical tool that allows to
design regulations which correspond to the real socio-economic problems) and a public
consultation (the consultation facilitating stakeholder participation in the legislative
process - the on-line consultation system) The situation is the opposite for NGOs the
support they that received significantly influenced the development and strengthening
of the third sector but the lack of proven procedures and constant cooperation
between public authorities and NGOs adversely affects the durability of the results (the indicator - number of local government units that have implemented the
standards of cooperation with NGOs - has been achieved at the level of 856 in
Poland)
It should be mentioned however that the sustainability of SIC interventions is also
dependent on the context in which they are implemented and which these same
interventions aim to support Two main obstacles to sustainability have been identified
in this respect These are the lack of financial resources to sustain the action and the
institutional and political environment
Italy and Lithuania both highlight the importance of earmarking ESF funding for similar
interventions under the next programming period In Italy disappointing results of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
58
regional SIC interventions led to the introduction of national thematic objectives
These cover the whole of Italy for the current programming period which the 2014-
2020 regulation now allows14 Between 2014 and 2020 the strategies and actions that
were started during the previous period will be continued and consolidated in a more
structured and defined framework For Lithuania the sustainability of the products
developed and results achieved at the end of the EU funding were identified as
moderate and dependent on the field of intervention and public management
institutions Since the budgets of the state and especially municipal institutions are
limited the continuity of products and results created from the 2007ndash2013 Structural
Funds in the field of public management depend on planned investments during the
2014ndash2020 programming period (this is particularly applicable to the fields of
performance management and e-government) In the case of decentralisation lack of
funding is also more likely to occur and national (or ESF) funding is needed to ensure
that interventions will be sustained (RO) Formalisation through public policies at
national level is required for this
The institutional environment is flagged up as a deterrent to the sustained
effectiveness of interventions in Greece and Slovakia Key institutional factors in this
respect include
a high employee turnover among state employees (SK)
lack of a systematic policy for human capital (SK)
changing management with new elections (EL SK)
an overall administrative culture that is not conducive to change (EL)
44 Gender sensitivity of ESF SIC interventions
SIC may have a direct or indirect impact on gender equality by strengthening and
supporting the gender infrastructure that is an integral part of the institutional set up
of a countryregion The term gender infrastructure refers to the administrative
political and legal mechanisms existing within the public administration which are
aimed at promoting gender equality such as provisions for gender mainstreaming
policies at the central and local level or gender budgeting for example Gender
infrastructure can be targeted directly by SIC interventions through positive actions
(such as training staff on gender issues promoting studies on gender pay gaps or
supporting the creation of gender units) or indirectly by strengthening the overall
capacity of the administration and therefore also implicitly improving awareness on
gender policies whilst also developing their effectiveness
An example of such an approach can be found in Greece which dedicated a PA to
lsquoStrengthening policies aiming at ensuring equal opportunities for all in the whole
range of the public administrationrsquo The PA foresaw measures to enhance the gender
mainstreaming policy in the public administration and increase the participation and
career progress of women in employment Actions included
codification and simplification of law regulations for the enhancement of gender
mainstreaming in all the fields of policy making
evaluation of public policiesrsquo impacts through gender mainstreaming
enhancement of the integration of gender mainstreaming in public policy
14 Institutional capacity being reserved to Convergence areas in the 2007-2013 period
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Thematic EU synthesis report Strengthening Institutional Capacity
59
enhancement of the participation of women in decision making centres
enhancement of actions in prefecture authorities targeting the prevention and
combating of violence against women
support for NGOrsquoS (womens organisations)
From the available evidence it seems that most of the interventions were
implemented as planned The latter intervention encountered difficulties as it coincided
with the restructuring of the public sector which was necessitated by the economic
crisis Very little is known on the impact of these interventions
Other countries did not address the gender infrastructure However SIC interventions
can also be designed in such a way that in their implementation at least women and
their interests are taken into account or even furthered Although SIC interventions do
not specifically target women in Poland the Polish OP can be considered a good
practice of designing an OP in a gender supportive way with several features that
may help ensure that women really benefit from the interventions
Women were the specific target groups of some of the interventions although
not in the case of any of the SIC interventions which has been continued in the
new programming period however there are no OPs or priorities specifically
dedicated to women
An obligatory minimum standard was introduced in projects so that all of the
institutions implementing ESF funds would respect the principle of gender
equality This meant that in all projects (also those implemented within the
SIC area) it had to be shown how the project would contribute to the fight
against inequalities or at least how it would not sustain or strengthen them
The minimum standard has been continued and developed in all ESF
programmes for the 2014-2020 programming period However the assessment
criteria have been tightened in terms of gender sensitivity which means that
project promoters are supposed to describe how they are going to implement
gender equality at all project stages In the 2014-20 programming period
there are also some requirements in terms of gender equality for project
promoters within other funds (ERDF EAFRD EMFF) The manual on gender
equality published by the MA contains recommendations for the MAs on
gender sensitivity in management OP implementation and the setting of
thematic objectives (the PA) amongst other things
Additionally the MA created a strategic vision on the strengthening of equal
rights for men and women which was adopted in the official MA agenda A
group which included the representatives of the intermediary bodies was
formed to control the application of gender equality as a horizontal issue in the
interventions
All institutions that are engaged in the management and implementation of the
ESF in Poland (ie the MA and the IBs) were assessed regarding their own
equality policies The idea behind this was that they would be in a better
position to stand ldquoon guardrdquo and protect gender mainstreaming and gender
equality if they knew of it from their own experience
SIC interventions and staff capacity building in particular can also be assessed in
light of the contribution they make to womenrsquos careers in the organisations that are
being supported by these interventions
SIC interventions typically have more female than male participants For most
countries this reflects the over-representation of women in public institutions As
precise figures are often lacking it is unclear as to whether women are proportionally
represented in interventions Women are also less represented at the higher and
managerial levels in administrations and sometimes in interventionsactions targeted
at managerial positions in public administrations (IT)
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60
Proportional representation provides equal opportunities for women to better their
position It does not level the playing field however as is argued and exemplified in
the Estonia On the other hand more women participated in training than men in
Estonia For example in the central training program 2008-2009 three times more
women were trained than men this was also the case in training for NGOs where the
proportion of women was very high (nearly 75) This training ultimately influenced
the competitiveness of women in the labour market This should in theory help to
reduce the existing gap between women and men However it is not clear whether
the unequal labour market position really results from the differences in knowledge
and it is not likely that the gender pay gap will start to decrease as a result of the
training The effects on such a level are probably rather modest In this respect it is
worth noting that in programmes for top managers in the public sector the ratio
between men and women is very different there are twice as many men as women
Also the competence model and the related methodology for the regular evaluation of
competences which are developed for top managers in the Estonian public service
are gender neutral While this is obviously better than a system implicitly favouring
men this also means that it will not actively pursue a change in the gender balance at
this level
More specific actions would be required to improve the position of women in public
administrations in terms of qualitative criteria such as pay and function levels These
appear to be rare as women are seldom a specific target group in SIC interventions A
number of countries did make equal opportunities a selection criterion for projects
(CZ LT RO) However only two countries include actions that aim to further the
position of women In Greece specific PAs have the objective of enhancing gender
mainstreaming policy in the public administration increasing the participation and
career progression of women in employment and reducing genderndashbased segregation
in the public sector The Hungarian action lsquopromoting performance-based career
pathwaysrsquo includes specific activities to enable staff to better balance domestic and
work obligations which is something that will help women in particular
45 Community added value of ESF SIC interventions
Community added value can be achieved in four different ways volume role scope
and process
In the case of ESF SIC interventions this translates into the following options as
highlighted in Table 4 section 311 above
ESF funding was used to strengthen pre-existing good governance and capacity
building interventions funded by national strategies (volume)
ESF was used to reach new target groups (scope)
ESF was used to test new and innovative activities (role)
ESF was successfully used to improve PA service delivery by improving systems
and methods (process)
For most countries having ESF adds value to what would have been done in the
countries without this support
451 Volume effects
The main CAV dimension detected across the different MSs is the volume effect In
many countries (BG EE LV MT RO IT) interventions have been undertaken on a far
larger scale than would have been possible without the financial backing from ESF
This effect has been even greater than would have otherwise been possible due to the
impact that the financial crisis had on MSsrsquo budgets While this probably holds for
other areas of intervention too SIC interventions are more likely to suffer from budget
reductions as increasing unemployment and poverty rates are likely to be more
pressing concerns especially as administrative reform plans in several of the countries
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
61
concerned receive limited political backing Some examples of this effect can be
identified as follows
In Bulgaria the ESF provides key funding to support good governance on
municipal district and national levels as well as for reforms in important areas
including the judicial system which is one of the main recommendations to the
country and is the focus of the public opinion debate
In Poland ESF funds were used to train a larger share of public administration
employees
In Malta ESF funding complemented the Governmentrsquos efforts towards further
simplification and through building capacity amongst government employees
to assist citizens in accessing and using e-services Management processes
within the Public Service were streamlined with a view to facilitating more rapid
decision-making and implementation and more accountability of results
Support for regulatory reform in order to reduce the regulatory burdens on
businesses was also provided
In Lithuania available evidence confirms that the ESF provided additional
funding to support good governance according to the evaluation of the
lsquoEuropean Union Structural Funds Investments for Human Resource
Developmentrsquo through the interventions of measures under priorities 1 2 and
4 of the HRDOP more than 286 thousand public sector workers successfully
completed the training The increased quality of human capital in the public
sector resulted in the higher quality of work which was appreciated by the
public who expressed greater confidence in state and municipal institutions
and bodies15 In addition to this it should be mentioned that ESF funds were
almost the only source to support certain target groups in the context of the
economic crisis EU funds have become probably the only source of financing
for the employee qualification development initiatives for public institutions of
Lithuania16
In Slovenia an example of additional funding is the project lsquoInteroperability
and e-exchange of datarsquo which established amongst other things multi-
functional mechanisms for the implementation of complex data queries in
administrative records and an internet portal (NIO portal wwwniogovsi)
Today the latter is the central contact point for open data in the public sector
(Source AIR 2014)
452 Scope effects
ESF has also added value by broadening the scope of the interventions undertaken by
MSs The first way by which the scope of interventions changed was in terms of
actors such as NGOs or social partners (MT LV BG EE) In Slovenia new target
groups also included businesses and entrepreneurs through the creation of two online
portals (EUGO and e-VEM) providing information for the set-up registration operation
and closing of a company All processes can be undertaken online EUGO the Slovenia
Business Point is the English counterpart of e-VEM It helps foreign business entities
that want to do business in Slovenia
15 BGI Consulting European Union Structural Funds Investments for Human Resource Development Summary of the final report of evaluation (EN) 2015
16 PWC Evaluation of the quality and efficiency trainings financed by ESF 2011
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
62
SIC interventions also altered the scope of the national PAR (HU) or played a key role
in putting administrative capacity on the agenda (IT SK) Finally SIC helped to
introduce topics such as social inclusion equal opportunities and the reconciliation of
work and family life as policies these did not exist in the political agenda prior to the
ESF (SK)
453 Role effects
ESF SIC funding played a role in supporting the introduction and testing of innovative
tools or systems especially those concerning the introduction of e-government In
Bulgaria for example although with several delays and obstacles the Administrative
Capacity OP has supported the introduction of many e-services on a municipal level
as well as for specific national agencies and bodies including the judicial system In
Slovenia as an element of the modernisation and simplification of courtsrsquo
organisations a smart technology that had already been used successfully in the
medical sector was tested for speeding up the writing of judgments through voice
recognition Fifty judges tested this technology in a pilot project After three months
the software was developed fully and then mainstreamed (Source AIR 2013) In Italy
the ESF supported the digitalisation of ESF management administrative processes in
the Apulia OP
Role effects can be also identified in actions and fields not directly related to e-
governance such as
The introduction of monitoring and evaluation systems for policy
implementation on municipal and national levels which is also connected with
the introduction of the mechanism for public discussion of new policies (MT)
In Poland an impact assessment of regulations (an analytical tool that allows
to design regulations which correspond to the real socio-economic problems)
was introduced and tested along with the on-line public consultation system -
the consultation facilitating stakeholder participation in the legislative process
In Latvia under the action Reduction of administrative burden and improving
the quality of public servicesrdquo the Ministry of Environmental Protection and
Regional Development carried out a feasibility study for the setting up of a
single customer service centre network that brings together a number of
services carried out by public administrations
The support to PES in Campania region (IT)
454 Process effects
Process effects occurred in various countries and they relate to the programmatic and
cyclical nature of policy making monitoring and evaluation of policies and work
processes in general Some examples have been provided below
Improvement in the delivery of PA services is the main contribution of ESF SIC
investment in Bulgaria PA service delivery has been improved through the
training of civil servants the implementation of functional analysis on
municipal district and national levels setting up systems from monitoring and
evaluation of policy implementation the introduction of e-services and one
stop shop services exchange and the introduction of good practices from
other countries
In Italy new purchasing procedures were defined through the Ministry of
Education national OP (and also in the Calabria OP) interventions for
increasing the effectiveness of judiciary officesrsquo activities were introduced
(Campania Sicily Basilicata OPs) as well as projects aimed at improving ESF
programming management and control capacities (Apulia Sicily Ministry of
Labour OPs)
In Lithuania ESF support was used to improve PA service delivery systems and
methods for instance the ESF supported the development of the
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63
interoperability (interface) system and improved the safety and functionality of
the information systems in public administration institutions Similarly the ESF
also supported the development and implementation of a centralised public
procurement management system Both interventions were included among the
good practice examples in the Strategic Evaluation of the Effectiveness and
Impact of EU Structural Assistance on the Improvement of Public Management
in Lithuania17
In Latvia a specific project devoted to Improving the quality of public services
at national regional and local level was implemented with the funding of 25
projects Within this the State Employment Agency developed a management
method referred to as Management according to the objectivesrdquo in order to
improve its services while the State Land Service developed an e-guide for
customer service
In Slovenia in order to improve the processing of documents an electronic
documentation system was established at the Public Employment Service It
allows for shorter response times and quicker decisions and also lowers costs
The new system was introduced in ten key processes of the PES which
constitute 85 of the administrative activities
46 The socio-economic impact of ESF SIC
461 Impact indicators and evidence from national ESF evaluations
As discussed impact indicators are virtually non-existent for SIC interventions in the
SFC database18 National sources do include information on impacts Typically this
information is of a more qualitative nature and does not permit conclusions to be
drawn on the level of impacts However it is possible to provide an indication of the
type of impacts that are achieved with SIC related interventions
In their strategic reports on programme implementation over the 2007-2013 period
according to the overall report rdquoseveral MSs emphasise the role that the ERDF and
ESF play in fostering national reform efforts particularly in the field of better
regulation reform of education systems the labour market public administration and
structural reforms in the water sector In addition the ESF has fostered capacity
building for the social partnersrdquo (European Commission 2013) In general however
impacts are seldom so clearly defined or evaluated The table below provides an
overview of what can tentatively be called (intermediate) impacts and indicators
Some information on impacts is available for six countries On this basis some
tentative conclusions emerge that could be tested in future evaluations For each of
these the evidence is rated using a three-point scale
Monitoring systems for policies and ex-ante impact assessment of new
regulatory initiatives seem to be effective in increasing the quality of legislation
and monitoring progress in implementation of policies (weak evidence BG)
The impacts of initiatives aimed at furthering institutional cooperation seem too
low after suffering from fragmented or limited implementation (evidence EE
LT)
17 PPMI Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the Improvement of Public Management in Lithuania 2014
18 It is to be noted that they were not required by the Regulation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
64
The quality of public services shows clear signs of improvement during the
2007-2013 programming period It is likely that SIC interventions played a role
in this but lsquohardrsquo evidence on this is lacking (Strong evidence on changes but weak on causality CZ-regional level LT PL)
Table 21 Examples of tentative impact evaluations
MS ASSESSMENT
BG Based on the main conclusions in the First Report on the evaluation of OP AC
implementation for the period January-December 2014 the main achievements of this OP contributed to the optimisation and of the work of administration resulting in improved monitoring of policy implementation improved quality of the regulatory documents due to the introduction of their impact evaluation improved capacity of servants by training
CZ There is a slight increase of citizensrsquo satisfaction with the performance of the regional
administrations however the satisfaction with the state administration has been continuously declining
EE Although the effectiveness of the SIC investments has been good and the range of activities has been widened compared to previous programming periods the impacts have still stayed rather modest Even though a strategy unit was established in the
Government Office that has immensely contributed to the decrease in the number of strategic plans there is still room for strengthening the coordination between organisations (the ministries implementing agencies local and central governments) responsible for planning and implementing the strategies Also the social dialogue in policy-making has still room for development A number of joint committees (including the representatives of relevant organisations and social partners) have been created to include relevant partners incl social partners and to consequently add transparency
to policy-making At the same time such committees are criticised facilitating
transparency only seemingly and also diffusing responsibility
LT During the 2007-2013 period the key positive achievements of ESF SIC investments in Lithuania was the improvement of the overall quality and accessibility of public sector services in the country This was achieved through several different mechanisms The
ESF support contributed to the development of the HR capacity in public service Also the investments had positive influence on the management of internal activities in the public sector in Lithuania in particular a number of internal processes were digitalised and a number of strategic planning documents were developed In addition the investments are expected to contribute to the development of e-governance in the country and thereby improve the communication between the public authorities and citizens The key under-achievements of ESF SIC investments in Lithuania were the
very low impact on system-level reforms in public sector as well as low impact on institutional cooperation and partnership building Because of the lack or complete absence of necessary preconditions the reforms at system-level were implemented are fragmentary and are unlikely to produce any significant results Similarly because of a
number of negative factors (lack of coordination of different institutional cooperation initiatives lack of support and awareness on the part of political authorities and executive bodies lack of proper methods for involvement of relevant institutions) the
initiatives enhancing cooperation and partnerships between public institutions will most likely result in low or null impacts in these areas
PL Considering the impact of the ESF on improving the regulatory business environment it is worth mentioning the significant advancement of Poland in the World Banks Doing Business rankings 2015 In terms of ease of doing business Poland took 32nd position
(out of 189 countries) and moved up thirteen places in comparison with the previous year The World Bank assessed countries in 10 categories such as among others ease of opening of the company the necessary start-up capital or tax returns
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
65
462 Impacts in relation to changes in the quality of administrations
The World Bank publishes a broad range of data on the perceived quality of
governance In particular the Worldwide Governance Indicators cover six broad
dimensions three of which are particularly relevant to this report
government effectiveness
regulatory quality
rule of law
This dataset aggregates the results of many surveys that have been conducted
worldwide It has been doing so since 1996 which means that developments can be
traced throughout the programming period
The charts below present the estimates of the perceived quality for each of the three
dimensions The perception of quality is rated ranging from approximately -25
(weak) to 25 (strong) in order to illustrate governance performance
Better quality services ndash competitiveness of companies 4621
Government effectiveness the first dimension of the Worldwide Governance
Indicators assesses the perception of public service quality the quality of the civil
service and its degree of independence from political pressures the quality of policy
formulation and implementation and the credibility of the governments commitment
to such policies Concerning public attitudes towards government effectiveness in the
case of ten of the fourteen countries citizens businesses and institutions felt that
their government had become more effective between 2007 and 2014 The four
exceptions were Greece Hungary Malta and the United Kingdom
The previous section showed that ESF had contributed to better quality services in the
three countries for which evidence was available (CZ LT PL) For the latter two
countries it is therefore likely that ESF has played a role in improving the regulatory
quality scores for their countries However as section 313 showed nine MSs had
actions aimed specifically at improving their delivery systems and eight MSs had
actions aiming at policy delivery as well as development
Figure 4 Government effectiveness
Source The Worldwide Governance Indicators 2015 Update
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Government effectiveness
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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66
The dimension of regulatory quality measures the governmentrsquos ability to formulate
and implement sound policies and regulations that permit and promote private sector
development Regulatory quality was receiving slightly higher marks on average in
2007 than government effectiveness However for only five countries this assessment
had improved by 2014 Estonia Latvia Lithuania Poland and Romania Four of these
countries already had relatively high scores in 2007 but so did some of the countries
with decreasing evaluations such as Hungary Slovakia and the United Kingdom
Ten MSs implemented actions that were dedicated to improving the business
environment while 14 MSs had actions aimed at introducing and strengthening the
use of e-services in public administrations (sections 313 and 314) In light of this
the fact that only five MSs were deemed to have improved the quality of their
regulatory process is again a sign that the impact of efforts made under SIC actions is
not or at least not yet noticeable
Figure 5 Regulatory quality
Source The Worldwide Governance Indicators 2015 Update
The overall conclusion is therefore that in the majority of the MSs the impact of
these actions on the governmental performance is not yet evident or if it is it is still
not noticeable to citizens and businesses However with the nature of SIC
interventions it may be a matter of time before these impacts become obvious only
then will a further impact on the performance of businesses and the wellbeing of
citizens be expected to occur
000
020
040
060
080
100
120
140
160
180
200
2007 2008 2009 2010 2011 2012 2013 2014
Regulatory quality
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
ESF 2007-2013 ex-post evaluation synthesis
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67
Better quality justice and rule of law ndash a conducive socio-economic 4622
environment
The 2015 EU Justice scoreboard shows that there is significant divergence in the
effectiveness of judicial systems across MSs According to the 2015 EU
Competitiveness report the functioning of justice systems in several countries
requires further improvements19
Rule of law measures the extent to which agents have confidence in and abide by the
rules of society and more specifically in the quality of contract enforcement property
rights the police and the courts as well as the likelihood of crime and violence The
satisfaction with rule of law increased between 2007 and 2014 for nine countries
which is almost as many as for government effectiveness Greece Hungary Italy and
Malta experienced decreasing evaluations over this period
Of the nine countries with increasing scores for rule of law four countriesrsquo evidence is
available on the results actions undertaken in the justice sector (section 414) These
results were decidedly mixed with SI and CZ showing positive achievements and
Bulgaria and Poland showing under-achievements As the rule of law indicator is a
very general indicator and the evidence on ESF SIC actions in this area are few and
mixed in terms of results the conclusion here is that the necessary evidence on the
impact of ESF SIC actions in this sector is insufficient to draw conclusions
Nonetheless the increased satisfaction with the rule of law is a positive development
Figure 6 Rule of law
Source The Worldwide Governance Indicators 2015 Update
19 European Commission Single Market Integration and Competitiveness in the EU and its Member States Report 2015 October 2015 section 326
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Rule of law
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
68
4623 Assessment
Improvements in the quality of public administration occurred between 2007 and
2014 especially in the fields of government effectiveness and rule of law The
perception of regulatory quality improved in a smaller number of countries
The best performance could be seen in Romania Poland and the three Baltic States
These countries improved their ratings on each of the three dimensions between 2007
and 2014 On the other end of the scale three countries saw their assessment
decreasing on all three dimensions Greece Hungary and Malta
It is to be expected that ESF would have contributed to positive changes However
this causal relationship can only be established through impact assessments and
evaluations and the evidence available at this point is insufficient to draw conclusions
in this respect
463 Key factors determining success or failure
Overview 4631
Several factors determine whether interventions are successful and can be considered
good practice in achieving their objectives and whether they do so in an efficient
manner Factors for success and failure are complementary For this reason the two
are discussed together here although the national evaluations do distinguish between
them as can be seen from the figure below
The key factors are similar to those identified in earlier evaluations of ESF SIC
interventions Five factors were identified in national evaluations or by the country
experts based on more general sources
Management this factor is typically linked with the lack of administrative
capacity in the Managing Authority or Intermediate Body itself and was
identified as a key factor for the Czech Republic Italy Romania and Slovakia
Strategic approach and intervention logic this factor refers to coherence and
consistency in policies regarding SIC interventions as well as the detailed
development of an intervention logic It was identified as a key factor for Italy
Lithuania and Romania
Motivation and capacities of beneficiaries this factor directly influences the
performance of individual activities and is therefore of obvious importance It
was identified as playing a key role in Bulgaria the Czech Republic Latvia
Lithuania Malta and Slovakia
Cooperation and coordination efficient coordination of various funded activities
and efficient cooperation between different organisations were listed as key
factors for performance in the Czech Republic Estonia and Lithuania
Context factors these factors include national public administration reform
strategies legislation and the political and institutional environment
Contextual factors are the most regularly cited explanatory factor for success
and failure for Bulgaria Greece Hungary Italy Lithuania Malta Poland
Slovenia and Slovakia
ESF 2007-2013 ex-post evaluation synthesis
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69
Figure 7 Key factors for success and failure mentioned for MS
The colour of the country abbreviations signifies that the factor was deemed either a success
(blue) or a failure (red) for that country In the case of some countries it turned out to be both
Source country templates based on national evaluations or assessment of country experts based on more general sources
Because of its importance the institutional and political context is discussed in more
detail here It also constitutes a rather specific factor for successful capacity building
interventions Annex III provides a complete overview of the success and risk factors
identified for individual countries
The role of the institutional and political context 4632
This section looks at the role of the institutional and political context as a determinant
for success or failure of ESF interventions that were aimed at strengthening
institutional capacity The information in this section is based upon expert assessment
provided by the country experts where these contextual factors were flagged up as a
success or risk factor to a greater or lesser extent The political and institutional
environment has been flagged up as a crucial factor for successful SIC interventions
under ESF by several countries (BG CZ EL HU IT LT MT RO SK) Rapid changes in
government politicised institutions and lacking political support were all cited as
impediments to the effectiveness of SIC interventions
According to the synthesis evaluation country report for the Czech Republic in all
international comparisons the institutional environment is evaluated as one of the
most significant weaknesses of the Czech Republic When discussing the institutional
environment of the country reference is made to inefficient institutions an excessive
regulatory burden and corruption The performance of the countryrsquos administration
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
70
has been continuously declining since 200620 This is impacting on the performance of
ESF SIC interventions According to the AIR 2014 OP HRE and the evaluation
conducted the realisation of the PA 4 of the OP HRE has been lagging behind the
other priority axes over a long-term period The core problems deal with the
administrative capacity of the Ministry of Interior in its role as an Intermediate Body
as well as the organisational changes of the state institutions in their role as
beneficiaries In addition a high error rate exists in the management of individual
projects which is usually linked to the procurement arrangements and to
irregularities
In Greece the OP Administrative Reform has encountered serious difficulties that
hindered its smooth implementation Besides other factors the institutional
environment plays a key role in this The administrative culture has been criticised for
its absence of strategic action wasteful maladministration of the scarce public
resources organisational overlapping absence of rational planning regarding the
allocation of functions and unsatisfactory services provided to citizens Another
important contextual constraint lies in the absence of an enduring political will and
clientelism accompanied by the politicisation of the senior civil service At least until
very recently these conditions remained unchanged and were reinforced by
widespread corrupt practices Furthermore civil society is only weakly developed in
Greece while consultation structures and practices as part of policy preparation are
also underdeveloped Of particular concern is the on-going politicisation and
subsequent instability at senior levels of the administration
The Hungarian State Reform has gone through essential changes which have had a
substantial impact on the effectiveness and efficiency of the SIC PAs in this country
The direction of the reform was changed and the reform has intensified since 2010
with the election of the new conservative government This has boosted the efforts
made and increased the number of activities and outputs produced under the relevant
PAs This was particularly visible in the number of laws and the activities connected to
their preparation At the same time these political changes seem to have had a
negative impact on the efficiency of the implementation of the PAs This inefficiency
resulted from the fact that new government took time to establish and had partly
different priorities This meant that many changes in the planning and implementation
of interventions had to be made and much adjustment was necessary by those
involved in the implementation
Because of the lack or complete absence of necessary preconditions in Lithuania
the reforms at system-level were implemented in a fragmented manner and are
unlikely to produce any significant results Consequently the key under-achievements
of ESF SIC investments in Lithuania were the very low impact on system-level reforms
in the public sector as well as low impact on institutional cooperation and partnership
building Similarly because of a combination of negative factors the initiatives
enhancing cooperation and partnerships between public institutions will most likely
result in low or no impact in these areas These factors include the lack of coordination
of different institutional cooperation initiatives lack of proper methods for the
involvement of relevant institutions but also the lack of support and awareness on the
part of political authorities and executive bodies
20 Source Supreme Audit Office of the Czech Republic Information from the control action No 1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
71
In Slovakia the institutional environment is politicised in the sense that as a rule
following every general election new management enters the administration
Systematic work with human capital in public administration is largely absent As a
result employee turnover is high among state employees This in turn is potentially
dangerous to the sustainability of the results and impacts achieved with SIC related
interventions
According to a publication of the EUOECD SIGMA initiative five years after accession
political processes and considerations still substantially impacted the effect and
sustainability of EU capacity building interventions in Central and Eastern Europe In
addition the 2015 single market integration and competitiveness report pointed out
that regulatory and political instability are important barriers to economic growth as
they negatively impact on investment decisions especially longer term ones The
2014 competitiveness report draws attention to insufficient political will as a factor
besides the lack of capacity to enforce rules hampering the effect of anti-corruption
policies in several of the convergence countries From the present study it can be
concluded that during the 2007-2013 period several factors in the institutional and
political environment were indeed hampering progress in achieving the objectives
associated with capacity building interventions These factors include a lack of political
awareness or support (LT) rapid changes in government (EL HU SK) often
changing inefficient change-averse or politicised institutions (CZ EL HU LT) and
clientelism (EL)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
72
5 Overview of key lessons learned
Key findings
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe 2020
Strategy might be further enhanced by specifying the more relevant fields of ESF
SIC support such as e-government or business friendly administration The
institutional and political context remains a key success and risk factor for capacity
building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to the staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to capacity
building is required by MSs as well as a well-defined intervention logic This should
go well beyond the specific objectives and into the realm of intermediate and final
impacts Support provided to countries should take into account the five key factors
that influence the success of SIC interventions management strategic approach
and intervention logic motivation and capacities of beneficiaries cooperation and
coordination and context factors New programmes need to make sure that results
and impacts whose sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or PA
are often linked to a lack of administrative capacity in the Managing Authority or
Intermediate Body both in terms of numbers and qualifications of staff Significant
personnel turnover and frequent changes in staff contributed to mistakes being
made in financial reporting by beneficiaries which was further hampered by
complicated and often-changing rules and errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review ex-
ante the output and result indicators proposed by MSs to see if they comply with
SMART criteria apply a categorisation to common output and result indicators in
the SFC database
Evaluation Fields of activities as found in the CSRs for example could provide a
starting point for the development of impact indicators for ex-post evaluation More
systematic guidance on the distinction between indicators for capacity
enhancement performance and impact indicators could help countries formulate
better indicators for monitoring results In addition a benchmark is needed against
which achievements can be measured
51 Key lessons in terms of policy choices
In the 2007-2013 period strengthening the institutional capacity and efficiency of
public administrations and public services became an ESF objective for convergence
regions (section 22) Supporting SIC interventions in a general or horizontal manner
was new to the 2007-2013 period as increasing administrative capacity was deemed
to be vital for delivering on the Europe 2020 Strategy
The budget spent on SIC interventions has been small in comparison to overall
expenditure under ESF and in comparison to vertical capacity building aimed at labour
market and education institutions (section 34) Impacts are slow to emerge and
difficult to detect which is particularly the case for this priority theme (section 46)
Capacity building takes time and the crisis has had a negative influence on the results
of SIC interventions in the 2007-2013 programming period Community added value
of SIC interventions supported under ESF (section 45) confirms the need for SIC
interventions It therefore stands to reason for the EU to continue funding such
activities in future programming periods
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
73
There are specific areas of interest or fields of activity as referred to in this report
(section 412) which are clearly deemed important in the framework of SIC and that
bear a more direct link to the objectives of the Europe 2020 Strategy These are
visible in the country specific recommendations prepared by the European
Commission but also in the topics chosen by the EU funded network that examined
how to make better use of the ESF for public administration reforms21 ESF SIC
interventions have proven to be instrumental in helping countries follow-up on the
recommendations they receive from the Commission (section 31) At the same time
however many actions focus on more general capacity enhancement In order to
emphasise support for the Europe 2020 Strategy it could be considered to adapt and
further specify the relevant provisions in the ESF Regulation (Article 32b) inserting
those fields of activity that best contribute to this Possible examples include
lsquoimproving the environment for businessesrsquo and lsquoincreasing e-government servicesrsquo
The institutional and political context is a key success or risk factor for capacity
building interventions For all countries it is impossible to achieve results without
political backing and support Some of the countries studied here are still dealing with
structural political and cultural features in their environment that will effectively block
SIC interventions if they are not addressed (section 462)
It is therefore important to make the provision of financial support for capacity
building dependent on proven commitment and capacity in the institutional and
political context As a result the Commission can apply as Knott (2007) phrased it
the logic of consequences The logic of consequences assumes that rational actors will
seek to maximise their welfare or utility through strategic actions Depending on how
it is enforced in practice it constitutes a tool with which resources can be directed to
environments where they are likely to be more effective although MSs with less
favourable conditions in which to choose face an obvious choice Knott quoting
others also distinguishes the logic of appropriateness This logic encourages actorsrsquo
motivation by internalising identities values and norms This raises the question of
whether lsquosofterrsquo methods such as those associated with mutual learning could play a
role in this lsquostrategy for changersquo A good starting point to look for answers is the
existing and ongoing mutual learning benchmarking and policy coordination
mechanisms that are practiced by the EU in its employment and social policies A
second place is the strengthening of mutual learning initiatives for regional and local
actors as these are often absent in regular EU employment initiatives
One of the reasons why output targets are not met includes problems related to the
management of projects by MA and IB (section 46) this would suggest the need to
continue interventions aimed at improving the implementation capacity of such bodies
21 From 1 January 2010 to 31 December 2012 an EU funded project lsquoFacing the Challenge ndash How to Effectively Support Public Administration Reforms by ESF Fundsrsquo sought to learn more about making better use of the European Social Fund for public administration reforms The topics chosen were strategic planning e-governance the partnership principle for better regulation and local development business-friendly administration local government reform
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
74
52 Key lessons in terms of target groups
As discussed earlier in this report target groups have a specific meaning in the
framework of SIC interventions For SIC interventions the distinction between
beneficiaries and target groups is somewhat blurred Typically target groups will be
employees of beneficiary institutions
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions Motivation and capacities of
beneficiaries have been cited as a reason why projects are delayed or abandoned
impacting on the degree to which the envisaged outputs and results are achieved ESF
should therefore continue to provide support to beneficiaries However lessons should
also be learned by MSs on the criteria and conditions to be met by potential
beneficiaries before qualifying for support
One reason why output targets are not met (section 41) involves problems related to
the actual implementation by beneficiaries For a number of countries reports exist
about projects that have been abandoned before completion or not even started
Some projects are also poorly implemented with low quality training on offer Some
interventions do not achieve their target Several factors cause this but the interest
and motivation of beneficiaries are a key factor in the success of a programme Higher
involvement of beneficiaries in the preparation of programmes may provide a means
by which to increase such motivation offer concrete support to project managers in
the form of training or provide mutual learning events as a means to increase their
capacity (section 46) However without the right culture in the public sector which
is attentive to human resource management for example this will be insufficient Of
course other factors will also determine the interest of those participating in SIC
interventions such as workload
For several countries the lack of capacity for project management in the target
organisations may itself constitute a barrier to success This applies to those that are
promoting or managing projects This may endanger project implementation but
above all the consolidation of results
Finally with regard to beneficiary institutions it can be observed that national
institutions are the main beneficiary of ESF SIC interventions In the absence of an
objective criterion for the required degree of local and regional authority involvement
it would be good to monitor the satisfaction of these parties in terms of their
involvement in ESF The same applies to NGOs and social partner institutions (section
312)
53 Key lessons in terms of appropriate programming
A number of conclusions can be drawn regarding the strategic approach taken as well
as the intervention logics developed and applied in MSs (section 31)
Strategic approach and intervention logic are related but they are not the same The
strategic approach starts with a call for a unitary coherent and consistent policy
regarding SIC interventions rather than a series of unrelated independent SIC
interventions This can also result in an overall vision or framework for SIC The
strategic approach can also be applied during implementation Selection procedures
for projects based upon calls for project ideas are an example of this Key factors
related to intervention logics include the identification of intervention areas that
respond to a clear need but will also be sufficiently substantial in reaching a critical
mass whilst also fitting the funding possibilities It also concerns the precise
identification and definition of objectives coherence in instruments outputs and
results Target groups need to be well defined but formal delineations should not
prohibit a dedicated search for the actual intended beneficiaries during
implementation
A substantial part of the capacity building interventions takes place under OPs and PAs
that are of a more thematic or sectoral nature (section 34) From the viewpoint of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
75
expenditure categories the SIC interventions are small compared to other sectors
notably more policy sector oriented categories Nevertheless and perhaps because of
this SIC interventions have a specific role to play in the interaction with vertical
capacity building interventions For developing such a role the following questions
could provide some guidance
How does SIC relate to capacity building activities in the framework of other
priorities
How does SIC contribute to the wider objectives of this strategy as well as
national priorities
How and where do SIC interventions interact with other capacity building
interventions How does alignment take place at the strategic level during
implementation
Should SIC support be horizontal as was often the case during the 2007-2013
programming period or be more focused on certain sectors
What are the underlying considerations and criteria for this
A SIC strategic approach towards capacity building under ESF could be strengthened
with questions such as
What are the overall needs and objectives of capacity building in the country
How does ESF capacity building fit into to the overall PAR strategy
How does it contribute to and how is it supported by it
This comprehensive and strategic approach to capacity building should be the starting
point for the development of a well-defined intervention logic that goes well beyond
the specific objectives into the realm of intermediate and final impacts At present
few indicators at impact level exist but the results indicators seem to harbour
distinctive levels amongst them Objectives and indicators could be better delineated
through the use of the general intervention logic for example which was developed in
the interim evaluation (Ecorys 2011) This study used the following sequence as the
basis for the objectives tree underlying the intervention logic better administration
performance leads to more effective governance that in turn will ensure a better
response to citizensrsquo and firmsrsquo needs which will eventually contribute to
competitiveness and growth in the European Union
Nevertheless a word of caution is in order here The ESF plays an important role in
providing support for SIC interventions The efforts made are large but the
performance of these interventions seems lower than desired SIC interventions were
less likely to achieve their output targets than ESF interventions in general (section
41) and evidence on quality improvements in public administrations is mixed (section
46) This lower performance may be partly explained by inexperience in target setting
for this type of activity and it does not prevent progress being made Progress is in
fact being made albeit slower in some countries and faster in others Capacity
building needs time For the newer MSs it has been a process driven largely by the
EU-accession process over a long time The 2007-2013 programming period could
have been the period during which the EU assumptions and objectives regarding the
role of modern public institutions could have become more internalised The crisis
has however been a strong counteracting force in this respect with an immediate
impact on staff and human resources development in public institutions Admittedly it
requires time and a long-term perspective for capacity building to realise its effects
and reach the top level of the objectives tree Support to countries in this process
should take into account the five key factors that influence the success of SIC
interventions management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
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Thematic EU synthesis report Strengthening Institutional Capacity
76
54 Key lessons in terms of effective implementation
Issues concerning the management of the OP or PA are often linked to the lack of
administrative capacity in the Managing Authority or Intermediate Body itself (see
Annex III) both in quantitative and in qualitative terms Significant personnel outflow
along with complicated rules and errors in the implementation process as well as
often changing rules contributed to mistakes being made in financial reporting by
beneficiaries (section 46) Vice versa an attentive MA closely monitoring and
aligning project and financial considerations will be a contributing factor to a
successful programme implementation
Other lessons concerning the implementation of ESF interventions relate to
coordination and cooperation Efficient coordination of different funded activities and
efficient cooperation between different organisations involved are factors for success
(section 463) the lack of these elements was identified as a reason for the
unsuccessful implementation of programmes Coordination is also required to avoid
overlap in activities especially when targeting NGOs or local governments as there is
a greater risk that they are being approached from multiple directions for similar
interventions Coordination or alignment of training interventions for example can
also help increase the effectiveness and sustainability of the individual interventions
Fragmentation is in turn likely to increase costs and decrease impacts
55 Key lessons in terms of monitoring
With a greater number of improved indicators it will also be possible to improve
monitoring and evaluation so that results and impacts can be better traced during the
new programming period However this is potentially at odds with the intention to
minimise the administrative burden for organisations involved in the implementation
of ESF interventions For this reason the following improvements have been
suggested
A specificity of SIC PAs and actions seems to be that they tend to cover such a
variety of activities that a comparison of financial and participantsrsquo data is
rather meaningless (section 314) The introduction of compulsory types of
indicators per type of intervention according to a classification of interventions
can be beneficial such as the pre-existing one for training the number of
participants would also help in solving this issue
Ex-ante review of output and result indicators which have been proposed by
MSs to see if they comply with SMART criteria as a minimum measurable and
time-bound
Categorisation of indicators in the SFC database with categories such as the
number of persons supported number of organisations supported number of
studies provided etc
The fields of activity mentioned under section 51 represent objectives at various
levels in the intervention logic Sometimes these fields represent expected results
from the capacity building interventions (introduction of e-government systems and
more efficient public administration) sometimes they seem more focused on impacts
directly following from these results (a business-friendly environment and less
corruption) and sometimes they focus on a specific sector (judiciary reform) They
seem to move back and forth between results and intermediate impacts or between
capacity and performance outcomes More systematic guidance on where to situate
these fields could help countries formulate better indicators for monitoring results
In order to draw conclusions it does not suffice to just have good indicators One
must also establish a benchmark against which achievements can be measured
Sometimes other interventions or countries can act as a benchmark However
additional information is sometimes required This is illustrated by the example of
gender A more direct approach would be to develop indicators or targets that include
such a benchmark such as those based on proportional participation (section 44)
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77
56 Key lessons in terms of evaluation
One of the main shortcomings encountered during this evaluation is the lack of
information on achievements (in terms of results) and on impacts
Concerning results several limitations hamper the formulation of a concise and clear-
cut assessment of achievements causality and extent to which results have been
achieved at the level These relate to the quality and availability of monitoring data
and the heterogeneity of national evaluations coupled with a broad range of
intervention logics Furthermore information from national evaluations is typically of a
more qualitative nature with less evidence-based findings and is thus not conducive
to drawing hard conclusions
The formulation of impact indicators is not mandatory and they turn out to be virtually
absent This problem is not compensated for in national evaluations
Any attempt to measure impacts must begin with the formulation of a good
intervention logic as well as an objectives tree Two approaches could be envisaged
Bottom-up measuring the impact of individual activities (actionsPAsOPs)
aggregating the evaluation findings for such individual activities (etc) and
using the indicators developed in the MSs
Formulating one or more lsquoframework intervention logicsrsquo with specific
objectives that are the compulsory final targets of any action of MSsrsquo indicators
Both approaches require further examination with regard to their feasibility The
aggregation of findings from a large number of evaluations may lead to abstract
conclusions that convey little more than a final quantitative score in the most
extreme cases they will only convey whether there has or has not been an impact
This effect can perhaps be mitigated by the agreement of guidelines on the structure
of evaluations carried out at national level With regard to the framework intervention
logic it is important to determine whether this can do justice to the individual and
specific character of the programmes in light of the national contexts This approach
may also imply that the formulation of actions must be aligned with the envisaged
specific objectives of the framework logic The current variety in programming SIC
interventions would need to be reviewed both in terms of the benefits it brings to MSs
in targeting their interventions and the drawbacks it has for evaluation
The distinction between capacity enhancement and performance indicators raised by
the World Bank Institute and their overview of capacity enhancement indicators can
help MSs formulate appropriate (results and) impact indicators
During the analysis of efficiency (section 42) it became apparent that the nature of
SIC activities makes it hard to apply the usual indicators for efficiency based on costs
per participant or institution supported In order to arrive at meaningful indicators
financial data would need to be available at activity level so that they can be linked to
a typology of activities As this seems to be too cumbersome an obligation to be
introduced into the regular monitoring system it is recommended that this should be
addressed in the national ex-ante evaluations so that synthesis evaluations can
expand upon this
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Thematic EU synthesis report Strengthening Institutional Capacity
78
References
De Koning et al (2006)
Jaap de Koning Katja Korolkova Emiel Maasland Peter van Nes With the assistance
of Marinka van de Kamp Jan Joost Kessler Evaluation of the ESF support to capacity
building Final report October 2006
Ecorys (2011)
Jan Maarten De Vet Aimar Ferran Guijarro Sacha Koppert Colm McClements
Assessment of administrative and institutional capacity building interventions and
future needs in the context of European Social Fund(VC2009066-009) April 2011
Europan Union (2010)
European Union The European Social Fund and institutional capacity of public bodies
2010
European Commission (2012)
European Commission Quality of public administration European Semester 2012 ndash
Thematic Fiche 2012
European Commission (2013)
Strategic Report 2013 ndash Programme implementation 2007-2013 Factsheet
Institutional Capacity Building Factsheet produced in support of the Commission 2013
Strategic report on cohesion policy programme implementation 2007-2013
European Commission (2013b)
Report from the Commission to the European Parliament the Council the European
Economic and Social Committee and the Committee of the Regions Cohesion policy
Strategic report 2013 on programme implementation 2007-2013 SWD(2013) 129
final
European Commission (2014)
European Commission Directorate-General for Employment Social Affairs and
Inclusion Unit E1 Promoting good governance European Social Fund thematic paper
2014
European Commission (2014b)
European Commission Reindustrialising Europe Member Statesrsquo Competitiveness
Report 2014 Commission staff working document SWD(2014) 278 2014 (chapter 2
Public administration scoreboard)
European Commission (2014c)
Guidance document on indicators Public Administration Capacity building 2014
EIPA (2013)
Guidelines for the verification process of the ex-ante conditionality of the thematic
objective ldquoEnhancing Institutional capacity of public authorities and stakeholders and
efficient public administrationrdquo Guidelines drafted by the European Institute of Public
Administration (EIPA) on behalf of DG Employment Social Affairs and Inclusion of the
European Commission Version 6 - 14 August 2013
EIPA (2014)
Alexander Heichlinger Nick Thijs Julia Bosse From Strengthening Administrative
Capacity Building (ACB) to Public Sector Innovation (PSI) Building Blocks and
Successful lsquoBridgesrsquo EIPA 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
79
Ferry (2013)
Martin Ferry The Achievements of Cohesion Policy Evidence and Methodological
Challenges from an EU 10 Perspective European Policies research Centre University
of Strathclyde May 2013
Panteia (2013)
Panteia Preparatory study for the ex-post evaluation of ESF 2007-2013 Final report
October 2013
Knott (2007)
Julian Knott the impact of the EU accession process on the establishment of
evaluation capacity in Bulgaria and Romania in International Public Policy Review
Vol 3 No 1 ndash June 2007
The Worldwide Governance Indicators 2015 Update Aggregate Governance Indicators
1996-2014 Sept 25 2015
The World Bank (2003)
Yemile Mizrahi Capacity Enhancement Indicators Review of the Literature WBI
Evaluation Studies No EG03-72 World Bank Institute
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
80
Annex I - Overview of OPs PAs and Actions explicitly addressing SIC
MS OP PA A1 A2 A3 A4 A5 A6
BG OP Human Resources Development
PA 6
Improving the effectiveness of labour market
institutions and of social and
healthcare services
61 Development and modernisation of
the labour market system
62 Strengthening the capacity of
institutions for social inclusion
and for provision of health services
BG OP Administrative Capacity
PA 1
Good governance
11 Effective Structure of the State
Administration
12 Transparency and Integrity of
the State
Administration
13 Effective Coordination and Partnership
in Policy-Making
and Implementation of Policies
14 The Administration ndash Partner of the
Business
15 Transparent and Effective
Judicial System
16 Transnational and Inter-
regional
Cooperation
BG OP Administrative
Capacity
PA 2
Human resources
management
21 Modern human resources
management in the state administration
22 Competent and effective
state administration
23 Strengthening
the capacity of the civil society structures
24 Competent judicial system and
effective human resource management
25 Transnational
and interregional cooperation
BG OP Administrative
Capacity
PA 3
Quality administrative
service delivery and e-Governance development
31 Improvement of
the service delivery to the citizens and the business sector including through e-governance
development
32 Standard information and
communication environment and interoperability
33 Improvement of
the service delivery provided by the bodies of the judiciary through development of
information technologies
34 Transnational and interregional
cooperation
CZ Operational Programme
PA 4
Public administration
41 Strengthening of
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81
MS OP PA A1 A2 A3 A4 A5 A6
Human Resources
Development
and public services
institutional capacity and
efficiency in public administration
EE OP for Human Resource Development
PA 5
Enhancing administrative capacity
Measure ldquoEnhancement of strategic
management of the public sector and NGOsrdquo
Measure ldquoBetter regulationrdquo
Measure ldquoTraining and development of
employees of the State local authorities and NGOsrdquo
Measure ldquoSupporting county-level
support structuresrdquo
EL OP for Human
Resource Development
PA1 ldquoImproving
national public policies
modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA2 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA3 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human Resource Development
PA4 ldquoDevelopment of the human capital in the public
administration
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Thematic EU synthesis report Strengthening Institutional Capacity
82
MS OP PA A1 A2 A3 A4 A5 A6
EL OP for Human Resource
Development
PA5 ldquoDevelopment of the human
capital in the public administration
EL OP for Human Resource Development
PA6 ldquoDevelopment of the human capital in the
public administration
EL OP for Human Resource Development
PA7 Strengthening policies aiming at ensuring
equal
opportunities for all in the whole range of the public administration
EL OP for Human Resource Development
PA8 Strengthening policies aiming at ensuring equal opportunities for
all in the whole range of the
public administration
EL OP for Human Resource Development
PA9 Strengthening policies aiming at ensuring
equal opportunities for all in the whole
range of the
ESF 2007-2013 ex-post evaluation synthesis
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83
MS OP PA A1 A2 A3 A4 A5 A6
public administration
HU State Reform OP
PA 1
Renewal of processes and organisation
development
11 Improvement of the capacity for
self-governance and the quality of legislation
12 Renewal of procedures and work processes
as well as organisation development
HU State Reform OP
PA 2
Improving the quality of human resources
21 Establishment of open recruitment and an efficient internal
replacement
22 Performance-based career pathways
HU State Reform OP
PA 3
Developments to be attained in the Central Hungarian Region
31 Renewal of the processes and organisational development
32 The improvement of the quality of human resources
IT Campania ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies programming
monitoring and
evaluation capacities at the National regional and local level with a view to
improving territorial governance
Specific Objective P ndash Strengthen capacity of institutions and
systems for the
implementation of policies and programmes
IT Calabria ROP PA Institutional Specific Specific
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Thematic EU synthesis report Strengthening Institutional Capacity
84
MS OP PA A1 A2 A3 A4 A5 A6
7 capacity Objective P ndash Improving
policies programming monitoring and evaluation
capacities at the National regional and
local level with a view to improving territorial governance
Objective Q ndash Strengthen
capacity of institutions and systems for the implementation
of policies and programmes
IT Sicily ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation
capacities at the National regional and local level with a view to
improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation
of policies and programmes
IT Basilicata ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies
programming monitoring and
evaluation capacities at the
Specific Objective P ndash Strengthen capacity of
institutions and systems for the
implementation of policies and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
85
MS OP PA A1 A2 A3 A4 A5 A6
National regional and
local level with a view to improving territorial
governance
programmes
IT Apulia ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation capacities at the
National regional and local level with a view to improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation of policies and
programmes
IT Governance and System Actions
(Ministry of Labour)
National OP
PA E5
Institutional capacity
Specific Objective 51 (Increasing
innovation effectiveness
and transparency of public action)
Specific Objective 52 (Improving
inter-institutional negotiation
capacities with specific reference to public-private partnerships)
Specific Objective 53 (Improving
public services standards)
Specific Objective 54 (Defining together with
Regions standards and methodologies
for managing monitoring evaluating and supporting ESF and non-ESF interventions
quality and effectiveness as
well as their reciprocal
Specific Objective 55 (Strengthening
and integrating the
environmental governance system)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
86
MS OP PA A1 A2 A3 A4 A5 A6
complementarity)
IT Competencies for development (Ministry of
Education) National OP
PA 2
Institutional capacity
Specific Objective H (Improving Education
System Governance and Evaluation)
LT OP for the Development of Human Resources 2007-2013
PA 4
Fostering Administrative Competences and Increasing Efficiency of
Public Administrationrdquo
Specific Objective 1 Improving management of human resources
and strengthening
administrative capabilities in public service
Specific Objective 2 Improving management of activities better
implementing EU policies
improving structure of public administration
Specific Objective 3 Improving regulation of economic
activities and providing
services to people and business
LV OP Human Resources and Employment
PA 5
Administrative Capacity Building
51 Better Regulation Policy
52Capacity Building of Human Resources
53 Administrative Capacity and Development Planning Capacity
Building of
Planning Regions and Local Governments
MT OP II -
Empowering people for more jobs and
a better quality of life
PA
4
Strengthening of
institutional and administrative capacity
Supporting
public sector reform
Lifelong learning
for the Public Sector
Strengthening
the quality of employment services
Promoting a more
effective social and civil dialogue in Malta
ESF 2007-2013 ex-post evaluation synthesis
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87
MS OP PA A1 A2 A3 A4 A5 A6
PL Human Capital Operational
Programme
PA 5
Good governance
51 Strengthening
potential of government administration
52 Strengthening
potential of local government administration
53 Support for implementation
of the Lisbon Strategy
54 Development of the third
sectorrsquos potential
55 Development
of social dialogue
RO OP ACD ndash Operational Programme
Administrative Capacity Development
PA 1
Improving structure and processes of
public policies cycle management
11 - Improving decision making processes at
administrative and political level
12 ndash Increasing public administration
responsibility
13 - Improving organisational effectiveness
RO OP ACD ndash Operational
Programme
Administrative Capacity Development
PA 2
Improving quality and
efficiency of
public services with a focus on decentralisation
21 ndash Support for sectoral
decentralisation
of services
22 - Improving quality and
efficiency of
public services
SI OP Development
of human resources for the period 2007-2013
PA 5
Institutional and administrative
capacity
51 Efficient and effective public
administration
52 Reform of the institutions
in the labour market
SK Operational Programme
Employment and Social Inclusion
PA 4
Capacity building and
enhancement of the quality of public administration
41 Enhancement of
services quality provided by public administration and NGOs ndash activities focused
on increasing of quality and effectiveness of
the services
42 Establishing of quality
management systems in public administration and NGOs in the field of employment and
social policy ndash improvement of process
management in
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
88
MS OP PA A1 A2 A3 A4 A5 A6
provided by public
administration
public administration
was planned NOTE not implemented
UK West Wales and the Valleys ESF
Convergence programme
PA 4
Modernising and improving the quality of public
services
A = Action see section 312 for clarifications
Source Country experts based on relevant Operational Programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
89
ANNEX II Country specific recommendations in the field of SIC
2007 2008 2009 2011 20122013
BG urgently further strengthen administrative
capacity in particular focusing on key government functions including regulatory authorities and the judiciary
adopt new measures and
rapidly implement adopted measures to
substantially cut red tape and shorten procedural
delays in order to improve the business environment (in particular for SMEs and facilitating start-ups) which will also help in the fight against corruption
tackling undeclared work
by strengthening
institutional capacity to perform inspections and ensure legal enforcement
urgently further strengthen the efficiency and the
effectiveness of the public administration in particular by focusing on key government functions including the competition
supervisory and regulatory authorities and the judiciary and continue taking all measures necessary to ensure effective financial controls and
sound management of structural funds
rapidly adopt and implement
new measures to substantially cut red tape at central and local level and shorten procedural delays in order to improve the business
environment which will also help in the fight against corruption -
(low efficiency of public services quality of staff or key functions e-services)
enhance administrative capacity in key government functions and regulatory authorities in order to make
public services more effective in responding to the needs of citizens and businesses introduce measures to check
public procurement on the basis of risk assessments
strengthen the capacity of the authorities to prevent and sanction irregularities in order to improve quality and value-for-money in the use of public funds
(The use of EU funds remains low )
Complicated administrative procedures
business and regulatory environment
e-government
Step up efforts to enhance
administrative capacity and reforms by reducing red tape
and the cost of tax compliance and collection and further improving the absorption of
EU funds Improve the quality and independence of the judicial system and speed up the introduction of e-government Strengthen public administrative capacity in key transport sectors and
regulatory authorities
Ensure sound implementation
of public procurement legislation Strengthen the prevention of irregularities and effectively apply the sanctions under the Public Procurement
Law and those of the Law on Conflict of Interest
CZ speeding up progress in speeding up progress in (quality of the Czech legal (efficiency of public
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
90
2007 2008 2009 2011 20122013
the ICT area including by implementing and monitoring the development of a fully
enabling legal environment for e-government
meet targets for reducing the administrative burden on enterprises
further developing access
to finance for innovative companies
the ICT area including by implementing and monitoring a fully enabled legal environment for e-
government
and regulatory framework frequent and far-reaching reorganisations of PA impede its efficiency transparency of
public procurement
improve the quality of public services in areas essential for the business environment In this context speed up the
implementation of the anti-corruption strategy in line with the identified targets adopt
the Public Servants Act to promote stability and effectiveness of the public administration and revise the
Commercial Code to abolish anonymous shareholding
administration
e- services
reduction of administrative burden for businesses
Anticorruption
adoption of the new Public Procurement Act)
Adopt and implement as a matter of urgency the Public
Servants Act to promote
stability and effectiveness of the public administration to avoid irregularities
Ensure adequate implementation of the new Public Procurement Act
Address the issue of anonymous share holding
Ensure correct implementation
of EU Funds and step up the fight against corruption
EE - launching the new
immunity and leniency programme and
strengthening competition enforcement
One of the aims within the Priority Axis 5 ldquoEnhancing administrative capacityldquo of OP
for Human Resource Development was to provide more modern and efficient public services From the standpoint of the public
service training and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
91
2007 2008 2009 2011 20122013
developmental activities it was considered important to assist in the unified formation of the know-how for public
sector workers public servants and NGOs (incl social partners) as regards job skills management cooperation and coordination However the ESF did not
support directly the merging of municipalities)
- (Being limited in size the majority of local governments have difficulties to universally deliver the necessary social
health labour market transport and educational services)
- - Enhance fiscal sustainability of
municipalities while improving
efficiency of local governments
and ensure effective service provision notably through stronger incentives for merger or increased cooperation of municipalities
EL - modernises its public administration by building
up effective regulatory control and enforcement
capacities including
- implement the reform of its public administration
by building up effective regulatory control and
enforcement capacities
- implement reform of the public administration by
building up effective regulatory control and enforcement capacities with
an emphasis on simplifying
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
92
2007 2008 2009 2011 20122013
through upgrading skills so as to also ensure effective use of Structural Funds
by modernising its human resources policy and through effective use of the Structural Funds
- improve further the transposition of internal market legislation
the regulatory environment for business and citizens and reducing red tape
HU - reforms the public administration health
care pension and education systems with a view to ensuring long-term fiscal sustainability and improve economic
efficiency - further reductions of the
administrative burden on enterprises
- continue to reform the public administration
healthcare pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic
efficiency - improving the regulatory
environment through further reducing administrative burden and legislative simplification
- continue to reform the public administration health care
pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic efficiency
- PES administrative capacity - Improve the business
environment by implementing all the measures envisaged for regulatory reform and lowering administrative burdens in the National
Reform Programme
- (transparency and quality of public administration where
progress would also help in improving the stability of the institutional and policy environment)
- capacity of the PES
- Implement measures envisaged to reduce the
administrative burden Ensure that public procurement and the legislative process support market competition and ensure a stable regulatory and business-friendly
environment for financial and nonfinancial enterprises including foreign direct
investors Reduce tax compliance costs
IT - strengthening and fully implementing the system of impact assessment for proposed regulation
- improving the efficiency of regulatory environment
with particular focus on legislative simplification
- support economic activity by advancing implementation of
EU programmes financed by EU structural funds
- (to enhance the performance-orientation and accountability of the public administration
scope for removing regulatory and administrative barriers in product and services markets particularly in professional services)
- Take steps to accelerate
- (deficiencies in terms of administrative capacity continue to hamper absorption
and hence the implementation of the Plan notably in the convergence regions complex and burdensome tax administrative procedures
Although some measures have
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
93
2007 2008 2009 2011 20122013
growth-enhancing expenditure co-financed by cohesion policy funds in order to reduce the persistent disparities between
regions by improving administrative capacity and political governance Respect the commitments made in the national Strategic Reference Framework in terms of the
amount of resources and quality of expenditure
already been adopted to encourage administrative simplification the business environment in Italy remains
complex In particular the judiciary system suffers from a number of inefficiencies in terms of resource utilisation procedures and institutional organisation that are reflected
in the low performance of the Italian civil justice in particular as regards the excessive duration of case-
handling and the amount of backlogs)
- Simplify further the regulatory
framework for businesses and enhance administrative capacity Implement the planned reorganisation of the civil justice system and promote the use of alternative dispute settlement mechanism
LT - improving the efficiency
of regulatory environment with particular focus on legislative simplification
- support economic activity by
advancing implementation of EU programmes financed by EU structural funds
business environment
strengthen business inspectorates increase transparency and reduce the administrative burden on business
LV
(poor transparency complicates evidence-based local decision making)
Take measures to improve
management and efficiency of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
94
2007 2008 2009 2011 20122013
the judiciary in particular to reduce the backlog and length of procedures Take steps to improve the insolvency regime
and the mediation laws
MT - introducing systematic impact assessment and speeding up progress towards simplification of regulations
- further improving the regulatory environment by continuing simplifying legislation by introducing systematic impact assessments and effective
one-stop-shops for business start-ups
PL - improving human capital and incentives to work
- speeding-up the business
registration process - ensuring timely
implementation of the e-
government programmes - improve the transposition
of internal market legislation
- (quality of the business environment and efficiency of public administration is low)
- Establish a timetable to
simplify legal procedures involved in enforcing contracts revise construction and zoning legislation with a view to streamlining appeal procedures and speeding up administrative procedures
- (business remains high and public administration continues to lack efficiency The main areas of concern
include high compliance costs complex and unstable tax legislation weak contract enforcement lengthy and burdensome licensing Judicial proceedings and other legal actions are lengthy and there
are a relatively high number of cases pending)
RO - urgently strengthen
administrative capacity at both central and local levels of government by building up effective
regulatory control and enforcement capacity
- take rapid measures to
reduce substantially
- strengthen the efficiency effectiveness and independence of the public administration at both central and local level by building up
effective regulatory control and enforcement capacity
- in the context of a coherent
better regulation policy
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
95
2007 2008 2009 2011 20122013
administrative procedures and delays to obtain authorisations as part of a coherent better regulation
policy in order to improve the business environment which will also help in the fight against corruption
urgently implement measures to substantially reduce administrative procedures and delays in obtaining
authorisations in order to improve the business environment which will also help in the fight against corruption
SI - strengthening the enforcement of the legal framework for protecting intellectual property rights
NA NA Streamline regulated
professions and improve the administrative capacity of the Competition Protection Office in order to enhance the
business environment and attract investment
NA
SK - Reduction of
administrative burden is a must
- -Recommendations to improve the evaluation system and to stabilise the administrative
capacities improvements
in the better regulation system
- improve the regulatory
environment notably by implementing a comprehensive better regulation strategy covering both impact assessment and simplification of existing
legislation - full implementation of
one-stop-shops for start-up companies
- implement a comprehensive
better regulation strategy conduct impact assessments and continuously simplify the existing legislation while stepping up the reduction of administrative burdens on businesses particularly SMEs
(quality of the business
environment and efficiency of public administration is low)
- Establish a timetable to simplify legal procedures involved in enforcing contracts revise construction
and zoning legislation with a
view to streamlining appeal procedures and speeding up administrative procedures
(business remains high and
public administration continues to lack efficiency The main areas of concern include high compliance costs complex and unstable tax legislation weak contract
enforcement lengthy and
burdensome licensing Judicial proceedings and other legal actions are lengthy and there are a relatively high number of cases pending)
Strengthen the quality of the
public service including by
improving management of human resources Further
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Thematic EU synthesis report Strengthening Institutional Capacity
96
2007 2008 2009 2011 20122013
shorten the length of judicial proceedings and strengthen the role of the Public Procurement office as an
independent body
UK NA NA
NA NA NA
Sources own analysis of country specific recommendations
Annex III - Factors influencing success and failure of SIC interventions for individual countries per category
Management
The activation of a clear well dimensioned and recognised SIC theme management structure able to assume and carry out the oversight of the various implementing interventions and
equally important of the relations between the different actors and stakeholders (IT)
A ldquoCapacity traprdquo is often at work in weak regions SIC is affected by the same problems that should be solved This reinforces the need for a strong and result oriented governance (IT)
the constant concern of the MA for managing the programme in correlation with the available resources at the level of OP ACD The financial allocation was correlated with the specific objectives of OP ACD for each Priority Axis The financial reallocations between the KAIs of
the same PA show the concern for correlating the available financial allocations with the interest shown by potential beneficiaries and for maintaining the balance between the allocated resources and the result indicators of the programme (RO)
Lack of administrative capacity of the Intermediate Body This was demonstrated for example by a long length of the projectsrsquo evaluation process and by frequent requirements of the IB to get exceptions from the Operational Manual (CZ)
Personal fluctuation and related staffing instability of the IB in projectsrsquo administration (CA)
Finally the SROP projects have extensively involved external experts which proved not to be the guarantee of the success of the SROP projects supposing the lack of familiarity with the local administration (HU)
The low capacity level of MA OP DAC both in terms of headcount and in terms of experience and expertise The significant personnel outflows prevented the development of the OP DAC team in an adequate manner causing faults in communicating with beneficiaries and in effectively managing project implementation from the programme level (RO)
Relevance and quality of the activities for the target groups (eg relevant and high quality
trainings for different categories of civil servants) (LT)
Complicated administration of the projects and often changed rules (SK)
Huge number of mistakes in financial reporting timesheets eligible and non-eligible costs direct and indirect costs (SK)
Non-observance of deadlines by first level financial control (SK)
Strategic approach and intervention logic
Romania The analysis developed in order to support the OP ACD correctly identified the
horizontal issues affecting the Romanian public administration but its lack of focus on types of beneficiaries and target groups led to the elaboration of a programme with objectives which are difficult to quantify with a low level of prioritisation and with an untargeted implementation strategy The lack of depth of the analysis underpinning OP DAC is the weakest point in the logic of intervention of the programmerdquo For some indicators the targets
were not correctly planned due to a lack of analyses and research studies but there were also cases when the targets became unrealistic during the programming period due to the
context changes occurred Finally beneficiaries often lacked a strategic approach particularly in respect of the decentralisation process The question to be answered here is whether these problems were due to contextual factors as described above or had to do with the capacity of institutions and people the very thing the interventions were supposed to address
The approach based on calls for project ideas (for large projects) was one mechanism used
for this strategic approach which proved to be successful This approach resulted in an increased relevance to KAI considering also the contribution to meeting the specific objectives (RO)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
98
SIC requires structural and long-term strategy (IT)
Evaluation of SIC must identify a proper theory of change based on fundamental mechanisms and has to identify the structural changes in the PA (IT)
The definition and implementation of SIC theme as an internally coherent and consistent policy line and not as a sum or juxtaposition of single interventions (IT)
The ex-ante identification of few and relevant areas of interventions to tackle with an adequate funds and resources critical mass (IT)
The Public Administration(s) capacity to identify precise objectives definite implementing actions coherent instruments and coherent responsibilities for results and outputs (IT)
Well-developed intervention logic (it was a positive factor in the case of successful development of HR and a negative factor in the case of system-level reforms under PA 4 in Lithuania) (LT)
The target groups of OP DAC are generally relevant for the programme intervention logic but the lack of individualization coming out of the supporting analysis led to their identification in a rather general manner (RO)
Motivation and capacities of beneficiaries
Proper motivation of target groups (for instance in certain cases lack of motivation was one of the key negative factors affecting the results of trainings funded under PA 4 in Lithuania) (LT)
The willingness of the public sector to engage in training activities and the provision of training which is organised in a manner which caters for the need of the public sector (MT)
The evaluation points to the importance of the support of local government leaders as key issues in the success of the interventionsprojects Without strong support the projects have never been successful (HU)
Projectslsquo beneficiaries that resign from the projects lsquorealisation or cancel their projectslsquo proposals (CZ)
guarantors of the projectslsquo proposals that have not enforced implementation of their projects within their subordinate organisations (CZ)
Leadership and organisational maturity on the part of project implementersmanagers Low organisation maturity was a somewhat negative factor in HR trainings funded by ESF (a large part of trainings was implemented by private companies) At the same time it was a positive factor in the case of initiatives focusing on the improvement of internal management activities within public institutions (LT)
The ability of civil society organisations to consolidate their efforts and participate in actions is an important aspect to be addressed as the success of civil organisations depends on their ability to strengthen their capacity and networking opportunities (MT)
The low capacity of project beneficiaries in project formulation implementation and the lack general project management skills (RO)
Errors in implementation process and huge number of projects that were not completed (SK)
Cooperation and coordination
Efficient coordination of different funded activities and efficient cooperation between different institutions in implementing the changes An incomplete cooperation between institutions was
responsible for only partly successful implementation of e-governance measures (LT)
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Thematic EU synthesis report Strengthening Institutional Capacity
99
inter-ministerial coordination structures that not work continuously (CZ)
Context factors
PAR
The existence before ESF intervention of a clear and explicit capacity building strategy to be integrated and boosted by ESF funding (but able to go beyond ESF support) (IT)
The existence of strategic vision (at statesystem level) in relation to the implemented interventions (LT)
Legislation
Maladjustment of the applicable law to the IT projects In many cases existing regulations require the delivery of documents in paper form Therefore the introduction of electronic services was possible only partially So it is necessary to modify certain provisions as well as
identify such barriers at the stage of diagnosis (PL)
A systemic issue which also causes a significant negative impact on the low efficiency of OP DAC by the end of 2012 is the complex legislation in the area of public procurement and its different interpretation by the institutions involved in certifying and controlling the subsequent procedures (RO)
Huge number of mistakes in public procurement (often changed rules as well) (SK)
Institutional and political
The support and awareness of political authorities and institutions involved on the importance of reformschanges (LT)
Changing political environment (EL SI)
Politicised institutional environment (EL HU)
the support by politicians (SI)
Source Own elaboration on the basis of information provided by Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
100
Annex IV - Evaluations relevant to SIC interventions
The following table provides an overview of Member States evaluations that focus on ESF
SIC interventions and were an important source for the assessments made in this
chapter
Table 22 SIC related evaluations in Member States ESF 2007-2013
MS Relevant evaluations for SIC
BG OPAC Interim Evaluation Report for the period 2007-2013 first Report on the evaluation of OP AC implementation for the period January-
December 2014 May 2015
CZ Supreme Audit Office of the Czech Republic Information from the control action No
1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
Ministry of Interior (2015) Annual report on Smart Administration strategy for the period 142014 ndash 3132015 Ministerstvo vnitra Ročniacute zpraacuteva o Smart Administration
za obdobiacute od 14 2014 do 313 2015 Informace pro vlaacutedu Českeacute republiky zpracovanou 3042015
Ministry of Labour and Social Affairs (2014) Final report from the internal evaluation of the PA 4 of the OP HRE Ministerstvo praacutece a sociaacutelniacutech věciacute Zaacutevěrečnaacute zpraacuteva z interniacute evaluace provaacuteděniacute PO 4 OP LZZ
EE The evaluation of the effectiveness and the impact of the PA 5 ldquoRaising Estonian
administrative capacityrdquo CPD 2011 in Estonian
httpwwwstruktuurifondideepublicInimressursi_arendamise_rakenduskava_IARKpdf
Executive summary in English httpwwwavalikteenistuseepublicHaldusmeedeEvaluation_Report_Administrative_Capacity_Estonia_2011_-_Executive_Summary_-_Logopdf
EL Logotech-Prooptiki 2007 lsquoEx-ante evaluation of the OP Administrative Reformrsquo March
2007 Athens EEO Group-Eurotec 2013 lsquoInterim evaluation of the OP Administrative Reformrsquo
February 2013 Athens EEO Group-Eurotec 2014 lsquoField research on women non-governmental organisations
active in the fields of equality and human rights protectionrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network of improving the quality of
public services towards enterprisesrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network supporting consumers in issues
relating to indebtednessrsquo Athens
HU Final evaluation (AAM 2012) Final evaluation report on the State Reform OP 2007-2010
institutional development projects executed (Eacuterteacutekeleacutesi zaacuteroacutejelenteacutes az AacuteROP 2007-2010 koumlzoumltt megvaloacutesiacutetott szervezeti ceacuteluacute fejleszteacuteseiről) AAM Consulting November
2012 httpswwwpalyazatgovhukozigazgatasi_fejlesztesek_ertekelese Executive Summary ndashEx-post evaluation of the organisational development measures
founded by the State Reform OP AAM consulting nov 2012 (Az Aacutellamreform OP szervezetfejleszteacutesi ceacuteluacute fejleszteacuteseinek eacuterteacutekeleacutese)
SROP case DUNAUacuteJVAacuteROS (2014) Study paper on the evaluation and revision results of previous State Reform OP system development project (Tanulmaacuteny a koraacutebbi AacuteROP szervezetfejleszteacutesi projekt eacuterteacutekeleacutesi eacutes feluumllvizsgaacutelati eredmeacutenyeiről -
Eredmeacutenytermeacutekek hasznosulaacutesaacutenak eacutes horizontaacutelis szempontok eacuterveacutenyesuumlleacuteseacutenek vizsgaacutelata) Case project of the local government of DUNAUacuteJVAacuteROS (SROP - 1A5 ndash 2013-2013-0090) 2014 February 28
httpwwwdunaujvaroshusitesallfilesdokumentumokpalyazatokarop1a5dunaujvaros_korabbi_arop_felulvizsgalat_1_tanulmany_v30pdf
IT Annual evaluation reports of the Governance and System Actions OP (4 covering until
now w 2011 2012 2013 2014)
LT Evaluation of the implementation of result indicators in the Human Resources
Development Programmes priority axis 4 measures 2 and 3 2009 Evaluation of the quality and effectiveness of the training financed by the ESF 2011 Interim evaluation of the Human Resources Development Operational Programmes
priority axis 4 Final evaluation report 2013
European Union Structural Funds Investments for Human Resource Development 2015
Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
101
MS Relevant evaluations for SIC
Improvement of Public Management in Lithuania 2014
LV Ongoing evaluation started in 2014 Impact evaluation of 151 Better Regulation
Policy and 152Capacity Building of Human Resources
lsquoImpact evaluation of the activities implemented under the Operational Programme ldquoHuman Resources and Employmentrdquo and Operational Programmersquos Compliment measures 151 ldquoBetter Regulations Policyrdquo and 152 ldquoStrengthening Capacity of Human Resourcesrdquo during the 2007 ndash 2013 programming periodrsquo 2015 httpwwwesfondilvuploadPetijumi_un_izvertejumigala-zin_pec-saskanosanas-sanaksmes_081015pdf
MT Thematic Evaluations presentations PWC dated October 2014 and May 2015 available
at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx The Thematic Evaluation is not published
PL Assessment of the level of achievement the HC OP main and specific objectives as well
as impact of the ESF funds on results accomplished within specific areas of intervention ndash II thematic report (2015) - The main goal of this research was to assess the contribution by ESF funds to the results achieved within specific areas of intervention and their impact on the social and economic changes in Poland (including the level of satisfaction in the population living in the areas receiving support)
Evaluation of the indicator named Gender Index in the institutions participating in the
implementation of the HC OP (2011) ndash Main topics Recruitment releases remuneration promotion training and development work-life balance and prevention of mobbing and sexual harassment - measured in the HC OPrsquos implementing institutions
Evaluation of barriers and legal gaps in the effectiveness of the European Social Fundrsquos support (2013) - legal system of a country and its coherence with ESF requirements
opportunities and provisions Public administration - effective and modern (2011) - achievement of Measures
objectives with regard to capacity of public administration possible strengthening of its potential and modernisation of management system and structure
RO Second interim evaluation OP ACD 2010-2012 - Second evaluation OP ACD 2013 Performance evaluation of OP ACD management and implementation ndash OP ACD
performance evaluation 2015
SI The institutional evaluation of the ESRS (Employment Service of the Republic of
Slovenia) 2012
The institutional evaluation of the ESRS (Employment Service of the Republic of Slovenia) is not considered in this evaluation as it is not related to ESF financing It
evaluates however the effectiveness and efficiency of processes analyses obstacles to effective provision of services and proposes 12 indicators for the monitoring of the processes
SK Possibly relevant evaluations mentioned in EEN-INV_SK but not available on internet
(planned probably not realised) 1) Final Evaluation of Implementation of OP Employment and Social Inclusion (beginning planned in 2014 end planned in 2015 not
available in time for this study) Evaluation of Improvement of Human Resources Quality and Management in Public
Administration and NGOs (end of the evaluation was planned in 2012 not made available in time for this study)
UK Thematic Evaluations of the 2007-2013 Structural Funds Programmes in Wales
including Modernising Public Services (ESF Convergence Priority 4)
Source Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
102
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bull more than one copy or postersmaps
from the European Unionrsquos representations (httpeceuropaeurepresent_enhtm)
from the delegations in non-EU countries
(httpeeaseuropaeudelegationsindex_enhtm)
by contacting the Europe Direct service (httpeuropaeueuropedirectindex_enhtm)
or calling 00 800 6 7 8 9 10 11 (freephone number from anywhere in the EU) () () The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
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(httppublicationseuropaeuothersagentsindex_enhtm)
doi[102767271126]
[KE-0
2-1
6-9
29-E
N-N
]
LEGAL NOTICE
This document has been prepared for the European Commission however it reflects the views only of the authors and the Commission cannot be held responsible for any use which may be made of the information contained therein
More information on the European Union is available on the Internet (httpwwweuropaeu)
Luxembourg Publications Office of the European Union 2016
copy European Union 2016
Reproduction is authorised provided the source is acknowledged
ISBN [978-92-79-61657-0]
doi [102767271126]
Please quote this report as Metis GmbH (2016) 2007-2013 ESF 2007-2013 Ex-post Evaluation Synthesis
Thematic EU Synthesis Report Strengthening Institutional Capacity for the European Commission Directorate-General Employment Social Affairs and Inclusion The opinions expressed are those of the Contractor only and do not represent the Commissionrsquos official position
Europe Direct is a service to help you find answers
to your questions about the European Union
Freephone number ()
00 800 6 7 8 9 10 11
() The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Glossary of key concepts
Access to Employment
(A2E)
A key policy area in the ESF focused on enhancing access to
employment and the sustainable inclusion in the labour market
of job seekers and inactive people preventing unemployment
in particular long-term and youth unemployment encouraging
active ageing and longer working lives and increasing
participation in the labour market A2E is one of the Priorities
of Article 3 ldquoScope of assistanceldquo of the ESF Regulation No
10812006
Action The second level in the OP architecture usually the Priority Axis (see below) consists of several actions
Adaptability A key policy area in the ESF consisting of activities to increase the adaptation of workers and enterprises to the changing economic circumstances and labour market demands - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
Allocated expenditure Expenditure allocated to the ESF activities during the programming stage of the Operational Programmes
Annex XXIII categories The socio-economic characteristics of ESF participants reported in the ESF monitoring systems relating to the participant gender labour market status (employed (of which self-employed) unemployed (of which long-term unemployed) inactive of which in education and training) age (young people aged 15-24 and older people aged 55-64) disadvantaged status (migrants minorities disabled other disadvantaged)
and educational attainment status (by ISCED levels)
Category of expenditure (CoE)
Categorisation of the Structural Fund expenditure cf ANNEX IV of COUNCIL REGULATION (EC) No 10832006 of 11 July 2006 ESF expenditure relates to Categories 62 to 74
Certified expenditure Expenditure incurred in the implementation of the ESF activities which has been approved by the Managing Authority
of the Operational Programme and the European Commission
Cluster A group of actions or interventions with common objectives and activities
Community added value (CAV)
The extent to which the ESF activities provided effects additional to the national regional activities
Convergence region NUTS level 2 regions in the EU Member States whose gross domestic product (GDP) per capita was less than 75 of the
average GDP of the EU-25 for the same reference period
Effectiveness The extent to which the set aims and objectives have been reached
Efficiency The comparison between the achieved outputs and results and the costs incurred
Gender sensitivity The extent to which the planning design implementation and monitoring reflects the gender issues
Human capital (HC) A key policy area in the ESF consisting of activities to develop the skills and knowledge of human resources across the different stages of the education and training system cycle
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
this theme is subject to another thematic evaluation - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
ISCED International Standard Classification of Education an
international standard classification used to classify the education levels
1 Primary education
2 Lower secondary education
3 Upper secondary education
4 Post-secondary non-tertiary education
5 Short-cycle tertiary education
6 Bachelor or equivalent
Intermediate Body (IB) The organisation charged by the Managing Authority to implement the ESF funds in the OP
Intervention The third level in the OP architecture usually the Actions in the OP consist of several interventions
Managing Authority (MA) The institution in each Member State OP responsible for the
strategic direction and financial management of the OP
Multi-Objective OP An OP in which both RCE and Convergence regions participate
Operational Programme (OP)
The means through which the ESF support was implemented in the Member States as agreed between the European Commission and the Member States Each OP consists of several Priority Axes which in turn consist of several actions
which in turn consist of several interventions
Output The immediate reach of the ESF activity (eg number of participants reached number of schools or enterprises supported)
Participant The person who participated in the ESF funded activity
Priority Axis (PA) The first level in the OP architecture usually the OP consists of several Priority Axes (concepts of priorities areas and others
are also used in the OPs) which in turn consist of several actions and each action of several interventions
Project promoter The organisation in charge of implementing specific ESF funded projects
Promoting Partnerships (PP)
Policy area focused on partnerships pacts and initiatives
through networking of relevant stakeholders such as the social
partners and non-governmental organisations at the
transnational national regional and local levels in order to
mobilise for reforms in the field of employment and labour
market inclusiveness PP is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006
Regional competitiveness and employment objective
(RCE)
NUTS level 2 regions in the EU Member States whose GDP per capita was above 90 of the average GDP of the EU-25 for
the same reference period
Result The change achieved through the activity leading to long term achievements of ESF activities (eg number of qualifications
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
acquired by participants number of enterprises providing training)
Social Inclusion Refers to a wide range of issues and activities covering
aspects such as fundamental rights access to adequate
income support and quality services From the perspective of
ESF SI interventions the most common strand of activity in
the Recommendation is that relating to inclusive labour
markets This focus is also echoed in the ESF Regulation
where the SI priority focuses on inclusion into the labour
market as the best means of integrating individuals into
society and of combatting social exclusion SI is one of the
Priorities of Article 3 ldquoScope of assistanceldquo of the ESF
Regulation No 10812006
Strengthening Institutional Capacity
A key policy area focussing on the efficiency of public
administrations and public services at national regional and
local level by promoting mechanisms to improve good policy
and programme design monitoring and evaluation and
capacity building in the delivery of policies and programmes in
the relevant fields SIC is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006 and
is the object of this evaluation
Sustainability The extent to which the achieved results last
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Acronyms
A2E Access to employment and sustainable integration into employment
AIR Annual Implementation Report
CAV Community Added Value
CoE Category of expenditure
CSR Country Specific Recommendation
EC European Commission
EEN Expert Evaluation Network
ESF European Social Fund
EU European Union
HC Human Capital
LTU Long Term Unemployment
MA Managing Authority
MS Member State
NGO Non-governmental organisation
OP Operational Programme
PA Priority Axis
PAR Public Administration Reform
PES Public Employment Service
SFC Structural Funds Common Database
SIC Strengthening Institutional Capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Table of contents
Executive Summary i
1 Introduction 6
11 Background 6
12 Objectives 6
13 Scope 7
14 Methodological Approach and information sources 7
15 Structure of the report 7
2 Key SIC challenges and policy directions in the EU in the 2007-2013
programming period 9
21 Evolution of the institutional capacity building focus 9
211 The origins of institutional capacity building support 9
212 Good governance as a deciding factor for competitiveness and cohesion 9
213 Definitions and concepts 10
22 Capacity building and ESF 11
3 Overview of key ESF SIC investment features in the 27 Member States 13
31 Links to the national and EU policy priorities main activities and target
groups 13
311 Links to the national and EU policy directions 13
312 Key characteristics of activities and target groups at EU and MS level 17
313 Key characteristics of specific dimensions and categories 19
314 Structures and processes 20
315 Human resources 24
316 Tools 27
32 The overall strategy for ESF SIC investment 28
33 The impact of the economic crisis on ESF SIC priorities actions and funding
(EU-27) 33
34 The ESF expenditure in the area of SIC 34
341 Overall funding levels 34
342 Programmed expenditure on Category of Expenditure 81 36
4 The effectiveness efficiency sustainability gender sensitivity community
added value and the socio-economic impact of ESF SIC investment in the 27 Member
States 39
41 The effectiveness of ESF SIC interventions 40
411 Progress in the financial implementation of ESF SIC 40
412 Types of output and result indicators selected by the OPs 44
413 Overall achievements 46
414 Achievements in specific fields of activity 48
415 Effectiveness 49
416 Reaching the different target groups 53
42 Efficiency 56
43 The sustainability of ESF SIC interventions 57
44 Gender sensitivity of ESF SIC interventions 58
45 Community added value of ESF SIC interventions 60
451 Volume effects 60
452 Scope effects 61
453 Role effects 62
454 Process effects 62
46 The socio-economic impact of ESF SIC 63
461 Impact indicators and evidence from national ESF evaluations 63
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
462 Impacts in relation to changes in the quality of administrations65
463 Key factors determining success or failure 68
5 Overview of key lessons learned 72
51 Key lessons in terms of policy choices 72
52 Key lessons in terms of target groups 74
53 Key lessons in terms of appropriate programming 74
54 Key lessons in terms of effective implementation 76
55 Key lessons in terms of monitoring 76
56 Key lessons in terms of evaluation 77
References
Annex I Overview of OPs PAs and Actions explicitly addressing SIC
Annex II Country specific recommendations in the field of SIC
Annex III Factors influencing success and failure of SIC interventions for individual
countries per category
Annex IV Evaluations relevant to SIC interventions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
List of figures and tables
Figure 1 SIC in OPs and PAs 29
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of funds
allocated to SIC-related Priority Axes over total ESF budget) 35
Figure 3 Budget allocated to expenditure category 81 per MS 36
Figure 4 Government effectiveness 65
Figure 5 Regulatory quality 66
Figure 6 Rule of law 67
Figure 7 Key factors for success and failure mentioned for MS 69
Table 1 Institutional capacity objectives tree for ESF 11
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP 14
Table 3 CSR addressed under SIC interventions by MS 15
Table 4 Contribution of ESF SIC interventions to MS policies 16
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category 18
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS) 19
Table 7 Characteristics of SIC actions 20
Table 8 Countries covered in programming and expenditure based analyses 30
Table 9 Overview of SIC dedicated OPs and PAs by MS 31
Table 10 ESF SIC investment and over total ESF (total funding) 35
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS 37
Table 12 SIC and overall ESF implementation rate () by MS (31 December 2014)
40
Table 13 Share of the budget spent per SIC relevant PA43
Table 14 Target setting and achievement for outputs SIC and ESF 50
Table 15 Achievement of output targets for SIC and all ESF interventions 50
Table 16 Target setting and achievement for results SIC and ESF 51
Table 17 Achievement of results targets for SIC and all ESF interventions 52
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014) 54
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women
participants55
Table 20 Funding per participation for SIC related OPsPAs 56
Table 21 Examples of tentative impact evaluations 64
Table 22 SIC related evaluations in Member States ESF 2007-2013 100
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
i
Executive Summary
Key findings
EU-28 Member States (MS) allocated euro2419 million to Operational Programmes
(OPs) or Priority Axes (PAs) that were dedicated to Strengthening Institutional
Capacity (SIC) objectives This includes funding from national (public and private)
sources as well as the amount of co-funding foreseen from the EU
As of the 311220141 693 of SIC allocated funding at EU-27 level was spent
compared to 793 of total ESF budget which demonstrates that on average
fewer SIC funds have been spent in relation to overall ESF funding The economic
crisis contributed to budget reductions or lower impact in several MS
Almost 14 million participations were reported to have been involved in SIC-
related interventions
Almost all participants are employees of beneficiary institutions the majority
are women (64) and well educated (ISCED 5 and 6)
Most countries used ESF to provide additional funding for good governance to
test new and innovative activities to reach new target groups and to
improve public administration service and delivery systems and methods
In doing this they responded to the issues identified by Country Specific
Recommendations in the SIC field
At least 17000 training programmes were developed while 4000 studies
campaigns public consultations reviews (laws procedures) and reports have been
implemented amongst other actions At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures
including client centres or regional offices
ESF contributed to reforms of the judiciary system improved access to e-
government services a better business environment and a better
management of public administrations in general
Introduction
This report analyses how the theme of strengthening institutional capacity (SIC) was
integrated in the ESF 2007-2013 programming in EU-27 MS how it was implemented
and what its main achievements were with a view to determining the key lessons
learned and recommendations for ESF programming and implementation
Strengthening institutional capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
10812006 which only covers Convergence regions describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo With the support for SIC a more horizontal
approach to capacity building was introduced in the 2007-2013 programming which
1 It is to be noted that according to the Regulation expenditure of the 2007-2013 period is eligible if incurred by 31122015 which is why the current report does not cover the last year of implementation Final data on spending participants and results are then higher than the ones reported
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
ii
complemented the existing institutional capacity support provided in other policy
fields Notable areas where this was the case include employment education and
social inclusion as well as in the implementation of the structural funds themselves
(technical assistance)
Programming of SIC under the ESF
During the 2007-2013 programming period 14 MSs included Priority Axes
dedicated to SIC interventions in their ESF programming (the report does not
cover Croatia due to late start of ESF activities upon accession to EU) Four of them
(BG EL HU RO) have explicitly dedicated one OP to institutional capacity building
The remaining ten countries (CZ EE IT LT LV MT PL SI SK UK) have OPs with
one or more PA dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting SIC
Most OPs are national but in Italy (5 out of 7) and in the United Kingdom there are
also regional OPs
ESF SIC investment is closely linked to SIC-related challenges in the relevant MS
and the corresponding Country Specific Recommendations (CSR) that the European
Commission issued during the programming period Besides a general need for
improved effectiveness and efficiency of public administrations recurring themes in
the CSRs are simplifying the regulatory system and improving the business
environment Other themes include the introduction of e-government reforms in the
judiciary sector and anti-corruption policies and public procurement regulation and
practices Most of the individual CSRs were explicitly addressed by ESF SIC
interventions
Capacity building under the SIC theme addressed structures and processes as well as
human resources Some 70 of actions at the level between PA and the actual
interventions addressed structures and processes The horizontal approach under
SIC enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and management
strengthening quality assurance or the role of the regional or local level in policy
development and implementation In the majority of actions organisational changes
address national local or regional levels by optimising the structures of the central
district and municipal administration An almost equally high share of the actions
addressed the development of human capital This included staff capacity building
interventions as well as the development and implementation of human resources
management strategies Developing human resource management under ESF covers
several areas including recruitment staff motivation systems for accreditation of
public servants internal mobility gender mainstreaming and mutual learning ESF
SIC also supported the development of tools related to e-government and helped
improve monitoring and evaluation systems While most activities seem to target the
public sector as a whole some focus on a specific policy sector such as the judicial
system
In capacity building interventions the target group is typically the staff of the
beneficiary organisations
Financial programming and implementation
In the EU-28 a total of euro2419 million was allocated to OPs or PAs that were dedicated
to SIC objectives This constitutes 21 of total allocated funding under ESF and 4
of funds available in convergence regions and includes funding from national (public
and private) sources as well as the amount of co-funding planned from the EU This
sum includes euro10 million allocated in Croatia whose interventions do not fall under
the scope of the present study The highest absolute levels of SIC allocation are found
in EL and PL while countries that allocate the highest share to SIC relative to their
overall ESF budgets (over 12) are BG and LT followed by MT and SI
The total amount of certified eligible expenditure by the end 2014 was euro167 million
This constitutes 693 of SIC allocated funding at the EU-27 level For comparison
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iii
the implementation rate (level of spending) for the total ESF budget of SIC allocated
funding amounted to 793 Implementation rates differ considerably between
countries and PAs It is worth mentioning that the lack of adequate administrative
capacity of beneficiaries might have contributed to the low absorption of ESF SIC
investments in these MSregions according to the so-called ldquocapacity traprdquo effect
Effectiveness and impacts
In total 14 million participations were registered in SIC related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training These participations result in a set of
characteristics which is very different from other ESF priorities as almost all
participants are employees and most of the participants in SIC interventions (57)
are well educated (ISCED 5 and 6) Participants in SIC interventions are older than
ESF participants on average Young people (15-24) are strongly under-represented
(4 for SIC interventions versus 31 for ESF as a whole) The majority of
participants are women (64)
In terms of outputs during the 2007-2013 programming period 17000 training
programmes were conducted and 4000 studies campaigns public consultations
reviews (laws procedures) reports etc implemented Some 95000 organisations
institutions were involved in SIC-related interventions The organisations that the ESF
supported besides public administrations include bodies of the judiciary county level
government offices boards of public benefit activities at the regional level and
municipalities Other outputs include at least 1500 projects or activities launched
some 250 guides and guidelines produced and 150 new structures established
including client centres or regional offices
The results achieved through ESF SIC funding during the 2007-2013 period vary
Approximately 512000 individuals gained a qualification 87000 reported other
positive results some 2000 entities or organisations were established or recorded
other positive results and more than 1700 productssystemstools were developed It
should be mentioned however that due to data limitations it was not possible to
aggregate all results as reported in the AIR of ESF programmes and as a consequence
this leads to systematic underreporting of the results of ESF
ESF supported interventions helped to reduce the administrative burden for citizens
and businesses and contributed to the production of better quality policies and
legislation Management systems and practices were changed to incorporate modern
human resource management and planning techniques The support for developing
institutional capacity also contributed to achievements in specific policy areas such as
equal opportunities environmental policies and the social dialogue
Four fields of activities were analysed in more depth during the study
Strengthening of the judiciary was supported by activities including the training of
magistrates or employees of judiciary offices and the introduction of court case
management systems These activities resulted in a reduction of the duration of
judicial procedures in several countries (SI PL) The effectiveness of judiciary bodies
and offices was also increased in terms of management and quality assurance HR and
provision and equipping judiciary staff dealing with economic cases Strategic
planning and management was improved (EL LT LV and PL) by increasing the
number or the share of public administration offices that implemented management
systems and quality assurance processes Increasing the number of services available
to citizens and businesses online and training public administration staff to use them
properly were a means to achieve MS ambitions in the field of e-government
Improving the environment for businesses was achieved by shortening the time
needed for setting up or registering a business and decreasing administrative costs
Other achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iv
Information on impacts is available for six countries only Typically this information
is of a more qualitative nature and does not permit hard conclusions to be drawn
According to World Bank data improvements in the quality of public administrations
occurred between 2007 and 2014 especially in the field of government effectiveness
and rule of law The perception of regulatory quality improved in several countries
particularly the three Baltic States as well as in Poland and Romania It is to be
expected that ESF has contributed to these changes However this causal relationship
can only be established through impact assessments and evaluations The evidence
available at this point is insufficient to draw conclusions in this respect
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by various countries (CZ EL HU IT LT MT
RO SK) Rapid changes in government politicised institutions and lack of political
support were all cited as impediments to the effectiveness of SIC interventions
Other evaluation findings
The findings regarding four further evaluation criteria are as follows
Efficiency Available information does not allow conclusions regarding the
efficiency of SIC interventions The assessment of efficiency is hampered by the
fact that the outputs of various activities are not defined in terms of the
number of persons or objects
Sustainability SIC interventions sustainability refers to both the continuation
of funded projects (with or without EU funding) and the achieved results in
terms of increased empowerment and adaptation to new needs as they
develop The sustainability of SIC interventions is particularly dependent on the
context in which they are implemented and which these same interventions aim
to support
Gender sensitivity Gender equality is seldom targeted directly by SIC
interventions through positive actions However in some countries SIC
interventions were designed in such a way that in their implementation at
least women and womenrsquos interests are taken into account or possibly
furthered SIC interventions typically have more female than male participants
For most countries this reflects the over-representation of women in public
institutions
Community added value The main effect from ESF SIC support is a volume
effect This effect has been even greater than it otherwise would have been due
to the impact of the financial crisis on MS budgets ESF has also added value by
broadening the scope of the interventions undertaken by MSs or by putting
administrative capacity on the agenda SIC funding played a relevant role in
supporting the introduction and testing of innovative tools or systems such as
the introduction of e-government
Overview of key lesson learned
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe
2020 Strategy might be further enhanced by specifying the more relevant fields
of ESF SIC support such as e-government or business-friendly administration
The institutional and political context remains a key success and risk factor for
capacity building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are
important factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to
capacity building as well as a well-defined intervention logic are required by
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
v
MS Programming should go well beyond the specific objectives and into the
realm of intermediate and final impact Support provided to countries should
consider the five key factors that influence the success of SIC interventions
management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
New programmes need to make sure that results and impacts whose
sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or
PA are often linked to a lack of administrative capacity in the Managing
Authority or Intermediate Body both in terms of the number and qualifications
of staff Significant personnel turnover and frequent changes in staff
contributed to mistakes being made in financial reporting by beneficiaries
which was further hampered by complicated and often-changing rules and
errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review
ex-ante the output and result indicators proposed by MS to see if they comply
with SMART criteria apply a categorisation into common output and result
indicators in the SFC database More systematic guidance on the difference
between indicators for capacity enhancement performance and impact
indicators could help countries formulate better indicators for monitoring
results In addition a benchmark is needed against which achievements can be
measured
Evaluation Fields of activities as found in the CSRs for example could
provide a starting point for the development of impact indicators for ex-post
evaluation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
6
1 Introduction
11 Background
This report is for Task 3A Thematic EU Synthesis Reports of the ldquoESF 2007-2013 Ex-
Post Evaluation Synthesisrdquo (Contract No VC20150098)
The purpose of the Ex-Post Evaluation is to synthesise and update the results of three
ESF thematic ex-post evaluations that were launched by DG EMPL during 2014 and
covered the following ESF Priorities Adaptability and Human Capital (grouped under
the ex-post evaluation Investment in Human Capital) Supporting the Integration of
Disadvantaged Groups into Labour Marked and Society (Social Inclusion) and Access
and Sustainable Integration into Employment (Access to employment) Under Task 3A
the Synthesis shall provide a supplementary evaluation of the ESF Priorities
lsquoStrengthening Institutional Capacityrsquo (ESF Reg 10812006 Art 32b) - the present
report - and - lsquoPromoting Partnershipsrsquo (Art 31e) which is presented in a separate
document These priorities were not covered by separate services and therefore
providing the key information needed in order to compile the EU synthesis report
covering all the ESF Priorities
Strengthening Institutional Capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
108120062 only covers Convergence regions and describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo
Strengthening institutional capacity was a new theme introduced for the 2007-2013
period Until then capacity building was supported for specific sectors notably
employment social inclusion and education and for the implementation of the
structural funds themselves (technical assistance) With SIC a more horizontal
approach was introduced that aimed at improving good policy and programme design
monitoring and evaluating a variety of activities and supporting capacity building in
the delivery of policies and programmes Specific fields supported by ESF SIC include
strategic planning and management support to the judiciary sector e-government
and promoting a business-friendly environment
This thematic report builds upon the knowledge and information collected during the
previous tasks of the synthesis evaluation particularly the Country Synthesis Reports
(CSR) that provide information on each and every ESF policy priority including a
summary overview of the Strengthening Institutional Capacity priority
12 Objectives
This thematic synthesis report provides an overview of the implementation of the ESF
Priority SIC at EU level in terms of implemented actions financial resources
participants outputs and results The report also illustrates how resources have been
used the effectiveness of implemented interventions (in terms of results) and
efficiency measured in terms of financial resources spent in order to achieve them
2 Regulation (EC) No 10812006 of the European Parliament and of the Council of 5 July 2006 on the European Social Fund and repealing Regulation (EC) No 17841999
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
7
The report also aims to provide an assessment of the sustainability community added
value and contribution to gender equality of the SIC priority thus feeding the most
relevant lessons learned and conclusions of the analysis
13 Scope
In total 14 of the EU-27 MSs defined one or more ESF OPs that have one or more
Priority Axes (PA) that predominantly address SIC (in total 34 SIC-related PAs in 21
OPs)3 A full list of these Priority Axes is presented in Annex I The programmes
covered the period between 1 January 2007 and 31 December 2013 with operations
continuing until 31 December 2015 However the evaluation could only draw on 2014
data reported by the MSs in the Annual Implementation Reports (AIR) submitted to
the Commission by 30 June 2015
14 Methodological Approach and information sources
The identification of Priority Axes relevant to SIC was based on the Preparatory Study
of the Ex-post evaluation of the ESF 2007-2013 the ESF Expert Evaluation Network
reports and the three ex-post thematic evaluations This selection was used as the
main reference to identify MSs and OPs with Priority Axes relevant to this field this
selection was further refined over the course of Task 2 ndash Country Synthesis Reports
For these PAs an analysis of the participants was carried out (Annex XXIII data) as
well as of the groups of outputs and results achieved by the ESF Each MS has to
report on these in the AIR and they can be extracted from the System for Fund
Management in the European Union (SFC2007)
Country experts in the relevant MSs were asked to review and integrate SFC data
(based on AIRs) if necessary Most importantly experts were asked to fill in country
templates enabling the assessment of the main activities of SIC that have been
carried out under the selected OPs for this report Also any other relevant information
such as the sustainability of the activities and results the contribution to gender
equality the community added value (CAV) the key success and failure factors and
the main lessons learned These templates were to be completed based on the
expertrsquos own assessment information drawn from the Operational Programmes and
AIRs 2007-2014 relevant evaluations or other sources of information available at
national level and in some cases through ad-hoc interviews with Managing
Authorities (MA)
The Country Synthesis Reports and templates filled in by country experts were a key
information source as the SIC Priority covers a relatively small share of ESF resources
SIC differs from the other priorities as it is not directly focused on educationtraining
or employment-related objectives for individuals but rather focuses on strengthening
structures and entities directly or indirectly involved in implementing such objectives
For this reason available quantitative data may not be representative of the relevance
and effectiveness of related interventions which is why additional qualitative
information had to be collected
15 Structure of the report
The report begins by reviewing briefly the background and content of the theme
(Chapter 2) Chapter 3 links SIC interventions to national and EU policies and
3 Please note that this could be a PA but in some cases also sub priorities when a PA is split up across more than one ESF theme
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
8
explains and analyses the activities foreseen It goes on to describe how SIC related
interventions are integrated into the ESF programming by MSs and the subsequent
impact of the economic crisis on the actual implementation Finally this chapter
discusses the financial performance Chapter 4 focuses on the evaluation criteria (ie
effectiveness efficiency sustainability gender sensitivity community added value and
socio-economic impact) The conclusions of the above analyses are presented in the
final chapter (Chapter 5) in terms of the lessons learned in six areas
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
9
2 Key SIC challenges and policy directions in the EU in the 2007-2013 programming period
Key findings
The quality of public policies and their implementation has been on the European
agenda since the beginning of the century It was also a key issue in the
preparation of countries for EU accession and the support the EU provided to them
amongst others in the framework of the PHARE programme
The modernisation of public administration was identified as one of the five
priorities in the Commissionrsquos recent Annual Growth Surveys Between 2012 and
2014 around 20 countries have been receiving country specific recommendations
related to public administration every year
Three dimensions of institutional capacity can be identified structures and
processes human resources systems and tools
Article 32b of ESF 2007-2013 Regulation identifies SIC as one of the five ESF
priorities focusing exclusively on Convergence regions
21 Evolution of the institutional capacity building focus
211 The origins of institutional capacity building support
The concept of institutional capacity owes much to the work conducted in the
framework of development aid According to De Koning et al (2006) the term
capacity building was introduced in the late 1980s It has various predecessors
though with the concept of institution building arising as early as the 1950s
It was also a key issue in the preparation of countries for EU accession and the
support the EU provided to them amongst others in the framework of the PHARE
programme It was recognised that only by developing appropriate administrative and
judicial structures would the new or adapted legislation be implemented effectively
(European Union 2010 p 16-17) The PHARE programme and the instrument for
pre-accession assistance (IPA) as of 2007 the Technical Assistance and Information
Exchange instrument (TAIEX) and Twinning have helped accession countries to
increase their institutional capacity After accession further support was deemed
necessary in this area and the ESF became the new vehicle for delivering it (European
Union 2010 p 18)
According to Ferry (2013) institutional capacity has remained an issue for Cohesion
policy in these countries His literature review revealed that there are many absorption
challenges faced by EU-10 countries both during and after accession Administrative
reforms and institutional instability were impeding the effectiveness of management
and implementation systems The collection and analysis of monitoring data has also
greatly suffered from this as did the implementation of ESF Ferry refers to a number
of issues in particular ldquoadministrative capacity weaknesses in managing authorities
(MA) lack of funding shortages of administrative resources high staff turnover lack
of political steer and administrative complexitiesrdquo (Ferry 2013 p 30)
212 Good governance as a deciding factor for competitiveness and cohesion
The quality of public policies and their implementation has also been on the European
agenda since the beginning of the century In the early 2000s the European
Commission identified the reform of European governance as one of its four strategic
objectives This entailed adapting European institutions and increasing the coherence
of its policies The Lisbon Treaty (ratified at the end of 2009) supported this by giving
a stronger role to the European Parliament and national parliaments and more
opportunities for citizens to have their voices heard The Lisbon Treaty also underlines
the importance of public services in MSs for social and regional cohesion it also
included key principles for action to promote effective services of general economic
interest Subsequently the Europe 2020 strategy for smart sustainable and inclusive
growth builds on this and emphasises the modernisation of labour markets and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
10
enhancing the performance of education systems The modernisation of public
administration was identified as one of the five priorities in the Commissionrsquos recent
Annual Growth Surveys Between 2012 and 2014 around 20 countries have been
receiving country specific recommendations related to public administration every
year4
The reason for making institutional capacity a priority across the European Union is
that it is assumed to promote competitiveness eg through a stable business
environment and lower regulatory and administrative burdens This will also help
increase employment levels along with the number of stable and high quality jobs It
can also be argued that increased administrative capacity will foster social inclusion
and social cohesion Increased revenue from taxation and social security contributions
from well-functioning economies as well as government services operating more
efficiently will allow the maintenance of adequate levels of social protection It will in
brief increase productivity and in the economy improve the quality of the design and
implementation of policies for growth and employment and is the basis for good
governance (European Union 2010)
The European Union has been systematically and actively promoting public
administration reforms (PAR) in central and Eastern European countries both during
and after the accession process These MSs are part of an EU-wide effort of
modernising Public Employment Services (PES) and other institutions in the field of
labour social and educational policies which are supported under the Human Capital
and Access to Employment priorities (and are covered by the relevant thematic
evaluations)
213 Definitions and concepts
A number of dimensions of capacity building can be emphasised De Koning et al
(2006) identify investment in the human capital of individuals group-oriented
development organisational development or institutional development Building on
the classification applied by the World Bank the Ecorys (2011) report identifies three
dimensions that have since been used in various sources These concern structures
people and tools and are as follows
Structures relate to legislation delivery and development structures as well as
overall coordination cooperation and partnership
Human resources area include competence gaps (especially among senior and
line managers) staff turnover lack of HR policies (especially of modern HR
management approaches) lack of employee engagement and rigorous
application to tasks and in some cases a focus on narrow specialisms rather
than on broader management and public service competences
Systems and tools include the use of ICT and its embeddedness in
organisational processes the management of information systems finance
monitoring and evaluation and the state of play with regards to performance
management and the management of workloads
4 For more information see httpeceuropaeueurope2020making-it-happencountry-specific-recommendationsindex_enhtm
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
11
De Koning et al (2006) also distinguish different types of interventions that may be
used in capacity building projects and programmes knowledge skills tools and
equipment
22 Capacity building and ESF
The ESF thematic paper on promoting good governance highlights the importance of
having high quality public administration for economic prosperity as well as the well-
being of societies and their citizens (European Commission 2014)
For the 2007-2013 programming period three articles of the ESF Regulation (EC
10812006) are of particular relevance to capacity building
Article 31b addresses both the Convergence and the Regional
Competitiveness and Employment objectives It states that the ESF shall
support actions in MSs by promoting the modernisation and strengthening of
labour market institutions particularly employment services and other relevant
initiatives in the context of the strategies of the European Union and the MSs
for full employment
Article 31d refers to ESF support to enhance human capital by promoting the
design and introduction of reforms in education and training systems [] and
the continual updating of the skills of training personnel
Article 32b focuses exclusively on the Convergence regions mentioning that
the ESF shall support actions in MSs that are strengthening institutional
capacity and the efficiency of public administrations and public services at
national regional and local level Where relevant Article 32b also focuses on
strengthening social partners and non-governmental organisations These
interventions are targeted towards implementing reforms better regulation and
good governance This is especially the case in the economic employment
education social environmental and judicial fields
Article 32b covers SIC interventions as evaluated in the present study The focus on
institutional capacity and efficiency was new in the 2007-2013 programming period
Before 2007 the ESF objectives were defined only in the areas of employment social
inclusion and education
SIC interventions represent one of the additional objectives for so-called Convergence
regions Convergence regions are defined as those regions having per capita gross
domestic product (GDP) less than 75 of the average GDP of the EU-255
The following table summarises the logic behind ESF interventions in the field of
institutional capacity
Table 1 Institutional capacity objectives tree for ESF
Driver Economic growth employment and good governance (Lisbon Strategy)
Global objectives
The ESF shall contribute to the priorities of the Community with regard to
strengthening economic and social cohesion by improving employment
and job opportunities encouraging a high level of employment and a
5 Commission Decision C(2006)3475 of 4th August 2006 and Commission Decision C(2007) 1283 of 26 March 2007 amending Decision 2006595EC as concerns Bulgaria and Romania)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
12
greater number of better jobs It shall achieve this by supporting MSs
policies aiming to achieve full employment ensure quality and
productivity at work promote social inclusion including the access of
disadvantaged people to employment and reduce national regional
and local employment disparities
Specific objectives
Article 32b Within the framework of the Convergence objective ESF shall
support actions in MSs under the priorities listed below
ldquoStrengthening institutional capacity and the efficiency of public
administrations and public services at national regional and local level Where
relevant these policies will also target social partners and non-governmental
organisations with a view to reforms better regulation and good governance
especially in the economic employment education social environmental and
judicial fieldsrdquo
Types
of interventions
(i) Mechanisms to improve good policy and programme design monitoring
and evaluation will be achieved through studies statistics expert advice
support for interdepartmental coordination and dialogue between relevant
public and private bodies
(ii) Capacity building in the delivery of policies and programmes in the
relevant fields including those regarding the enforcement of legislation
especially through continuous managerial and staff training as well as specific
support to key services inspectorates and socio-economic actors this includes
social and environmental partners relevant non-governmental organisations
and representative professional organisations
Source Assessment of administrative and institutional capacity building interventions and future needs in the context of European Social Fund (VC2009066 - 009)
The analytical framework developed for the previous evaluation of administrative
capacity under ESF (Ecorys 2011) summarised the need for capacity building
interventions as follows
poor performance of public administration
weak response to citizensrsquo and firmsrsquo needs
higher well-being of citizens through increased competitiveness and cohesion
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Thematic EU synthesis report Strengthening Institutional Capacity
13
3 Overview of key ESF SIC investment features in the 27 Member States
Key findings
ESF SIC investment is closely linked with SIC-related challenges in the relevant
MS All countries that have programmed a SIC-dedicated OP or PA received CSR
over the 2007-2013 period covering SIC-related themes
SIC-related CSR can take the form of general recommendations such as improving
the overall effectiveness of the public administration of the regulatory capacity of
the public bodies for example or they can relate to specific fields of interventions
such as the judiciary or the business environment
Some 70 of SIC actions at the level between PA and the actual interventions
addressed structures and processes The horizontal approach under SIC
enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and
management and strengthening quality assurance
An almost equally high share of the actions addressed the development of human
capital This included staff capacity building interventions as well as the
development and implementation of human resources management strategies
ESF SIC also supported the development of tools such as those related to e-
government and the improvement of monitoring and evaluation systems
While most activities seem to target the public sector as a whole some focus on a
specific policy sector such as the judicial system
During the 2007-2013 programming period 14 of EU-27 included Priority Axes
dedicated to SIC interventions in their ESF programming Four of them (BG EL
HU RO) have explicitly dedicated one OP to institutional capacity building The
remaining ten countries (IT LT LV MT PL RO SI SL SK UK) have OPs with one
or more PAs dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting
SIC
Within EU-28 a total of euro2419 million was allocated to OPs or PAs that were
dedicated to SIC objectives (EU+national) this constitutes 21 of total allocated
funding under ESF and 4 of the funds available in convergence regions The
highest absolute levels of SIC allocation are found in EL and PL while countries
that allocate the highest share to SIC relative to their overall ESF budgets (over
12) are BG and LT followed by MT and SI
31 Links to the national and EU policy priorities main activities and target groups
311 Links to the national and EU policy directions
ESF SIC investment is closely linked with SIC-related challenges in the relevant MS
All countries that have programmed a SIC-dedicated OP or PA received Country
specific recommendations over the 2007-2013 period covering SIC-related themes
Country Specific Recommendations (CSRs) are issued for each MS
In the context of the European Semester since 2011 the Commission undertakes a
detailed analysis of MS plans for budgetary macroeconomic and structural reforms
and provides them with CSR for the next 12-18 months These recommendations also
contribute to the objectives of the EUs long-term strategy for jobs and growth and the
Europe 2020 strategy
Annex I presents a full overview of how SIC interventions addressed country specific
recommendations
The content of the CSRs varies from country to country and from year to year
Although all MSs have their own CSR proposals there are common themes that arise
This section highlights the common key messages in the fields that are relevant for
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
14
SIC and provides an overview of the types of categoriesmeasures in which the
European Commission issued CSRs over the years from 2007-2013 and indicates how
these relate to specific MSs
Table 2 below shows how these CSRs clustered by typology are lsquodistributedrsquo across
the relevant MS over the 2007-2013 programming period SIC-related CSR can take
the form of general recommendations such as improving the overall effectiveness of
the public administration of the regulatory capacity of the public bodies for example
or they can relate to specific fields of interventions such as the judiciary or the
business environment The table illustrates that the overall improvement of the public
administration is a challenge identified in at least nine out of the 14 MSs Improving
the business environment facilitating entrepreneurship and business start-ups and
increasing the attractiveness of a country as an investment destination has been
identified a challenge in at least 11 MSs Improving the regulatory capacity of public
bodies and supporting simplification (including the aim to improve the business
environment) has been identified as a challenge in at least six MSs The reform and
the support of the judiciary sector has been identified as a specific challenge in at
least three MSs (this does not mean it is not a challenge for other MS with the
judiciary being a part of public administration)
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP
Type of challenge BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
effectiveness and efficiency
of the public administration x x x x x x x x x
effectiveness of the judiciaryreform x x x x
business environment x x x x x x x x x x x
Anti-corruptionpromotion of rule of law x x x
public procurement x x x
absorption of ESI funds x
e-government x x x x
regulatory systemsimplification administrative burden
x x x x x x
Source own elaboration on the basis of CSR2007-2009 2010-201213
Challenges and related recommendations are also visible in national strategies and
ESF SIC investments constitute an integral part of the national effort to support good
governance and improvements to the public administration in many countries This is
particularly the case in countries that have concentrated a relatively large amount of
ESF resources to this priority or those that have dedicated a full OP to it such as in
the case of BG EL HU and RO
In the case of Bulgaria for example where there is a separate OP devoted to
administrative reform and strengthening institutional capacity ndash OP Administrative
Capacity (OPAC) ndash the ESF plays an important role in supporting reforms and capacity
OPAC financed some of the most important measures in the National Reform
Programme (NRP) and was indeed a key instrument for the administrative reform in
Bulgaria where these reform processes play an important role in the national agenda
also considering its relatively recent accession to the EU and of its political past
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Thematic EU synthesis report Strengthening Institutional Capacity
15
In Greece a number of reforms have been implemented in the past decade mainly in
the fields of state-citizen relationships the development of e-government human
resource management better regulation and control mechanisms These are fully in
line with the strategic goal of the OP Administrative Reform 2007-2013 which aimed
to improve the quality of governance through enhancing the effectiveness and
efficiency of public organisations whilst also strengthening the accountability and
professionalism through broadening public consultation and the participation of
stakeholders
In Romania the main contribution of the State Reform OP was to support the
accomplishment of the strategy for improving the capacity of the public
administration The main leverage used involved creating more efficient local
administration units and reducing the development gap between local and central
public administrations Increasing the expertise of staff in public institutions through
participation in specialised training (ICT data management systems) helped in
preparing them for the development of e-government services and facilitated the
simplification processes relating to administrative procedures in line with the National
Strategy for the Digital agenda for Romania and the European Digital agenda
During the last few decades public administration reform strategies in Italy have
been focusing on two main areas a) the delivery of (public) services to citizens and
companies b) the management of public (material and immaterial) goods Both areas
have been subject to reforms aimed at improving their levels of effectiveness and
efficiency In more detail the reform strategies focused on service delivery (covering
the national regional and sub-regional level along with relevant policy actors) and
tackling long-standing criticisms such as the overall lack of efficiency in Public
Administrations (especially in terms of the optimisation of governance mechanisms)
They also concentrated in the simplification of administrative rules and regulations and
the efficiency and effectiveness of (mainly civil) justice As for the reforms they
focused on improving the management of public goods the main critical issues that
have been covered relate to the fight against corruption (especially in public tenders
and contracts) the effective spending of public funding (national but also EU) and the
full implementation of relevant infrastructure investments These strategies have been
accompanied by reforms supporting the productivity and assessment of PA employees
and management as well as of the organisations themselves
Table 3 shows the linkage between the CSRs received and whether relevant MSs had
addressed these through ESF SIC investment Only in five MSs (BG CZ EE IT LT)
were the recommendations not fully addressed in some specific years
Table 3 CSR addressed under SIC interventions by MS
Country 2007 2008 2009 2011 2012
BG NA YES partially YES partially YES partially YES partially
CZ YES NO NA YES YES
EE NA YES NA NA YES partially
EL YES YES YES NA NA
HU YES YES YES YES YES
IT NO NO YES YES
LT NA YES partially YES partially YES NA
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Thematic EU synthesis report Strengthening Institutional Capacity
16
Country 2007 2008 2009 2011 2012
LV NA NA NA NA NA
MT YES YES NA NA NA
PL YES YES NA YES YES
RO NA YES YES NA NA
SI NA NA YES NA
SK YES YES YES YES YES
UK NA NA NA NA NA
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
NA means that no recommendations were made
Details of the recommendations are provided in Annex II
In the Czech Republic SIC-related ESF programming addressed all the
recommendations apart from the one aiming to further quicken the ldquoprogress in the
ICT area including through the implementation and monitoring of a fully enabled legal
environment for e-governmentrdquo This implementation began in 2008 although a start
was made in 2007 as was then recommended
Estonia also used ESF funding for SIC interventions to address most of the
recommendations it received although SIC interventions were not explicitly used to
support the merging of municipalities as was recommended in 2012
Italy did not use ESF funds to explicitly address the recommendations it received in
2007 and 2008 These recommendations involved the introduction of an impact
assessment system and the competition in product and service markets The latter
was taken up again by the recommendations in the following years and ESF SIC
interventions were used to improve the situation
Table 4 below provides an overview of the linkages between MSsrsquo policies and ESF
support to SIC
Most MSs that have included PAs on SIC use ESF to obtain additional funding to
support good governance and to improve the delivery systems and methods for
services to citizens and businesses in their country Most countries also use it to test
innovative activities ESF is least commonly used to reach new target groups which is
understandable for SIC interventions
Table 4 Contribution of ESF SIC interventions to MS policies
ESF provided additional funding to
support good governance
ESF was used to test new and innovative
activities
ESF was used to reach new target groups
ESF was used to improve PA service
delivery- systems and methods
BG Y Y N Y
CZ Y Y N Y
EE Y Y Y Y
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
17
ESF provided additional funding to support good governance
ESF was used to test new and innovative activities
ESF was used to reach new target groups
ESF was used to improve PA service delivery- systems and
methods
EL Y Y N Y
HU Y N N Y
IT Y Y N Y
LT Y Y Y Y
LV Y Y Y Y
MT Y Y Y Y
PL Y Y N Y
RO Y N N Y
SI Y Y Y Y
SK Y Y N Y
UK N N N Y
Source overall assessment of country experts based on research carried out by them and
national evaluations conducted in the country
312 Key characteristics of activities and target groups at EU and MS level
An overview of the key characteristics of activities and targets groups that are the
focus of ESF SIC investment is provided below This is based mainly on the analysis of
lsquoactionsrsquo that have been programmed and carried out at MS level By actions we refer
to the unit of analysis below PA level6
Art 32b of the ESF Regulation distinguishes two main groups of interventions those
that relate to design monitoring and evaluation and those related to the delivery of
policies and programmes Only one in 10 actions focuses solely on the first objective
More than one-third of the actions focus on delivery and almost half of the measures
address both (see Table 5 below)
Most of the actions target the national level (70) However substantial numbers
address additionally local (41) andor regional (53) levels Only 4 of actions
have an international character
6 In the 2007-2013 programming period there is no standardised unit below the PA level such
as the measures in the 2000-2006 period However many Member States distinguish a lsquomeasure typersquo level Sometimes these are still called measures although sometimes other names are given In this report they are referred to as lsquoactionsrsquo and some of the analyses are conducted at this level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
18
Public entities were the main beneficiary of SIC actions (85) Social partners and
NGOs were targeted by approximately a quarter of the actions
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category
Characteristic and categories Absolute
no
Objective (ESF Regulation Art 32b i and ii)
Design MampE 8 103
Delivery 28 359
Both 38 487
No information 4 51
Total 78 100
Level of the intervention (multiple answers possible)
Local 33 423
Regional 42 539
National 56 718
International 3 39
No information 8 103
Recipients
Public entities 66 846
Social partners 21 269
NGOs 19 244
Source country templates - assessment by country experts based on review of relevant
literature and Country synthesis reports
In order to carry out a more detailed analysis we reviewed the key characteristics at
MS level Table 6 below shows whether a certain characteristic occurs in one or more
of the actions in each country This analysis is similar to that carried out at an OP
level However in the analysis at OP level the results for Bulgaria (two OPs) and
Italy (seven OPs) would lsquocolourrsquo the results excessively which is the reason why we
opted for a comparison of MSs
Table 6 illustrates the results for the various characteristics Very few MSs have
measures that focus exclusively on the design monitoring and evaluation of policies
and programmes or measures with an international component Few MSs have
measures that focus on e-government under ESF SIC actions Of course these actions
may be specifically targeted under other themes
Some more detailed conclusions emerge when we compare countries by the most
common types of OPs (section 313) dedicated OPs regional OPs and human
resources or sectoral OPs
Objective of the interventions
In Hungary and Bulgaria only (two of the countries with dedicated OPs) can
actions be found that focus solely on design monitoring and evaluation (obj
32bi)
All four countries with dedicated OPs have one or more actions that uniquely
target the second objective (delivery) In the two other groups this is the case
for around half of the countries
The mixed approach can be found in some of the countries in all three groups
Level of the interventions
All Member States have one or more actions at national level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
19
As expected all regional OPs target the regional level In the two other groups
around half of the countries have PAsactions addressing the regional level
In Bulgaria only do the actions under the administrative capacity OP have an
international dimension
Recipients
In all MSs public institutions benefit from institutional capacity building actions
Social partners and NGOs are often targeted as an explicit (BG EE SK) or
implicit (EL IT SI) target group of human resource development actions They
are also more likely to be amongst the recipients when the objective of actions
is to increase cooperation (BG) to further social dialogue (MT) or to improve
service delivery to citizens or businesses (BG LT) Social partners or NGOs are
also target groups when better regulation (EE) and equal opportunities (EE) are
prioritised
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS)
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK Tot
ESF objective 32b i and ii
Design MampE 1 1 2
Delivery 1 1 1 1 1 1 1 1 1 9
Both 1 1 1 1 1 1 1 1 8
Level of the intervention (multiple answers possible)
Local 1 1 1 1 1 1 1 1 1 9
Regional 1 1 1 1 1 1 1 1 9
National 1 1 1 1 1 1 1 1 1 1 1 1 12
International 1 1
Recipients (multiple answers possible)
Public entities 1 1 1 1 1 1 1 1 1 1 1 1 1 13
Social
partners 1 1 1 1 1 1 1 1 8
NGOs 1 1 1 1 1 1 1 1 8
Source country templates - assessment by country experts based on review of relevant literature and synthesis country report prepared previously
In Italy OP Sicily action linked to Specific Objective ldquoOrdquo and SK action 42 not implemented
so not included in Hungary no information available on level of interventions and recipients in
Slovakia and Czeck Rep no information on objectives
Target groups
In capacity building interventions the concept of target group needs to be considered
carefully If developing structures processes or tools are the objectives of the
intervention the only target group is the staff involved or (other) users of these
systems Thus the target group of SIC interventions are typically the employees of
the beneficiary institutions
313 Key characteristics of specific dimensions and categories
As mentioned above in order to bring out the variety of interventions implemented
with support from the ESF the actions are taken as the starting point for a more
detailed characterisation of SIC interventions The classification departs from the three
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Thematic EU synthesis report Strengthening Institutional Capacity
20
dimensions distinguished in section 213 structures and processes human resources
systems and tools Categories have been developed that reflect the objectives of ESF
with regard to capacity building on the one hand and the actual objectives and
activities in countries on the other Table 7 below presents the classification as well
as the number of actions to which a dimension or category applies
Table 7 Characteristics of SIC actions
Dimension and categories no of actions
Structures and processes (SampP)
Structures (general) 17
Processes (general or core processes) 5
Structures and processes with a regional or local dimension 36
Processes related to strategic planning and management 12
Structures processes aimed at creating of a business-friendly environment 10
Processes related to quality assurance and quality management systems 6
Human resources (HR)
Human resources management (eg working environment training policies and programmes certification mobility)
17
Staff capacity building 24
Tools
E-governance 14
Monitoring and evaluation systems (MampE) 14
Source information from country templates on objectives and types of activities supported by
ESF
multiple categories possible
The number of actions cannot be added as more than one category may apply to one
action both structures and processes may be addressed in one action as could
human resources systems and staff capacity building Other examples include quality
assurance or e-governance In addition 33 out of the 78 actions (42) could be
classified under more than one dimension
It should be mentioned here that capacity building in the justice system plays an
important role in assuring good governance The activities carried out under these
actions may cover all three of the dimensions identified above
Methodological justification of the classification
The fact that not all actions were classified on all three dimensions is partly due to the nature of
the actions and partly to the fact that this analysis could not be based on a more disaggregated
level of analysis such as the individual interventions The classification was based on a summary description prepared by country experts of the main typologies of interventions or activities that were carried out under the different actions it also includes a global assessment of their characteristics which was also made by country experts The formal titles and the objectives of the relevant OP and PA provided further guidance for the classification These
three sources enabled a detailed classification but cannot capture every single activity and their characteristics carried out in the framework of an action
The three dimensions are discussed in more detail below
314 Structures and processes
Structures (general) 3141
Objectives and activities
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
21
Changing organisational structures is not an aim in itself It is accomplished to create
conditions for other changes that will help realise good governance in the country or
to improve public policies and their implementation directly
In Hungary the ESF SIC investment is aimed at creating lsquothe organisational conditions
for a strategy driven specialised policy approach in the central administrationrsquo This
should contribute to the capacity for self-governance and the quality of legislation
which is targeted under Action 11 of the State Reform OP Under Action 12 support
to the creation and operation of institutional models will help create a simpler and
more transparent organisational structure which in turn will further the development
of more efficient and cost-effective public organisations In Romania revising
developing and optimising the structure of public services (action 21) was undertaken
in order to improve their quality and efficiency
In the majority of actions organisational changes address national as well as local or
regional levels Action 11 of the Bulgarian OP Administrative Capacity aims to create
an effective structure for the State administration by optimising the structures of the
central district and municipal administration ESF SIC support is also used to bring
about and support decentralisation processes Lithuania aims to affect structural
changes at all levels (central regional and local municipality) and identified the need
for support in decentralisation and processes to reduce concentration This is in order
to achieve an optimal distribution of functions among central territorial and local
municipal levels In Romania the main objective of Action 21 in the OP Administrative
Capacity Development is to support structure and process changes resulting from
sectoral decentralisation initiatives The support provided includes training and
technical assistance as well as for the evaluation of pilots for the process of
decentralisation and reducing concentration
Organisational change is sometimes internally driven where it can be aimed at
achieving less fragmentation and duplication of work in Malta for example In other
cases it can be externally driven such as the lsquoone-stop-shoprsquo system developed for
start-ups in Poland (Action 51 OP Human Capital)
The ESF in Poland furthered the development of an important policy design instrument the Social Diagnosis It was a project designed to support the diagnostic work with detailed data
that had been derived from institutional indicators concerning households with a view to investigating the attitudes mind-sets and behaviours of their members It is a diagnosis of Polish conditions and quality of life as they report it Although this research has been ongoing since the 1990s under the ESF programme it has developed and become the main basis for designing policies and providing a source of information for decision makers The scale and impact of the research carried out has been changed considerably thus providing an effective tool for designing policies and strategies7
Beneficiaries and geographical level
All actions address solely public authorities except for the Greek actions that also
target social partners and in one case NGOs Most actions target the national as well
as the regional or local level
Processes (general) 3142
Objectives and activities
7 EEN 2014 Final country report Poland
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
22
The Greek administrative reform OP provides a good example to demonstrate the type
of activities undertaken in the framework of structural reforms It captures a range of
activities and interventions which are all addressing the organisational and
operational re-engineering of public organisations A key aim is the rationalisation of
specific administrative functions such as budgeting and the reduction of
administrative burdens Concrete activities include the
introduction of performance and efficiency systems in the central and regional
public organisations
modernisation and rationalisation of the budgeting
simplification of administrative procedures to reduce the administrative
burdens
reduction of the time needed for the issuance of social and state pensions
enhancement of the E-health program (individual e-papers)
introduction of one stop shops for enterprise licences
The Hungarian actions specifically address the renewal of procedures and work
processes as well as organisational development In Malta renewed processes aim to
support the public sector reform whereas in the Czech Republic renewed processes
seek to increase institutional capacity and efficiency The Bulgarian action focuses on
the judicial sector aiming to make it more transparent and effective
The activities undertaken under this heading can be summarised as simplification and
streamlining They include lsquooptimisation of the workflow and better coordinationrsquo in
the judiciary system (BG) streamlining the activities of public administration
authorities (CZ) simplifying the procedures mostly used by the citizens (HU) and
streamlining management processes within the public sector with a view to facilitating
more rapid decision-making and implementation as well as greater accountability of
results (MT)
Beneficiaries and geographical level
The SIC interventions that aimed to change processes targeted public administration
itself rather than social partners or NGOs the interventions were a mixture of
national regional and local actions although the emphasis was focused at the national
level
Structures and processes with a regional or local dimension 3143
The overarching characteristic of this category of actions is their aim to strengthen
administrative capacity or good governance at the regional or local level These
actions aim to support regional or local authorities in the development and
implementation of policies An element of decentralisation is needed to be present for
actions to be categorised under this heading The classification was performed by
triangulating information from the objectives and description of the OPPA and actions
along with the assessment made by country experts considering the level at which
the actions were foreseen This was the case in regional OPs
Objectives and activities
Theoretically four elements were identified integrated development territorial
reform regional local and municipal governance and decentralisation In the PAs
dedicated to SIC however no regional planning and development activities were
found Neither were actions aimed at territorial reform Support for decentralisation is
provided as has been discussed above but the undertaking of decentralisation itself is
not encountered in the SIC PAs The only clear decentralisation objective is found in
the Romanian administrative capacity development OP The main objective of action
21 is to support structure and process changes resulting from initiatives of sectoral
decentralisation Studies consultancy training evaluation and mutual learning were
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
23
all delivered to structures and staff involved in the planning and coordination of the
decentralisation process The evaluation of pilot projects was supported along with
more general studies on the decentralisation process
The predominant types of action classified under this category are therefore those that
aim to strengthen regional local and municipal governance As the majority of
activities undertaken for these actions are already discussed in other categories no
further description is provided here
Some interesting examples of this type of intervention can be found in Italy Two of the most relevant projects implemented by the National OP Governance (that accounts for the majority of ESF SIC-related investment across all OPs) are lsquoCapacitagrave Sudrsquo aimed at reinforcing the
institutional and administrative capacity of Regions in the field of Structural Funds management and networking and lsquoPerformancersquo PA which aims to supporting the reform and modernisation of public administration mainly involving Municipalities At the level of the regional OPs the implementation of the Institution building programme aimed to strengthen the institutional
capacity of the regional public administrations (development of a favourable administrative environment and public policies) the regional OP of Campania in cooperation with the central government funded this programme The main interventions implemented under this
programme include the following organisational support development of a management control system support to administrative simplification and e-government development of an anti-corruption plan and strengthening local development systems
Beneficiaries and geographical level
Most of the actions solely target public authorities Actions are always carried out at
regional or local level besides the national level
Processes related to strategic planning and management 3144
Six countries have used strategic planning or management tools to enhance their
functioning and performance Estonia Greece Hungary Italy Lithuania and Romania
Objectives and activities
Most of the activities are part of more general SIC interventions However two
countries have established PAs that are dedicated to performance management
Estonia under its human resources OP has formulated a PA for the enhancement of
strategic management in the public sector and NGOs Hungary also under a human
resources OP formulated a PA dedicated to performance-based career pathways
Examples of such tools are management by objectivesresults policy cycle
management performance management and strategic planning lsquoEfficiency and
performancersquo systems were foreseen for Greece and Hungary which may imply a
somewhat heavy focus on staff performance Information on individual interventions
would be required to clarify this
Beneficiaries and geographical level
The beneficiaries are public institutions (all) and NGOs (Greece) The activities target
institutions at national regional and local level
Structures and processes aimed at creating of a business-friendly 3145
environment
Creating a more business-friendly environment is an important feature of the
European 2020 Strategy Actions that address this issue are found in several countries
(including CZ EE EL LT LV MT PL)
Objectives and activities
Improving the regulatory environment for businesses and reducing their
administrative burden is undertaken with a view to improving the performance of
these and the competitiveness of the MSs Many activities under this heading aim to
improve and simplify the regulatory environment thereby creating an attractive
environment for enterprises and for domestic and foreign investors (CZ EE EL LT
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
24
MT PL) They also include the development of ex-ante impact assessments or
evaluation systems for calculating the administrative burden for enterprises (EE LT
LV) as well as the introduction of one-stop-shop systems (EL LT PL) Other
activities such as quality assurance and management (discussed below) will also help
to improve the environment in which businesses operate
Beneficiaries and geographical level
The end recipients of these actions are businesses but the final beneficiaries are
public authorities at all geographical levels though somewhat more often at national
level
Processes related to quality assurance and quality management 3146
systems
Seven countries focused on quality assurance or quality management as a tool
Bulgaria Hungary Lithuania Latvia Malta Slovenia and Slovakia However the
Slovak action did not end up being implemented
Objectives and activities
Quality Assurance (QA) and Quality Management (QM) systems can and do support
virtually all objectives foreseen for SIC interventions Slovenia for example used the
European common assessment framework (CAF) and the European Foundation for
Quality Management (EFQM) framework Bulgaria Lithuania and Latvia introduced QM
systems with the aim of enhancing the quality of administrative service delivery
These systems are also introduced as part of an overall administrative reform (HU
MT) The introduction of minimum quality standards is part of quality management
although this is not considered to belong in this category if occurring in isolation As
the introduction of quality management systems was usually one of many activities
undertaken in the framework of an individual action more detailed information is not
available on the activities carried out to introduce these systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector on the national level
315 Human resources
In this section we provide an overview of the actions related to human resources
development as they have been programmed and implemented across the 14 MSs
These actions can be divided into two broad categories Human Resources
Management and Capacity building of staff Capacity building of staff usually takes the
form of training activities and programmes although it should be mentioned that
training takes place also outside of HR focused actions In this case training is not a
capacity building objective in itself but aims to improve the strategic management of
an organisation or the implementation an e-government programme
Human resource management 3151
Objectives and activities
Developing human resource management (HRM) under SIC ESF investment covers
various human resource management areas such as recruitment staff motivation
internships systems of accrediting public servants internal mobility gender
mainstreaming and mutual learning While most activities seem to target the public
sector at large some focus on a specific policy sector such as the judicial system
The Bulgarian Administrative capacity OP has one PA targeting human resource
management in public administration This is further articulated into five actions
Action 21 Modern human resources management in the state (improving recruitment
and human resources management systems including motivation internship
opportunities certification of public servantsrsquo skills and mechanisms for mobility)
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Thematic EU synthesis report Strengthening Institutional Capacity
25
Action 22 Competent and effective state administration (training programmes and
training for public servants of the central district and municipal administration)
Action 23 Strengthening the capacity of civil society organisations in policymaking
(training for organisational development strategic planning etc)
Action 24 Competent judicial system and effective human resource management
(introducing new human resources management systems and the provision of training
to magistrates and administrative staff)
Action 25 Transnational and interregional cooperation (projects for exchange of good
practices in the field of human resources management)
In Greece the OP for Administrative Reform seeks to improve modernise and reform
the operational capacity of Human Resources Departments in central administrative
units The objective is to improve the quality design and implementation of vocational
education programmes in public administration thereby upgrading the skills
qualifications and knowledge of the personnel in the public administration Concrete
activities include the development of tools for the improvement of the Human
Resources departments and the development of strategic and operational plans for
vocational education institutions Other Greek PAs under the HRD OP focus on gender
mainstreaming in the public sector This is to be attained by a variety of activities
which include improving the legislative framework for gender mainstreaming
increasing the participation of women in decision making evaluating the impact of
public policies in gender mainstreaming enhancing the integration of gender
mainstreaming in public policy enhancing actions targeting the prevention and
combating of violence against women and supporting NGOs that help further female
participation
The Hungarian OP State Reform addressed the need to increase the participation of
women through Human resources improvement strategies through PA 2 (Increasing
the quality of Human Resources) Action 22 which focuses on performance-based
career pathways This PA aims to modernise the instruments for human resources
management focusing in particular on the elaboration and scheduled introduction of
the life path-career management system Aside from the activities such as the
establishment of a government human resource centre which is responsible for the
application of the new HR policy other actions include the elaboration of an
international government officersrsquo and civil servantsrsquo exchange programme along with
the introduction of individual performance assessments that link outcomes to the
remuneration system The PA supports activities that help staff to reconcile obligations
from family and work life
In Lithuania one of the actions under the OP for the development of human resources
targets HRM It aims to improve the management of human resources and strengthen
the administrative capabilities in the public sector Modernising the management of
human resources is undertaken in order to further a more productive use of
knowledge capabilities and skills in the public administration It includes activities
that promote the own initiative of public employees and improving the system of
encouragement
The human resources development OP in Slovenia has an action dedicated to efficient
and effective public administration which includes activities for developing public
management This is done through enforcing the use of modern management
techniques and developing active management of human resources and knowledge
The action also included a system for strategic planning as well as for monitoring the
status of results related to objectives of the priority
In Estonia the OP for human resource development has an action aiming to train and
develop State employees as well as those of local authorities and NGOs It covers
various areas including human resources management Interventions are mostly
implemented in the form of different training studies analyses and development
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
26
activities Interventions are also to a certain extent enacted through the
development of methodological materials practicing and information activities
Beneficiaries and geographical level
All PAs target public authorities The Greek and Estonian PAs also target social
partners NGOs are potential beneficiaries in some Bulgarian Greek and the Estonian
PAs
Staff capacity building 3152
Objectives and activities
Sometimes activities under HRM and staff capacity building are strongly intertwined
such as in Poland and the United Kingdom The PA dealing with staff capacity building
under the human capital OP in Poland includes an action advancing the modernisation
of management in public administration and justice administration It used a variety of
activities to achieve this aim revision of all legal acts related to public finance
management improvement of budgetary and strategic planning developing the
system of public tasks evaluation based on indicators strengthening the divisions of
self-government units responsible for monitoring and evaluation improvement of
cooperation mechanisms between public administration units new methods of
management increasing the quality of services implementation of the altered
remuneration system in the public administration development of competence
standards for self-government administration employees and ethical standards
development
Similarly in the United Kingdom the action to build the capacity of public service
sectors includes a more strategic approach to the management of human resources
The aim of staff capacity building in the UK PA is to deliver higher quality services
This entails developing the skills and capacity of the public sector workforce and of the
organisations they are engaged in deliver and sustain the reform agenda It also
included helping leaders and managers build their capacity to lead the workforce
through change securing a more strategic approach to the management of human
resources and addressing specific skills gaps
Specific staff capacity building is undertaken through different types of activities The
main activity is training A variety of possible training subjects are covered by the
Bulgarian example organisational development strategic planning policy making
monitoring of policies business planning and financial management and effective
negotiation and partnership Additional types of training actions are covered by other
MSs such as raising managerial capacity (HU) strategic planning (LV) implementation
of policies and programmes (IT) and negotiation capacities for public private
partnerships (IT)
Other types of activities are found in Malta for example Under the OP that aims to
empower people to seek out new jobs and a better quality of life one of the actions
establishes and elaborates the principle of lifelong learning for the public sector
Activities identified under this intervention area in the OP include training in areas
such as financial regulation and basic skills related to financial management public
procurement project management national environmental and planning legislation
and Community policies which include competition policy Other associated activities
include analyses of training needs scholarships and internships accreditation of
trainers and academic development of the trainers and the introduction of stronger
linkages between training and career development particularly at the boundary
between middle and senior management levels
Greece introduced systems for job profiles and job descriptions programmes for
enhancing the mobility of staff a training needs analysis and a standardisation of
Educational Plans in public administration and certification systems
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Thematic EU synthesis report Strengthening Institutional Capacity
27
The Estonian OP for human resource development has one action supporting country-
level support structures Interventions include different training counselling
practicing (study tours) and mentoring activities
Beneficiaries and geographical level
Most actions aimed at beneficiaries in the public sector Some of the PAs in Greece
Lithuania and Malta also target social partners NGOs are amongst the potential
beneficiaries in Bulgaria Estonia Latvia Malta and Slovakia
Capacity building usually targets the public sector as a whole A clear exception is
found in the Bulgarian lsquoHuman resources developmentrsquo OP The PA dealing with SIC
has two actions with each action concentrating on specific policy sectors
development and modernisation of the labour market system and strengthening the
capacity of institutions for social inclusion and the provision of health services
The target groups do not always remain the same over time however
In Slovakia most of the calls focused on public bodies There was only one call (in two
rounds) designed for NGOs After the experience with the implementation and
administration of projects at NGO level the managing authority took the decision to
focus on the public sector Most of the actions focused on training the employees in
the sector or in some of its institutions (eg building analytical capacities in the
Ministry of Finance capacity building of the Constitutional Court of the Slovak
Republic preparation for EU Presidency and human resource capacity building of
some institutions)
In Latvia the objective was the administrative capacity building of all parties involved
in the design and implementation of action policies This was undertaken in order to
ensure the active participation and representation of all interest groups in
policymaking processes and to improve the quality of decisions made At first the
activities were targeted at the administrative capacity building of social partners
(Latvian Employersrsquo Confederation and Free Trade Union Confederation of Latvia) and
to strengthen social dialogue at the regional level This activity resulted in the
establishment of regional structures of the Latvian Employersrsquo Confederation and Free
Trade Union Confederation of Latvia which contributed to the formation of non-
governmental organisations and a significant increase in their activities Another
branch of capacity building activities was targeted at non-governmental organisations
and local governments mainly to promote their participation in decision-making and
the efficient planning and management of EU projects
316 Tools
E-governance 3161
The introduction of some type of e-governance is a horizontal element to many SIC
investments under the ESF In at least six countries support of e-governance was a
key component of capacity building efforts under SIC dedicated OPsPAs (this does not
mean that e-governance support did not also take place in other MSs as part of their
overall SIC strategy) These countries are Bulgaria Greece Italy Lithuania Malta and
Slovenia Some of the actions in this field take place in specific policy sectors justice
(eg BG IT) health (eg EL) and employment (eg IT SI) In some instances such
as in Italy e-governance support was used to implement and improve ESF monitoring
systems Other countries support e-governance across policy sectors (eg BG SI)
The Bulgarian administrative reform OP also supports the introduction of an integrated
information system of the state administration
Objectives and activities
The support for e-governance was provided with a view to making public
administrations more effective (BG IT) modernise them (EL) and improve the
service delivery to citizens and businesses (BG)
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Thematic EU synthesis report Strengthening Institutional Capacity
28
In the case of policy sector initiatives some examples of the objectives included the
creation of a transparent and effective judicial system (BG) and the improvement of
the service delivery provided by the bodies of the judiciary The information available
typically mentions the introduction of e-government e-health etc In Slovenia some
more detailed information is available on the type of activities carried out in this
framework Slovenia supported e-government as part of its efforts to achieve an
efficient and effective public administration The support for e-government consisted
of two parts an e-portal and e-administration Within the framework of the e-portal
development further progress of e-government was achieved The objectives were to
secure permanent availability support e-democracy in cooperation with the
interested public in making decisions on the abolition of obstacles in the
administration and further develop e-services E-administration was designed for
legal persons and based on a single access point The activities focused on providing a
permanent single access point for legal personnel and businesses This online
resource harnesses the interaction between the state and businesses Examples of
possible services include the registration of employees data transfer and requesting
confirmation
Beneficiaries and geographical level
The beneficiaries always include public sector institutions The actions also target
social partners and NGOs but it is unclear as to whether these concern the e-
governance related or other activities carried out in the framework of these actions
Similarly actions target all geographical levels but it is entirely possible that this is
due to the governance structure in the country or the presence of non e-government
activities within the actions identified here
Monitoring and evaluation systems 3162
Monitoring and evaluation (MampE) systems are an important tool for measuring
progress towards the objectives that governments set themselves in capacity building
interventions They are also important in measuring performance as a supplier of
services to citizens and businesses and in achieving objectives related to these such
as the reduction of the administrative burden The seven countries that included
monitoring and evaluation in their actions are Bulgaria Estonia Italy Malta Poland
Romania and Slovenia
Objectives and activities
Monitoring and evaluation was used to measure internal and external performance as
well as for capacity building good governance policies and policy sector policies
Consequently MampE systems were developed to measure the needs of target groups
such as marginalised groups labour markets or working conditions (BG IT)
progress in achieving good governance (BG PL) or cooperation (PL) better
application of specific capacity building policies including better regulation or reducing
the administrative burden (BG EE) and sector policies like employment policies (IT
MT RO)
No further information is available on the concrete activities undertaken to introduce
or improve MampE systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector They often address
the national level but also the local or regional level if these levels were targeted by
the actions under which MampE is promoted
32 The overall strategy for ESF SIC investment
As has already been stated during the 2007-2013 programming period 14 out of the
EU-27 MSs included specific SIC interventions in their programming and 21 OPs were
dedicated to SIC or had one or more Priority Axes dedicated to this theme Seven of
these OPs were Italian In total 34 PAs and 78 actions have been identified as
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
29
dedicated to SIC Four out of the 14 MSs that have integrated SIC into their planning
have explicitly dedicated one Operational Programme to institutional capacity building
These countries are Bulgaria Greece Hungary and Romania The remaining ten
countries have OPs with one or more PAs dedicated to SIC
Figure 1 SIC in OPs and PAs
OPs with SIC dedicated PAs typically aim to develop human resources In Italy (five
out of seven) and in the United Kingdom there are regional programmes In Slovakia
it is the OP Employment and Social Inclusion that has a SIC related PA
The PAs typically apply a horizontal approach Only Bulgaria has focused one of its SIC
PAs on labour market institutions and on social and healthcare services corresponding
with the two sectors to which the OP was dedicated Slovakia originally foresaw both a
horizontal and a vertical PA (Establishing quality management systems in public
administration and NGOs in the field of employment and social policy) but the latter
was never implemented It should be noted though that below the level of PAs
individual actions sometimes do focus again at specific sectors This is further
discussed in the following section
Other MSs have developed interventions that aim to reinforce institutional capacity
under PAs that are dealing with other themes such as access to employment or
reform of the educational system which are covered by the other thematic
evaluations This becomes apparent when looking at Categories of Expenditure (CoE)
where expenditure category 81 Mechanisms for improving good policy and
programme design monitoring and evaluation at national regional and local level
capacity building in the delivery of policies and programmes shows the planned or
actual Union contribution to SIC interventions independent of PAs Furthermore it
should be noted that some capacity building interventions take place under other CoE
Important examples are the modernisation and strengthening of labour market
institutions (or expenditure category 65) the design introduction and implementation
of reforms in education and training systems (or category 72) as well as promoting
partnerships (category 80) SIC is sometimes supported as a crosscutting theme
across all Priority Axes without specific references in programming or reporting
Table 8 below shows that 14 MSs programmed SIC in OPs or PAs Two more countries
(Cyprus and Spain) did not programme SIC but did foresee expenditure on this theme
under category 81
Dedicated OP(s)
Dedicated PA(s)AT
BG
HU
IT
NL
FR
EL
ROLT
UK
CZ EE
SI
SK
LV
MT PL
BE CY
DEDK
ES
FI
IRLUPT
SE
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Thematic EU synthesis report Strengthening Institutional Capacity
30
Table 8 Countries covered in programming and expenditure based analyses
Country SIC in
programming (OPPA)
With an OP dedicated to
SIC
With expenditure in Cat 81
Yes No
Austria X
Belgium X
Bulgaria X X X
Cyprus X
Czech R X X
Germany X
Denmark X
Estonia X X
Spain X
Finland X
France X
Greece X X X
Hungary X X X
Ireland X
Italy X X
Lithuania X X
Luxembourg X
Latvia X X
Malta X X
Netherlands X
Poland X X
Portugal X
Romania X X X
Sweden X
Slovenia X X
Slovakia X X
UK X X
TOTAL 14 4 16 11
Source Own elaborations on the basis of SFC data and information from Country experts
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Thematic EU synthesis report Strengthening Institutional Capacity
31
Table 9 Overview of SIC dedicated OPs and PAs by MS
MS OP TITLE SIC PA DESCRIPTION
BG OP Human Resources Development PA 6 Improving the effectiveness of labour market institutions and of social and healthcare services
BG OP Administrative Capacity PA 12
and 3
Good governance Human resources management Quality administrative service delivery and e-
Governance development
CZ OP Human Resources Development PA 4 Public administration and public services
EE OP for Human Resource Development PA 5 Enhancing administrative capacity
EL OP Administrative Reform PA1 - 9
Improving national public policies modernisation of the public administration Development of
the human capital in the public administration strengthening policies aiming at ensuring equal
opportunities for all in the whole range of the public administration
HU State Reform OP PA 1 2
and 3
Renewal of processes and organisation development Improving the quality of human resources
Developments to be attained in the Central Hungarian Region
IT Regional OP Campania PA 7 Institutional capacity
IT Regional OP Calabria PA 7 Institutional capacity
IT Regional OP Sicily PA 7 Institutional capacity
IT Regional OP Basilicata PA 7 Institutional capacity
IT Regional OP Apulia PA 7 Institutional capacity
IT OP Governance and System Actions (Ministry of
Labour) PA E5 Institutional capacity
IT OP Competences for Development (Ministry of
Education) PA 2 Institutional capacity
LT OP for the Development of Human Resources PA 4 Fostering Administrative Competences and Increasing Efficiency of Public Administrationrdquo
LV OP Human Resources and Employment PA 5 Administrative Capacity Building
MT OP II - Empowering people for more jobs and a
better quality of life PA 4 Strengthening of institutional and administrative capacity
PL OP Human Capital PA 5 Good governance
RO OP Administrative Capacity Development PA 1 2 Improving structure and processes of public policies cycle management Improving quality and
efficiency of public services with a focus on decentralisation
SI OP Development of human resources for the
period 2007-2013 PA 5 Institutional and administrative capacity
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Thematic EU synthesis report Strengthening Institutional Capacity
32
MS OP TITLE SIC PA DESCRIPTION
SK OP Employment and Social Inclusion PA 4 Capacity building and enhancement of the quality of public administration
UK OP West Wales and the Valleys PA 4 Modernising and improving the quality of public services
Annex I contains a complete overview of OPs PAs and actions dedicated to SIC
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Thematic EU synthesis report Strengthening Institutional Capacity
33
33 The impact of the economic crisis on ESF SIC priorities actions and funding (EU-27)
There is a number of reasons why the economic crisis can be expected to have an
impact on the allocation of ESF funds to SIC interventions The main reason is that
high unemployment rates will exert high pressure on political decision makers to
provide measures that directly address the problems resulting from this and can be
expected to yield results in the short term Capacity building interventions can be
expected to contribute to better functioning social protection and labour market
reintegration systems thereby improving social inclusion and employment rates
However they do so indirectly and effects take time to materialise With this in mind
it could be expected that MSs would redirect resources from SIC to other objectives in
response to the crisis
This was not the case for Bulgaria where reallocations were limited and unrelated to
the crisis They were caused by delays in numerous tender procedures resulting from
the insufficient capacity of beneficiaries As such implementation delays may signal
the emergence of the so-called ldquocapacity traprdquo effect where beneficiaries are unable
to use funds for improvement of administrative capacity due to the low initial capacity
Similarly in the United Kingdom funds were switched to other priorities because of
insufficient take-up The transfer of funds was unrelated to the crisis This has also
been the case in several other countries
In other countries some of the resources were reallocated Greece diverted SIC
resources towards employment (OP Human Resources Development) Two Italian
regions reduced their SIC budgets This was the case for the OPs for Sicily and
Campania No reductions were found for the other regions or the two OPs at the
national level The most likely destinations of these funds are the Access to
Employment and Human Capital themes Furthermore in response to the crisis Latvia
diverted resources from SIC to other objectives mainly to promote employability In
Slovakia in 2012 substantial reallocations took place taking away resources from SIC
to spend on other priorities It is not clear if this diversion was caused by the crisis
but according to the reallocation to PA 1 focused on employment it can be assumed
that the crisis was at least one of the reasons
Planned allocations for SIC were not implemented at all in Spain In the Autonomous
Community Castilla-La Mancha there were no certified expenditures on SIC due to a
restructuring of funds to face the economic and financial crisis in order to alleviate
problems related to unemployment reinforcing active employment policies and
supporting the most disadvantaged groups or territories This was a rsquoremedialrsquo action
carried out by several Spanish Autonomous Communities in order to finally dedicate
1687 of the ESF expenditure planned for the 2007-2013 financing period in order to
reduce the national unemployment rate (262 in 2013 compared to 83 in 2007)
which was one of the highest unemployment rates in the European Union
A reallocation of resources was not the only impact that the crisis had on SIC
interventions It also made the implementation of SIC interventions more difficult As
a result of the economic crisis and the Memorandum of Understanding Greece had to
implement downsizing and cuts in the wages and social security benefits of civil
servants Amidst this climate civil servants were bound to become demoralised and
the introduction of reforms was bound to face additional difficulties Italy saw a
general slowdown of its physical and financial implementation especially in ROPs
(other priorities emerged) It increased the role of the national OP from the Ministry of
Labour as it supported cross-territorial interventions The crisis also induced a growing
emphasis on the importance of having effective and efficient Public Administrations
that are more able to cope with crisis effects This applied especially to policy fields
like employment social inclusion education and local development The
aforementioned effect also occurred in Latvia the additional pressure was felt
especially by those implementing activities on the ground who had to use the
available resources as efficiently as possible This side effect of economic crisis
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Thematic EU synthesis report Strengthening Institutional Capacity
34
manifested itself in a positive way by encouraging political activities and decision
making capacity
Finally the crisis had a negative impact on the results of SIC interventions According
to the evaluation of the effectiveness and the impact of PA 5 lsquoRaising Estonian
administrative capacityrsquo the financial crisis was one of the main external factors that
had a negative impact on the achievement of the results of the PA 5 The
consequences of the crisis were not anticipated during the planning of the objectives
and activities of the programming period One outcome was that the budget cuts
diminished the share of top managers that were participating in the development
activities In addition the reduction of staff levels as a result of the economic
recession increased their workload and thereby reduced their possibilities to engage
in development activities However various activities might not have been carried out
at all if it had not been for the PA mainly due to the severe effects of the financial
crisis on public sector expenditure in general
In Lithuania the number of civil servants and public institutions were reduced in
response to the economic crisis As a consequence the effectiveness of investments in
the quality of public services and improvement of organisational capacities suffered a
number civil servants of beneficiaries lost their jobs and a number of beneficiary
organisations were simply abolished On the other hand the economic crisis also
increased the relevance of ESF support in the area of SIC to some extent The
evidence shows that as a result of the economic crisis the national funds focused on
training civil servants were replaced by ESF funds Thus because of the cuts in
national funds in the area of ISC ESF funds became more important in Lithuania
According to the capacity building OP evaluation in Romania the economic and
financial crisis influenced the public administration sector which also affected the
implementation of this OP The reduction of tax revenues resulting from the
decreased income from private businesses and taxpayers along with the reduction of
state budget allocations towards public administrations units (main OP beneficiaries)
lead to the impossibility of insuring appropriate co-financing for running projects and
consequently affected the achievement of projectsrsquo programme indicators At the
same time the restructuring measures taken to counter the economic crisis effects
implied reduction of PA unitsrsquo personnel which affected the target groups involved in
the projects and the underachievement of programme indicators
34 The ESF expenditure in the area of SIC
341 Overall funding levels
In total EU-28 MSs allocated euro2418710066 to OPs or PAs that were dedicated to
SIC objectives equating to 21 of total ESF funding (see Table 10 below) This
includes funding from national (public and private) sources as well as the amount of
co-funding foreseen from the EU Most funding is allocated to national Operational
Programmes with only IT and UK having regional OPs In Italy however the majority
of the SIC funding goes to the National OP Governance (20 of total ESF SIC
investment) This sum includes Croatia whose interventions do not fall under the
scope of the present study due to the late start of ESF activities upon accession to EU
The highest absolute amounts allocated to SIC are found in Greece and Poland
followed by Italy and Romania Expenditure on SIC does not always correlate with
overall ESF expenditure In other words MSs consciously choose to prioritise SIC or
not In fact percentages of SIC allocation to overall ESF investment vary considerably
across countries with BG and LT allocating 15 of their ESF budget to SIC followed
by Malta and Slovenia (131 and 128 respectively) Greece invests 81 while
the other countries with high absolute amounts of SIC investments such as PL and IT
allocate a relatively small percentage of their ESF resources to SIC (39 and 18
respectively)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
35
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of
funds allocated to SIC-related Priority Axes over total ESF budget)
Source SFC2007 latest version OPs
Table 10 ESF SIC investment and over total ESF (total funding)
allocation to SIC-dedicated PAs (euro)
over total ESF
BG 209654707 151
CZ 186595775 43
EE 24465675 53
EL 418273566 81
HU 166276830 39
IT 252539187 18
LT 181629418 150
LV 24271094 35
MT 17199118 131
PL 455967699 39
RO 234920609 54
SI 114178243 128
SK 67615059 39
UK 55726379 06
Total SIC EU27 2409313359
HR 9396707 50
Total SIC EU28 2418710066
TOTAL ESF 115596750390 21
Source SFC2007 Operational Programmes as of 31-12-2014
HR interventions are excluded from this evaluation due to the late start of ESF activities upon accession to EU
0
2
4
6
8
10
12
14
16
BG LT MT SI EL RO EE CZ HU PL SK LV EU27 IT UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
36
The total amount of certified eligible expenditure paid by beneficiaries by the end 2014
(or actual expenditure) was euro1669 million The difference between planned and actual
expenditure is discussed in section 411
342 Programmed expenditure on Category of Expenditure 81
In this section we provide an overview of the allocation of Category of Expenditure
81 relating to Mechanisms for improving good policy and programme design
monitoring and evaluation at national regional and local level capacity building in the
delivery of policies and programmes and it involves comparing it with the funding on
SIC-dedicated PAs
The budget foreseen by the EU for Category of Expenditure 81 relating to
Mechanisms for improving good policy and programme design monitoring and
evaluation at national regional and local level capacity building in the delivery of
policies and programmes amounted to euro14 billion ie 19 of the total budget
provided by community funding was allocated to SIC
With regard to the spending foreseen on SIC according to CoE 81 three distinct
groups of countries emerge
Countries with relatively high or fairly high programmed expenditure on SIC
are Bulgaria Estonia Hungary Lithuania Latvia Malta and Romania with
12 5 4 7 4 8 and 5 of their co-funding respectively
Countries with medium scores on SIC Cyprus Czech Republic Poland (3-
4) Italy and Slovenia (2-25) Greece and Slovakia (1-15)
The third group of countries has allocated very small parts of their budget
typically zero or at least less than 1 for SIC Austria Belgium Germany
Denmark Spain Finland France Ireland Luxembourg The Netherlands
Portugal Sweden and the United Kingdom
Figure 3 Budget allocated to expenditure category 81 per MS
Source SFC 2007-2013 latest version OPs community amounts
It is worth noting that capacity building under the ESF is not limited to expenditures
under category 81 only presented above Nor is it limited to SIC-dedicated OPsPAs
-
50 000 000
100 000 000
150 000 000
200 000 000
250 000 000
300 000 000
350 000 000
400 000 000
450 000 000
AT BE BG CY CZ DE DK EE ES FI FR GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
37
In total some euro12 billion out of the euro77 billion8 budgeted for co-funding from ESF
were reserved for the three main other expenditure categories that are likely to
include capacity building actions or activities Modernisation of labour market
institutions (CoE 65) Reforming education and training systems (CoE 72) and
Partnerships Networks and initiatives (CoE 80) Altogether these four categories
constitute 157 of the total community funding budgeted for the 2007-2013
programming period These figures are provided just for completeness of information
as SIC spending (and investment) for the purposes of this report only relates to SIC-
dedicated PAs (ie those PAs which focused exclusively or for a large part on SIC as
per Article 32b of the ESF Regulation
The first group that was identified in the previous section which is comprised of
countries that earmark high shares of their ESF budget to SIC can be expected to
dedicate one or more OPsPAs or actions to SIC This is indeed the case as can be
seen from the table below
Nonetheless one third of the countries that place a medium emphasis on SIC -three
out of nine ndash also included SIC in their programming Czech Republic Italy and
Poland
Even amongst the group with relatively small budgets for SIC one country is found
with dedicated OPs or PAs to SIC the United Kingdom Of course a small share may
still total several millions of euros The United Kingdom earmarked only 1 of its
budget for SIC but this still amounts to euro25 million
Countries devoting neither financial nor material attention to SIC are Austria Belgium
Germany Denmark Finland Ireland Luxembourg the Netherlands and Sweden
The programming of SIC in ESF is discussed in more detail in the following section
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
AT 00 -
BE 00 -
BG 122 143988501 2 4 17
CY 39 4615273
CZ 35 127571573 1 1 1
DE 00 -
DK 00 -
EE 51 20126546 1 1 4
ES 01 6564559
FI 00 -
FR 00 2599325
EL 11 47010448 1 9 9
HU 41 147490451 1 3 6
IR 00 -
8 Source SFC 2007-2013 section on programming ndash operational programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
38
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
IT 25 171426165 7 7 16
LT 68 69552049 1 1 3
LU 00 -
LV 42 24275976 1 1 3
MT 78 8752517 1 1 4
NL 00 -
PL 38 381835672 1 1 5
PT 01 9888970
RO 54 199682518 1 2 5
SE 00 -
SI 21 15861756 1 1 2
SK 13 19308570 1 1 2
UK 05 24585962 1 1 1
EU27 19 1425136831 21 34 78
Envisaged community funding programmed for category 81 SFC 2007-2013 latest version OPs
Dedicated OPs in this table also includes OPs with one or more SIC dedicated PAs
PA 4 of the OP for Guiana covered both Promoting partnerships and SIC and is discussed
under the thematic review of the former
As explained in section 341 the money allocated for OPs and PAs which has been
specifically dedicated to SIC amounts to euro2409 million However this amount
includes national funding which therefore cannot be compared to the allocated
community funding for category 81 expenditure
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
39
4 The effectiveness efficiency sustainability gender sensitivity community added value and the socio-economic
impact of ESF SIC investment in the 27 member States
Key findings
The total amount of certified eligible expenditure by the end 2014 was euro167
million This constitutes 69 of SIC allocated funding at EU level versus 793
for total ESF Implementation rates differ considerably among countries and PAs
In total almost 14 million participations were registered in SIC-related
interventions covering mostly staff from public institutions social partners and
NGOs receiving training This results in a set of characteristics which is very
different from other ESF priorities
In terms of outputs during the 2007-2013 programming period 17000 training
programmes and 4000 studies were undertaken campaigns public consultations
reviews (laws procedures) reports etc were implemented Some 95000
organisationsinstitutions were involved in SIC-related interventions at least
1500 projects or activities launched some 250 guides and guidelines produced
and 150 new structures established
The results achieved through ESF SIC funding during the 2007-2013 period are
varied Approximately 512000 individuals gained a qualification 87000 reported
other positive results some 2000 entities or organisations were established and
more than 1700 productssystemstools were developed
Activities aimed at strengthening of the judiciary resulted in a reduction of the
duration of judicial procedures in a number of countries Strategic planning and
management was improved by increasing the number or the share of public
administration offices that implemented management systems and quality
assurance processes Increasing the number of services available to citizens
online businesses and training of public administration staff to use them correctly
were a means to achieve MS ambitions in the field of e-government Improving
the environment for businesses was achieved by shortening the time needed for
setting up or registering a business and decreasing administrative costs Other
achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by a number of MS
The sustainability of SIC interventions is particularly dependent on the context in
which they are implemented and which they aim to support
Gender equality is seldom targeted directly by SIC interventions through positive
actions However in some countries SIC interventions were designed in such a
way that in their implementation at least women and womenrsquos interests are
taken into account or possibly furthered SIC interventions typically have more
female than male participants
The main Community added value of ESF SIC investment is a volume effect
ESF has also added value by broadening the scope of the interventions
undertaken in MS or by putting administrative capacity on the agenda SIC
funding played a relevant role in supporting the introduction and testing of
innovative tools or systems such as the introduction of e-government
The data presented in this chapter were gathered from the EC Structural Funds
database (SFC) They reflect the situation as available in December 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
40
41 The effectiveness of ESF SIC interventions
The effectiveness of the selected interventions was assessed through
Analysis of financial implementation comparing the actual spending reported
with the allocated funds However as many projects in the interventions are
still ongoing the current analysis at the end of 2014 is only indicative of the
final financial implementation of the interventions
Analysis of the different participant groups addressed in the selected
interventions
Analysis of the intervention outputs and results comparing the targets for
outputs and results with those achieved However this analysis needs to be
treated with caution as it was not possible to systematically assess whether
the initial targets were set in a comparable and appropriate way across the OPs
(eg were the set targets challenging comfortable or realistic) In OPs the
targets have also been adjusted over time further complicating these like-for-
like comparisons
Additional evidence and information derived from national evaluations and
other relevant documents
It was not possible to conduct a systematic comparison with the results of similar non-
ESF sponsored interventions in the national regional contexts due to the lack of
sufficiently similar non-ESF sponsored interventions
411 Progress in the financial implementation of ESF SIC
At EU level euro1670 million or 693 of SIC allocated funding was spent as at
311220149 On average less SIC funds have been spent in relation to the overall ESF
funding with an implementation rate of 793 (See Table 12 below)
Table 12 SIC and overall ESF implementation rate () by MS (31 December
2014)
MS certified expenditure (euro) total allocation (euro)
SIC impl rate ()
total
ESF impl rate ()
BG 137491170 209654707 656 758
CZ 94381124 186595775 506 734
EE 21210585 24465675 867 835
EL 381930601 418273566 913 792
HU 122203794 166276830 735 703
IT 131069031 252539187 519 769
9 Figure does not include Croatia
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
41
MS certified expenditure (euro) total allocation (euro)
SIC impl
rate ()
total ESF impl rate ()
LT 143977869 181629418 793 827
LV 20683459 24271094 852 973
MT 7687444 17199118 447 674
PL 315293255 455967699 691 844
RO 159318804 234920609 678 441
SI 89112721 114178243 780 838
SK 31545122 67615059 467 649
UK 13331326 55726379 239 770
Total 1669537980 2409313359 693 793
Source SFC 2007 The implementation rate corresponds to the percentage of certified expenditure over the total funding of the PA
HR not included
Table 13 below shows considerable differences among PAs Extremely low rates can
be observed for most of the Italian and the UK OPs dedicated to SIC They all spent
less than one-third of their budget for the period by the end of 2014
For Italy low implementation rates were recorded in all (convergence) regional OPs
and in the National OP Competencies for Development which was due in the latter
case to the slow start of activities10 A number of explanations can be offered for the
low implementation rates of regional Italian OPs a) involving public administrations in
reform processes traditionally requires a large amount of time (in Italy) b)
implementation was slow for the regional OPs in general (not only for the SIC PAs) c)
other important public administration reform processes involved MAs and this shifted
its attention from SIC theme implementation d) the theme funding was generally not
so relevant (for regional OPs but also in the case of the Ministry of Education for
national OP for example) e) generally small sized interventions (also for
administrative reasons) have been implemented and the spending speed was
therefore slow f) (probably) an overestimation of funding needs occurred in OPs
Within that context overall allocation to SIC PAs in Italy (EU and national funding)
decreased significantly from the beginning of the programming period due to the
reallocation of resources
10 In fact implementation accelerated significantly in 2015 national data (29022016) account for a commitment rate above 100 and payments around 60
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
42
Most of the Greek PAs on the other hand had extremely high implementation rates
spending more than 90 of the money budgeted The extremely high implementation
rate of PA 3 in the Greek OP Administrative Reform is due to the fact that this PA
underwent several revisions and eventually financed a major intervention lsquoFemale
entrepreneurship 24-64rsquo (implemented by OAED-Ministry of Labour) Concurrently co-
financing rates were also revised
Other high implementation rates (over 80) can be noted for the Bulgarian
administrative reform OP as well as for the Estonian OP the Latvian OP the Italian
Basilicata region and the Italian national governance OP (the most relevant OP in
terms of SIC investment in Italy) the Lithuanian OP the Czech Republic OP the
Slovenian OP the Hungarian reform OP and one of Romanias PAs
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
43
Table 13 Share of the budget spent per SIC relevant PA
MS OP - PA
Total
funding
(euro)
Impl rate
()
IT OP Competencies for Development ndash PA2 29740000 1488
UK OP West Wales and the Valleys- A4 55726379 2392
IT OP ESF Calabria ndash PA7 23803512 3109
IT OP ESF Sicily ndash PA7 14350000 3135
IT OP ESF Campania ndash PA7 40000000 3374
IT OP Apulia ESF ndash PA7 31340400 3474
MT Empowering people for more jobs and better quality PA4 17199118 4470
BG OP Human Resources Development ndash PA6 42559453 4569
SK OP Employment and Social Inclusion ndash PA4 67615059 4670
CZ OP Human Resources Development ndash PA44a 178020742 4923
RO OP Administrative Capacity Development 97883587 6282
BG OP Administrative Capacity ndash PA2 62440507 6290
HU State Reform OP ndash PA1 84742365 6750
BG OP Administrative Capacity ndash PA3 65819495 6774
PL OP Human Capital ndash PA5 455967699 6915
EL Administrative Reform ndash PA4 40905059 7046
RO OP Administrative Capacity Development ndash PA1 137037022 7139
HU State Reform OP ndash PA2 33738453 7580
SI OP Development of human resources ndash PA5 114178243 7810
CZ OP Human Resources Development ndash PA44b 8575033 7862
LT OP for the Development of Human Resources - PA4 181629418 7930
IT Governance and System Actions ndash PA5 103634307 7935
HU State Reform OP ndash PA3 47796012 8260
IT ESF Basilicata ndash PA7 9670968 8407
EL Administrative Reform ndash PA6 4047043 8465
LV Human Resources and Employment 24271094 8520
EE OP Human Resource Development ndashPA5 24465675 8670
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
44
MS OP - PA
Total
funding
(euro)
Impl rate
()
EL Administrative Reform ndash PA1 132496530 8758
BG Administrative Capacity ndash PA1 38835252 8803
EL Administrative Reform ndash PA5 50938324 8815
EL Administrative Reform ndash PA7 48235348 9022
EL Administrative Reform ndash PA8 41147810 9262
EL Administrative Reform ndash PA9 11062398 9707
EL Administrative Reform ndash PA2 87045034 10203
EL Administrative Reform ndash PA3 2396020 31574
Source SFC 2007-2013 Country Synthesis Reports
412 Types of output and result indicators selected by the OPs
A variety of outputs have been generated by SIC interventions Countries have
developed several types of indicators to monitor them
Important outputs relate to the participation of individuals in ESF activities This
category is made up of the traditional indicators to monitor progress with regard to
participants in events which are usually training events Human resources however
also include interventions other than training for which indicators can also be found
Examples of these indicators refer to number of persons participating in training or
persons achieving a qualification at the end of the intervention
Other outputs relate to the institutions that benefitted or those that were the object of
certain activities As SIC events also address structures and processes a whole series
of indicators have been used that in essence measure the number of supported
organisations This includes the number of supported organisations (eg supported
NGOs) also more specific output indicators have often been formulated to take the
object or content of the intervention into account Example of these are as follows
number of judiciary that have introduced court case management systems
administrations that have introduced systems for in-house electronic exchange
of documents
number of local governments whose employees have completed training
civil society structures that have trained their staff
functional reviews carried out for improving organisation and HR management
A further series of indicators measure the production of tools andor deliverables such
as the number of guides and other methodological documents prepared information
campaigns carried out and e-government services developedintroduced
The results are less easy to cluster and the indicators used raise some questions A
discussion of these issues has been used as a framework to show the types of results
that MSs aim for and achieve with SIC interventions that have been co-financed by
ESF
The first thing that stands out when examining the results indicators used for SIC
interventions is that a number of them are quite similar to the output indicators
discussed above This does not necessarily mean that these are not the correct
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
45
indicators for the results of the intervention This entirely depends on the type of
intervention and the intervention logic behind it Results indicators build upon the
indicators defined for outputs If these are defined as lsquothe number of trainingsrsquo for
example the results can be measured as the lsquonumber of successfully trained staffrsquo
However if the outputs were measured by lsquothe number of trained staffrsquo the result
should assess the next step in the objectives tree (eg the number of trained staff
that have obtained a qualification or have mastered specific skills) If new
organisations have been set up and this was used as a measure of outputs this could
be accompanied by an indicator for results that measures the use of such a structure
for example the number of visitors or number of services provided Occasionally it can
also be a point of discussion on where to draw the line between output and result
level
Result indicators that could also be found as output indicators are listed below
number of participants gaining a qualificationcertification
share of persons successfully completing a training programme
number of successful course graduates
newly created structures
public administration units supported in improving management standards
number of NGOs per year who have received advice
proportion of civil servants with individualised performance ratings
A second observation concerns the quality of the indicators The results indicators in
some cases appear to be less specific than the output indicators It may be the case
though that the SFC database only mentions the measure used (eg lsquopersonnel
turnoverrsquo or lsquothe average administrative costs associated with starting a business
activityrsquo) while the details (decrease how much by when) are specified elsewhere
The number of countries not specifying targets for results is also somewhat higher
than for outputs Six MSs did not set targets for part of the results of SIC
interventions whereas this only occurs in four countries for outputs
Indicators that are good examples of being specific measurable and relevant are
Administrations that have undertaken the optimisation of procedures as a
result of a functional review
Ratio of persons becoming civil servants within the central administration
system in the current year in relation to those previously employed The hiring
of these new staff members must be the result of an open call for applications
The second example also includes the time element required for SMART indicators
Several indicators refer to the introduction of systems or tools resulting from the
intervention It is clear that certain activities and outputs are required for these results
to be achieved such as training awareness raising promotion or even new legislative
requirements These are examples of indicators that clearly measure results rather
than outputs
legislative drafts accompanied by an impact assessment
administrations using the Single HRM Information System
bodies of the judiciary that have introduced a HRM system
normative acts adopted after consultation with stakeholders
the percentage of local governments that have implemented management
systems involving customer satisfaction measurement
administrations that observe the time standard for service provision
public sectors that have elaborated specific public private partnership rules
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
46
administrations that have introduced rules of procedure for the monitoring of
policy implementation
number of laws amended as a result of the programme
The more lsquostrategic naturersquo called for in the ESF Regulation is visible in a limited
number of results indicators Examples include
shortening the length of judicial proceedings
reducing the time for servicing clients
increasing the share of persons from target groups receiving services
providing compliance with the Maastricht criteria
Requirements for indicators and targets in the framework of ESF assistance
In its preamble (26) to the General Regulation ((EC) No 10832006) the Council states that ldquoit
is appropriate to set measurable targetsrdquo and that it is necessary to identify appropriate ways to measure and report the attainment of those targets Article 93 specifies the share of the budget to be devoted to activities that further the Unionrsquos objectives regarding competitiveness and job creation including the objectives of the Integrated Guidelines for Growth and Jobs (2005 to 2008) The targets set by MSs should reflect this Article 36c stipulates that targets
shall be quantified ldquousing a limited number of indicators for output and results taking into account the proportionality principlerdquo The ESF Regulation ((EC) No 10812006) specifies for programmes co-financed by ESF that the indicators shall be rdquostrategic in nature and limited in numberrdquo They must also rdquoreflect those used in the implementation of the European Employment Strategy and in the context of the relevant Community objectives in the fields of social inclusion and education and trainingrdquo
413 Overall achievements
In this section we provide an overview of the main achievements in terms of the
values of output and results indicators
In terms of outputs recorded during the 2007-2013 programming period 17000
training programmes were developed and 4000 studies undertaken campaigns
public consultations reviews (laws procedures) and reports have been implemented
Some 95000 organisationsinstitutions were involved under SIC-related interventions
The organisations that the ESF supported besides the obvious beneficiaries include
bodies of the judiciary government offices at county level boards of public benefit
activities at regional level and municipalities At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures including client
centres or regional offices
Most of the individuals that participated in a SIC-funded projectinitiative received
support in the form of training Examples of other achievements for individual persons
include lsquoattracting new specialistsrsquo and lsquoemployers assisting or financially supporting
These achievements were monitored through output indicators These figures probably
underestimate the number of outputs as countries have not necessarily included both
the number of organisations involved in training and the number of staff trained as
output indicators Sometimes the development of training plans was a distinct activity
however for many training programmes plans may exist without being monitored
through output indicators
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
47
The results achieved through ESF during the 2007-2013 programming period are
varied too
In order to illustrate them we first present the aggregate of realised values of result
indicators for SIC based on a limited set of key ESF results common to all ESF
priorities as reported in the EU Synthesis Report of the present service 11
as such
these values can be aggregated and compared with those of other ESF priorities
During the 2007-2013 programming period under the SIC priority approximately
512000 individuals gained a qualification and 87100 reported other positive results
Some 2000 entities or organisations were established or they recorded other positive
results and more than 1700 productssystemstools were developed It should be
mentioned however that due to data limitations it was not possible to aggregate all
results as reported in the AIR of ESF programmes and as a consequence this leads to
systematic under-reporting of the results of ESF12
In addition we provide a more detailed overview of the main types of results
customised to SIC interventions while section 414 provides a more in-depth analysis
of some of these indicators per typology of intervention
However it should be highlighted that several limitations mainly in the quality and
availability of monitoring data and heterogeneity of national evaluations coupled with
a broad range of intervention logics hamper the formulation of a concise and clear cut
assessment of achievements causality and extent to which results have been
achieved at EU level Furthermore as it will be mentioned below in more detail
typically information from national evaluations is of a more qualitative nature with
fewer evidence-based findings and is thus not conducive to drawing hard conclusions
ESF-supported interventions helped in reducing the administrative burden for citizens
and businesses The processing time was shortened for documents servicing clients
obtaining the necessary paperwork for starting a business and judicial procedures
(BG CZ PL) administrative costs were also reduced (EL RO PL)
Services were made more accessible through the introduction of on-line service
delivery at various administrative levels (BG CZ PL)
SIC interventions also contributed to the production of better quality policies and
legislation through the introduction of monitoring and evaluation procedures in
administrative bodies (BG RO) the increase in impact studies conducted before
introducing new legislation (BG CZ) the development of quality management in
public institutions (LV) and laws that were amended to better serve the community
(HU)
Management systems and practices were changed to incorporate modern human
resource management and planning techniques (EE PL LV) performance ratings used
for staff assessment (HU) and new staff that were attracted to join government
11 these are People in employment directly or sometime after the intervention People receiving a qualificationcertificate People reporting positive results other than employment or qualification such as for example improving skills competences or successfully completing the
ESF supported intervention (or reporting a combination of employment qualification and other positive result aggregating combined indicators) People in self-employment Entities being established or obtaining other positive results and Productssystemstools developed
12 For a more detailed analysis of data limitations in calculating ESF results see the EU Synthesis Report Chapter 41
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
48
institutions (HU) Cooperation with other actors was furthered through the preparation
of rules for public-private partnerships in public administrations (BG) and the inclusion
of NGOs in activities (LV) SIC interventions of course also led to many reforms in
public institutions (RO)
The support to institutional capacity also contributed to achievements in specific policy
areas equal opportunities through the increased number of public bodies of the
central government that promote the integration of gender policy (EL) environmental
policies through the development of territory plans in municipalities (LT) and
environmental management systems in companies (UK) and the social dialogue
through the increased number of employees that are covered by collective agreements
(LV)
The above overview of achievements is based on the indicators that MSs formulated to
measure results From the information provided in chapter 3 it is obvious that this
captures only some of the achievements
414 Achievements in specific fields of activity
In this section we provide a more in-depth analysis of achievements obtained through
the implementation of SIC-related interventions in some specific sectors according to
a classification of indicators per field of activity By looking at these different fields of
activity some interesting findings at country level emerge
Capacity building related to judiciary reforms
Relevant output indicators have been identified in this field in three countries (BG PL
and EL) Five of output indicators (BG and PL) relate to the training of individuals
such as magistrates or employees of judiciary offices and one to the number of
training modules developed (BG) In Greece the selected indicator refers to the
number of implemented upgrading actions of courtsrsquo administrative capacity One
more indicator in Bulgaria refers to the number of judicial bodies that have introduced
court case management systems
Of the twelve result indicators selected by four MSs (BG CZ PL and SI) seven
measure the decrease in the duration of proceedings of judicial cases (CZ PL and SI)
In Slovenia the average duration time for judicial procedures (in months) was reduced
from 95 to 39 thus surpassing the target (6) In the Czech Republic the length of
judicial proceedings was down to 497 (days) by the end of 2014 from an initial
baseline of 1057 (versus a target of 846) The remaining indicators refer to the
increased effectiveness of judiciary bodies and offices in terms of management and
quality assurance HR and provision of services
Results for BG and PL were less positive In Poland although the share of cases
handled by the courts for longer than 12 months decreased to 14 (target 1330
baseline 167) the indicators related to the average duration of proceedings in
commercial cases did not show a progress towards the set target In Bulgaria the
intervention on the web platform for e-justice failed due to lack of interest
Processes related to strategic planning and management
Eight output indicators have been selected by four MSs in the field of Strategic
planning and management (EL LT LV and PL) They refer to the number or the share
of public administration offices that implemented management systems and quality
assurance processes including the training of employees on these subjects
Eight result indicators for this field have been selected by five MS (EE LV LT PL and
RO) which measure the number of units or offices that have changed their
management system or introduced quality standards or management systems
E-government
Six output indicators have been selected in the field of e-government One indicator in
Slovenia refers to the number of online administration services available It is
interesting to note that in the case of Slovenia the target was overachieved by 249
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
49
(805 services online versus 323 targeted starting from an initial baseline of 308) In
Bulgaria the indicator refers to the number of administration units having introduced
systems for the in-house electronic exchange of documents (in total 108 although no
initial target was set) In Poland the selected indicator refers to the number of
employees who received training for the provision of online services (this indicator
shows a relevant underachievement as only 23 of the foreseen 800 workers received
the training)
By the end of 2014 in Slovenia the availability of e-government services has
increased from an initial baseline of 87 to 95 (initial target over achieved) usage
of ICT services by medical personnel has increased to 65 from an initial baseline of
60 while use by patients has risen to 25 from an initial 22 Usage of e-services
by the unemployed has increased from an initial baseline of 7 to 27
(implementation rate of 163) In Bulgaria 436 services have been made available
online (1000 were foreseen) In the Czech Republic achieved results relate to the
increased use of e-government public administration
Promoting a business-friendly administration
Five MSs selected result indicators relating to the promotion of a business-friendly
administration these mostly relate to shortening the time needed for setting up or
registering a business or in the rebate of administrative costs for business
In Slovenia the number of days required for setting up a corporate entity decreased
from 61 to 29 days (versus a target value of 7) In Poland the OP selected a
relatively high number of indicators to measure the goal of having a more conducive
administrative environment for companies the decrease in the number of days for
registration of an economic activity (for companies and individuals) and of the
administrative costs for setting up a business In all instances the indicators show that
initial targets have been achieved or over-achieved Lithuania also focuses on the
reduction of the time required to set up a business over the 2007-2014 period this
has decreased from 26 to 3 days
In Poland significant results in the area of administrative capacity connected with
diminishing burdens on economic activity have been found Diminishing burdens on
starting-up businesses are connected with a friendlier law and organisational setup ndash
simplifications were made of 92 legal acts which were most relevant in terms of
conducting economic activity (target 40) The average number of days required for the
registration of economic activity (starting up business) dropped to 005 (target 1
baseline 7) for individuals and 348h (target 24h baseline 168h) for companies The
empowerment of citizens was achieved through the results connected with access to
free legal consultations Other successful programmes include the implementation of
the lsquoone-stop-shoprsquo system for start-ups the simplification of administrative
procedures related to start up business increasing the quality of services rendered by
tax administration and equipping judiciary staff with necessary competences relevant
to dealing with economic cases (PA 512)
415 Effectiveness
Effectiveness can be measured by comparing achievements with initially set targets
As targets for outputs and results are defined in different ways a composite indicator
has been constructed which counts the number of targets that have been met and the
number of those that have not been reached for each ESF theme
Outputs
The table below shows the share of output targets achieved and not achieved for SIC
interventions and for ESF interventions as a whole It should be noted that no targets
were set for a number of outputs in Bulgaria the Czech Republic Greece Italy Latvia
and the United Kingdom The share of outputs without targets for these countries
amounted to 5 65 2 65 30 and 24 respectively
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
50
It is to be recalled that targets were set for the end of the programming period with
the 2007-2013 expenditure being eligible until 31122015 Therefore tables and
figures below underestimate the attainment of targets as data on results refer to
2014 only
For the ESF as a whole only slightly more than half of the output targets were set
Where targets were set for outputs a majority of them were achieved (63) Targets
were more often set in countries that had allocated resources to SIC-related
interventions In those countries targets were set for 61 of the outputs defined
These targets were achieved to roughly the same degree as the other types of
interventions (see table below) For the SIC interventions themselves a relatively
large number of targets was set However only half of these targets were met which
is considerably less than for ESF interventions as a whole and this has not been
explained by the MS Obviously the fact that targets were set for a larger share of the
PAs did increase the chances of failing to meet targets this is because targets were
also set when this was more complicated to achieve (See Table 14)
Table 14 Target setting and achievement for outputs SIC and ESF
Targets set Targets achieved if set
ESF as a whole 54 63
MS with SIC related interventions 61 61
SIC related interventions 78 52
Source SFC 2007-2013Draft Country Synthesis Reports
Achieved or over-performed
In eight of the 14 countries SIC interventions performed better than interventions in
general These countries show the same or higher achievement rates for SIC
interventions than for all ESF interventions the Czech Republic Estonia Hungary
Latvia Romania Slovenia Slovakia and the United Kingdom With the exception of
Slovakia in particular these countries also performed considerably better than the
other countries (See Table 15)
Table 15 Achievement of output targets for SIC and all ESF interventions
ESF
SIC
Below target Above or = target Below target Above or = target
BG 73 27 94 6
CZ 27 73 0 100
EE 16 84 0 100
EL 63 38 74 26
HU 35 65 14 86
IT 37 63 77 23
LT 28 72 47 53
LV 16 84 0 100
MT 50 50 67 33
PL 33 67 42 58
RO 52 48 40 60
SI 35 65 14 86
ESF 2007-2013 ex-post evaluation synthesis
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51
ESF
SIC
Below target Above or = target Below target Above or = target
SK 63 37 63 38
UK 30 70 25 75
BG Incl PA4 TA
CZ No data for PA 44b
Source SFC 2007-2013Draft CS Reports
Results
Tables 16 and 17 below provide a consolidated overview of the degree to which set
targets for results were met
Table 16 Target setting and achievement for results SIC and ESF
Targets set Targets achieved if set
ESF as a whole 63 39
MS with SIC related interventions 57 41
SIC related interventions 81 43
Source SFC 2007-2013Draft CS Reports
Achieved or over-performed
Result targets were considerably more often set for SIC related interventions rather
than for ESF interventions in general (81 compared to 63) Only four out of ten
SIC PAs achieved their targets In this they are comparable to other types of
interventions under ESF
Only four countries have performed equally or better in terms of achieving their
results targets for SIC compared with their performance regarding ESF interventions
as a whole Estonia Hungary Italy and Latvia (see table below)
In general countries set targets for results more often than they do for outputs (63
compared with 54) However the difference is negligible for SIC interventions On
the other hand the targets set for results were achieved much less often than those
for outputs For ESF as a whole 39 of the targets set for results were achieved
compared to 63 for the output targets Only 43 of the SIC interventions met their
targeted results compared with 52 of the output targets As this is the first period
for which targets had to be developed for SIC interventions it could be that these
targets were set at levels which were too ambitious It is conceivable that assessing
the chances of outputs being achieved would be easier than assessing likely results
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
52
Table 17 Achievement of results targets for SIC and all ESF interventions
ESF SIC
Below target Above or = target Below target Above or = target
BG 76 24 87 13
CZ 31 69 56 44
EE 34 66 0 100
EL 78 22 100 0
HU 0 100 0 100
IT 78 22 56 44
LT 27 73 50 50
LV 36 64 29 71
MT 36 64 50 50
PL 47 53 52 48
RO 61 39 78 22
SI 52 48 75 25
SK 86 14 100 0
UK 29 71 86 14
BG Incl PA4 TA
CZ No data for PA 44b
For SI PP and SIC data are combined and this table therefore includes the PP interventions too
Source SFC
Of course target achievement is only one way of assessing results and national
evaluations in a number of cases more detailed analyses at the level of PAs have
provided more positive or more nuanced statements about the results (eg EL MT
PL RO SI) One reason is that these evaluations provide more information than is
available in the database or that they make a more detailed comparison between the
effectiveness of PAs or actions related to SIC However the assessment of the results
is also influenced by expectations and previous experience as well as by the use of
other criteria
The PA for lsquoModernising and improving the quality of public services for West Wales
and the Valleysrsquo met only 14 of the results targets according to the SFC database
However it can still be assessed positively when looking at national sources bearing in
mind that most targets were met or exceeded (AIR 2014) Also the projects within this
thematic area had a clear focus on seeking to instigate a positive change with a view
to creating long-standing service improvements This thematic area provided impetus
in moving some agendas and pilot ideas into practice due to the additional funding
provided13
13 Thematic Evaluations presentations PWC dated October 2014 and May 2015 available at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
53
416 Reaching the different target groups
In total over 14 million participations were reported in SIC-related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training
The fact that the target groups of SIC interventions are usually the staff of the
institutions concerned is reflected in the participantsrsquo characteristics These differ
considerably from the average ESF population
Almost all participants are as logic suggests employees The only exception is
Slovenia where lsquoonlyrsquo 865 of the participants are employed For the ESF as a
whole only one third of the participants are employed as many interventions focus on
promoting the labour market participation of unemployed and inactive people
The majority of the participants are well educated (ISCED 5 and 6) With 57 of the
participants in this category the educational level of participants is much higher in SIC
interventions than it is for ESF as whole where only 17 fall into this category
Conversely participation of people with lower educational levels especially ISCED 1
and 2 is much higher for ESF participants as a whole The highest educational levels
are found amongst participants in Lithuania Romania and Slovenia the lowest in the
Czech Republic Hungary and Italy
Participants in SIC interventions are older than ESF participants on average The vast
majority of the participants in SIC interventions are 25-54 years of age (86) while
this number amounts to only 63 for ESF as a whole They also belong to the older
age group of 55-65 years of age somewhat more often 11 versus 6 of the
population for ESF as a whole Young people (15-24) on the other hand are strongly
under-represented (4 for SIC interventions versus 31 for ESF as a whole)
Although in some countries young people are better represented (LT LV SI) but with
still far lower shares than for ESF as a whole Countries with the lowest share of young
people in SIC interventions are the Czech Republic Greece and Italy
The majority are women (64) For the ESF as a whole only 52 of the participants
are women This over-representation of women might be due to the fact that they are
usually over-represented in public administration which represents the most
important target of SIC interventions The share of women in SIC interventions is
somewhat lower in Italy and the United Kingdom (50-59) and considerably lower in
Malta and Slovakia (40-49) Women are over-represented in all sub-groups The
difference is however considerably less pronounced amongst the higher educated
This is caused by the fact that for ESF as a whole the share of women amongst
higher educated participants is relatively high (63) while for SIC interventions the
share of women remains in line with SIC interventions as a whole If we assume that
for SIC interventions higher education is accompanied by higher positions in the
organisations concerned this could reflect a lower representation of women at higher
levels in such positions
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54
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014)
Source SFC 2007 Country Synthesis Reports
Values BG CZ EE EL HU IT LT LV MT PL RO SI SK UK TOTAL SIC
over
total W TOTAL ESF
over
total W
Total
participants252126 140810 43434 130340 210547 13878 92410 49538 20264 367776 70249 927 42725 822 1436920 64 98658829 52
Employed 241728 140810 43434 126685 205701 13878 87180 46318 20182 352000 70249 802 42151 822 1392409 969 64 33041257 335 53
of which self-
employed8799 - - - 1009 - 3323 1304 792 3619 - 97 170 - 19134 54 2437321 25 45
Unemployed 4531 - - 3655 1653 - 481 599 22 4004 - 78 46 - 15525 72 30039410 304 53
of which LTU 2062 - - - 482 - 166 330 4 935 - 7 11 - 4201 62 8996113 91 52
Inactive 5867 - - - 3193 - 4749 2621 60 11772 - 47 528 - 28986 64 35578162 361 50
of which in
educationtr
aining
1484 - - - 395 - 3967 2621 38 3898 - 41 76 - 12598 63 25207563 256 50
Young
people (15-
24 years)
13524 1 2512 950 4740 7 8022 4275 1270 16823 3497 98 2188 21 58157 40 61 30063502 305 47
Older people
(55-64
years)
39485 48 6384 15697 11244 995 12806 6508 2248 42046 7266 102 6317 101 151350 105 61 6106942 62 50
Migrants 125 - - 16 214 - 34 12 16 3 - 3 15 12 483 56 5152191 52 50
Minorities 9593 - - 38 1083 - 2150 447 - 40 3317 2 428 27 17309 58 3856947 39 47
Disabled 4737 - - 102 745 - 599 1082 94 948 146 12 357 37 8939 63 5265599 53 46
Others 1968 - - 101 - - 2637 48049 209 - - 6 335 - 53468 71 7017829 71 51
Primary or
lower
secondary
education
6421 - 667 3066 7087 7 3227 1041 3988 3909 - 16 4873 25 34454 24 57 38840296 394 48
Upper
secondary
education
49741 4 6730 31186 17941 780 2716 5347 3657 42521 9289 103 10136 169 180739 126 60 26014203 264 52
Post-
secondary
non tertiary
education
23951 - 5844 2970 5744 134 3720 3278 3460 52931 2214 150 1587 - 106029 74 66 4934362 50 57
Tertiary
education172013 71 30193 93114 38649 1385 82378 32254 9159 268415 58746 658 24057 611 812185 565 66 16297940 165 63
ESF 2007-2013 ex-post evaluation synthesis
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55
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women participants
Source SFC 2007 Country Synthesis Reports
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
Total participants 630 633 707 648 601 543 678 725 437 684 606 669 476 564
Employed 631 633 707 638 600 543 684 721 437 685 606 647 476 564
of which self-
employed 574 - - - 640 - 569 712 188 429 - 237 247 -
Unemployed 591 - - 998 600 - 568 791 500 666 - 808 522 -
of which LTU 559 - - - 676 - 512 758 1000 725 - 857 364 -
Inactive 605 - - - 673 - 576 785 450 650 - 809 511 -
of which in
educationtraining 610 - - - 666 - 569 785 526 604 - 829 487 -
Young people (15-
24 years) 603 1000 702 783 536 1000 560 581 521 662 614 571 546 524
Older people (55-
64 years) 586 625 699 579 558 432 705 732 280 634 590 235 512 554
Migrants 448 - - 1000 640 - 529 583 688 667 - 333 67 583
Minorities 561 - - 1000 540 - 610 785 - 675 614 - 614 519
Disabled 621 - - 686 558 - 723 742 202 660 507 417 602 541
Others 615 - - 1000 - - 669 724 282 - - 500 254 -
Primary or lower
secondary
education 556 - 643 698 616 - 553 744 316 607 - 125 591 560
Upper secondary
education 581 750 680 656 554 505 419 732 468 626 571 359 464 556
Post-secondary
non tertiary
education 593 - 702 684 579 500 544 741 464 716 573 320 565 -
Tertiary
education 652 634 716 642 496 453 697 738 467 688 612 465 493 566
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56
42 Efficiency
As in other thematic evaluations the lack of information on the costs per result
hinders an assessment of the efficiency of ESF SIC investment It is always possible to
calculate the cost per participant but this is a less relevant and potentially confusing
indicator for SIC interventions The table below illustrates the limitations of this effort
Both Slovenia and the United Kingdom report an extremely small number of
participants and high cost per participant Under the Slovenian PA IT expenditure was
planned which involved substantial budgets for software hardware and expertise
with only a small proportion of the budget reserved for the training of future users
This was not the case for the United Kingdom and this combination of a small number
of participants and high cost per participant may be partly explained by the fact that
the number of trained people fell far below the original target Therefore only by
analysing the interventions undertaken by each country would it be possible to draw
any meaningful conclusions
Table 20 Funding per participation for SIC related OPsPAs
Total participants
Total expenditure (euro)
Cost per participant (euro)
BG 252126 137491170 545
CZ 140810 94381124 670
EE 43434 21210585 488
EL 130340 381930601 2930
HU 210547 122203794 580
IT 13878 131069031 9444
LT 92410 143977869 1558
LV 49538 20683459 418
MT 20264 7687444 379
PL 367776 315293255 857
RO 70249 159318804 2268
SI 927 89112721 96130
SK 42725 31545122 738
UK 822 13331326 16218
Source SFC database
Another indicator for efficiency was used in the ex-post evaluation of the Romanian
capacity development OP This programme was judged to be efficient because with a
similar level of investment it generated more immediate effects than initially
envisaged This is despite the fact that 120 of the selected projects in this country
could not be awarded due to depletion of funds this decreased the efficiency of the
OP somewhat as time was spent on processing and assessing these projects but with
no subsequent activity delivered or results achieved
Another more qualitative dimension of efficiency is assessed by looking at the
implementation process to see if there are features that are impeding or facilitating
the programme Two examples illustrate this In the Czech Republic only 75 of the
financial resources which were committed for the realisation of the selected projects
were fully spent This was caused by mistakes made during the procurement process
that resulted in delays in implementation Hungary showed that reforms could produce
the opposite or mixed effects on efficiency On the one hand state reforms may
increase the activity undertaken and the outputs and results produced On the other
hand the accompanying reorganisation of institutions may have a negative impact on
the efficiency of such interventions as they initially cause inefficiencies where people
ESF 2007-2013 ex-post evaluation synthesis
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57
are adjusting to the new situation Sometimes the complexity of procedures also
influences costs indirectly One example of this is when due to the complexity of
project administration huge amounts of money are spent on project management
which is provided by private companies that were established especially and solely for
this purpose (SK)
It can be concluded that the available information does not allow conclusions to be
drawn regarding the efficiency of SIC interventions The assessment of efficiency is
strongly hampered by the fact that the outputs of various activities are objects rather
than people This renders a comparison of costs per participant between PAs or
countries meaningless In addition there is a wide variation in the objects produced
which can range from studies to IT-systems therefore their costs also cannot be
compared without collecting detailed information on outputs and costs at activity level
The current evaluation does not encompass this level of analysis
43 The sustainability of ESF SIC interventions
Sustainability of SIC intervention refers to both the continuation of funded projects
(with or without EU funding) and the achieved results in terms of increased
empowerment and adaptation to new needs as they develop Although no clear-cut
evidence on sustainability has been detected it could be argued that in this respect
interventions are likely to be sustainable to a large extent Such interventions have
set in motion other activities which will continue beyond the lifespan of the original
activity Alternatively the tools developed provide a platform for new initiatives
without time constraints related to the project that introduced them For example
Those that have upgraded or added value to other interventions These are
mainly the training programmes based on needs assessments made through
functional analysis (BG)
E-governance and other tools (BG MT)
Quality management (LV)
A common learning portal for local authorities (UK)
Training or manpower interventions (EE IT MT)
Sustainability can be deliberately ensured by procedures and regulations to this end
In Poland changes in public administration institutions which were introduced as part
of the ESF project will have a permanent nature this is guaranteed by the
introduction of new procedures and regulations This applies to the Better Regulations
2015 adopted by the Council of Ministers on 22 January 2013 and concerning areas
such as legislative actions of simplification (solutions in removing barriers to
entrepreneurship development) impact assessment (an analytical tool that allows to
design regulations which correspond to the real socio-economic problems) and a public
consultation (the consultation facilitating stakeholder participation in the legislative
process - the on-line consultation system) The situation is the opposite for NGOs the
support they that received significantly influenced the development and strengthening
of the third sector but the lack of proven procedures and constant cooperation
between public authorities and NGOs adversely affects the durability of the results (the indicator - number of local government units that have implemented the
standards of cooperation with NGOs - has been achieved at the level of 856 in
Poland)
It should be mentioned however that the sustainability of SIC interventions is also
dependent on the context in which they are implemented and which these same
interventions aim to support Two main obstacles to sustainability have been identified
in this respect These are the lack of financial resources to sustain the action and the
institutional and political environment
Italy and Lithuania both highlight the importance of earmarking ESF funding for similar
interventions under the next programming period In Italy disappointing results of
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Thematic EU synthesis report Strengthening Institutional Capacity
58
regional SIC interventions led to the introduction of national thematic objectives
These cover the whole of Italy for the current programming period which the 2014-
2020 regulation now allows14 Between 2014 and 2020 the strategies and actions that
were started during the previous period will be continued and consolidated in a more
structured and defined framework For Lithuania the sustainability of the products
developed and results achieved at the end of the EU funding were identified as
moderate and dependent on the field of intervention and public management
institutions Since the budgets of the state and especially municipal institutions are
limited the continuity of products and results created from the 2007ndash2013 Structural
Funds in the field of public management depend on planned investments during the
2014ndash2020 programming period (this is particularly applicable to the fields of
performance management and e-government) In the case of decentralisation lack of
funding is also more likely to occur and national (or ESF) funding is needed to ensure
that interventions will be sustained (RO) Formalisation through public policies at
national level is required for this
The institutional environment is flagged up as a deterrent to the sustained
effectiveness of interventions in Greece and Slovakia Key institutional factors in this
respect include
a high employee turnover among state employees (SK)
lack of a systematic policy for human capital (SK)
changing management with new elections (EL SK)
an overall administrative culture that is not conducive to change (EL)
44 Gender sensitivity of ESF SIC interventions
SIC may have a direct or indirect impact on gender equality by strengthening and
supporting the gender infrastructure that is an integral part of the institutional set up
of a countryregion The term gender infrastructure refers to the administrative
political and legal mechanisms existing within the public administration which are
aimed at promoting gender equality such as provisions for gender mainstreaming
policies at the central and local level or gender budgeting for example Gender
infrastructure can be targeted directly by SIC interventions through positive actions
(such as training staff on gender issues promoting studies on gender pay gaps or
supporting the creation of gender units) or indirectly by strengthening the overall
capacity of the administration and therefore also implicitly improving awareness on
gender policies whilst also developing their effectiveness
An example of such an approach can be found in Greece which dedicated a PA to
lsquoStrengthening policies aiming at ensuring equal opportunities for all in the whole
range of the public administrationrsquo The PA foresaw measures to enhance the gender
mainstreaming policy in the public administration and increase the participation and
career progress of women in employment Actions included
codification and simplification of law regulations for the enhancement of gender
mainstreaming in all the fields of policy making
evaluation of public policiesrsquo impacts through gender mainstreaming
enhancement of the integration of gender mainstreaming in public policy
14 Institutional capacity being reserved to Convergence areas in the 2007-2013 period
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
59
enhancement of the participation of women in decision making centres
enhancement of actions in prefecture authorities targeting the prevention and
combating of violence against women
support for NGOrsquoS (womens organisations)
From the available evidence it seems that most of the interventions were
implemented as planned The latter intervention encountered difficulties as it coincided
with the restructuring of the public sector which was necessitated by the economic
crisis Very little is known on the impact of these interventions
Other countries did not address the gender infrastructure However SIC interventions
can also be designed in such a way that in their implementation at least women and
their interests are taken into account or even furthered Although SIC interventions do
not specifically target women in Poland the Polish OP can be considered a good
practice of designing an OP in a gender supportive way with several features that
may help ensure that women really benefit from the interventions
Women were the specific target groups of some of the interventions although
not in the case of any of the SIC interventions which has been continued in the
new programming period however there are no OPs or priorities specifically
dedicated to women
An obligatory minimum standard was introduced in projects so that all of the
institutions implementing ESF funds would respect the principle of gender
equality This meant that in all projects (also those implemented within the
SIC area) it had to be shown how the project would contribute to the fight
against inequalities or at least how it would not sustain or strengthen them
The minimum standard has been continued and developed in all ESF
programmes for the 2014-2020 programming period However the assessment
criteria have been tightened in terms of gender sensitivity which means that
project promoters are supposed to describe how they are going to implement
gender equality at all project stages In the 2014-20 programming period
there are also some requirements in terms of gender equality for project
promoters within other funds (ERDF EAFRD EMFF) The manual on gender
equality published by the MA contains recommendations for the MAs on
gender sensitivity in management OP implementation and the setting of
thematic objectives (the PA) amongst other things
Additionally the MA created a strategic vision on the strengthening of equal
rights for men and women which was adopted in the official MA agenda A
group which included the representatives of the intermediary bodies was
formed to control the application of gender equality as a horizontal issue in the
interventions
All institutions that are engaged in the management and implementation of the
ESF in Poland (ie the MA and the IBs) were assessed regarding their own
equality policies The idea behind this was that they would be in a better
position to stand ldquoon guardrdquo and protect gender mainstreaming and gender
equality if they knew of it from their own experience
SIC interventions and staff capacity building in particular can also be assessed in
light of the contribution they make to womenrsquos careers in the organisations that are
being supported by these interventions
SIC interventions typically have more female than male participants For most
countries this reflects the over-representation of women in public institutions As
precise figures are often lacking it is unclear as to whether women are proportionally
represented in interventions Women are also less represented at the higher and
managerial levels in administrations and sometimes in interventionsactions targeted
at managerial positions in public administrations (IT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
60
Proportional representation provides equal opportunities for women to better their
position It does not level the playing field however as is argued and exemplified in
the Estonia On the other hand more women participated in training than men in
Estonia For example in the central training program 2008-2009 three times more
women were trained than men this was also the case in training for NGOs where the
proportion of women was very high (nearly 75) This training ultimately influenced
the competitiveness of women in the labour market This should in theory help to
reduce the existing gap between women and men However it is not clear whether
the unequal labour market position really results from the differences in knowledge
and it is not likely that the gender pay gap will start to decrease as a result of the
training The effects on such a level are probably rather modest In this respect it is
worth noting that in programmes for top managers in the public sector the ratio
between men and women is very different there are twice as many men as women
Also the competence model and the related methodology for the regular evaluation of
competences which are developed for top managers in the Estonian public service
are gender neutral While this is obviously better than a system implicitly favouring
men this also means that it will not actively pursue a change in the gender balance at
this level
More specific actions would be required to improve the position of women in public
administrations in terms of qualitative criteria such as pay and function levels These
appear to be rare as women are seldom a specific target group in SIC interventions A
number of countries did make equal opportunities a selection criterion for projects
(CZ LT RO) However only two countries include actions that aim to further the
position of women In Greece specific PAs have the objective of enhancing gender
mainstreaming policy in the public administration increasing the participation and
career progression of women in employment and reducing genderndashbased segregation
in the public sector The Hungarian action lsquopromoting performance-based career
pathwaysrsquo includes specific activities to enable staff to better balance domestic and
work obligations which is something that will help women in particular
45 Community added value of ESF SIC interventions
Community added value can be achieved in four different ways volume role scope
and process
In the case of ESF SIC interventions this translates into the following options as
highlighted in Table 4 section 311 above
ESF funding was used to strengthen pre-existing good governance and capacity
building interventions funded by national strategies (volume)
ESF was used to reach new target groups (scope)
ESF was used to test new and innovative activities (role)
ESF was successfully used to improve PA service delivery by improving systems
and methods (process)
For most countries having ESF adds value to what would have been done in the
countries without this support
451 Volume effects
The main CAV dimension detected across the different MSs is the volume effect In
many countries (BG EE LV MT RO IT) interventions have been undertaken on a far
larger scale than would have been possible without the financial backing from ESF
This effect has been even greater than would have otherwise been possible due to the
impact that the financial crisis had on MSsrsquo budgets While this probably holds for
other areas of intervention too SIC interventions are more likely to suffer from budget
reductions as increasing unemployment and poverty rates are likely to be more
pressing concerns especially as administrative reform plans in several of the countries
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
61
concerned receive limited political backing Some examples of this effect can be
identified as follows
In Bulgaria the ESF provides key funding to support good governance on
municipal district and national levels as well as for reforms in important areas
including the judicial system which is one of the main recommendations to the
country and is the focus of the public opinion debate
In Poland ESF funds were used to train a larger share of public administration
employees
In Malta ESF funding complemented the Governmentrsquos efforts towards further
simplification and through building capacity amongst government employees
to assist citizens in accessing and using e-services Management processes
within the Public Service were streamlined with a view to facilitating more rapid
decision-making and implementation and more accountability of results
Support for regulatory reform in order to reduce the regulatory burdens on
businesses was also provided
In Lithuania available evidence confirms that the ESF provided additional
funding to support good governance according to the evaluation of the
lsquoEuropean Union Structural Funds Investments for Human Resource
Developmentrsquo through the interventions of measures under priorities 1 2 and
4 of the HRDOP more than 286 thousand public sector workers successfully
completed the training The increased quality of human capital in the public
sector resulted in the higher quality of work which was appreciated by the
public who expressed greater confidence in state and municipal institutions
and bodies15 In addition to this it should be mentioned that ESF funds were
almost the only source to support certain target groups in the context of the
economic crisis EU funds have become probably the only source of financing
for the employee qualification development initiatives for public institutions of
Lithuania16
In Slovenia an example of additional funding is the project lsquoInteroperability
and e-exchange of datarsquo which established amongst other things multi-
functional mechanisms for the implementation of complex data queries in
administrative records and an internet portal (NIO portal wwwniogovsi)
Today the latter is the central contact point for open data in the public sector
(Source AIR 2014)
452 Scope effects
ESF has also added value by broadening the scope of the interventions undertaken by
MSs The first way by which the scope of interventions changed was in terms of
actors such as NGOs or social partners (MT LV BG EE) In Slovenia new target
groups also included businesses and entrepreneurs through the creation of two online
portals (EUGO and e-VEM) providing information for the set-up registration operation
and closing of a company All processes can be undertaken online EUGO the Slovenia
Business Point is the English counterpart of e-VEM It helps foreign business entities
that want to do business in Slovenia
15 BGI Consulting European Union Structural Funds Investments for Human Resource Development Summary of the final report of evaluation (EN) 2015
16 PWC Evaluation of the quality and efficiency trainings financed by ESF 2011
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
62
SIC interventions also altered the scope of the national PAR (HU) or played a key role
in putting administrative capacity on the agenda (IT SK) Finally SIC helped to
introduce topics such as social inclusion equal opportunities and the reconciliation of
work and family life as policies these did not exist in the political agenda prior to the
ESF (SK)
453 Role effects
ESF SIC funding played a role in supporting the introduction and testing of innovative
tools or systems especially those concerning the introduction of e-government In
Bulgaria for example although with several delays and obstacles the Administrative
Capacity OP has supported the introduction of many e-services on a municipal level
as well as for specific national agencies and bodies including the judicial system In
Slovenia as an element of the modernisation and simplification of courtsrsquo
organisations a smart technology that had already been used successfully in the
medical sector was tested for speeding up the writing of judgments through voice
recognition Fifty judges tested this technology in a pilot project After three months
the software was developed fully and then mainstreamed (Source AIR 2013) In Italy
the ESF supported the digitalisation of ESF management administrative processes in
the Apulia OP
Role effects can be also identified in actions and fields not directly related to e-
governance such as
The introduction of monitoring and evaluation systems for policy
implementation on municipal and national levels which is also connected with
the introduction of the mechanism for public discussion of new policies (MT)
In Poland an impact assessment of regulations (an analytical tool that allows
to design regulations which correspond to the real socio-economic problems)
was introduced and tested along with the on-line public consultation system -
the consultation facilitating stakeholder participation in the legislative process
In Latvia under the action Reduction of administrative burden and improving
the quality of public servicesrdquo the Ministry of Environmental Protection and
Regional Development carried out a feasibility study for the setting up of a
single customer service centre network that brings together a number of
services carried out by public administrations
The support to PES in Campania region (IT)
454 Process effects
Process effects occurred in various countries and they relate to the programmatic and
cyclical nature of policy making monitoring and evaluation of policies and work
processes in general Some examples have been provided below
Improvement in the delivery of PA services is the main contribution of ESF SIC
investment in Bulgaria PA service delivery has been improved through the
training of civil servants the implementation of functional analysis on
municipal district and national levels setting up systems from monitoring and
evaluation of policy implementation the introduction of e-services and one
stop shop services exchange and the introduction of good practices from
other countries
In Italy new purchasing procedures were defined through the Ministry of
Education national OP (and also in the Calabria OP) interventions for
increasing the effectiveness of judiciary officesrsquo activities were introduced
(Campania Sicily Basilicata OPs) as well as projects aimed at improving ESF
programming management and control capacities (Apulia Sicily Ministry of
Labour OPs)
In Lithuania ESF support was used to improve PA service delivery systems and
methods for instance the ESF supported the development of the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
63
interoperability (interface) system and improved the safety and functionality of
the information systems in public administration institutions Similarly the ESF
also supported the development and implementation of a centralised public
procurement management system Both interventions were included among the
good practice examples in the Strategic Evaluation of the Effectiveness and
Impact of EU Structural Assistance on the Improvement of Public Management
in Lithuania17
In Latvia a specific project devoted to Improving the quality of public services
at national regional and local level was implemented with the funding of 25
projects Within this the State Employment Agency developed a management
method referred to as Management according to the objectivesrdquo in order to
improve its services while the State Land Service developed an e-guide for
customer service
In Slovenia in order to improve the processing of documents an electronic
documentation system was established at the Public Employment Service It
allows for shorter response times and quicker decisions and also lowers costs
The new system was introduced in ten key processes of the PES which
constitute 85 of the administrative activities
46 The socio-economic impact of ESF SIC
461 Impact indicators and evidence from national ESF evaluations
As discussed impact indicators are virtually non-existent for SIC interventions in the
SFC database18 National sources do include information on impacts Typically this
information is of a more qualitative nature and does not permit conclusions to be
drawn on the level of impacts However it is possible to provide an indication of the
type of impacts that are achieved with SIC related interventions
In their strategic reports on programme implementation over the 2007-2013 period
according to the overall report rdquoseveral MSs emphasise the role that the ERDF and
ESF play in fostering national reform efforts particularly in the field of better
regulation reform of education systems the labour market public administration and
structural reforms in the water sector In addition the ESF has fostered capacity
building for the social partnersrdquo (European Commission 2013) In general however
impacts are seldom so clearly defined or evaluated The table below provides an
overview of what can tentatively be called (intermediate) impacts and indicators
Some information on impacts is available for six countries On this basis some
tentative conclusions emerge that could be tested in future evaluations For each of
these the evidence is rated using a three-point scale
Monitoring systems for policies and ex-ante impact assessment of new
regulatory initiatives seem to be effective in increasing the quality of legislation
and monitoring progress in implementation of policies (weak evidence BG)
The impacts of initiatives aimed at furthering institutional cooperation seem too
low after suffering from fragmented or limited implementation (evidence EE
LT)
17 PPMI Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the Improvement of Public Management in Lithuania 2014
18 It is to be noted that they were not required by the Regulation
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Thematic EU synthesis report Strengthening Institutional Capacity
64
The quality of public services shows clear signs of improvement during the
2007-2013 programming period It is likely that SIC interventions played a role
in this but lsquohardrsquo evidence on this is lacking (Strong evidence on changes but weak on causality CZ-regional level LT PL)
Table 21 Examples of tentative impact evaluations
MS ASSESSMENT
BG Based on the main conclusions in the First Report on the evaluation of OP AC
implementation for the period January-December 2014 the main achievements of this OP contributed to the optimisation and of the work of administration resulting in improved monitoring of policy implementation improved quality of the regulatory documents due to the introduction of their impact evaluation improved capacity of servants by training
CZ There is a slight increase of citizensrsquo satisfaction with the performance of the regional
administrations however the satisfaction with the state administration has been continuously declining
EE Although the effectiveness of the SIC investments has been good and the range of activities has been widened compared to previous programming periods the impacts have still stayed rather modest Even though a strategy unit was established in the
Government Office that has immensely contributed to the decrease in the number of strategic plans there is still room for strengthening the coordination between organisations (the ministries implementing agencies local and central governments) responsible for planning and implementing the strategies Also the social dialogue in policy-making has still room for development A number of joint committees (including the representatives of relevant organisations and social partners) have been created to include relevant partners incl social partners and to consequently add transparency
to policy-making At the same time such committees are criticised facilitating
transparency only seemingly and also diffusing responsibility
LT During the 2007-2013 period the key positive achievements of ESF SIC investments in Lithuania was the improvement of the overall quality and accessibility of public sector services in the country This was achieved through several different mechanisms The
ESF support contributed to the development of the HR capacity in public service Also the investments had positive influence on the management of internal activities in the public sector in Lithuania in particular a number of internal processes were digitalised and a number of strategic planning documents were developed In addition the investments are expected to contribute to the development of e-governance in the country and thereby improve the communication between the public authorities and citizens The key under-achievements of ESF SIC investments in Lithuania were the
very low impact on system-level reforms in public sector as well as low impact on institutional cooperation and partnership building Because of the lack or complete absence of necessary preconditions the reforms at system-level were implemented are fragmentary and are unlikely to produce any significant results Similarly because of a
number of negative factors (lack of coordination of different institutional cooperation initiatives lack of support and awareness on the part of political authorities and executive bodies lack of proper methods for involvement of relevant institutions) the
initiatives enhancing cooperation and partnerships between public institutions will most likely result in low or null impacts in these areas
PL Considering the impact of the ESF on improving the regulatory business environment it is worth mentioning the significant advancement of Poland in the World Banks Doing Business rankings 2015 In terms of ease of doing business Poland took 32nd position
(out of 189 countries) and moved up thirteen places in comparison with the previous year The World Bank assessed countries in 10 categories such as among others ease of opening of the company the necessary start-up capital or tax returns
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
ESF 2007-2013 ex-post evaluation synthesis
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65
462 Impacts in relation to changes in the quality of administrations
The World Bank publishes a broad range of data on the perceived quality of
governance In particular the Worldwide Governance Indicators cover six broad
dimensions three of which are particularly relevant to this report
government effectiveness
regulatory quality
rule of law
This dataset aggregates the results of many surveys that have been conducted
worldwide It has been doing so since 1996 which means that developments can be
traced throughout the programming period
The charts below present the estimates of the perceived quality for each of the three
dimensions The perception of quality is rated ranging from approximately -25
(weak) to 25 (strong) in order to illustrate governance performance
Better quality services ndash competitiveness of companies 4621
Government effectiveness the first dimension of the Worldwide Governance
Indicators assesses the perception of public service quality the quality of the civil
service and its degree of independence from political pressures the quality of policy
formulation and implementation and the credibility of the governments commitment
to such policies Concerning public attitudes towards government effectiveness in the
case of ten of the fourteen countries citizens businesses and institutions felt that
their government had become more effective between 2007 and 2014 The four
exceptions were Greece Hungary Malta and the United Kingdom
The previous section showed that ESF had contributed to better quality services in the
three countries for which evidence was available (CZ LT PL) For the latter two
countries it is therefore likely that ESF has played a role in improving the regulatory
quality scores for their countries However as section 313 showed nine MSs had
actions aimed specifically at improving their delivery systems and eight MSs had
actions aiming at policy delivery as well as development
Figure 4 Government effectiveness
Source The Worldwide Governance Indicators 2015 Update
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Government effectiveness
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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66
The dimension of regulatory quality measures the governmentrsquos ability to formulate
and implement sound policies and regulations that permit and promote private sector
development Regulatory quality was receiving slightly higher marks on average in
2007 than government effectiveness However for only five countries this assessment
had improved by 2014 Estonia Latvia Lithuania Poland and Romania Four of these
countries already had relatively high scores in 2007 but so did some of the countries
with decreasing evaluations such as Hungary Slovakia and the United Kingdom
Ten MSs implemented actions that were dedicated to improving the business
environment while 14 MSs had actions aimed at introducing and strengthening the
use of e-services in public administrations (sections 313 and 314) In light of this
the fact that only five MSs were deemed to have improved the quality of their
regulatory process is again a sign that the impact of efforts made under SIC actions is
not or at least not yet noticeable
Figure 5 Regulatory quality
Source The Worldwide Governance Indicators 2015 Update
The overall conclusion is therefore that in the majority of the MSs the impact of
these actions on the governmental performance is not yet evident or if it is it is still
not noticeable to citizens and businesses However with the nature of SIC
interventions it may be a matter of time before these impacts become obvious only
then will a further impact on the performance of businesses and the wellbeing of
citizens be expected to occur
000
020
040
060
080
100
120
140
160
180
200
2007 2008 2009 2010 2011 2012 2013 2014
Regulatory quality
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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67
Better quality justice and rule of law ndash a conducive socio-economic 4622
environment
The 2015 EU Justice scoreboard shows that there is significant divergence in the
effectiveness of judicial systems across MSs According to the 2015 EU
Competitiveness report the functioning of justice systems in several countries
requires further improvements19
Rule of law measures the extent to which agents have confidence in and abide by the
rules of society and more specifically in the quality of contract enforcement property
rights the police and the courts as well as the likelihood of crime and violence The
satisfaction with rule of law increased between 2007 and 2014 for nine countries
which is almost as many as for government effectiveness Greece Hungary Italy and
Malta experienced decreasing evaluations over this period
Of the nine countries with increasing scores for rule of law four countriesrsquo evidence is
available on the results actions undertaken in the justice sector (section 414) These
results were decidedly mixed with SI and CZ showing positive achievements and
Bulgaria and Poland showing under-achievements As the rule of law indicator is a
very general indicator and the evidence on ESF SIC actions in this area are few and
mixed in terms of results the conclusion here is that the necessary evidence on the
impact of ESF SIC actions in this sector is insufficient to draw conclusions
Nonetheless the increased satisfaction with the rule of law is a positive development
Figure 6 Rule of law
Source The Worldwide Governance Indicators 2015 Update
19 European Commission Single Market Integration and Competitiveness in the EU and its Member States Report 2015 October 2015 section 326
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Rule of law
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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Thematic EU synthesis report Strengthening Institutional Capacity
68
4623 Assessment
Improvements in the quality of public administration occurred between 2007 and
2014 especially in the fields of government effectiveness and rule of law The
perception of regulatory quality improved in a smaller number of countries
The best performance could be seen in Romania Poland and the three Baltic States
These countries improved their ratings on each of the three dimensions between 2007
and 2014 On the other end of the scale three countries saw their assessment
decreasing on all three dimensions Greece Hungary and Malta
It is to be expected that ESF would have contributed to positive changes However
this causal relationship can only be established through impact assessments and
evaluations and the evidence available at this point is insufficient to draw conclusions
in this respect
463 Key factors determining success or failure
Overview 4631
Several factors determine whether interventions are successful and can be considered
good practice in achieving their objectives and whether they do so in an efficient
manner Factors for success and failure are complementary For this reason the two
are discussed together here although the national evaluations do distinguish between
them as can be seen from the figure below
The key factors are similar to those identified in earlier evaluations of ESF SIC
interventions Five factors were identified in national evaluations or by the country
experts based on more general sources
Management this factor is typically linked with the lack of administrative
capacity in the Managing Authority or Intermediate Body itself and was
identified as a key factor for the Czech Republic Italy Romania and Slovakia
Strategic approach and intervention logic this factor refers to coherence and
consistency in policies regarding SIC interventions as well as the detailed
development of an intervention logic It was identified as a key factor for Italy
Lithuania and Romania
Motivation and capacities of beneficiaries this factor directly influences the
performance of individual activities and is therefore of obvious importance It
was identified as playing a key role in Bulgaria the Czech Republic Latvia
Lithuania Malta and Slovakia
Cooperation and coordination efficient coordination of various funded activities
and efficient cooperation between different organisations were listed as key
factors for performance in the Czech Republic Estonia and Lithuania
Context factors these factors include national public administration reform
strategies legislation and the political and institutional environment
Contextual factors are the most regularly cited explanatory factor for success
and failure for Bulgaria Greece Hungary Italy Lithuania Malta Poland
Slovenia and Slovakia
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69
Figure 7 Key factors for success and failure mentioned for MS
The colour of the country abbreviations signifies that the factor was deemed either a success
(blue) or a failure (red) for that country In the case of some countries it turned out to be both
Source country templates based on national evaluations or assessment of country experts based on more general sources
Because of its importance the institutional and political context is discussed in more
detail here It also constitutes a rather specific factor for successful capacity building
interventions Annex III provides a complete overview of the success and risk factors
identified for individual countries
The role of the institutional and political context 4632
This section looks at the role of the institutional and political context as a determinant
for success or failure of ESF interventions that were aimed at strengthening
institutional capacity The information in this section is based upon expert assessment
provided by the country experts where these contextual factors were flagged up as a
success or risk factor to a greater or lesser extent The political and institutional
environment has been flagged up as a crucial factor for successful SIC interventions
under ESF by several countries (BG CZ EL HU IT LT MT RO SK) Rapid changes in
government politicised institutions and lacking political support were all cited as
impediments to the effectiveness of SIC interventions
According to the synthesis evaluation country report for the Czech Republic in all
international comparisons the institutional environment is evaluated as one of the
most significant weaknesses of the Czech Republic When discussing the institutional
environment of the country reference is made to inefficient institutions an excessive
regulatory burden and corruption The performance of the countryrsquos administration
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Thematic EU synthesis report Strengthening Institutional Capacity
70
has been continuously declining since 200620 This is impacting on the performance of
ESF SIC interventions According to the AIR 2014 OP HRE and the evaluation
conducted the realisation of the PA 4 of the OP HRE has been lagging behind the
other priority axes over a long-term period The core problems deal with the
administrative capacity of the Ministry of Interior in its role as an Intermediate Body
as well as the organisational changes of the state institutions in their role as
beneficiaries In addition a high error rate exists in the management of individual
projects which is usually linked to the procurement arrangements and to
irregularities
In Greece the OP Administrative Reform has encountered serious difficulties that
hindered its smooth implementation Besides other factors the institutional
environment plays a key role in this The administrative culture has been criticised for
its absence of strategic action wasteful maladministration of the scarce public
resources organisational overlapping absence of rational planning regarding the
allocation of functions and unsatisfactory services provided to citizens Another
important contextual constraint lies in the absence of an enduring political will and
clientelism accompanied by the politicisation of the senior civil service At least until
very recently these conditions remained unchanged and were reinforced by
widespread corrupt practices Furthermore civil society is only weakly developed in
Greece while consultation structures and practices as part of policy preparation are
also underdeveloped Of particular concern is the on-going politicisation and
subsequent instability at senior levels of the administration
The Hungarian State Reform has gone through essential changes which have had a
substantial impact on the effectiveness and efficiency of the SIC PAs in this country
The direction of the reform was changed and the reform has intensified since 2010
with the election of the new conservative government This has boosted the efforts
made and increased the number of activities and outputs produced under the relevant
PAs This was particularly visible in the number of laws and the activities connected to
their preparation At the same time these political changes seem to have had a
negative impact on the efficiency of the implementation of the PAs This inefficiency
resulted from the fact that new government took time to establish and had partly
different priorities This meant that many changes in the planning and implementation
of interventions had to be made and much adjustment was necessary by those
involved in the implementation
Because of the lack or complete absence of necessary preconditions in Lithuania
the reforms at system-level were implemented in a fragmented manner and are
unlikely to produce any significant results Consequently the key under-achievements
of ESF SIC investments in Lithuania were the very low impact on system-level reforms
in the public sector as well as low impact on institutional cooperation and partnership
building Similarly because of a combination of negative factors the initiatives
enhancing cooperation and partnerships between public institutions will most likely
result in low or no impact in these areas These factors include the lack of coordination
of different institutional cooperation initiatives lack of proper methods for the
involvement of relevant institutions but also the lack of support and awareness on the
part of political authorities and executive bodies
20 Source Supreme Audit Office of the Czech Republic Information from the control action No 1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
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71
In Slovakia the institutional environment is politicised in the sense that as a rule
following every general election new management enters the administration
Systematic work with human capital in public administration is largely absent As a
result employee turnover is high among state employees This in turn is potentially
dangerous to the sustainability of the results and impacts achieved with SIC related
interventions
According to a publication of the EUOECD SIGMA initiative five years after accession
political processes and considerations still substantially impacted the effect and
sustainability of EU capacity building interventions in Central and Eastern Europe In
addition the 2015 single market integration and competitiveness report pointed out
that regulatory and political instability are important barriers to economic growth as
they negatively impact on investment decisions especially longer term ones The
2014 competitiveness report draws attention to insufficient political will as a factor
besides the lack of capacity to enforce rules hampering the effect of anti-corruption
policies in several of the convergence countries From the present study it can be
concluded that during the 2007-2013 period several factors in the institutional and
political environment were indeed hampering progress in achieving the objectives
associated with capacity building interventions These factors include a lack of political
awareness or support (LT) rapid changes in government (EL HU SK) often
changing inefficient change-averse or politicised institutions (CZ EL HU LT) and
clientelism (EL)
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72
5 Overview of key lessons learned
Key findings
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe 2020
Strategy might be further enhanced by specifying the more relevant fields of ESF
SIC support such as e-government or business friendly administration The
institutional and political context remains a key success and risk factor for capacity
building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to the staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to capacity
building is required by MSs as well as a well-defined intervention logic This should
go well beyond the specific objectives and into the realm of intermediate and final
impacts Support provided to countries should take into account the five key factors
that influence the success of SIC interventions management strategic approach
and intervention logic motivation and capacities of beneficiaries cooperation and
coordination and context factors New programmes need to make sure that results
and impacts whose sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or PA
are often linked to a lack of administrative capacity in the Managing Authority or
Intermediate Body both in terms of numbers and qualifications of staff Significant
personnel turnover and frequent changes in staff contributed to mistakes being
made in financial reporting by beneficiaries which was further hampered by
complicated and often-changing rules and errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review ex-
ante the output and result indicators proposed by MSs to see if they comply with
SMART criteria apply a categorisation to common output and result indicators in
the SFC database
Evaluation Fields of activities as found in the CSRs for example could provide a
starting point for the development of impact indicators for ex-post evaluation More
systematic guidance on the distinction between indicators for capacity
enhancement performance and impact indicators could help countries formulate
better indicators for monitoring results In addition a benchmark is needed against
which achievements can be measured
51 Key lessons in terms of policy choices
In the 2007-2013 period strengthening the institutional capacity and efficiency of
public administrations and public services became an ESF objective for convergence
regions (section 22) Supporting SIC interventions in a general or horizontal manner
was new to the 2007-2013 period as increasing administrative capacity was deemed
to be vital for delivering on the Europe 2020 Strategy
The budget spent on SIC interventions has been small in comparison to overall
expenditure under ESF and in comparison to vertical capacity building aimed at labour
market and education institutions (section 34) Impacts are slow to emerge and
difficult to detect which is particularly the case for this priority theme (section 46)
Capacity building takes time and the crisis has had a negative influence on the results
of SIC interventions in the 2007-2013 programming period Community added value
of SIC interventions supported under ESF (section 45) confirms the need for SIC
interventions It therefore stands to reason for the EU to continue funding such
activities in future programming periods
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73
There are specific areas of interest or fields of activity as referred to in this report
(section 412) which are clearly deemed important in the framework of SIC and that
bear a more direct link to the objectives of the Europe 2020 Strategy These are
visible in the country specific recommendations prepared by the European
Commission but also in the topics chosen by the EU funded network that examined
how to make better use of the ESF for public administration reforms21 ESF SIC
interventions have proven to be instrumental in helping countries follow-up on the
recommendations they receive from the Commission (section 31) At the same time
however many actions focus on more general capacity enhancement In order to
emphasise support for the Europe 2020 Strategy it could be considered to adapt and
further specify the relevant provisions in the ESF Regulation (Article 32b) inserting
those fields of activity that best contribute to this Possible examples include
lsquoimproving the environment for businessesrsquo and lsquoincreasing e-government servicesrsquo
The institutional and political context is a key success or risk factor for capacity
building interventions For all countries it is impossible to achieve results without
political backing and support Some of the countries studied here are still dealing with
structural political and cultural features in their environment that will effectively block
SIC interventions if they are not addressed (section 462)
It is therefore important to make the provision of financial support for capacity
building dependent on proven commitment and capacity in the institutional and
political context As a result the Commission can apply as Knott (2007) phrased it
the logic of consequences The logic of consequences assumes that rational actors will
seek to maximise their welfare or utility through strategic actions Depending on how
it is enforced in practice it constitutes a tool with which resources can be directed to
environments where they are likely to be more effective although MSs with less
favourable conditions in which to choose face an obvious choice Knott quoting
others also distinguishes the logic of appropriateness This logic encourages actorsrsquo
motivation by internalising identities values and norms This raises the question of
whether lsquosofterrsquo methods such as those associated with mutual learning could play a
role in this lsquostrategy for changersquo A good starting point to look for answers is the
existing and ongoing mutual learning benchmarking and policy coordination
mechanisms that are practiced by the EU in its employment and social policies A
second place is the strengthening of mutual learning initiatives for regional and local
actors as these are often absent in regular EU employment initiatives
One of the reasons why output targets are not met includes problems related to the
management of projects by MA and IB (section 46) this would suggest the need to
continue interventions aimed at improving the implementation capacity of such bodies
21 From 1 January 2010 to 31 December 2012 an EU funded project lsquoFacing the Challenge ndash How to Effectively Support Public Administration Reforms by ESF Fundsrsquo sought to learn more about making better use of the European Social Fund for public administration reforms The topics chosen were strategic planning e-governance the partnership principle for better regulation and local development business-friendly administration local government reform
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Thematic EU synthesis report Strengthening Institutional Capacity
74
52 Key lessons in terms of target groups
As discussed earlier in this report target groups have a specific meaning in the
framework of SIC interventions For SIC interventions the distinction between
beneficiaries and target groups is somewhat blurred Typically target groups will be
employees of beneficiary institutions
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions Motivation and capacities of
beneficiaries have been cited as a reason why projects are delayed or abandoned
impacting on the degree to which the envisaged outputs and results are achieved ESF
should therefore continue to provide support to beneficiaries However lessons should
also be learned by MSs on the criteria and conditions to be met by potential
beneficiaries before qualifying for support
One reason why output targets are not met (section 41) involves problems related to
the actual implementation by beneficiaries For a number of countries reports exist
about projects that have been abandoned before completion or not even started
Some projects are also poorly implemented with low quality training on offer Some
interventions do not achieve their target Several factors cause this but the interest
and motivation of beneficiaries are a key factor in the success of a programme Higher
involvement of beneficiaries in the preparation of programmes may provide a means
by which to increase such motivation offer concrete support to project managers in
the form of training or provide mutual learning events as a means to increase their
capacity (section 46) However without the right culture in the public sector which
is attentive to human resource management for example this will be insufficient Of
course other factors will also determine the interest of those participating in SIC
interventions such as workload
For several countries the lack of capacity for project management in the target
organisations may itself constitute a barrier to success This applies to those that are
promoting or managing projects This may endanger project implementation but
above all the consolidation of results
Finally with regard to beneficiary institutions it can be observed that national
institutions are the main beneficiary of ESF SIC interventions In the absence of an
objective criterion for the required degree of local and regional authority involvement
it would be good to monitor the satisfaction of these parties in terms of their
involvement in ESF The same applies to NGOs and social partner institutions (section
312)
53 Key lessons in terms of appropriate programming
A number of conclusions can be drawn regarding the strategic approach taken as well
as the intervention logics developed and applied in MSs (section 31)
Strategic approach and intervention logic are related but they are not the same The
strategic approach starts with a call for a unitary coherent and consistent policy
regarding SIC interventions rather than a series of unrelated independent SIC
interventions This can also result in an overall vision or framework for SIC The
strategic approach can also be applied during implementation Selection procedures
for projects based upon calls for project ideas are an example of this Key factors
related to intervention logics include the identification of intervention areas that
respond to a clear need but will also be sufficiently substantial in reaching a critical
mass whilst also fitting the funding possibilities It also concerns the precise
identification and definition of objectives coherence in instruments outputs and
results Target groups need to be well defined but formal delineations should not
prohibit a dedicated search for the actual intended beneficiaries during
implementation
A substantial part of the capacity building interventions takes place under OPs and PAs
that are of a more thematic or sectoral nature (section 34) From the viewpoint of
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Thematic EU synthesis report Strengthening Institutional Capacity
75
expenditure categories the SIC interventions are small compared to other sectors
notably more policy sector oriented categories Nevertheless and perhaps because of
this SIC interventions have a specific role to play in the interaction with vertical
capacity building interventions For developing such a role the following questions
could provide some guidance
How does SIC relate to capacity building activities in the framework of other
priorities
How does SIC contribute to the wider objectives of this strategy as well as
national priorities
How and where do SIC interventions interact with other capacity building
interventions How does alignment take place at the strategic level during
implementation
Should SIC support be horizontal as was often the case during the 2007-2013
programming period or be more focused on certain sectors
What are the underlying considerations and criteria for this
A SIC strategic approach towards capacity building under ESF could be strengthened
with questions such as
What are the overall needs and objectives of capacity building in the country
How does ESF capacity building fit into to the overall PAR strategy
How does it contribute to and how is it supported by it
This comprehensive and strategic approach to capacity building should be the starting
point for the development of a well-defined intervention logic that goes well beyond
the specific objectives into the realm of intermediate and final impacts At present
few indicators at impact level exist but the results indicators seem to harbour
distinctive levels amongst them Objectives and indicators could be better delineated
through the use of the general intervention logic for example which was developed in
the interim evaluation (Ecorys 2011) This study used the following sequence as the
basis for the objectives tree underlying the intervention logic better administration
performance leads to more effective governance that in turn will ensure a better
response to citizensrsquo and firmsrsquo needs which will eventually contribute to
competitiveness and growth in the European Union
Nevertheless a word of caution is in order here The ESF plays an important role in
providing support for SIC interventions The efforts made are large but the
performance of these interventions seems lower than desired SIC interventions were
less likely to achieve their output targets than ESF interventions in general (section
41) and evidence on quality improvements in public administrations is mixed (section
46) This lower performance may be partly explained by inexperience in target setting
for this type of activity and it does not prevent progress being made Progress is in
fact being made albeit slower in some countries and faster in others Capacity
building needs time For the newer MSs it has been a process driven largely by the
EU-accession process over a long time The 2007-2013 programming period could
have been the period during which the EU assumptions and objectives regarding the
role of modern public institutions could have become more internalised The crisis
has however been a strong counteracting force in this respect with an immediate
impact on staff and human resources development in public institutions Admittedly it
requires time and a long-term perspective for capacity building to realise its effects
and reach the top level of the objectives tree Support to countries in this process
should take into account the five key factors that influence the success of SIC
interventions management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
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Thematic EU synthesis report Strengthening Institutional Capacity
76
54 Key lessons in terms of effective implementation
Issues concerning the management of the OP or PA are often linked to the lack of
administrative capacity in the Managing Authority or Intermediate Body itself (see
Annex III) both in quantitative and in qualitative terms Significant personnel outflow
along with complicated rules and errors in the implementation process as well as
often changing rules contributed to mistakes being made in financial reporting by
beneficiaries (section 46) Vice versa an attentive MA closely monitoring and
aligning project and financial considerations will be a contributing factor to a
successful programme implementation
Other lessons concerning the implementation of ESF interventions relate to
coordination and cooperation Efficient coordination of different funded activities and
efficient cooperation between different organisations involved are factors for success
(section 463) the lack of these elements was identified as a reason for the
unsuccessful implementation of programmes Coordination is also required to avoid
overlap in activities especially when targeting NGOs or local governments as there is
a greater risk that they are being approached from multiple directions for similar
interventions Coordination or alignment of training interventions for example can
also help increase the effectiveness and sustainability of the individual interventions
Fragmentation is in turn likely to increase costs and decrease impacts
55 Key lessons in terms of monitoring
With a greater number of improved indicators it will also be possible to improve
monitoring and evaluation so that results and impacts can be better traced during the
new programming period However this is potentially at odds with the intention to
minimise the administrative burden for organisations involved in the implementation
of ESF interventions For this reason the following improvements have been
suggested
A specificity of SIC PAs and actions seems to be that they tend to cover such a
variety of activities that a comparison of financial and participantsrsquo data is
rather meaningless (section 314) The introduction of compulsory types of
indicators per type of intervention according to a classification of interventions
can be beneficial such as the pre-existing one for training the number of
participants would also help in solving this issue
Ex-ante review of output and result indicators which have been proposed by
MSs to see if they comply with SMART criteria as a minimum measurable and
time-bound
Categorisation of indicators in the SFC database with categories such as the
number of persons supported number of organisations supported number of
studies provided etc
The fields of activity mentioned under section 51 represent objectives at various
levels in the intervention logic Sometimes these fields represent expected results
from the capacity building interventions (introduction of e-government systems and
more efficient public administration) sometimes they seem more focused on impacts
directly following from these results (a business-friendly environment and less
corruption) and sometimes they focus on a specific sector (judiciary reform) They
seem to move back and forth between results and intermediate impacts or between
capacity and performance outcomes More systematic guidance on where to situate
these fields could help countries formulate better indicators for monitoring results
In order to draw conclusions it does not suffice to just have good indicators One
must also establish a benchmark against which achievements can be measured
Sometimes other interventions or countries can act as a benchmark However
additional information is sometimes required This is illustrated by the example of
gender A more direct approach would be to develop indicators or targets that include
such a benchmark such as those based on proportional participation (section 44)
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Thematic EU synthesis report Strengthening Institutional Capacity
77
56 Key lessons in terms of evaluation
One of the main shortcomings encountered during this evaluation is the lack of
information on achievements (in terms of results) and on impacts
Concerning results several limitations hamper the formulation of a concise and clear-
cut assessment of achievements causality and extent to which results have been
achieved at the level These relate to the quality and availability of monitoring data
and the heterogeneity of national evaluations coupled with a broad range of
intervention logics Furthermore information from national evaluations is typically of a
more qualitative nature with less evidence-based findings and is thus not conducive
to drawing hard conclusions
The formulation of impact indicators is not mandatory and they turn out to be virtually
absent This problem is not compensated for in national evaluations
Any attempt to measure impacts must begin with the formulation of a good
intervention logic as well as an objectives tree Two approaches could be envisaged
Bottom-up measuring the impact of individual activities (actionsPAsOPs)
aggregating the evaluation findings for such individual activities (etc) and
using the indicators developed in the MSs
Formulating one or more lsquoframework intervention logicsrsquo with specific
objectives that are the compulsory final targets of any action of MSsrsquo indicators
Both approaches require further examination with regard to their feasibility The
aggregation of findings from a large number of evaluations may lead to abstract
conclusions that convey little more than a final quantitative score in the most
extreme cases they will only convey whether there has or has not been an impact
This effect can perhaps be mitigated by the agreement of guidelines on the structure
of evaluations carried out at national level With regard to the framework intervention
logic it is important to determine whether this can do justice to the individual and
specific character of the programmes in light of the national contexts This approach
may also imply that the formulation of actions must be aligned with the envisaged
specific objectives of the framework logic The current variety in programming SIC
interventions would need to be reviewed both in terms of the benefits it brings to MSs
in targeting their interventions and the drawbacks it has for evaluation
The distinction between capacity enhancement and performance indicators raised by
the World Bank Institute and their overview of capacity enhancement indicators can
help MSs formulate appropriate (results and) impact indicators
During the analysis of efficiency (section 42) it became apparent that the nature of
SIC activities makes it hard to apply the usual indicators for efficiency based on costs
per participant or institution supported In order to arrive at meaningful indicators
financial data would need to be available at activity level so that they can be linked to
a typology of activities As this seems to be too cumbersome an obligation to be
introduced into the regular monitoring system it is recommended that this should be
addressed in the national ex-ante evaluations so that synthesis evaluations can
expand upon this
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Thematic EU synthesis report Strengthening Institutional Capacity
78
References
De Koning et al (2006)
Jaap de Koning Katja Korolkova Emiel Maasland Peter van Nes With the assistance
of Marinka van de Kamp Jan Joost Kessler Evaluation of the ESF support to capacity
building Final report October 2006
Ecorys (2011)
Jan Maarten De Vet Aimar Ferran Guijarro Sacha Koppert Colm McClements
Assessment of administrative and institutional capacity building interventions and
future needs in the context of European Social Fund(VC2009066-009) April 2011
Europan Union (2010)
European Union The European Social Fund and institutional capacity of public bodies
2010
European Commission (2012)
European Commission Quality of public administration European Semester 2012 ndash
Thematic Fiche 2012
European Commission (2013)
Strategic Report 2013 ndash Programme implementation 2007-2013 Factsheet
Institutional Capacity Building Factsheet produced in support of the Commission 2013
Strategic report on cohesion policy programme implementation 2007-2013
European Commission (2013b)
Report from the Commission to the European Parliament the Council the European
Economic and Social Committee and the Committee of the Regions Cohesion policy
Strategic report 2013 on programme implementation 2007-2013 SWD(2013) 129
final
European Commission (2014)
European Commission Directorate-General for Employment Social Affairs and
Inclusion Unit E1 Promoting good governance European Social Fund thematic paper
2014
European Commission (2014b)
European Commission Reindustrialising Europe Member Statesrsquo Competitiveness
Report 2014 Commission staff working document SWD(2014) 278 2014 (chapter 2
Public administration scoreboard)
European Commission (2014c)
Guidance document on indicators Public Administration Capacity building 2014
EIPA (2013)
Guidelines for the verification process of the ex-ante conditionality of the thematic
objective ldquoEnhancing Institutional capacity of public authorities and stakeholders and
efficient public administrationrdquo Guidelines drafted by the European Institute of Public
Administration (EIPA) on behalf of DG Employment Social Affairs and Inclusion of the
European Commission Version 6 - 14 August 2013
EIPA (2014)
Alexander Heichlinger Nick Thijs Julia Bosse From Strengthening Administrative
Capacity Building (ACB) to Public Sector Innovation (PSI) Building Blocks and
Successful lsquoBridgesrsquo EIPA 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
79
Ferry (2013)
Martin Ferry The Achievements of Cohesion Policy Evidence and Methodological
Challenges from an EU 10 Perspective European Policies research Centre University
of Strathclyde May 2013
Panteia (2013)
Panteia Preparatory study for the ex-post evaluation of ESF 2007-2013 Final report
October 2013
Knott (2007)
Julian Knott the impact of the EU accession process on the establishment of
evaluation capacity in Bulgaria and Romania in International Public Policy Review
Vol 3 No 1 ndash June 2007
The Worldwide Governance Indicators 2015 Update Aggregate Governance Indicators
1996-2014 Sept 25 2015
The World Bank (2003)
Yemile Mizrahi Capacity Enhancement Indicators Review of the Literature WBI
Evaluation Studies No EG03-72 World Bank Institute
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
80
Annex I - Overview of OPs PAs and Actions explicitly addressing SIC
MS OP PA A1 A2 A3 A4 A5 A6
BG OP Human Resources Development
PA 6
Improving the effectiveness of labour market
institutions and of social and
healthcare services
61 Development and modernisation of
the labour market system
62 Strengthening the capacity of
institutions for social inclusion
and for provision of health services
BG OP Administrative Capacity
PA 1
Good governance
11 Effective Structure of the State
Administration
12 Transparency and Integrity of
the State
Administration
13 Effective Coordination and Partnership
in Policy-Making
and Implementation of Policies
14 The Administration ndash Partner of the
Business
15 Transparent and Effective
Judicial System
16 Transnational and Inter-
regional
Cooperation
BG OP Administrative
Capacity
PA 2
Human resources
management
21 Modern human resources
management in the state administration
22 Competent and effective
state administration
23 Strengthening
the capacity of the civil society structures
24 Competent judicial system and
effective human resource management
25 Transnational
and interregional cooperation
BG OP Administrative
Capacity
PA 3
Quality administrative
service delivery and e-Governance development
31 Improvement of
the service delivery to the citizens and the business sector including through e-governance
development
32 Standard information and
communication environment and interoperability
33 Improvement of
the service delivery provided by the bodies of the judiciary through development of
information technologies
34 Transnational and interregional
cooperation
CZ Operational Programme
PA 4
Public administration
41 Strengthening of
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81
MS OP PA A1 A2 A3 A4 A5 A6
Human Resources
Development
and public services
institutional capacity and
efficiency in public administration
EE OP for Human Resource Development
PA 5
Enhancing administrative capacity
Measure ldquoEnhancement of strategic
management of the public sector and NGOsrdquo
Measure ldquoBetter regulationrdquo
Measure ldquoTraining and development of
employees of the State local authorities and NGOsrdquo
Measure ldquoSupporting county-level
support structuresrdquo
EL OP for Human
Resource Development
PA1 ldquoImproving
national public policies
modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA2 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA3 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human Resource Development
PA4 ldquoDevelopment of the human capital in the public
administration
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Thematic EU synthesis report Strengthening Institutional Capacity
82
MS OP PA A1 A2 A3 A4 A5 A6
EL OP for Human Resource
Development
PA5 ldquoDevelopment of the human
capital in the public administration
EL OP for Human Resource Development
PA6 ldquoDevelopment of the human capital in the
public administration
EL OP for Human Resource Development
PA7 Strengthening policies aiming at ensuring
equal
opportunities for all in the whole range of the public administration
EL OP for Human Resource Development
PA8 Strengthening policies aiming at ensuring equal opportunities for
all in the whole range of the
public administration
EL OP for Human Resource Development
PA9 Strengthening policies aiming at ensuring
equal opportunities for all in the whole
range of the
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83
MS OP PA A1 A2 A3 A4 A5 A6
public administration
HU State Reform OP
PA 1
Renewal of processes and organisation
development
11 Improvement of the capacity for
self-governance and the quality of legislation
12 Renewal of procedures and work processes
as well as organisation development
HU State Reform OP
PA 2
Improving the quality of human resources
21 Establishment of open recruitment and an efficient internal
replacement
22 Performance-based career pathways
HU State Reform OP
PA 3
Developments to be attained in the Central Hungarian Region
31 Renewal of the processes and organisational development
32 The improvement of the quality of human resources
IT Campania ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies programming
monitoring and
evaluation capacities at the National regional and local level with a view to
improving territorial governance
Specific Objective P ndash Strengthen capacity of institutions and
systems for the
implementation of policies and programmes
IT Calabria ROP PA Institutional Specific Specific
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Thematic EU synthesis report Strengthening Institutional Capacity
84
MS OP PA A1 A2 A3 A4 A5 A6
7 capacity Objective P ndash Improving
policies programming monitoring and evaluation
capacities at the National regional and
local level with a view to improving territorial governance
Objective Q ndash Strengthen
capacity of institutions and systems for the implementation
of policies and programmes
IT Sicily ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation
capacities at the National regional and local level with a view to
improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation
of policies and programmes
IT Basilicata ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies
programming monitoring and
evaluation capacities at the
Specific Objective P ndash Strengthen capacity of
institutions and systems for the
implementation of policies and
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Thematic EU synthesis report Strengthening Institutional Capacity
85
MS OP PA A1 A2 A3 A4 A5 A6
National regional and
local level with a view to improving territorial
governance
programmes
IT Apulia ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation capacities at the
National regional and local level with a view to improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation of policies and
programmes
IT Governance and System Actions
(Ministry of Labour)
National OP
PA E5
Institutional capacity
Specific Objective 51 (Increasing
innovation effectiveness
and transparency of public action)
Specific Objective 52 (Improving
inter-institutional negotiation
capacities with specific reference to public-private partnerships)
Specific Objective 53 (Improving
public services standards)
Specific Objective 54 (Defining together with
Regions standards and methodologies
for managing monitoring evaluating and supporting ESF and non-ESF interventions
quality and effectiveness as
well as their reciprocal
Specific Objective 55 (Strengthening
and integrating the
environmental governance system)
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86
MS OP PA A1 A2 A3 A4 A5 A6
complementarity)
IT Competencies for development (Ministry of
Education) National OP
PA 2
Institutional capacity
Specific Objective H (Improving Education
System Governance and Evaluation)
LT OP for the Development of Human Resources 2007-2013
PA 4
Fostering Administrative Competences and Increasing Efficiency of
Public Administrationrdquo
Specific Objective 1 Improving management of human resources
and strengthening
administrative capabilities in public service
Specific Objective 2 Improving management of activities better
implementing EU policies
improving structure of public administration
Specific Objective 3 Improving regulation of economic
activities and providing
services to people and business
LV OP Human Resources and Employment
PA 5
Administrative Capacity Building
51 Better Regulation Policy
52Capacity Building of Human Resources
53 Administrative Capacity and Development Planning Capacity
Building of
Planning Regions and Local Governments
MT OP II -
Empowering people for more jobs and
a better quality of life
PA
4
Strengthening of
institutional and administrative capacity
Supporting
public sector reform
Lifelong learning
for the Public Sector
Strengthening
the quality of employment services
Promoting a more
effective social and civil dialogue in Malta
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87
MS OP PA A1 A2 A3 A4 A5 A6
PL Human Capital Operational
Programme
PA 5
Good governance
51 Strengthening
potential of government administration
52 Strengthening
potential of local government administration
53 Support for implementation
of the Lisbon Strategy
54 Development of the third
sectorrsquos potential
55 Development
of social dialogue
RO OP ACD ndash Operational Programme
Administrative Capacity Development
PA 1
Improving structure and processes of
public policies cycle management
11 - Improving decision making processes at
administrative and political level
12 ndash Increasing public administration
responsibility
13 - Improving organisational effectiveness
RO OP ACD ndash Operational
Programme
Administrative Capacity Development
PA 2
Improving quality and
efficiency of
public services with a focus on decentralisation
21 ndash Support for sectoral
decentralisation
of services
22 - Improving quality and
efficiency of
public services
SI OP Development
of human resources for the period 2007-2013
PA 5
Institutional and administrative
capacity
51 Efficient and effective public
administration
52 Reform of the institutions
in the labour market
SK Operational Programme
Employment and Social Inclusion
PA 4
Capacity building and
enhancement of the quality of public administration
41 Enhancement of
services quality provided by public administration and NGOs ndash activities focused
on increasing of quality and effectiveness of
the services
42 Establishing of quality
management systems in public administration and NGOs in the field of employment and
social policy ndash improvement of process
management in
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88
MS OP PA A1 A2 A3 A4 A5 A6
provided by public
administration
public administration
was planned NOTE not implemented
UK West Wales and the Valleys ESF
Convergence programme
PA 4
Modernising and improving the quality of public
services
A = Action see section 312 for clarifications
Source Country experts based on relevant Operational Programmes
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89
ANNEX II Country specific recommendations in the field of SIC
2007 2008 2009 2011 20122013
BG urgently further strengthen administrative
capacity in particular focusing on key government functions including regulatory authorities and the judiciary
adopt new measures and
rapidly implement adopted measures to
substantially cut red tape and shorten procedural
delays in order to improve the business environment (in particular for SMEs and facilitating start-ups) which will also help in the fight against corruption
tackling undeclared work
by strengthening
institutional capacity to perform inspections and ensure legal enforcement
urgently further strengthen the efficiency and the
effectiveness of the public administration in particular by focusing on key government functions including the competition
supervisory and regulatory authorities and the judiciary and continue taking all measures necessary to ensure effective financial controls and
sound management of structural funds
rapidly adopt and implement
new measures to substantially cut red tape at central and local level and shorten procedural delays in order to improve the business
environment which will also help in the fight against corruption -
(low efficiency of public services quality of staff or key functions e-services)
enhance administrative capacity in key government functions and regulatory authorities in order to make
public services more effective in responding to the needs of citizens and businesses introduce measures to check
public procurement on the basis of risk assessments
strengthen the capacity of the authorities to prevent and sanction irregularities in order to improve quality and value-for-money in the use of public funds
(The use of EU funds remains low )
Complicated administrative procedures
business and regulatory environment
e-government
Step up efforts to enhance
administrative capacity and reforms by reducing red tape
and the cost of tax compliance and collection and further improving the absorption of
EU funds Improve the quality and independence of the judicial system and speed up the introduction of e-government Strengthen public administrative capacity in key transport sectors and
regulatory authorities
Ensure sound implementation
of public procurement legislation Strengthen the prevention of irregularities and effectively apply the sanctions under the Public Procurement
Law and those of the Law on Conflict of Interest
CZ speeding up progress in speeding up progress in (quality of the Czech legal (efficiency of public
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90
2007 2008 2009 2011 20122013
the ICT area including by implementing and monitoring the development of a fully
enabling legal environment for e-government
meet targets for reducing the administrative burden on enterprises
further developing access
to finance for innovative companies
the ICT area including by implementing and monitoring a fully enabled legal environment for e-
government
and regulatory framework frequent and far-reaching reorganisations of PA impede its efficiency transparency of
public procurement
improve the quality of public services in areas essential for the business environment In this context speed up the
implementation of the anti-corruption strategy in line with the identified targets adopt
the Public Servants Act to promote stability and effectiveness of the public administration and revise the
Commercial Code to abolish anonymous shareholding
administration
e- services
reduction of administrative burden for businesses
Anticorruption
adoption of the new Public Procurement Act)
Adopt and implement as a matter of urgency the Public
Servants Act to promote
stability and effectiveness of the public administration to avoid irregularities
Ensure adequate implementation of the new Public Procurement Act
Address the issue of anonymous share holding
Ensure correct implementation
of EU Funds and step up the fight against corruption
EE - launching the new
immunity and leniency programme and
strengthening competition enforcement
One of the aims within the Priority Axis 5 ldquoEnhancing administrative capacityldquo of OP
for Human Resource Development was to provide more modern and efficient public services From the standpoint of the public
service training and
ESF 2007-2013 ex-post evaluation synthesis
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91
2007 2008 2009 2011 20122013
developmental activities it was considered important to assist in the unified formation of the know-how for public
sector workers public servants and NGOs (incl social partners) as regards job skills management cooperation and coordination However the ESF did not
support directly the merging of municipalities)
- (Being limited in size the majority of local governments have difficulties to universally deliver the necessary social
health labour market transport and educational services)
- - Enhance fiscal sustainability of
municipalities while improving
efficiency of local governments
and ensure effective service provision notably through stronger incentives for merger or increased cooperation of municipalities
EL - modernises its public administration by building
up effective regulatory control and enforcement
capacities including
- implement the reform of its public administration
by building up effective regulatory control and
enforcement capacities
- implement reform of the public administration by
building up effective regulatory control and enforcement capacities with
an emphasis on simplifying
ESF 2007-2013 ex-post evaluation synthesis
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92
2007 2008 2009 2011 20122013
through upgrading skills so as to also ensure effective use of Structural Funds
by modernising its human resources policy and through effective use of the Structural Funds
- improve further the transposition of internal market legislation
the regulatory environment for business and citizens and reducing red tape
HU - reforms the public administration health
care pension and education systems with a view to ensuring long-term fiscal sustainability and improve economic
efficiency - further reductions of the
administrative burden on enterprises
- continue to reform the public administration
healthcare pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic
efficiency - improving the regulatory
environment through further reducing administrative burden and legislative simplification
- continue to reform the public administration health care
pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic efficiency
- PES administrative capacity - Improve the business
environment by implementing all the measures envisaged for regulatory reform and lowering administrative burdens in the National
Reform Programme
- (transparency and quality of public administration where
progress would also help in improving the stability of the institutional and policy environment)
- capacity of the PES
- Implement measures envisaged to reduce the
administrative burden Ensure that public procurement and the legislative process support market competition and ensure a stable regulatory and business-friendly
environment for financial and nonfinancial enterprises including foreign direct
investors Reduce tax compliance costs
IT - strengthening and fully implementing the system of impact assessment for proposed regulation
- improving the efficiency of regulatory environment
with particular focus on legislative simplification
- support economic activity by advancing implementation of
EU programmes financed by EU structural funds
- (to enhance the performance-orientation and accountability of the public administration
scope for removing regulatory and administrative barriers in product and services markets particularly in professional services)
- Take steps to accelerate
- (deficiencies in terms of administrative capacity continue to hamper absorption
and hence the implementation of the Plan notably in the convergence regions complex and burdensome tax administrative procedures
Although some measures have
ESF 2007-2013 ex-post evaluation synthesis
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93
2007 2008 2009 2011 20122013
growth-enhancing expenditure co-financed by cohesion policy funds in order to reduce the persistent disparities between
regions by improving administrative capacity and political governance Respect the commitments made in the national Strategic Reference Framework in terms of the
amount of resources and quality of expenditure
already been adopted to encourage administrative simplification the business environment in Italy remains
complex In particular the judiciary system suffers from a number of inefficiencies in terms of resource utilisation procedures and institutional organisation that are reflected
in the low performance of the Italian civil justice in particular as regards the excessive duration of case-
handling and the amount of backlogs)
- Simplify further the regulatory
framework for businesses and enhance administrative capacity Implement the planned reorganisation of the civil justice system and promote the use of alternative dispute settlement mechanism
LT - improving the efficiency
of regulatory environment with particular focus on legislative simplification
- support economic activity by
advancing implementation of EU programmes financed by EU structural funds
business environment
strengthen business inspectorates increase transparency and reduce the administrative burden on business
LV
(poor transparency complicates evidence-based local decision making)
Take measures to improve
management and efficiency of
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94
2007 2008 2009 2011 20122013
the judiciary in particular to reduce the backlog and length of procedures Take steps to improve the insolvency regime
and the mediation laws
MT - introducing systematic impact assessment and speeding up progress towards simplification of regulations
- further improving the regulatory environment by continuing simplifying legislation by introducing systematic impact assessments and effective
one-stop-shops for business start-ups
PL - improving human capital and incentives to work
- speeding-up the business
registration process - ensuring timely
implementation of the e-
government programmes - improve the transposition
of internal market legislation
- (quality of the business environment and efficiency of public administration is low)
- Establish a timetable to
simplify legal procedures involved in enforcing contracts revise construction and zoning legislation with a view to streamlining appeal procedures and speeding up administrative procedures
- (business remains high and public administration continues to lack efficiency The main areas of concern
include high compliance costs complex and unstable tax legislation weak contract enforcement lengthy and burdensome licensing Judicial proceedings and other legal actions are lengthy and there
are a relatively high number of cases pending)
RO - urgently strengthen
administrative capacity at both central and local levels of government by building up effective
regulatory control and enforcement capacity
- take rapid measures to
reduce substantially
- strengthen the efficiency effectiveness and independence of the public administration at both central and local level by building up
effective regulatory control and enforcement capacity
- in the context of a coherent
better regulation policy
ESF 2007-2013 ex-post evaluation synthesis
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95
2007 2008 2009 2011 20122013
administrative procedures and delays to obtain authorisations as part of a coherent better regulation
policy in order to improve the business environment which will also help in the fight against corruption
urgently implement measures to substantially reduce administrative procedures and delays in obtaining
authorisations in order to improve the business environment which will also help in the fight against corruption
SI - strengthening the enforcement of the legal framework for protecting intellectual property rights
NA NA Streamline regulated
professions and improve the administrative capacity of the Competition Protection Office in order to enhance the
business environment and attract investment
NA
SK - Reduction of
administrative burden is a must
- -Recommendations to improve the evaluation system and to stabilise the administrative
capacities improvements
in the better regulation system
- improve the regulatory
environment notably by implementing a comprehensive better regulation strategy covering both impact assessment and simplification of existing
legislation - full implementation of
one-stop-shops for start-up companies
- implement a comprehensive
better regulation strategy conduct impact assessments and continuously simplify the existing legislation while stepping up the reduction of administrative burdens on businesses particularly SMEs
(quality of the business
environment and efficiency of public administration is low)
- Establish a timetable to simplify legal procedures involved in enforcing contracts revise construction
and zoning legislation with a
view to streamlining appeal procedures and speeding up administrative procedures
(business remains high and
public administration continues to lack efficiency The main areas of concern include high compliance costs complex and unstable tax legislation weak contract
enforcement lengthy and
burdensome licensing Judicial proceedings and other legal actions are lengthy and there are a relatively high number of cases pending)
Strengthen the quality of the
public service including by
improving management of human resources Further
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
96
2007 2008 2009 2011 20122013
shorten the length of judicial proceedings and strengthen the role of the Public Procurement office as an
independent body
UK NA NA
NA NA NA
Sources own analysis of country specific recommendations
Annex III - Factors influencing success and failure of SIC interventions for individual countries per category
Management
The activation of a clear well dimensioned and recognised SIC theme management structure able to assume and carry out the oversight of the various implementing interventions and
equally important of the relations between the different actors and stakeholders (IT)
A ldquoCapacity traprdquo is often at work in weak regions SIC is affected by the same problems that should be solved This reinforces the need for a strong and result oriented governance (IT)
the constant concern of the MA for managing the programme in correlation with the available resources at the level of OP ACD The financial allocation was correlated with the specific objectives of OP ACD for each Priority Axis The financial reallocations between the KAIs of
the same PA show the concern for correlating the available financial allocations with the interest shown by potential beneficiaries and for maintaining the balance between the allocated resources and the result indicators of the programme (RO)
Lack of administrative capacity of the Intermediate Body This was demonstrated for example by a long length of the projectsrsquo evaluation process and by frequent requirements of the IB to get exceptions from the Operational Manual (CZ)
Personal fluctuation and related staffing instability of the IB in projectsrsquo administration (CA)
Finally the SROP projects have extensively involved external experts which proved not to be the guarantee of the success of the SROP projects supposing the lack of familiarity with the local administration (HU)
The low capacity level of MA OP DAC both in terms of headcount and in terms of experience and expertise The significant personnel outflows prevented the development of the OP DAC team in an adequate manner causing faults in communicating with beneficiaries and in effectively managing project implementation from the programme level (RO)
Relevance and quality of the activities for the target groups (eg relevant and high quality
trainings for different categories of civil servants) (LT)
Complicated administration of the projects and often changed rules (SK)
Huge number of mistakes in financial reporting timesheets eligible and non-eligible costs direct and indirect costs (SK)
Non-observance of deadlines by first level financial control (SK)
Strategic approach and intervention logic
Romania The analysis developed in order to support the OP ACD correctly identified the
horizontal issues affecting the Romanian public administration but its lack of focus on types of beneficiaries and target groups led to the elaboration of a programme with objectives which are difficult to quantify with a low level of prioritisation and with an untargeted implementation strategy The lack of depth of the analysis underpinning OP DAC is the weakest point in the logic of intervention of the programmerdquo For some indicators the targets
were not correctly planned due to a lack of analyses and research studies but there were also cases when the targets became unrealistic during the programming period due to the
context changes occurred Finally beneficiaries often lacked a strategic approach particularly in respect of the decentralisation process The question to be answered here is whether these problems were due to contextual factors as described above or had to do with the capacity of institutions and people the very thing the interventions were supposed to address
The approach based on calls for project ideas (for large projects) was one mechanism used
for this strategic approach which proved to be successful This approach resulted in an increased relevance to KAI considering also the contribution to meeting the specific objectives (RO)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
98
SIC requires structural and long-term strategy (IT)
Evaluation of SIC must identify a proper theory of change based on fundamental mechanisms and has to identify the structural changes in the PA (IT)
The definition and implementation of SIC theme as an internally coherent and consistent policy line and not as a sum or juxtaposition of single interventions (IT)
The ex-ante identification of few and relevant areas of interventions to tackle with an adequate funds and resources critical mass (IT)
The Public Administration(s) capacity to identify precise objectives definite implementing actions coherent instruments and coherent responsibilities for results and outputs (IT)
Well-developed intervention logic (it was a positive factor in the case of successful development of HR and a negative factor in the case of system-level reforms under PA 4 in Lithuania) (LT)
The target groups of OP DAC are generally relevant for the programme intervention logic but the lack of individualization coming out of the supporting analysis led to their identification in a rather general manner (RO)
Motivation and capacities of beneficiaries
Proper motivation of target groups (for instance in certain cases lack of motivation was one of the key negative factors affecting the results of trainings funded under PA 4 in Lithuania) (LT)
The willingness of the public sector to engage in training activities and the provision of training which is organised in a manner which caters for the need of the public sector (MT)
The evaluation points to the importance of the support of local government leaders as key issues in the success of the interventionsprojects Without strong support the projects have never been successful (HU)
Projectslsquo beneficiaries that resign from the projects lsquorealisation or cancel their projectslsquo proposals (CZ)
guarantors of the projectslsquo proposals that have not enforced implementation of their projects within their subordinate organisations (CZ)
Leadership and organisational maturity on the part of project implementersmanagers Low organisation maturity was a somewhat negative factor in HR trainings funded by ESF (a large part of trainings was implemented by private companies) At the same time it was a positive factor in the case of initiatives focusing on the improvement of internal management activities within public institutions (LT)
The ability of civil society organisations to consolidate their efforts and participate in actions is an important aspect to be addressed as the success of civil organisations depends on their ability to strengthen their capacity and networking opportunities (MT)
The low capacity of project beneficiaries in project formulation implementation and the lack general project management skills (RO)
Errors in implementation process and huge number of projects that were not completed (SK)
Cooperation and coordination
Efficient coordination of different funded activities and efficient cooperation between different institutions in implementing the changes An incomplete cooperation between institutions was
responsible for only partly successful implementation of e-governance measures (LT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
99
inter-ministerial coordination structures that not work continuously (CZ)
Context factors
PAR
The existence before ESF intervention of a clear and explicit capacity building strategy to be integrated and boosted by ESF funding (but able to go beyond ESF support) (IT)
The existence of strategic vision (at statesystem level) in relation to the implemented interventions (LT)
Legislation
Maladjustment of the applicable law to the IT projects In many cases existing regulations require the delivery of documents in paper form Therefore the introduction of electronic services was possible only partially So it is necessary to modify certain provisions as well as
identify such barriers at the stage of diagnosis (PL)
A systemic issue which also causes a significant negative impact on the low efficiency of OP DAC by the end of 2012 is the complex legislation in the area of public procurement and its different interpretation by the institutions involved in certifying and controlling the subsequent procedures (RO)
Huge number of mistakes in public procurement (often changed rules as well) (SK)
Institutional and political
The support and awareness of political authorities and institutions involved on the importance of reformschanges (LT)
Changing political environment (EL SI)
Politicised institutional environment (EL HU)
the support by politicians (SI)
Source Own elaboration on the basis of information provided by Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
100
Annex IV - Evaluations relevant to SIC interventions
The following table provides an overview of Member States evaluations that focus on ESF
SIC interventions and were an important source for the assessments made in this
chapter
Table 22 SIC related evaluations in Member States ESF 2007-2013
MS Relevant evaluations for SIC
BG OPAC Interim Evaluation Report for the period 2007-2013 first Report on the evaluation of OP AC implementation for the period January-
December 2014 May 2015
CZ Supreme Audit Office of the Czech Republic Information from the control action No
1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
Ministry of Interior (2015) Annual report on Smart Administration strategy for the period 142014 ndash 3132015 Ministerstvo vnitra Ročniacute zpraacuteva o Smart Administration
za obdobiacute od 14 2014 do 313 2015 Informace pro vlaacutedu Českeacute republiky zpracovanou 3042015
Ministry of Labour and Social Affairs (2014) Final report from the internal evaluation of the PA 4 of the OP HRE Ministerstvo praacutece a sociaacutelniacutech věciacute Zaacutevěrečnaacute zpraacuteva z interniacute evaluace provaacuteděniacute PO 4 OP LZZ
EE The evaluation of the effectiveness and the impact of the PA 5 ldquoRaising Estonian
administrative capacityrdquo CPD 2011 in Estonian
httpwwwstruktuurifondideepublicInimressursi_arendamise_rakenduskava_IARKpdf
Executive summary in English httpwwwavalikteenistuseepublicHaldusmeedeEvaluation_Report_Administrative_Capacity_Estonia_2011_-_Executive_Summary_-_Logopdf
EL Logotech-Prooptiki 2007 lsquoEx-ante evaluation of the OP Administrative Reformrsquo March
2007 Athens EEO Group-Eurotec 2013 lsquoInterim evaluation of the OP Administrative Reformrsquo
February 2013 Athens EEO Group-Eurotec 2014 lsquoField research on women non-governmental organisations
active in the fields of equality and human rights protectionrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network of improving the quality of
public services towards enterprisesrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network supporting consumers in issues
relating to indebtednessrsquo Athens
HU Final evaluation (AAM 2012) Final evaluation report on the State Reform OP 2007-2010
institutional development projects executed (Eacuterteacutekeleacutesi zaacuteroacutejelenteacutes az AacuteROP 2007-2010 koumlzoumltt megvaloacutesiacutetott szervezeti ceacuteluacute fejleszteacuteseiről) AAM Consulting November
2012 httpswwwpalyazatgovhukozigazgatasi_fejlesztesek_ertekelese Executive Summary ndashEx-post evaluation of the organisational development measures
founded by the State Reform OP AAM consulting nov 2012 (Az Aacutellamreform OP szervezetfejleszteacutesi ceacuteluacute fejleszteacuteseinek eacuterteacutekeleacutese)
SROP case DUNAUacuteJVAacuteROS (2014) Study paper on the evaluation and revision results of previous State Reform OP system development project (Tanulmaacuteny a koraacutebbi AacuteROP szervezetfejleszteacutesi projekt eacuterteacutekeleacutesi eacutes feluumllvizsgaacutelati eredmeacutenyeiről -
Eredmeacutenytermeacutekek hasznosulaacutesaacutenak eacutes horizontaacutelis szempontok eacuterveacutenyesuumlleacuteseacutenek vizsgaacutelata) Case project of the local government of DUNAUacuteJVAacuteROS (SROP - 1A5 ndash 2013-2013-0090) 2014 February 28
httpwwwdunaujvaroshusitesallfilesdokumentumokpalyazatokarop1a5dunaujvaros_korabbi_arop_felulvizsgalat_1_tanulmany_v30pdf
IT Annual evaluation reports of the Governance and System Actions OP (4 covering until
now w 2011 2012 2013 2014)
LT Evaluation of the implementation of result indicators in the Human Resources
Development Programmes priority axis 4 measures 2 and 3 2009 Evaluation of the quality and effectiveness of the training financed by the ESF 2011 Interim evaluation of the Human Resources Development Operational Programmes
priority axis 4 Final evaluation report 2013
European Union Structural Funds Investments for Human Resource Development 2015
Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
101
MS Relevant evaluations for SIC
Improvement of Public Management in Lithuania 2014
LV Ongoing evaluation started in 2014 Impact evaluation of 151 Better Regulation
Policy and 152Capacity Building of Human Resources
lsquoImpact evaluation of the activities implemented under the Operational Programme ldquoHuman Resources and Employmentrdquo and Operational Programmersquos Compliment measures 151 ldquoBetter Regulations Policyrdquo and 152 ldquoStrengthening Capacity of Human Resourcesrdquo during the 2007 ndash 2013 programming periodrsquo 2015 httpwwwesfondilvuploadPetijumi_un_izvertejumigala-zin_pec-saskanosanas-sanaksmes_081015pdf
MT Thematic Evaluations presentations PWC dated October 2014 and May 2015 available
at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx The Thematic Evaluation is not published
PL Assessment of the level of achievement the HC OP main and specific objectives as well
as impact of the ESF funds on results accomplished within specific areas of intervention ndash II thematic report (2015) - The main goal of this research was to assess the contribution by ESF funds to the results achieved within specific areas of intervention and their impact on the social and economic changes in Poland (including the level of satisfaction in the population living in the areas receiving support)
Evaluation of the indicator named Gender Index in the institutions participating in the
implementation of the HC OP (2011) ndash Main topics Recruitment releases remuneration promotion training and development work-life balance and prevention of mobbing and sexual harassment - measured in the HC OPrsquos implementing institutions
Evaluation of barriers and legal gaps in the effectiveness of the European Social Fundrsquos support (2013) - legal system of a country and its coherence with ESF requirements
opportunities and provisions Public administration - effective and modern (2011) - achievement of Measures
objectives with regard to capacity of public administration possible strengthening of its potential and modernisation of management system and structure
RO Second interim evaluation OP ACD 2010-2012 - Second evaluation OP ACD 2013 Performance evaluation of OP ACD management and implementation ndash OP ACD
performance evaluation 2015
SI The institutional evaluation of the ESRS (Employment Service of the Republic of
Slovenia) 2012
The institutional evaluation of the ESRS (Employment Service of the Republic of Slovenia) is not considered in this evaluation as it is not related to ESF financing It
evaluates however the effectiveness and efficiency of processes analyses obstacles to effective provision of services and proposes 12 indicators for the monitoring of the processes
SK Possibly relevant evaluations mentioned in EEN-INV_SK but not available on internet
(planned probably not realised) 1) Final Evaluation of Implementation of OP Employment and Social Inclusion (beginning planned in 2014 end planned in 2015 not
available in time for this study) Evaluation of Improvement of Human Resources Quality and Management in Public
Administration and NGOs (end of the evaluation was planned in 2012 not made available in time for this study)
UK Thematic Evaluations of the 2007-2013 Structural Funds Programmes in Wales
including Modernising Public Services (ESF Convergence Priority 4)
Source Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
102
HOW TO OBTAIN EU PUBLICATIONS
Free publications
bull one copy
via EU Bookshop (httpbookshopeuropaeu)
bull more than one copy or postersmaps
from the European Unionrsquos representations (httpeceuropaeurepresent_enhtm)
from the delegations in non-EU countries
(httpeeaseuropaeudelegationsindex_enhtm)
by contacting the Europe Direct service (httpeuropaeueuropedirectindex_enhtm)
or calling 00 800 6 7 8 9 10 11 (freephone number from anywhere in the EU) () () The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
Priced publications
bull via EU Bookshop (httpbookshopeuropaeu)
Priced subscriptions
bull via one of the sales agents of the Publications Office of the European Union
(httppublicationseuropaeuothersagentsindex_enhtm)
doi[102767271126]
[KE-0
2-1
6-9
29-E
N-N
]
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Glossary of key concepts
Access to Employment
(A2E)
A key policy area in the ESF focused on enhancing access to
employment and the sustainable inclusion in the labour market
of job seekers and inactive people preventing unemployment
in particular long-term and youth unemployment encouraging
active ageing and longer working lives and increasing
participation in the labour market A2E is one of the Priorities
of Article 3 ldquoScope of assistanceldquo of the ESF Regulation No
10812006
Action The second level in the OP architecture usually the Priority Axis (see below) consists of several actions
Adaptability A key policy area in the ESF consisting of activities to increase the adaptation of workers and enterprises to the changing economic circumstances and labour market demands - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
Allocated expenditure Expenditure allocated to the ESF activities during the programming stage of the Operational Programmes
Annex XXIII categories The socio-economic characteristics of ESF participants reported in the ESF monitoring systems relating to the participant gender labour market status (employed (of which self-employed) unemployed (of which long-term unemployed) inactive of which in education and training) age (young people aged 15-24 and older people aged 55-64) disadvantaged status (migrants minorities disabled other disadvantaged)
and educational attainment status (by ISCED levels)
Category of expenditure (CoE)
Categorisation of the Structural Fund expenditure cf ANNEX IV of COUNCIL REGULATION (EC) No 10832006 of 11 July 2006 ESF expenditure relates to Categories 62 to 74
Certified expenditure Expenditure incurred in the implementation of the ESF activities which has been approved by the Managing Authority
of the Operational Programme and the European Commission
Cluster A group of actions or interventions with common objectives and activities
Community added value (CAV)
The extent to which the ESF activities provided effects additional to the national regional activities
Convergence region NUTS level 2 regions in the EU Member States whose gross domestic product (GDP) per capita was less than 75 of the
average GDP of the EU-25 for the same reference period
Effectiveness The extent to which the set aims and objectives have been reached
Efficiency The comparison between the achieved outputs and results and the costs incurred
Gender sensitivity The extent to which the planning design implementation and monitoring reflects the gender issues
Human capital (HC) A key policy area in the ESF consisting of activities to develop the skills and knowledge of human resources across the different stages of the education and training system cycle
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
this theme is subject to another thematic evaluation - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
ISCED International Standard Classification of Education an
international standard classification used to classify the education levels
1 Primary education
2 Lower secondary education
3 Upper secondary education
4 Post-secondary non-tertiary education
5 Short-cycle tertiary education
6 Bachelor or equivalent
Intermediate Body (IB) The organisation charged by the Managing Authority to implement the ESF funds in the OP
Intervention The third level in the OP architecture usually the Actions in the OP consist of several interventions
Managing Authority (MA) The institution in each Member State OP responsible for the
strategic direction and financial management of the OP
Multi-Objective OP An OP in which both RCE and Convergence regions participate
Operational Programme (OP)
The means through which the ESF support was implemented in the Member States as agreed between the European Commission and the Member States Each OP consists of several Priority Axes which in turn consist of several actions
which in turn consist of several interventions
Output The immediate reach of the ESF activity (eg number of participants reached number of schools or enterprises supported)
Participant The person who participated in the ESF funded activity
Priority Axis (PA) The first level in the OP architecture usually the OP consists of several Priority Axes (concepts of priorities areas and others
are also used in the OPs) which in turn consist of several actions and each action of several interventions
Project promoter The organisation in charge of implementing specific ESF funded projects
Promoting Partnerships (PP)
Policy area focused on partnerships pacts and initiatives
through networking of relevant stakeholders such as the social
partners and non-governmental organisations at the
transnational national regional and local levels in order to
mobilise for reforms in the field of employment and labour
market inclusiveness PP is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006
Regional competitiveness and employment objective
(RCE)
NUTS level 2 regions in the EU Member States whose GDP per capita was above 90 of the average GDP of the EU-25 for
the same reference period
Result The change achieved through the activity leading to long term achievements of ESF activities (eg number of qualifications
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
acquired by participants number of enterprises providing training)
Social Inclusion Refers to a wide range of issues and activities covering
aspects such as fundamental rights access to adequate
income support and quality services From the perspective of
ESF SI interventions the most common strand of activity in
the Recommendation is that relating to inclusive labour
markets This focus is also echoed in the ESF Regulation
where the SI priority focuses on inclusion into the labour
market as the best means of integrating individuals into
society and of combatting social exclusion SI is one of the
Priorities of Article 3 ldquoScope of assistanceldquo of the ESF
Regulation No 10812006
Strengthening Institutional Capacity
A key policy area focussing on the efficiency of public
administrations and public services at national regional and
local level by promoting mechanisms to improve good policy
and programme design monitoring and evaluation and
capacity building in the delivery of policies and programmes in
the relevant fields SIC is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006 and
is the object of this evaluation
Sustainability The extent to which the achieved results last
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Acronyms
A2E Access to employment and sustainable integration into employment
AIR Annual Implementation Report
CAV Community Added Value
CoE Category of expenditure
CSR Country Specific Recommendation
EC European Commission
EEN Expert Evaluation Network
ESF European Social Fund
EU European Union
HC Human Capital
LTU Long Term Unemployment
MA Managing Authority
MS Member State
NGO Non-governmental organisation
OP Operational Programme
PA Priority Axis
PAR Public Administration Reform
PES Public Employment Service
SFC Structural Funds Common Database
SIC Strengthening Institutional Capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Table of contents
Executive Summary i
1 Introduction 6
11 Background 6
12 Objectives 6
13 Scope 7
14 Methodological Approach and information sources 7
15 Structure of the report 7
2 Key SIC challenges and policy directions in the EU in the 2007-2013
programming period 9
21 Evolution of the institutional capacity building focus 9
211 The origins of institutional capacity building support 9
212 Good governance as a deciding factor for competitiveness and cohesion 9
213 Definitions and concepts 10
22 Capacity building and ESF 11
3 Overview of key ESF SIC investment features in the 27 Member States 13
31 Links to the national and EU policy priorities main activities and target
groups 13
311 Links to the national and EU policy directions 13
312 Key characteristics of activities and target groups at EU and MS level 17
313 Key characteristics of specific dimensions and categories 19
314 Structures and processes 20
315 Human resources 24
316 Tools 27
32 The overall strategy for ESF SIC investment 28
33 The impact of the economic crisis on ESF SIC priorities actions and funding
(EU-27) 33
34 The ESF expenditure in the area of SIC 34
341 Overall funding levels 34
342 Programmed expenditure on Category of Expenditure 81 36
4 The effectiveness efficiency sustainability gender sensitivity community
added value and the socio-economic impact of ESF SIC investment in the 27 Member
States 39
41 The effectiveness of ESF SIC interventions 40
411 Progress in the financial implementation of ESF SIC 40
412 Types of output and result indicators selected by the OPs 44
413 Overall achievements 46
414 Achievements in specific fields of activity 48
415 Effectiveness 49
416 Reaching the different target groups 53
42 Efficiency 56
43 The sustainability of ESF SIC interventions 57
44 Gender sensitivity of ESF SIC interventions 58
45 Community added value of ESF SIC interventions 60
451 Volume effects 60
452 Scope effects 61
453 Role effects 62
454 Process effects 62
46 The socio-economic impact of ESF SIC 63
461 Impact indicators and evidence from national ESF evaluations 63
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
462 Impacts in relation to changes in the quality of administrations65
463 Key factors determining success or failure 68
5 Overview of key lessons learned 72
51 Key lessons in terms of policy choices 72
52 Key lessons in terms of target groups 74
53 Key lessons in terms of appropriate programming 74
54 Key lessons in terms of effective implementation 76
55 Key lessons in terms of monitoring 76
56 Key lessons in terms of evaluation 77
References
Annex I Overview of OPs PAs and Actions explicitly addressing SIC
Annex II Country specific recommendations in the field of SIC
Annex III Factors influencing success and failure of SIC interventions for individual
countries per category
Annex IV Evaluations relevant to SIC interventions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
List of figures and tables
Figure 1 SIC in OPs and PAs 29
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of funds
allocated to SIC-related Priority Axes over total ESF budget) 35
Figure 3 Budget allocated to expenditure category 81 per MS 36
Figure 4 Government effectiveness 65
Figure 5 Regulatory quality 66
Figure 6 Rule of law 67
Figure 7 Key factors for success and failure mentioned for MS 69
Table 1 Institutional capacity objectives tree for ESF 11
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP 14
Table 3 CSR addressed under SIC interventions by MS 15
Table 4 Contribution of ESF SIC interventions to MS policies 16
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category 18
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS) 19
Table 7 Characteristics of SIC actions 20
Table 8 Countries covered in programming and expenditure based analyses 30
Table 9 Overview of SIC dedicated OPs and PAs by MS 31
Table 10 ESF SIC investment and over total ESF (total funding) 35
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS 37
Table 12 SIC and overall ESF implementation rate () by MS (31 December 2014)
40
Table 13 Share of the budget spent per SIC relevant PA43
Table 14 Target setting and achievement for outputs SIC and ESF 50
Table 15 Achievement of output targets for SIC and all ESF interventions 50
Table 16 Target setting and achievement for results SIC and ESF 51
Table 17 Achievement of results targets for SIC and all ESF interventions 52
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014) 54
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women
participants55
Table 20 Funding per participation for SIC related OPsPAs 56
Table 21 Examples of tentative impact evaluations 64
Table 22 SIC related evaluations in Member States ESF 2007-2013 100
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
i
Executive Summary
Key findings
EU-28 Member States (MS) allocated euro2419 million to Operational Programmes
(OPs) or Priority Axes (PAs) that were dedicated to Strengthening Institutional
Capacity (SIC) objectives This includes funding from national (public and private)
sources as well as the amount of co-funding foreseen from the EU
As of the 311220141 693 of SIC allocated funding at EU-27 level was spent
compared to 793 of total ESF budget which demonstrates that on average
fewer SIC funds have been spent in relation to overall ESF funding The economic
crisis contributed to budget reductions or lower impact in several MS
Almost 14 million participations were reported to have been involved in SIC-
related interventions
Almost all participants are employees of beneficiary institutions the majority
are women (64) and well educated (ISCED 5 and 6)
Most countries used ESF to provide additional funding for good governance to
test new and innovative activities to reach new target groups and to
improve public administration service and delivery systems and methods
In doing this they responded to the issues identified by Country Specific
Recommendations in the SIC field
At least 17000 training programmes were developed while 4000 studies
campaigns public consultations reviews (laws procedures) and reports have been
implemented amongst other actions At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures
including client centres or regional offices
ESF contributed to reforms of the judiciary system improved access to e-
government services a better business environment and a better
management of public administrations in general
Introduction
This report analyses how the theme of strengthening institutional capacity (SIC) was
integrated in the ESF 2007-2013 programming in EU-27 MS how it was implemented
and what its main achievements were with a view to determining the key lessons
learned and recommendations for ESF programming and implementation
Strengthening institutional capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
10812006 which only covers Convergence regions describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo With the support for SIC a more horizontal
approach to capacity building was introduced in the 2007-2013 programming which
1 It is to be noted that according to the Regulation expenditure of the 2007-2013 period is eligible if incurred by 31122015 which is why the current report does not cover the last year of implementation Final data on spending participants and results are then higher than the ones reported
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
ii
complemented the existing institutional capacity support provided in other policy
fields Notable areas where this was the case include employment education and
social inclusion as well as in the implementation of the structural funds themselves
(technical assistance)
Programming of SIC under the ESF
During the 2007-2013 programming period 14 MSs included Priority Axes
dedicated to SIC interventions in their ESF programming (the report does not
cover Croatia due to late start of ESF activities upon accession to EU) Four of them
(BG EL HU RO) have explicitly dedicated one OP to institutional capacity building
The remaining ten countries (CZ EE IT LT LV MT PL SI SK UK) have OPs with
one or more PA dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting SIC
Most OPs are national but in Italy (5 out of 7) and in the United Kingdom there are
also regional OPs
ESF SIC investment is closely linked to SIC-related challenges in the relevant MS
and the corresponding Country Specific Recommendations (CSR) that the European
Commission issued during the programming period Besides a general need for
improved effectiveness and efficiency of public administrations recurring themes in
the CSRs are simplifying the regulatory system and improving the business
environment Other themes include the introduction of e-government reforms in the
judiciary sector and anti-corruption policies and public procurement regulation and
practices Most of the individual CSRs were explicitly addressed by ESF SIC
interventions
Capacity building under the SIC theme addressed structures and processes as well as
human resources Some 70 of actions at the level between PA and the actual
interventions addressed structures and processes The horizontal approach under
SIC enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and management
strengthening quality assurance or the role of the regional or local level in policy
development and implementation In the majority of actions organisational changes
address national local or regional levels by optimising the structures of the central
district and municipal administration An almost equally high share of the actions
addressed the development of human capital This included staff capacity building
interventions as well as the development and implementation of human resources
management strategies Developing human resource management under ESF covers
several areas including recruitment staff motivation systems for accreditation of
public servants internal mobility gender mainstreaming and mutual learning ESF
SIC also supported the development of tools related to e-government and helped
improve monitoring and evaluation systems While most activities seem to target the
public sector as a whole some focus on a specific policy sector such as the judicial
system
In capacity building interventions the target group is typically the staff of the
beneficiary organisations
Financial programming and implementation
In the EU-28 a total of euro2419 million was allocated to OPs or PAs that were dedicated
to SIC objectives This constitutes 21 of total allocated funding under ESF and 4
of funds available in convergence regions and includes funding from national (public
and private) sources as well as the amount of co-funding planned from the EU This
sum includes euro10 million allocated in Croatia whose interventions do not fall under
the scope of the present study The highest absolute levels of SIC allocation are found
in EL and PL while countries that allocate the highest share to SIC relative to their
overall ESF budgets (over 12) are BG and LT followed by MT and SI
The total amount of certified eligible expenditure by the end 2014 was euro167 million
This constitutes 693 of SIC allocated funding at the EU-27 level For comparison
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iii
the implementation rate (level of spending) for the total ESF budget of SIC allocated
funding amounted to 793 Implementation rates differ considerably between
countries and PAs It is worth mentioning that the lack of adequate administrative
capacity of beneficiaries might have contributed to the low absorption of ESF SIC
investments in these MSregions according to the so-called ldquocapacity traprdquo effect
Effectiveness and impacts
In total 14 million participations were registered in SIC related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training These participations result in a set of
characteristics which is very different from other ESF priorities as almost all
participants are employees and most of the participants in SIC interventions (57)
are well educated (ISCED 5 and 6) Participants in SIC interventions are older than
ESF participants on average Young people (15-24) are strongly under-represented
(4 for SIC interventions versus 31 for ESF as a whole) The majority of
participants are women (64)
In terms of outputs during the 2007-2013 programming period 17000 training
programmes were conducted and 4000 studies campaigns public consultations
reviews (laws procedures) reports etc implemented Some 95000 organisations
institutions were involved in SIC-related interventions The organisations that the ESF
supported besides public administrations include bodies of the judiciary county level
government offices boards of public benefit activities at the regional level and
municipalities Other outputs include at least 1500 projects or activities launched
some 250 guides and guidelines produced and 150 new structures established
including client centres or regional offices
The results achieved through ESF SIC funding during the 2007-2013 period vary
Approximately 512000 individuals gained a qualification 87000 reported other
positive results some 2000 entities or organisations were established or recorded
other positive results and more than 1700 productssystemstools were developed It
should be mentioned however that due to data limitations it was not possible to
aggregate all results as reported in the AIR of ESF programmes and as a consequence
this leads to systematic underreporting of the results of ESF
ESF supported interventions helped to reduce the administrative burden for citizens
and businesses and contributed to the production of better quality policies and
legislation Management systems and practices were changed to incorporate modern
human resource management and planning techniques The support for developing
institutional capacity also contributed to achievements in specific policy areas such as
equal opportunities environmental policies and the social dialogue
Four fields of activities were analysed in more depth during the study
Strengthening of the judiciary was supported by activities including the training of
magistrates or employees of judiciary offices and the introduction of court case
management systems These activities resulted in a reduction of the duration of
judicial procedures in several countries (SI PL) The effectiveness of judiciary bodies
and offices was also increased in terms of management and quality assurance HR and
provision and equipping judiciary staff dealing with economic cases Strategic
planning and management was improved (EL LT LV and PL) by increasing the
number or the share of public administration offices that implemented management
systems and quality assurance processes Increasing the number of services available
to citizens and businesses online and training public administration staff to use them
properly were a means to achieve MS ambitions in the field of e-government
Improving the environment for businesses was achieved by shortening the time
needed for setting up or registering a business and decreasing administrative costs
Other achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iv
Information on impacts is available for six countries only Typically this information
is of a more qualitative nature and does not permit hard conclusions to be drawn
According to World Bank data improvements in the quality of public administrations
occurred between 2007 and 2014 especially in the field of government effectiveness
and rule of law The perception of regulatory quality improved in several countries
particularly the three Baltic States as well as in Poland and Romania It is to be
expected that ESF has contributed to these changes However this causal relationship
can only be established through impact assessments and evaluations The evidence
available at this point is insufficient to draw conclusions in this respect
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by various countries (CZ EL HU IT LT MT
RO SK) Rapid changes in government politicised institutions and lack of political
support were all cited as impediments to the effectiveness of SIC interventions
Other evaluation findings
The findings regarding four further evaluation criteria are as follows
Efficiency Available information does not allow conclusions regarding the
efficiency of SIC interventions The assessment of efficiency is hampered by the
fact that the outputs of various activities are not defined in terms of the
number of persons or objects
Sustainability SIC interventions sustainability refers to both the continuation
of funded projects (with or without EU funding) and the achieved results in
terms of increased empowerment and adaptation to new needs as they
develop The sustainability of SIC interventions is particularly dependent on the
context in which they are implemented and which these same interventions aim
to support
Gender sensitivity Gender equality is seldom targeted directly by SIC
interventions through positive actions However in some countries SIC
interventions were designed in such a way that in their implementation at
least women and womenrsquos interests are taken into account or possibly
furthered SIC interventions typically have more female than male participants
For most countries this reflects the over-representation of women in public
institutions
Community added value The main effect from ESF SIC support is a volume
effect This effect has been even greater than it otherwise would have been due
to the impact of the financial crisis on MS budgets ESF has also added value by
broadening the scope of the interventions undertaken by MSs or by putting
administrative capacity on the agenda SIC funding played a relevant role in
supporting the introduction and testing of innovative tools or systems such as
the introduction of e-government
Overview of key lesson learned
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe
2020 Strategy might be further enhanced by specifying the more relevant fields
of ESF SIC support such as e-government or business-friendly administration
The institutional and political context remains a key success and risk factor for
capacity building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are
important factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to
capacity building as well as a well-defined intervention logic are required by
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
v
MS Programming should go well beyond the specific objectives and into the
realm of intermediate and final impact Support provided to countries should
consider the five key factors that influence the success of SIC interventions
management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
New programmes need to make sure that results and impacts whose
sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or
PA are often linked to a lack of administrative capacity in the Managing
Authority or Intermediate Body both in terms of the number and qualifications
of staff Significant personnel turnover and frequent changes in staff
contributed to mistakes being made in financial reporting by beneficiaries
which was further hampered by complicated and often-changing rules and
errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review
ex-ante the output and result indicators proposed by MS to see if they comply
with SMART criteria apply a categorisation into common output and result
indicators in the SFC database More systematic guidance on the difference
between indicators for capacity enhancement performance and impact
indicators could help countries formulate better indicators for monitoring
results In addition a benchmark is needed against which achievements can be
measured
Evaluation Fields of activities as found in the CSRs for example could
provide a starting point for the development of impact indicators for ex-post
evaluation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
6
1 Introduction
11 Background
This report is for Task 3A Thematic EU Synthesis Reports of the ldquoESF 2007-2013 Ex-
Post Evaluation Synthesisrdquo (Contract No VC20150098)
The purpose of the Ex-Post Evaluation is to synthesise and update the results of three
ESF thematic ex-post evaluations that were launched by DG EMPL during 2014 and
covered the following ESF Priorities Adaptability and Human Capital (grouped under
the ex-post evaluation Investment in Human Capital) Supporting the Integration of
Disadvantaged Groups into Labour Marked and Society (Social Inclusion) and Access
and Sustainable Integration into Employment (Access to employment) Under Task 3A
the Synthesis shall provide a supplementary evaluation of the ESF Priorities
lsquoStrengthening Institutional Capacityrsquo (ESF Reg 10812006 Art 32b) - the present
report - and - lsquoPromoting Partnershipsrsquo (Art 31e) which is presented in a separate
document These priorities were not covered by separate services and therefore
providing the key information needed in order to compile the EU synthesis report
covering all the ESF Priorities
Strengthening Institutional Capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
108120062 only covers Convergence regions and describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo
Strengthening institutional capacity was a new theme introduced for the 2007-2013
period Until then capacity building was supported for specific sectors notably
employment social inclusion and education and for the implementation of the
structural funds themselves (technical assistance) With SIC a more horizontal
approach was introduced that aimed at improving good policy and programme design
monitoring and evaluating a variety of activities and supporting capacity building in
the delivery of policies and programmes Specific fields supported by ESF SIC include
strategic planning and management support to the judiciary sector e-government
and promoting a business-friendly environment
This thematic report builds upon the knowledge and information collected during the
previous tasks of the synthesis evaluation particularly the Country Synthesis Reports
(CSR) that provide information on each and every ESF policy priority including a
summary overview of the Strengthening Institutional Capacity priority
12 Objectives
This thematic synthesis report provides an overview of the implementation of the ESF
Priority SIC at EU level in terms of implemented actions financial resources
participants outputs and results The report also illustrates how resources have been
used the effectiveness of implemented interventions (in terms of results) and
efficiency measured in terms of financial resources spent in order to achieve them
2 Regulation (EC) No 10812006 of the European Parliament and of the Council of 5 July 2006 on the European Social Fund and repealing Regulation (EC) No 17841999
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Thematic EU synthesis report Strengthening Institutional Capacity
7
The report also aims to provide an assessment of the sustainability community added
value and contribution to gender equality of the SIC priority thus feeding the most
relevant lessons learned and conclusions of the analysis
13 Scope
In total 14 of the EU-27 MSs defined one or more ESF OPs that have one or more
Priority Axes (PA) that predominantly address SIC (in total 34 SIC-related PAs in 21
OPs)3 A full list of these Priority Axes is presented in Annex I The programmes
covered the period between 1 January 2007 and 31 December 2013 with operations
continuing until 31 December 2015 However the evaluation could only draw on 2014
data reported by the MSs in the Annual Implementation Reports (AIR) submitted to
the Commission by 30 June 2015
14 Methodological Approach and information sources
The identification of Priority Axes relevant to SIC was based on the Preparatory Study
of the Ex-post evaluation of the ESF 2007-2013 the ESF Expert Evaluation Network
reports and the three ex-post thematic evaluations This selection was used as the
main reference to identify MSs and OPs with Priority Axes relevant to this field this
selection was further refined over the course of Task 2 ndash Country Synthesis Reports
For these PAs an analysis of the participants was carried out (Annex XXIII data) as
well as of the groups of outputs and results achieved by the ESF Each MS has to
report on these in the AIR and they can be extracted from the System for Fund
Management in the European Union (SFC2007)
Country experts in the relevant MSs were asked to review and integrate SFC data
(based on AIRs) if necessary Most importantly experts were asked to fill in country
templates enabling the assessment of the main activities of SIC that have been
carried out under the selected OPs for this report Also any other relevant information
such as the sustainability of the activities and results the contribution to gender
equality the community added value (CAV) the key success and failure factors and
the main lessons learned These templates were to be completed based on the
expertrsquos own assessment information drawn from the Operational Programmes and
AIRs 2007-2014 relevant evaluations or other sources of information available at
national level and in some cases through ad-hoc interviews with Managing
Authorities (MA)
The Country Synthesis Reports and templates filled in by country experts were a key
information source as the SIC Priority covers a relatively small share of ESF resources
SIC differs from the other priorities as it is not directly focused on educationtraining
or employment-related objectives for individuals but rather focuses on strengthening
structures and entities directly or indirectly involved in implementing such objectives
For this reason available quantitative data may not be representative of the relevance
and effectiveness of related interventions which is why additional qualitative
information had to be collected
15 Structure of the report
The report begins by reviewing briefly the background and content of the theme
(Chapter 2) Chapter 3 links SIC interventions to national and EU policies and
3 Please note that this could be a PA but in some cases also sub priorities when a PA is split up across more than one ESF theme
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
8
explains and analyses the activities foreseen It goes on to describe how SIC related
interventions are integrated into the ESF programming by MSs and the subsequent
impact of the economic crisis on the actual implementation Finally this chapter
discusses the financial performance Chapter 4 focuses on the evaluation criteria (ie
effectiveness efficiency sustainability gender sensitivity community added value and
socio-economic impact) The conclusions of the above analyses are presented in the
final chapter (Chapter 5) in terms of the lessons learned in six areas
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Thematic EU synthesis report Strengthening Institutional Capacity
9
2 Key SIC challenges and policy directions in the EU in the 2007-2013 programming period
Key findings
The quality of public policies and their implementation has been on the European
agenda since the beginning of the century It was also a key issue in the
preparation of countries for EU accession and the support the EU provided to them
amongst others in the framework of the PHARE programme
The modernisation of public administration was identified as one of the five
priorities in the Commissionrsquos recent Annual Growth Surveys Between 2012 and
2014 around 20 countries have been receiving country specific recommendations
related to public administration every year
Three dimensions of institutional capacity can be identified structures and
processes human resources systems and tools
Article 32b of ESF 2007-2013 Regulation identifies SIC as one of the five ESF
priorities focusing exclusively on Convergence regions
21 Evolution of the institutional capacity building focus
211 The origins of institutional capacity building support
The concept of institutional capacity owes much to the work conducted in the
framework of development aid According to De Koning et al (2006) the term
capacity building was introduced in the late 1980s It has various predecessors
though with the concept of institution building arising as early as the 1950s
It was also a key issue in the preparation of countries for EU accession and the
support the EU provided to them amongst others in the framework of the PHARE
programme It was recognised that only by developing appropriate administrative and
judicial structures would the new or adapted legislation be implemented effectively
(European Union 2010 p 16-17) The PHARE programme and the instrument for
pre-accession assistance (IPA) as of 2007 the Technical Assistance and Information
Exchange instrument (TAIEX) and Twinning have helped accession countries to
increase their institutional capacity After accession further support was deemed
necessary in this area and the ESF became the new vehicle for delivering it (European
Union 2010 p 18)
According to Ferry (2013) institutional capacity has remained an issue for Cohesion
policy in these countries His literature review revealed that there are many absorption
challenges faced by EU-10 countries both during and after accession Administrative
reforms and institutional instability were impeding the effectiveness of management
and implementation systems The collection and analysis of monitoring data has also
greatly suffered from this as did the implementation of ESF Ferry refers to a number
of issues in particular ldquoadministrative capacity weaknesses in managing authorities
(MA) lack of funding shortages of administrative resources high staff turnover lack
of political steer and administrative complexitiesrdquo (Ferry 2013 p 30)
212 Good governance as a deciding factor for competitiveness and cohesion
The quality of public policies and their implementation has also been on the European
agenda since the beginning of the century In the early 2000s the European
Commission identified the reform of European governance as one of its four strategic
objectives This entailed adapting European institutions and increasing the coherence
of its policies The Lisbon Treaty (ratified at the end of 2009) supported this by giving
a stronger role to the European Parliament and national parliaments and more
opportunities for citizens to have their voices heard The Lisbon Treaty also underlines
the importance of public services in MSs for social and regional cohesion it also
included key principles for action to promote effective services of general economic
interest Subsequently the Europe 2020 strategy for smart sustainable and inclusive
growth builds on this and emphasises the modernisation of labour markets and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
10
enhancing the performance of education systems The modernisation of public
administration was identified as one of the five priorities in the Commissionrsquos recent
Annual Growth Surveys Between 2012 and 2014 around 20 countries have been
receiving country specific recommendations related to public administration every
year4
The reason for making institutional capacity a priority across the European Union is
that it is assumed to promote competitiveness eg through a stable business
environment and lower regulatory and administrative burdens This will also help
increase employment levels along with the number of stable and high quality jobs It
can also be argued that increased administrative capacity will foster social inclusion
and social cohesion Increased revenue from taxation and social security contributions
from well-functioning economies as well as government services operating more
efficiently will allow the maintenance of adequate levels of social protection It will in
brief increase productivity and in the economy improve the quality of the design and
implementation of policies for growth and employment and is the basis for good
governance (European Union 2010)
The European Union has been systematically and actively promoting public
administration reforms (PAR) in central and Eastern European countries both during
and after the accession process These MSs are part of an EU-wide effort of
modernising Public Employment Services (PES) and other institutions in the field of
labour social and educational policies which are supported under the Human Capital
and Access to Employment priorities (and are covered by the relevant thematic
evaluations)
213 Definitions and concepts
A number of dimensions of capacity building can be emphasised De Koning et al
(2006) identify investment in the human capital of individuals group-oriented
development organisational development or institutional development Building on
the classification applied by the World Bank the Ecorys (2011) report identifies three
dimensions that have since been used in various sources These concern structures
people and tools and are as follows
Structures relate to legislation delivery and development structures as well as
overall coordination cooperation and partnership
Human resources area include competence gaps (especially among senior and
line managers) staff turnover lack of HR policies (especially of modern HR
management approaches) lack of employee engagement and rigorous
application to tasks and in some cases a focus on narrow specialisms rather
than on broader management and public service competences
Systems and tools include the use of ICT and its embeddedness in
organisational processes the management of information systems finance
monitoring and evaluation and the state of play with regards to performance
management and the management of workloads
4 For more information see httpeceuropaeueurope2020making-it-happencountry-specific-recommendationsindex_enhtm
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Thematic EU synthesis report Strengthening Institutional Capacity
11
De Koning et al (2006) also distinguish different types of interventions that may be
used in capacity building projects and programmes knowledge skills tools and
equipment
22 Capacity building and ESF
The ESF thematic paper on promoting good governance highlights the importance of
having high quality public administration for economic prosperity as well as the well-
being of societies and their citizens (European Commission 2014)
For the 2007-2013 programming period three articles of the ESF Regulation (EC
10812006) are of particular relevance to capacity building
Article 31b addresses both the Convergence and the Regional
Competitiveness and Employment objectives It states that the ESF shall
support actions in MSs by promoting the modernisation and strengthening of
labour market institutions particularly employment services and other relevant
initiatives in the context of the strategies of the European Union and the MSs
for full employment
Article 31d refers to ESF support to enhance human capital by promoting the
design and introduction of reforms in education and training systems [] and
the continual updating of the skills of training personnel
Article 32b focuses exclusively on the Convergence regions mentioning that
the ESF shall support actions in MSs that are strengthening institutional
capacity and the efficiency of public administrations and public services at
national regional and local level Where relevant Article 32b also focuses on
strengthening social partners and non-governmental organisations These
interventions are targeted towards implementing reforms better regulation and
good governance This is especially the case in the economic employment
education social environmental and judicial fields
Article 32b covers SIC interventions as evaluated in the present study The focus on
institutional capacity and efficiency was new in the 2007-2013 programming period
Before 2007 the ESF objectives were defined only in the areas of employment social
inclusion and education
SIC interventions represent one of the additional objectives for so-called Convergence
regions Convergence regions are defined as those regions having per capita gross
domestic product (GDP) less than 75 of the average GDP of the EU-255
The following table summarises the logic behind ESF interventions in the field of
institutional capacity
Table 1 Institutional capacity objectives tree for ESF
Driver Economic growth employment and good governance (Lisbon Strategy)
Global objectives
The ESF shall contribute to the priorities of the Community with regard to
strengthening economic and social cohesion by improving employment
and job opportunities encouraging a high level of employment and a
5 Commission Decision C(2006)3475 of 4th August 2006 and Commission Decision C(2007) 1283 of 26 March 2007 amending Decision 2006595EC as concerns Bulgaria and Romania)
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Thematic EU synthesis report Strengthening Institutional Capacity
12
greater number of better jobs It shall achieve this by supporting MSs
policies aiming to achieve full employment ensure quality and
productivity at work promote social inclusion including the access of
disadvantaged people to employment and reduce national regional
and local employment disparities
Specific objectives
Article 32b Within the framework of the Convergence objective ESF shall
support actions in MSs under the priorities listed below
ldquoStrengthening institutional capacity and the efficiency of public
administrations and public services at national regional and local level Where
relevant these policies will also target social partners and non-governmental
organisations with a view to reforms better regulation and good governance
especially in the economic employment education social environmental and
judicial fieldsrdquo
Types
of interventions
(i) Mechanisms to improve good policy and programme design monitoring
and evaluation will be achieved through studies statistics expert advice
support for interdepartmental coordination and dialogue between relevant
public and private bodies
(ii) Capacity building in the delivery of policies and programmes in the
relevant fields including those regarding the enforcement of legislation
especially through continuous managerial and staff training as well as specific
support to key services inspectorates and socio-economic actors this includes
social and environmental partners relevant non-governmental organisations
and representative professional organisations
Source Assessment of administrative and institutional capacity building interventions and future needs in the context of European Social Fund (VC2009066 - 009)
The analytical framework developed for the previous evaluation of administrative
capacity under ESF (Ecorys 2011) summarised the need for capacity building
interventions as follows
poor performance of public administration
weak response to citizensrsquo and firmsrsquo needs
higher well-being of citizens through increased competitiveness and cohesion
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Thematic EU synthesis report Strengthening Institutional Capacity
13
3 Overview of key ESF SIC investment features in the 27 Member States
Key findings
ESF SIC investment is closely linked with SIC-related challenges in the relevant
MS All countries that have programmed a SIC-dedicated OP or PA received CSR
over the 2007-2013 period covering SIC-related themes
SIC-related CSR can take the form of general recommendations such as improving
the overall effectiveness of the public administration of the regulatory capacity of
the public bodies for example or they can relate to specific fields of interventions
such as the judiciary or the business environment
Some 70 of SIC actions at the level between PA and the actual interventions
addressed structures and processes The horizontal approach under SIC
enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and
management and strengthening quality assurance
An almost equally high share of the actions addressed the development of human
capital This included staff capacity building interventions as well as the
development and implementation of human resources management strategies
ESF SIC also supported the development of tools such as those related to e-
government and the improvement of monitoring and evaluation systems
While most activities seem to target the public sector as a whole some focus on a
specific policy sector such as the judicial system
During the 2007-2013 programming period 14 of EU-27 included Priority Axes
dedicated to SIC interventions in their ESF programming Four of them (BG EL
HU RO) have explicitly dedicated one OP to institutional capacity building The
remaining ten countries (IT LT LV MT PL RO SI SL SK UK) have OPs with one
or more PAs dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting
SIC
Within EU-28 a total of euro2419 million was allocated to OPs or PAs that were
dedicated to SIC objectives (EU+national) this constitutes 21 of total allocated
funding under ESF and 4 of the funds available in convergence regions The
highest absolute levels of SIC allocation are found in EL and PL while countries
that allocate the highest share to SIC relative to their overall ESF budgets (over
12) are BG and LT followed by MT and SI
31 Links to the national and EU policy priorities main activities and target groups
311 Links to the national and EU policy directions
ESF SIC investment is closely linked with SIC-related challenges in the relevant MS
All countries that have programmed a SIC-dedicated OP or PA received Country
specific recommendations over the 2007-2013 period covering SIC-related themes
Country Specific Recommendations (CSRs) are issued for each MS
In the context of the European Semester since 2011 the Commission undertakes a
detailed analysis of MS plans for budgetary macroeconomic and structural reforms
and provides them with CSR for the next 12-18 months These recommendations also
contribute to the objectives of the EUs long-term strategy for jobs and growth and the
Europe 2020 strategy
Annex I presents a full overview of how SIC interventions addressed country specific
recommendations
The content of the CSRs varies from country to country and from year to year
Although all MSs have their own CSR proposals there are common themes that arise
This section highlights the common key messages in the fields that are relevant for
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
14
SIC and provides an overview of the types of categoriesmeasures in which the
European Commission issued CSRs over the years from 2007-2013 and indicates how
these relate to specific MSs
Table 2 below shows how these CSRs clustered by typology are lsquodistributedrsquo across
the relevant MS over the 2007-2013 programming period SIC-related CSR can take
the form of general recommendations such as improving the overall effectiveness of
the public administration of the regulatory capacity of the public bodies for example
or they can relate to specific fields of interventions such as the judiciary or the
business environment The table illustrates that the overall improvement of the public
administration is a challenge identified in at least nine out of the 14 MSs Improving
the business environment facilitating entrepreneurship and business start-ups and
increasing the attractiveness of a country as an investment destination has been
identified a challenge in at least 11 MSs Improving the regulatory capacity of public
bodies and supporting simplification (including the aim to improve the business
environment) has been identified as a challenge in at least six MSs The reform and
the support of the judiciary sector has been identified as a specific challenge in at
least three MSs (this does not mean it is not a challenge for other MS with the
judiciary being a part of public administration)
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP
Type of challenge BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
effectiveness and efficiency
of the public administration x x x x x x x x x
effectiveness of the judiciaryreform x x x x
business environment x x x x x x x x x x x
Anti-corruptionpromotion of rule of law x x x
public procurement x x x
absorption of ESI funds x
e-government x x x x
regulatory systemsimplification administrative burden
x x x x x x
Source own elaboration on the basis of CSR2007-2009 2010-201213
Challenges and related recommendations are also visible in national strategies and
ESF SIC investments constitute an integral part of the national effort to support good
governance and improvements to the public administration in many countries This is
particularly the case in countries that have concentrated a relatively large amount of
ESF resources to this priority or those that have dedicated a full OP to it such as in
the case of BG EL HU and RO
In the case of Bulgaria for example where there is a separate OP devoted to
administrative reform and strengthening institutional capacity ndash OP Administrative
Capacity (OPAC) ndash the ESF plays an important role in supporting reforms and capacity
OPAC financed some of the most important measures in the National Reform
Programme (NRP) and was indeed a key instrument for the administrative reform in
Bulgaria where these reform processes play an important role in the national agenda
also considering its relatively recent accession to the EU and of its political past
ESF 2007-2013 ex-post evaluation synthesis
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15
In Greece a number of reforms have been implemented in the past decade mainly in
the fields of state-citizen relationships the development of e-government human
resource management better regulation and control mechanisms These are fully in
line with the strategic goal of the OP Administrative Reform 2007-2013 which aimed
to improve the quality of governance through enhancing the effectiveness and
efficiency of public organisations whilst also strengthening the accountability and
professionalism through broadening public consultation and the participation of
stakeholders
In Romania the main contribution of the State Reform OP was to support the
accomplishment of the strategy for improving the capacity of the public
administration The main leverage used involved creating more efficient local
administration units and reducing the development gap between local and central
public administrations Increasing the expertise of staff in public institutions through
participation in specialised training (ICT data management systems) helped in
preparing them for the development of e-government services and facilitated the
simplification processes relating to administrative procedures in line with the National
Strategy for the Digital agenda for Romania and the European Digital agenda
During the last few decades public administration reform strategies in Italy have
been focusing on two main areas a) the delivery of (public) services to citizens and
companies b) the management of public (material and immaterial) goods Both areas
have been subject to reforms aimed at improving their levels of effectiveness and
efficiency In more detail the reform strategies focused on service delivery (covering
the national regional and sub-regional level along with relevant policy actors) and
tackling long-standing criticisms such as the overall lack of efficiency in Public
Administrations (especially in terms of the optimisation of governance mechanisms)
They also concentrated in the simplification of administrative rules and regulations and
the efficiency and effectiveness of (mainly civil) justice As for the reforms they
focused on improving the management of public goods the main critical issues that
have been covered relate to the fight against corruption (especially in public tenders
and contracts) the effective spending of public funding (national but also EU) and the
full implementation of relevant infrastructure investments These strategies have been
accompanied by reforms supporting the productivity and assessment of PA employees
and management as well as of the organisations themselves
Table 3 shows the linkage between the CSRs received and whether relevant MSs had
addressed these through ESF SIC investment Only in five MSs (BG CZ EE IT LT)
were the recommendations not fully addressed in some specific years
Table 3 CSR addressed under SIC interventions by MS
Country 2007 2008 2009 2011 2012
BG NA YES partially YES partially YES partially YES partially
CZ YES NO NA YES YES
EE NA YES NA NA YES partially
EL YES YES YES NA NA
HU YES YES YES YES YES
IT NO NO YES YES
LT NA YES partially YES partially YES NA
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
16
Country 2007 2008 2009 2011 2012
LV NA NA NA NA NA
MT YES YES NA NA NA
PL YES YES NA YES YES
RO NA YES YES NA NA
SI NA NA YES NA
SK YES YES YES YES YES
UK NA NA NA NA NA
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
NA means that no recommendations were made
Details of the recommendations are provided in Annex II
In the Czech Republic SIC-related ESF programming addressed all the
recommendations apart from the one aiming to further quicken the ldquoprogress in the
ICT area including through the implementation and monitoring of a fully enabled legal
environment for e-governmentrdquo This implementation began in 2008 although a start
was made in 2007 as was then recommended
Estonia also used ESF funding for SIC interventions to address most of the
recommendations it received although SIC interventions were not explicitly used to
support the merging of municipalities as was recommended in 2012
Italy did not use ESF funds to explicitly address the recommendations it received in
2007 and 2008 These recommendations involved the introduction of an impact
assessment system and the competition in product and service markets The latter
was taken up again by the recommendations in the following years and ESF SIC
interventions were used to improve the situation
Table 4 below provides an overview of the linkages between MSsrsquo policies and ESF
support to SIC
Most MSs that have included PAs on SIC use ESF to obtain additional funding to
support good governance and to improve the delivery systems and methods for
services to citizens and businesses in their country Most countries also use it to test
innovative activities ESF is least commonly used to reach new target groups which is
understandable for SIC interventions
Table 4 Contribution of ESF SIC interventions to MS policies
ESF provided additional funding to
support good governance
ESF was used to test new and innovative
activities
ESF was used to reach new target groups
ESF was used to improve PA service
delivery- systems and methods
BG Y Y N Y
CZ Y Y N Y
EE Y Y Y Y
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
17
ESF provided additional funding to support good governance
ESF was used to test new and innovative activities
ESF was used to reach new target groups
ESF was used to improve PA service delivery- systems and
methods
EL Y Y N Y
HU Y N N Y
IT Y Y N Y
LT Y Y Y Y
LV Y Y Y Y
MT Y Y Y Y
PL Y Y N Y
RO Y N N Y
SI Y Y Y Y
SK Y Y N Y
UK N N N Y
Source overall assessment of country experts based on research carried out by them and
national evaluations conducted in the country
312 Key characteristics of activities and target groups at EU and MS level
An overview of the key characteristics of activities and targets groups that are the
focus of ESF SIC investment is provided below This is based mainly on the analysis of
lsquoactionsrsquo that have been programmed and carried out at MS level By actions we refer
to the unit of analysis below PA level6
Art 32b of the ESF Regulation distinguishes two main groups of interventions those
that relate to design monitoring and evaluation and those related to the delivery of
policies and programmes Only one in 10 actions focuses solely on the first objective
More than one-third of the actions focus on delivery and almost half of the measures
address both (see Table 5 below)
Most of the actions target the national level (70) However substantial numbers
address additionally local (41) andor regional (53) levels Only 4 of actions
have an international character
6 In the 2007-2013 programming period there is no standardised unit below the PA level such
as the measures in the 2000-2006 period However many Member States distinguish a lsquomeasure typersquo level Sometimes these are still called measures although sometimes other names are given In this report they are referred to as lsquoactionsrsquo and some of the analyses are conducted at this level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
18
Public entities were the main beneficiary of SIC actions (85) Social partners and
NGOs were targeted by approximately a quarter of the actions
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category
Characteristic and categories Absolute
no
Objective (ESF Regulation Art 32b i and ii)
Design MampE 8 103
Delivery 28 359
Both 38 487
No information 4 51
Total 78 100
Level of the intervention (multiple answers possible)
Local 33 423
Regional 42 539
National 56 718
International 3 39
No information 8 103
Recipients
Public entities 66 846
Social partners 21 269
NGOs 19 244
Source country templates - assessment by country experts based on review of relevant
literature and Country synthesis reports
In order to carry out a more detailed analysis we reviewed the key characteristics at
MS level Table 6 below shows whether a certain characteristic occurs in one or more
of the actions in each country This analysis is similar to that carried out at an OP
level However in the analysis at OP level the results for Bulgaria (two OPs) and
Italy (seven OPs) would lsquocolourrsquo the results excessively which is the reason why we
opted for a comparison of MSs
Table 6 illustrates the results for the various characteristics Very few MSs have
measures that focus exclusively on the design monitoring and evaluation of policies
and programmes or measures with an international component Few MSs have
measures that focus on e-government under ESF SIC actions Of course these actions
may be specifically targeted under other themes
Some more detailed conclusions emerge when we compare countries by the most
common types of OPs (section 313) dedicated OPs regional OPs and human
resources or sectoral OPs
Objective of the interventions
In Hungary and Bulgaria only (two of the countries with dedicated OPs) can
actions be found that focus solely on design monitoring and evaluation (obj
32bi)
All four countries with dedicated OPs have one or more actions that uniquely
target the second objective (delivery) In the two other groups this is the case
for around half of the countries
The mixed approach can be found in some of the countries in all three groups
Level of the interventions
All Member States have one or more actions at national level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
19
As expected all regional OPs target the regional level In the two other groups
around half of the countries have PAsactions addressing the regional level
In Bulgaria only do the actions under the administrative capacity OP have an
international dimension
Recipients
In all MSs public institutions benefit from institutional capacity building actions
Social partners and NGOs are often targeted as an explicit (BG EE SK) or
implicit (EL IT SI) target group of human resource development actions They
are also more likely to be amongst the recipients when the objective of actions
is to increase cooperation (BG) to further social dialogue (MT) or to improve
service delivery to citizens or businesses (BG LT) Social partners or NGOs are
also target groups when better regulation (EE) and equal opportunities (EE) are
prioritised
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS)
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK Tot
ESF objective 32b i and ii
Design MampE 1 1 2
Delivery 1 1 1 1 1 1 1 1 1 9
Both 1 1 1 1 1 1 1 1 8
Level of the intervention (multiple answers possible)
Local 1 1 1 1 1 1 1 1 1 9
Regional 1 1 1 1 1 1 1 1 9
National 1 1 1 1 1 1 1 1 1 1 1 1 12
International 1 1
Recipients (multiple answers possible)
Public entities 1 1 1 1 1 1 1 1 1 1 1 1 1 13
Social
partners 1 1 1 1 1 1 1 1 8
NGOs 1 1 1 1 1 1 1 1 8
Source country templates - assessment by country experts based on review of relevant literature and synthesis country report prepared previously
In Italy OP Sicily action linked to Specific Objective ldquoOrdquo and SK action 42 not implemented
so not included in Hungary no information available on level of interventions and recipients in
Slovakia and Czeck Rep no information on objectives
Target groups
In capacity building interventions the concept of target group needs to be considered
carefully If developing structures processes or tools are the objectives of the
intervention the only target group is the staff involved or (other) users of these
systems Thus the target group of SIC interventions are typically the employees of
the beneficiary institutions
313 Key characteristics of specific dimensions and categories
As mentioned above in order to bring out the variety of interventions implemented
with support from the ESF the actions are taken as the starting point for a more
detailed characterisation of SIC interventions The classification departs from the three
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
20
dimensions distinguished in section 213 structures and processes human resources
systems and tools Categories have been developed that reflect the objectives of ESF
with regard to capacity building on the one hand and the actual objectives and
activities in countries on the other Table 7 below presents the classification as well
as the number of actions to which a dimension or category applies
Table 7 Characteristics of SIC actions
Dimension and categories no of actions
Structures and processes (SampP)
Structures (general) 17
Processes (general or core processes) 5
Structures and processes with a regional or local dimension 36
Processes related to strategic planning and management 12
Structures processes aimed at creating of a business-friendly environment 10
Processes related to quality assurance and quality management systems 6
Human resources (HR)
Human resources management (eg working environment training policies and programmes certification mobility)
17
Staff capacity building 24
Tools
E-governance 14
Monitoring and evaluation systems (MampE) 14
Source information from country templates on objectives and types of activities supported by
ESF
multiple categories possible
The number of actions cannot be added as more than one category may apply to one
action both structures and processes may be addressed in one action as could
human resources systems and staff capacity building Other examples include quality
assurance or e-governance In addition 33 out of the 78 actions (42) could be
classified under more than one dimension
It should be mentioned here that capacity building in the justice system plays an
important role in assuring good governance The activities carried out under these
actions may cover all three of the dimensions identified above
Methodological justification of the classification
The fact that not all actions were classified on all three dimensions is partly due to the nature of
the actions and partly to the fact that this analysis could not be based on a more disaggregated
level of analysis such as the individual interventions The classification was based on a summary description prepared by country experts of the main typologies of interventions or activities that were carried out under the different actions it also includes a global assessment of their characteristics which was also made by country experts The formal titles and the objectives of the relevant OP and PA provided further guidance for the classification These
three sources enabled a detailed classification but cannot capture every single activity and their characteristics carried out in the framework of an action
The three dimensions are discussed in more detail below
314 Structures and processes
Structures (general) 3141
Objectives and activities
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
21
Changing organisational structures is not an aim in itself It is accomplished to create
conditions for other changes that will help realise good governance in the country or
to improve public policies and their implementation directly
In Hungary the ESF SIC investment is aimed at creating lsquothe organisational conditions
for a strategy driven specialised policy approach in the central administrationrsquo This
should contribute to the capacity for self-governance and the quality of legislation
which is targeted under Action 11 of the State Reform OP Under Action 12 support
to the creation and operation of institutional models will help create a simpler and
more transparent organisational structure which in turn will further the development
of more efficient and cost-effective public organisations In Romania revising
developing and optimising the structure of public services (action 21) was undertaken
in order to improve their quality and efficiency
In the majority of actions organisational changes address national as well as local or
regional levels Action 11 of the Bulgarian OP Administrative Capacity aims to create
an effective structure for the State administration by optimising the structures of the
central district and municipal administration ESF SIC support is also used to bring
about and support decentralisation processes Lithuania aims to affect structural
changes at all levels (central regional and local municipality) and identified the need
for support in decentralisation and processes to reduce concentration This is in order
to achieve an optimal distribution of functions among central territorial and local
municipal levels In Romania the main objective of Action 21 in the OP Administrative
Capacity Development is to support structure and process changes resulting from
sectoral decentralisation initiatives The support provided includes training and
technical assistance as well as for the evaluation of pilots for the process of
decentralisation and reducing concentration
Organisational change is sometimes internally driven where it can be aimed at
achieving less fragmentation and duplication of work in Malta for example In other
cases it can be externally driven such as the lsquoone-stop-shoprsquo system developed for
start-ups in Poland (Action 51 OP Human Capital)
The ESF in Poland furthered the development of an important policy design instrument the Social Diagnosis It was a project designed to support the diagnostic work with detailed data
that had been derived from institutional indicators concerning households with a view to investigating the attitudes mind-sets and behaviours of their members It is a diagnosis of Polish conditions and quality of life as they report it Although this research has been ongoing since the 1990s under the ESF programme it has developed and become the main basis for designing policies and providing a source of information for decision makers The scale and impact of the research carried out has been changed considerably thus providing an effective tool for designing policies and strategies7
Beneficiaries and geographical level
All actions address solely public authorities except for the Greek actions that also
target social partners and in one case NGOs Most actions target the national as well
as the regional or local level
Processes (general) 3142
Objectives and activities
7 EEN 2014 Final country report Poland
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
22
The Greek administrative reform OP provides a good example to demonstrate the type
of activities undertaken in the framework of structural reforms It captures a range of
activities and interventions which are all addressing the organisational and
operational re-engineering of public organisations A key aim is the rationalisation of
specific administrative functions such as budgeting and the reduction of
administrative burdens Concrete activities include the
introduction of performance and efficiency systems in the central and regional
public organisations
modernisation and rationalisation of the budgeting
simplification of administrative procedures to reduce the administrative
burdens
reduction of the time needed for the issuance of social and state pensions
enhancement of the E-health program (individual e-papers)
introduction of one stop shops for enterprise licences
The Hungarian actions specifically address the renewal of procedures and work
processes as well as organisational development In Malta renewed processes aim to
support the public sector reform whereas in the Czech Republic renewed processes
seek to increase institutional capacity and efficiency The Bulgarian action focuses on
the judicial sector aiming to make it more transparent and effective
The activities undertaken under this heading can be summarised as simplification and
streamlining They include lsquooptimisation of the workflow and better coordinationrsquo in
the judiciary system (BG) streamlining the activities of public administration
authorities (CZ) simplifying the procedures mostly used by the citizens (HU) and
streamlining management processes within the public sector with a view to facilitating
more rapid decision-making and implementation as well as greater accountability of
results (MT)
Beneficiaries and geographical level
The SIC interventions that aimed to change processes targeted public administration
itself rather than social partners or NGOs the interventions were a mixture of
national regional and local actions although the emphasis was focused at the national
level
Structures and processes with a regional or local dimension 3143
The overarching characteristic of this category of actions is their aim to strengthen
administrative capacity or good governance at the regional or local level These
actions aim to support regional or local authorities in the development and
implementation of policies An element of decentralisation is needed to be present for
actions to be categorised under this heading The classification was performed by
triangulating information from the objectives and description of the OPPA and actions
along with the assessment made by country experts considering the level at which
the actions were foreseen This was the case in regional OPs
Objectives and activities
Theoretically four elements were identified integrated development territorial
reform regional local and municipal governance and decentralisation In the PAs
dedicated to SIC however no regional planning and development activities were
found Neither were actions aimed at territorial reform Support for decentralisation is
provided as has been discussed above but the undertaking of decentralisation itself is
not encountered in the SIC PAs The only clear decentralisation objective is found in
the Romanian administrative capacity development OP The main objective of action
21 is to support structure and process changes resulting from initiatives of sectoral
decentralisation Studies consultancy training evaluation and mutual learning were
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
23
all delivered to structures and staff involved in the planning and coordination of the
decentralisation process The evaluation of pilot projects was supported along with
more general studies on the decentralisation process
The predominant types of action classified under this category are therefore those that
aim to strengthen regional local and municipal governance As the majority of
activities undertaken for these actions are already discussed in other categories no
further description is provided here
Some interesting examples of this type of intervention can be found in Italy Two of the most relevant projects implemented by the National OP Governance (that accounts for the majority of ESF SIC-related investment across all OPs) are lsquoCapacitagrave Sudrsquo aimed at reinforcing the
institutional and administrative capacity of Regions in the field of Structural Funds management and networking and lsquoPerformancersquo PA which aims to supporting the reform and modernisation of public administration mainly involving Municipalities At the level of the regional OPs the implementation of the Institution building programme aimed to strengthen the institutional
capacity of the regional public administrations (development of a favourable administrative environment and public policies) the regional OP of Campania in cooperation with the central government funded this programme The main interventions implemented under this
programme include the following organisational support development of a management control system support to administrative simplification and e-government development of an anti-corruption plan and strengthening local development systems
Beneficiaries and geographical level
Most of the actions solely target public authorities Actions are always carried out at
regional or local level besides the national level
Processes related to strategic planning and management 3144
Six countries have used strategic planning or management tools to enhance their
functioning and performance Estonia Greece Hungary Italy Lithuania and Romania
Objectives and activities
Most of the activities are part of more general SIC interventions However two
countries have established PAs that are dedicated to performance management
Estonia under its human resources OP has formulated a PA for the enhancement of
strategic management in the public sector and NGOs Hungary also under a human
resources OP formulated a PA dedicated to performance-based career pathways
Examples of such tools are management by objectivesresults policy cycle
management performance management and strategic planning lsquoEfficiency and
performancersquo systems were foreseen for Greece and Hungary which may imply a
somewhat heavy focus on staff performance Information on individual interventions
would be required to clarify this
Beneficiaries and geographical level
The beneficiaries are public institutions (all) and NGOs (Greece) The activities target
institutions at national regional and local level
Structures and processes aimed at creating of a business-friendly 3145
environment
Creating a more business-friendly environment is an important feature of the
European 2020 Strategy Actions that address this issue are found in several countries
(including CZ EE EL LT LV MT PL)
Objectives and activities
Improving the regulatory environment for businesses and reducing their
administrative burden is undertaken with a view to improving the performance of
these and the competitiveness of the MSs Many activities under this heading aim to
improve and simplify the regulatory environment thereby creating an attractive
environment for enterprises and for domestic and foreign investors (CZ EE EL LT
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
24
MT PL) They also include the development of ex-ante impact assessments or
evaluation systems for calculating the administrative burden for enterprises (EE LT
LV) as well as the introduction of one-stop-shop systems (EL LT PL) Other
activities such as quality assurance and management (discussed below) will also help
to improve the environment in which businesses operate
Beneficiaries and geographical level
The end recipients of these actions are businesses but the final beneficiaries are
public authorities at all geographical levels though somewhat more often at national
level
Processes related to quality assurance and quality management 3146
systems
Seven countries focused on quality assurance or quality management as a tool
Bulgaria Hungary Lithuania Latvia Malta Slovenia and Slovakia However the
Slovak action did not end up being implemented
Objectives and activities
Quality Assurance (QA) and Quality Management (QM) systems can and do support
virtually all objectives foreseen for SIC interventions Slovenia for example used the
European common assessment framework (CAF) and the European Foundation for
Quality Management (EFQM) framework Bulgaria Lithuania and Latvia introduced QM
systems with the aim of enhancing the quality of administrative service delivery
These systems are also introduced as part of an overall administrative reform (HU
MT) The introduction of minimum quality standards is part of quality management
although this is not considered to belong in this category if occurring in isolation As
the introduction of quality management systems was usually one of many activities
undertaken in the framework of an individual action more detailed information is not
available on the activities carried out to introduce these systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector on the national level
315 Human resources
In this section we provide an overview of the actions related to human resources
development as they have been programmed and implemented across the 14 MSs
These actions can be divided into two broad categories Human Resources
Management and Capacity building of staff Capacity building of staff usually takes the
form of training activities and programmes although it should be mentioned that
training takes place also outside of HR focused actions In this case training is not a
capacity building objective in itself but aims to improve the strategic management of
an organisation or the implementation an e-government programme
Human resource management 3151
Objectives and activities
Developing human resource management (HRM) under SIC ESF investment covers
various human resource management areas such as recruitment staff motivation
internships systems of accrediting public servants internal mobility gender
mainstreaming and mutual learning While most activities seem to target the public
sector at large some focus on a specific policy sector such as the judicial system
The Bulgarian Administrative capacity OP has one PA targeting human resource
management in public administration This is further articulated into five actions
Action 21 Modern human resources management in the state (improving recruitment
and human resources management systems including motivation internship
opportunities certification of public servantsrsquo skills and mechanisms for mobility)
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Thematic EU synthesis report Strengthening Institutional Capacity
25
Action 22 Competent and effective state administration (training programmes and
training for public servants of the central district and municipal administration)
Action 23 Strengthening the capacity of civil society organisations in policymaking
(training for organisational development strategic planning etc)
Action 24 Competent judicial system and effective human resource management
(introducing new human resources management systems and the provision of training
to magistrates and administrative staff)
Action 25 Transnational and interregional cooperation (projects for exchange of good
practices in the field of human resources management)
In Greece the OP for Administrative Reform seeks to improve modernise and reform
the operational capacity of Human Resources Departments in central administrative
units The objective is to improve the quality design and implementation of vocational
education programmes in public administration thereby upgrading the skills
qualifications and knowledge of the personnel in the public administration Concrete
activities include the development of tools for the improvement of the Human
Resources departments and the development of strategic and operational plans for
vocational education institutions Other Greek PAs under the HRD OP focus on gender
mainstreaming in the public sector This is to be attained by a variety of activities
which include improving the legislative framework for gender mainstreaming
increasing the participation of women in decision making evaluating the impact of
public policies in gender mainstreaming enhancing the integration of gender
mainstreaming in public policy enhancing actions targeting the prevention and
combating of violence against women and supporting NGOs that help further female
participation
The Hungarian OP State Reform addressed the need to increase the participation of
women through Human resources improvement strategies through PA 2 (Increasing
the quality of Human Resources) Action 22 which focuses on performance-based
career pathways This PA aims to modernise the instruments for human resources
management focusing in particular on the elaboration and scheduled introduction of
the life path-career management system Aside from the activities such as the
establishment of a government human resource centre which is responsible for the
application of the new HR policy other actions include the elaboration of an
international government officersrsquo and civil servantsrsquo exchange programme along with
the introduction of individual performance assessments that link outcomes to the
remuneration system The PA supports activities that help staff to reconcile obligations
from family and work life
In Lithuania one of the actions under the OP for the development of human resources
targets HRM It aims to improve the management of human resources and strengthen
the administrative capabilities in the public sector Modernising the management of
human resources is undertaken in order to further a more productive use of
knowledge capabilities and skills in the public administration It includes activities
that promote the own initiative of public employees and improving the system of
encouragement
The human resources development OP in Slovenia has an action dedicated to efficient
and effective public administration which includes activities for developing public
management This is done through enforcing the use of modern management
techniques and developing active management of human resources and knowledge
The action also included a system for strategic planning as well as for monitoring the
status of results related to objectives of the priority
In Estonia the OP for human resource development has an action aiming to train and
develop State employees as well as those of local authorities and NGOs It covers
various areas including human resources management Interventions are mostly
implemented in the form of different training studies analyses and development
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
26
activities Interventions are also to a certain extent enacted through the
development of methodological materials practicing and information activities
Beneficiaries and geographical level
All PAs target public authorities The Greek and Estonian PAs also target social
partners NGOs are potential beneficiaries in some Bulgarian Greek and the Estonian
PAs
Staff capacity building 3152
Objectives and activities
Sometimes activities under HRM and staff capacity building are strongly intertwined
such as in Poland and the United Kingdom The PA dealing with staff capacity building
under the human capital OP in Poland includes an action advancing the modernisation
of management in public administration and justice administration It used a variety of
activities to achieve this aim revision of all legal acts related to public finance
management improvement of budgetary and strategic planning developing the
system of public tasks evaluation based on indicators strengthening the divisions of
self-government units responsible for monitoring and evaluation improvement of
cooperation mechanisms between public administration units new methods of
management increasing the quality of services implementation of the altered
remuneration system in the public administration development of competence
standards for self-government administration employees and ethical standards
development
Similarly in the United Kingdom the action to build the capacity of public service
sectors includes a more strategic approach to the management of human resources
The aim of staff capacity building in the UK PA is to deliver higher quality services
This entails developing the skills and capacity of the public sector workforce and of the
organisations they are engaged in deliver and sustain the reform agenda It also
included helping leaders and managers build their capacity to lead the workforce
through change securing a more strategic approach to the management of human
resources and addressing specific skills gaps
Specific staff capacity building is undertaken through different types of activities The
main activity is training A variety of possible training subjects are covered by the
Bulgarian example organisational development strategic planning policy making
monitoring of policies business planning and financial management and effective
negotiation and partnership Additional types of training actions are covered by other
MSs such as raising managerial capacity (HU) strategic planning (LV) implementation
of policies and programmes (IT) and negotiation capacities for public private
partnerships (IT)
Other types of activities are found in Malta for example Under the OP that aims to
empower people to seek out new jobs and a better quality of life one of the actions
establishes and elaborates the principle of lifelong learning for the public sector
Activities identified under this intervention area in the OP include training in areas
such as financial regulation and basic skills related to financial management public
procurement project management national environmental and planning legislation
and Community policies which include competition policy Other associated activities
include analyses of training needs scholarships and internships accreditation of
trainers and academic development of the trainers and the introduction of stronger
linkages between training and career development particularly at the boundary
between middle and senior management levels
Greece introduced systems for job profiles and job descriptions programmes for
enhancing the mobility of staff a training needs analysis and a standardisation of
Educational Plans in public administration and certification systems
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
27
The Estonian OP for human resource development has one action supporting country-
level support structures Interventions include different training counselling
practicing (study tours) and mentoring activities
Beneficiaries and geographical level
Most actions aimed at beneficiaries in the public sector Some of the PAs in Greece
Lithuania and Malta also target social partners NGOs are amongst the potential
beneficiaries in Bulgaria Estonia Latvia Malta and Slovakia
Capacity building usually targets the public sector as a whole A clear exception is
found in the Bulgarian lsquoHuman resources developmentrsquo OP The PA dealing with SIC
has two actions with each action concentrating on specific policy sectors
development and modernisation of the labour market system and strengthening the
capacity of institutions for social inclusion and the provision of health services
The target groups do not always remain the same over time however
In Slovakia most of the calls focused on public bodies There was only one call (in two
rounds) designed for NGOs After the experience with the implementation and
administration of projects at NGO level the managing authority took the decision to
focus on the public sector Most of the actions focused on training the employees in
the sector or in some of its institutions (eg building analytical capacities in the
Ministry of Finance capacity building of the Constitutional Court of the Slovak
Republic preparation for EU Presidency and human resource capacity building of
some institutions)
In Latvia the objective was the administrative capacity building of all parties involved
in the design and implementation of action policies This was undertaken in order to
ensure the active participation and representation of all interest groups in
policymaking processes and to improve the quality of decisions made At first the
activities were targeted at the administrative capacity building of social partners
(Latvian Employersrsquo Confederation and Free Trade Union Confederation of Latvia) and
to strengthen social dialogue at the regional level This activity resulted in the
establishment of regional structures of the Latvian Employersrsquo Confederation and Free
Trade Union Confederation of Latvia which contributed to the formation of non-
governmental organisations and a significant increase in their activities Another
branch of capacity building activities was targeted at non-governmental organisations
and local governments mainly to promote their participation in decision-making and
the efficient planning and management of EU projects
316 Tools
E-governance 3161
The introduction of some type of e-governance is a horizontal element to many SIC
investments under the ESF In at least six countries support of e-governance was a
key component of capacity building efforts under SIC dedicated OPsPAs (this does not
mean that e-governance support did not also take place in other MSs as part of their
overall SIC strategy) These countries are Bulgaria Greece Italy Lithuania Malta and
Slovenia Some of the actions in this field take place in specific policy sectors justice
(eg BG IT) health (eg EL) and employment (eg IT SI) In some instances such
as in Italy e-governance support was used to implement and improve ESF monitoring
systems Other countries support e-governance across policy sectors (eg BG SI)
The Bulgarian administrative reform OP also supports the introduction of an integrated
information system of the state administration
Objectives and activities
The support for e-governance was provided with a view to making public
administrations more effective (BG IT) modernise them (EL) and improve the
service delivery to citizens and businesses (BG)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
28
In the case of policy sector initiatives some examples of the objectives included the
creation of a transparent and effective judicial system (BG) and the improvement of
the service delivery provided by the bodies of the judiciary The information available
typically mentions the introduction of e-government e-health etc In Slovenia some
more detailed information is available on the type of activities carried out in this
framework Slovenia supported e-government as part of its efforts to achieve an
efficient and effective public administration The support for e-government consisted
of two parts an e-portal and e-administration Within the framework of the e-portal
development further progress of e-government was achieved The objectives were to
secure permanent availability support e-democracy in cooperation with the
interested public in making decisions on the abolition of obstacles in the
administration and further develop e-services E-administration was designed for
legal persons and based on a single access point The activities focused on providing a
permanent single access point for legal personnel and businesses This online
resource harnesses the interaction between the state and businesses Examples of
possible services include the registration of employees data transfer and requesting
confirmation
Beneficiaries and geographical level
The beneficiaries always include public sector institutions The actions also target
social partners and NGOs but it is unclear as to whether these concern the e-
governance related or other activities carried out in the framework of these actions
Similarly actions target all geographical levels but it is entirely possible that this is
due to the governance structure in the country or the presence of non e-government
activities within the actions identified here
Monitoring and evaluation systems 3162
Monitoring and evaluation (MampE) systems are an important tool for measuring
progress towards the objectives that governments set themselves in capacity building
interventions They are also important in measuring performance as a supplier of
services to citizens and businesses and in achieving objectives related to these such
as the reduction of the administrative burden The seven countries that included
monitoring and evaluation in their actions are Bulgaria Estonia Italy Malta Poland
Romania and Slovenia
Objectives and activities
Monitoring and evaluation was used to measure internal and external performance as
well as for capacity building good governance policies and policy sector policies
Consequently MampE systems were developed to measure the needs of target groups
such as marginalised groups labour markets or working conditions (BG IT)
progress in achieving good governance (BG PL) or cooperation (PL) better
application of specific capacity building policies including better regulation or reducing
the administrative burden (BG EE) and sector policies like employment policies (IT
MT RO)
No further information is available on the concrete activities undertaken to introduce
or improve MampE systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector They often address
the national level but also the local or regional level if these levels were targeted by
the actions under which MampE is promoted
32 The overall strategy for ESF SIC investment
As has already been stated during the 2007-2013 programming period 14 out of the
EU-27 MSs included specific SIC interventions in their programming and 21 OPs were
dedicated to SIC or had one or more Priority Axes dedicated to this theme Seven of
these OPs were Italian In total 34 PAs and 78 actions have been identified as
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
29
dedicated to SIC Four out of the 14 MSs that have integrated SIC into their planning
have explicitly dedicated one Operational Programme to institutional capacity building
These countries are Bulgaria Greece Hungary and Romania The remaining ten
countries have OPs with one or more PAs dedicated to SIC
Figure 1 SIC in OPs and PAs
OPs with SIC dedicated PAs typically aim to develop human resources In Italy (five
out of seven) and in the United Kingdom there are regional programmes In Slovakia
it is the OP Employment and Social Inclusion that has a SIC related PA
The PAs typically apply a horizontal approach Only Bulgaria has focused one of its SIC
PAs on labour market institutions and on social and healthcare services corresponding
with the two sectors to which the OP was dedicated Slovakia originally foresaw both a
horizontal and a vertical PA (Establishing quality management systems in public
administration and NGOs in the field of employment and social policy) but the latter
was never implemented It should be noted though that below the level of PAs
individual actions sometimes do focus again at specific sectors This is further
discussed in the following section
Other MSs have developed interventions that aim to reinforce institutional capacity
under PAs that are dealing with other themes such as access to employment or
reform of the educational system which are covered by the other thematic
evaluations This becomes apparent when looking at Categories of Expenditure (CoE)
where expenditure category 81 Mechanisms for improving good policy and
programme design monitoring and evaluation at national regional and local level
capacity building in the delivery of policies and programmes shows the planned or
actual Union contribution to SIC interventions independent of PAs Furthermore it
should be noted that some capacity building interventions take place under other CoE
Important examples are the modernisation and strengthening of labour market
institutions (or expenditure category 65) the design introduction and implementation
of reforms in education and training systems (or category 72) as well as promoting
partnerships (category 80) SIC is sometimes supported as a crosscutting theme
across all Priority Axes without specific references in programming or reporting
Table 8 below shows that 14 MSs programmed SIC in OPs or PAs Two more countries
(Cyprus and Spain) did not programme SIC but did foresee expenditure on this theme
under category 81
Dedicated OP(s)
Dedicated PA(s)AT
BG
HU
IT
NL
FR
EL
ROLT
UK
CZ EE
SI
SK
LV
MT PL
BE CY
DEDK
ES
FI
IRLUPT
SE
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
30
Table 8 Countries covered in programming and expenditure based analyses
Country SIC in
programming (OPPA)
With an OP dedicated to
SIC
With expenditure in Cat 81
Yes No
Austria X
Belgium X
Bulgaria X X X
Cyprus X
Czech R X X
Germany X
Denmark X
Estonia X X
Spain X
Finland X
France X
Greece X X X
Hungary X X X
Ireland X
Italy X X
Lithuania X X
Luxembourg X
Latvia X X
Malta X X
Netherlands X
Poland X X
Portugal X
Romania X X X
Sweden X
Slovenia X X
Slovakia X X
UK X X
TOTAL 14 4 16 11
Source Own elaborations on the basis of SFC data and information from Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
31
Table 9 Overview of SIC dedicated OPs and PAs by MS
MS OP TITLE SIC PA DESCRIPTION
BG OP Human Resources Development PA 6 Improving the effectiveness of labour market institutions and of social and healthcare services
BG OP Administrative Capacity PA 12
and 3
Good governance Human resources management Quality administrative service delivery and e-
Governance development
CZ OP Human Resources Development PA 4 Public administration and public services
EE OP for Human Resource Development PA 5 Enhancing administrative capacity
EL OP Administrative Reform PA1 - 9
Improving national public policies modernisation of the public administration Development of
the human capital in the public administration strengthening policies aiming at ensuring equal
opportunities for all in the whole range of the public administration
HU State Reform OP PA 1 2
and 3
Renewal of processes and organisation development Improving the quality of human resources
Developments to be attained in the Central Hungarian Region
IT Regional OP Campania PA 7 Institutional capacity
IT Regional OP Calabria PA 7 Institutional capacity
IT Regional OP Sicily PA 7 Institutional capacity
IT Regional OP Basilicata PA 7 Institutional capacity
IT Regional OP Apulia PA 7 Institutional capacity
IT OP Governance and System Actions (Ministry of
Labour) PA E5 Institutional capacity
IT OP Competences for Development (Ministry of
Education) PA 2 Institutional capacity
LT OP for the Development of Human Resources PA 4 Fostering Administrative Competences and Increasing Efficiency of Public Administrationrdquo
LV OP Human Resources and Employment PA 5 Administrative Capacity Building
MT OP II - Empowering people for more jobs and a
better quality of life PA 4 Strengthening of institutional and administrative capacity
PL OP Human Capital PA 5 Good governance
RO OP Administrative Capacity Development PA 1 2 Improving structure and processes of public policies cycle management Improving quality and
efficiency of public services with a focus on decentralisation
SI OP Development of human resources for the
period 2007-2013 PA 5 Institutional and administrative capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
32
MS OP TITLE SIC PA DESCRIPTION
SK OP Employment and Social Inclusion PA 4 Capacity building and enhancement of the quality of public administration
UK OP West Wales and the Valleys PA 4 Modernising and improving the quality of public services
Annex I contains a complete overview of OPs PAs and actions dedicated to SIC
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
33
33 The impact of the economic crisis on ESF SIC priorities actions and funding (EU-27)
There is a number of reasons why the economic crisis can be expected to have an
impact on the allocation of ESF funds to SIC interventions The main reason is that
high unemployment rates will exert high pressure on political decision makers to
provide measures that directly address the problems resulting from this and can be
expected to yield results in the short term Capacity building interventions can be
expected to contribute to better functioning social protection and labour market
reintegration systems thereby improving social inclusion and employment rates
However they do so indirectly and effects take time to materialise With this in mind
it could be expected that MSs would redirect resources from SIC to other objectives in
response to the crisis
This was not the case for Bulgaria where reallocations were limited and unrelated to
the crisis They were caused by delays in numerous tender procedures resulting from
the insufficient capacity of beneficiaries As such implementation delays may signal
the emergence of the so-called ldquocapacity traprdquo effect where beneficiaries are unable
to use funds for improvement of administrative capacity due to the low initial capacity
Similarly in the United Kingdom funds were switched to other priorities because of
insufficient take-up The transfer of funds was unrelated to the crisis This has also
been the case in several other countries
In other countries some of the resources were reallocated Greece diverted SIC
resources towards employment (OP Human Resources Development) Two Italian
regions reduced their SIC budgets This was the case for the OPs for Sicily and
Campania No reductions were found for the other regions or the two OPs at the
national level The most likely destinations of these funds are the Access to
Employment and Human Capital themes Furthermore in response to the crisis Latvia
diverted resources from SIC to other objectives mainly to promote employability In
Slovakia in 2012 substantial reallocations took place taking away resources from SIC
to spend on other priorities It is not clear if this diversion was caused by the crisis
but according to the reallocation to PA 1 focused on employment it can be assumed
that the crisis was at least one of the reasons
Planned allocations for SIC were not implemented at all in Spain In the Autonomous
Community Castilla-La Mancha there were no certified expenditures on SIC due to a
restructuring of funds to face the economic and financial crisis in order to alleviate
problems related to unemployment reinforcing active employment policies and
supporting the most disadvantaged groups or territories This was a rsquoremedialrsquo action
carried out by several Spanish Autonomous Communities in order to finally dedicate
1687 of the ESF expenditure planned for the 2007-2013 financing period in order to
reduce the national unemployment rate (262 in 2013 compared to 83 in 2007)
which was one of the highest unemployment rates in the European Union
A reallocation of resources was not the only impact that the crisis had on SIC
interventions It also made the implementation of SIC interventions more difficult As
a result of the economic crisis and the Memorandum of Understanding Greece had to
implement downsizing and cuts in the wages and social security benefits of civil
servants Amidst this climate civil servants were bound to become demoralised and
the introduction of reforms was bound to face additional difficulties Italy saw a
general slowdown of its physical and financial implementation especially in ROPs
(other priorities emerged) It increased the role of the national OP from the Ministry of
Labour as it supported cross-territorial interventions The crisis also induced a growing
emphasis on the importance of having effective and efficient Public Administrations
that are more able to cope with crisis effects This applied especially to policy fields
like employment social inclusion education and local development The
aforementioned effect also occurred in Latvia the additional pressure was felt
especially by those implementing activities on the ground who had to use the
available resources as efficiently as possible This side effect of economic crisis
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
34
manifested itself in a positive way by encouraging political activities and decision
making capacity
Finally the crisis had a negative impact on the results of SIC interventions According
to the evaluation of the effectiveness and the impact of PA 5 lsquoRaising Estonian
administrative capacityrsquo the financial crisis was one of the main external factors that
had a negative impact on the achievement of the results of the PA 5 The
consequences of the crisis were not anticipated during the planning of the objectives
and activities of the programming period One outcome was that the budget cuts
diminished the share of top managers that were participating in the development
activities In addition the reduction of staff levels as a result of the economic
recession increased their workload and thereby reduced their possibilities to engage
in development activities However various activities might not have been carried out
at all if it had not been for the PA mainly due to the severe effects of the financial
crisis on public sector expenditure in general
In Lithuania the number of civil servants and public institutions were reduced in
response to the economic crisis As a consequence the effectiveness of investments in
the quality of public services and improvement of organisational capacities suffered a
number civil servants of beneficiaries lost their jobs and a number of beneficiary
organisations were simply abolished On the other hand the economic crisis also
increased the relevance of ESF support in the area of SIC to some extent The
evidence shows that as a result of the economic crisis the national funds focused on
training civil servants were replaced by ESF funds Thus because of the cuts in
national funds in the area of ISC ESF funds became more important in Lithuania
According to the capacity building OP evaluation in Romania the economic and
financial crisis influenced the public administration sector which also affected the
implementation of this OP The reduction of tax revenues resulting from the
decreased income from private businesses and taxpayers along with the reduction of
state budget allocations towards public administrations units (main OP beneficiaries)
lead to the impossibility of insuring appropriate co-financing for running projects and
consequently affected the achievement of projectsrsquo programme indicators At the
same time the restructuring measures taken to counter the economic crisis effects
implied reduction of PA unitsrsquo personnel which affected the target groups involved in
the projects and the underachievement of programme indicators
34 The ESF expenditure in the area of SIC
341 Overall funding levels
In total EU-28 MSs allocated euro2418710066 to OPs or PAs that were dedicated to
SIC objectives equating to 21 of total ESF funding (see Table 10 below) This
includes funding from national (public and private) sources as well as the amount of
co-funding foreseen from the EU Most funding is allocated to national Operational
Programmes with only IT and UK having regional OPs In Italy however the majority
of the SIC funding goes to the National OP Governance (20 of total ESF SIC
investment) This sum includes Croatia whose interventions do not fall under the
scope of the present study due to the late start of ESF activities upon accession to EU
The highest absolute amounts allocated to SIC are found in Greece and Poland
followed by Italy and Romania Expenditure on SIC does not always correlate with
overall ESF expenditure In other words MSs consciously choose to prioritise SIC or
not In fact percentages of SIC allocation to overall ESF investment vary considerably
across countries with BG and LT allocating 15 of their ESF budget to SIC followed
by Malta and Slovenia (131 and 128 respectively) Greece invests 81 while
the other countries with high absolute amounts of SIC investments such as PL and IT
allocate a relatively small percentage of their ESF resources to SIC (39 and 18
respectively)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
35
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of
funds allocated to SIC-related Priority Axes over total ESF budget)
Source SFC2007 latest version OPs
Table 10 ESF SIC investment and over total ESF (total funding)
allocation to SIC-dedicated PAs (euro)
over total ESF
BG 209654707 151
CZ 186595775 43
EE 24465675 53
EL 418273566 81
HU 166276830 39
IT 252539187 18
LT 181629418 150
LV 24271094 35
MT 17199118 131
PL 455967699 39
RO 234920609 54
SI 114178243 128
SK 67615059 39
UK 55726379 06
Total SIC EU27 2409313359
HR 9396707 50
Total SIC EU28 2418710066
TOTAL ESF 115596750390 21
Source SFC2007 Operational Programmes as of 31-12-2014
HR interventions are excluded from this evaluation due to the late start of ESF activities upon accession to EU
0
2
4
6
8
10
12
14
16
BG LT MT SI EL RO EE CZ HU PL SK LV EU27 IT UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
36
The total amount of certified eligible expenditure paid by beneficiaries by the end 2014
(or actual expenditure) was euro1669 million The difference between planned and actual
expenditure is discussed in section 411
342 Programmed expenditure on Category of Expenditure 81
In this section we provide an overview of the allocation of Category of Expenditure
81 relating to Mechanisms for improving good policy and programme design
monitoring and evaluation at national regional and local level capacity building in the
delivery of policies and programmes and it involves comparing it with the funding on
SIC-dedicated PAs
The budget foreseen by the EU for Category of Expenditure 81 relating to
Mechanisms for improving good policy and programme design monitoring and
evaluation at national regional and local level capacity building in the delivery of
policies and programmes amounted to euro14 billion ie 19 of the total budget
provided by community funding was allocated to SIC
With regard to the spending foreseen on SIC according to CoE 81 three distinct
groups of countries emerge
Countries with relatively high or fairly high programmed expenditure on SIC
are Bulgaria Estonia Hungary Lithuania Latvia Malta and Romania with
12 5 4 7 4 8 and 5 of their co-funding respectively
Countries with medium scores on SIC Cyprus Czech Republic Poland (3-
4) Italy and Slovenia (2-25) Greece and Slovakia (1-15)
The third group of countries has allocated very small parts of their budget
typically zero or at least less than 1 for SIC Austria Belgium Germany
Denmark Spain Finland France Ireland Luxembourg The Netherlands
Portugal Sweden and the United Kingdom
Figure 3 Budget allocated to expenditure category 81 per MS
Source SFC 2007-2013 latest version OPs community amounts
It is worth noting that capacity building under the ESF is not limited to expenditures
under category 81 only presented above Nor is it limited to SIC-dedicated OPsPAs
-
50 000 000
100 000 000
150 000 000
200 000 000
250 000 000
300 000 000
350 000 000
400 000 000
450 000 000
AT BE BG CY CZ DE DK EE ES FI FR GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
37
In total some euro12 billion out of the euro77 billion8 budgeted for co-funding from ESF
were reserved for the three main other expenditure categories that are likely to
include capacity building actions or activities Modernisation of labour market
institutions (CoE 65) Reforming education and training systems (CoE 72) and
Partnerships Networks and initiatives (CoE 80) Altogether these four categories
constitute 157 of the total community funding budgeted for the 2007-2013
programming period These figures are provided just for completeness of information
as SIC spending (and investment) for the purposes of this report only relates to SIC-
dedicated PAs (ie those PAs which focused exclusively or for a large part on SIC as
per Article 32b of the ESF Regulation
The first group that was identified in the previous section which is comprised of
countries that earmark high shares of their ESF budget to SIC can be expected to
dedicate one or more OPsPAs or actions to SIC This is indeed the case as can be
seen from the table below
Nonetheless one third of the countries that place a medium emphasis on SIC -three
out of nine ndash also included SIC in their programming Czech Republic Italy and
Poland
Even amongst the group with relatively small budgets for SIC one country is found
with dedicated OPs or PAs to SIC the United Kingdom Of course a small share may
still total several millions of euros The United Kingdom earmarked only 1 of its
budget for SIC but this still amounts to euro25 million
Countries devoting neither financial nor material attention to SIC are Austria Belgium
Germany Denmark Finland Ireland Luxembourg the Netherlands and Sweden
The programming of SIC in ESF is discussed in more detail in the following section
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
AT 00 -
BE 00 -
BG 122 143988501 2 4 17
CY 39 4615273
CZ 35 127571573 1 1 1
DE 00 -
DK 00 -
EE 51 20126546 1 1 4
ES 01 6564559
FI 00 -
FR 00 2599325
EL 11 47010448 1 9 9
HU 41 147490451 1 3 6
IR 00 -
8 Source SFC 2007-2013 section on programming ndash operational programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
38
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
IT 25 171426165 7 7 16
LT 68 69552049 1 1 3
LU 00 -
LV 42 24275976 1 1 3
MT 78 8752517 1 1 4
NL 00 -
PL 38 381835672 1 1 5
PT 01 9888970
RO 54 199682518 1 2 5
SE 00 -
SI 21 15861756 1 1 2
SK 13 19308570 1 1 2
UK 05 24585962 1 1 1
EU27 19 1425136831 21 34 78
Envisaged community funding programmed for category 81 SFC 2007-2013 latest version OPs
Dedicated OPs in this table also includes OPs with one or more SIC dedicated PAs
PA 4 of the OP for Guiana covered both Promoting partnerships and SIC and is discussed
under the thematic review of the former
As explained in section 341 the money allocated for OPs and PAs which has been
specifically dedicated to SIC amounts to euro2409 million However this amount
includes national funding which therefore cannot be compared to the allocated
community funding for category 81 expenditure
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
39
4 The effectiveness efficiency sustainability gender sensitivity community added value and the socio-economic
impact of ESF SIC investment in the 27 member States
Key findings
The total amount of certified eligible expenditure by the end 2014 was euro167
million This constitutes 69 of SIC allocated funding at EU level versus 793
for total ESF Implementation rates differ considerably among countries and PAs
In total almost 14 million participations were registered in SIC-related
interventions covering mostly staff from public institutions social partners and
NGOs receiving training This results in a set of characteristics which is very
different from other ESF priorities
In terms of outputs during the 2007-2013 programming period 17000 training
programmes and 4000 studies were undertaken campaigns public consultations
reviews (laws procedures) reports etc were implemented Some 95000
organisationsinstitutions were involved in SIC-related interventions at least
1500 projects or activities launched some 250 guides and guidelines produced
and 150 new structures established
The results achieved through ESF SIC funding during the 2007-2013 period are
varied Approximately 512000 individuals gained a qualification 87000 reported
other positive results some 2000 entities or organisations were established and
more than 1700 productssystemstools were developed
Activities aimed at strengthening of the judiciary resulted in a reduction of the
duration of judicial procedures in a number of countries Strategic planning and
management was improved by increasing the number or the share of public
administration offices that implemented management systems and quality
assurance processes Increasing the number of services available to citizens
online businesses and training of public administration staff to use them correctly
were a means to achieve MS ambitions in the field of e-government Improving
the environment for businesses was achieved by shortening the time needed for
setting up or registering a business and decreasing administrative costs Other
achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by a number of MS
The sustainability of SIC interventions is particularly dependent on the context in
which they are implemented and which they aim to support
Gender equality is seldom targeted directly by SIC interventions through positive
actions However in some countries SIC interventions were designed in such a
way that in their implementation at least women and womenrsquos interests are
taken into account or possibly furthered SIC interventions typically have more
female than male participants
The main Community added value of ESF SIC investment is a volume effect
ESF has also added value by broadening the scope of the interventions
undertaken in MS or by putting administrative capacity on the agenda SIC
funding played a relevant role in supporting the introduction and testing of
innovative tools or systems such as the introduction of e-government
The data presented in this chapter were gathered from the EC Structural Funds
database (SFC) They reflect the situation as available in December 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
40
41 The effectiveness of ESF SIC interventions
The effectiveness of the selected interventions was assessed through
Analysis of financial implementation comparing the actual spending reported
with the allocated funds However as many projects in the interventions are
still ongoing the current analysis at the end of 2014 is only indicative of the
final financial implementation of the interventions
Analysis of the different participant groups addressed in the selected
interventions
Analysis of the intervention outputs and results comparing the targets for
outputs and results with those achieved However this analysis needs to be
treated with caution as it was not possible to systematically assess whether
the initial targets were set in a comparable and appropriate way across the OPs
(eg were the set targets challenging comfortable or realistic) In OPs the
targets have also been adjusted over time further complicating these like-for-
like comparisons
Additional evidence and information derived from national evaluations and
other relevant documents
It was not possible to conduct a systematic comparison with the results of similar non-
ESF sponsored interventions in the national regional contexts due to the lack of
sufficiently similar non-ESF sponsored interventions
411 Progress in the financial implementation of ESF SIC
At EU level euro1670 million or 693 of SIC allocated funding was spent as at
311220149 On average less SIC funds have been spent in relation to the overall ESF
funding with an implementation rate of 793 (See Table 12 below)
Table 12 SIC and overall ESF implementation rate () by MS (31 December
2014)
MS certified expenditure (euro) total allocation (euro)
SIC impl rate ()
total
ESF impl rate ()
BG 137491170 209654707 656 758
CZ 94381124 186595775 506 734
EE 21210585 24465675 867 835
EL 381930601 418273566 913 792
HU 122203794 166276830 735 703
IT 131069031 252539187 519 769
9 Figure does not include Croatia
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
41
MS certified expenditure (euro) total allocation (euro)
SIC impl
rate ()
total ESF impl rate ()
LT 143977869 181629418 793 827
LV 20683459 24271094 852 973
MT 7687444 17199118 447 674
PL 315293255 455967699 691 844
RO 159318804 234920609 678 441
SI 89112721 114178243 780 838
SK 31545122 67615059 467 649
UK 13331326 55726379 239 770
Total 1669537980 2409313359 693 793
Source SFC 2007 The implementation rate corresponds to the percentage of certified expenditure over the total funding of the PA
HR not included
Table 13 below shows considerable differences among PAs Extremely low rates can
be observed for most of the Italian and the UK OPs dedicated to SIC They all spent
less than one-third of their budget for the period by the end of 2014
For Italy low implementation rates were recorded in all (convergence) regional OPs
and in the National OP Competencies for Development which was due in the latter
case to the slow start of activities10 A number of explanations can be offered for the
low implementation rates of regional Italian OPs a) involving public administrations in
reform processes traditionally requires a large amount of time (in Italy) b)
implementation was slow for the regional OPs in general (not only for the SIC PAs) c)
other important public administration reform processes involved MAs and this shifted
its attention from SIC theme implementation d) the theme funding was generally not
so relevant (for regional OPs but also in the case of the Ministry of Education for
national OP for example) e) generally small sized interventions (also for
administrative reasons) have been implemented and the spending speed was
therefore slow f) (probably) an overestimation of funding needs occurred in OPs
Within that context overall allocation to SIC PAs in Italy (EU and national funding)
decreased significantly from the beginning of the programming period due to the
reallocation of resources
10 In fact implementation accelerated significantly in 2015 national data (29022016) account for a commitment rate above 100 and payments around 60
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
42
Most of the Greek PAs on the other hand had extremely high implementation rates
spending more than 90 of the money budgeted The extremely high implementation
rate of PA 3 in the Greek OP Administrative Reform is due to the fact that this PA
underwent several revisions and eventually financed a major intervention lsquoFemale
entrepreneurship 24-64rsquo (implemented by OAED-Ministry of Labour) Concurrently co-
financing rates were also revised
Other high implementation rates (over 80) can be noted for the Bulgarian
administrative reform OP as well as for the Estonian OP the Latvian OP the Italian
Basilicata region and the Italian national governance OP (the most relevant OP in
terms of SIC investment in Italy) the Lithuanian OP the Czech Republic OP the
Slovenian OP the Hungarian reform OP and one of Romanias PAs
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
43
Table 13 Share of the budget spent per SIC relevant PA
MS OP - PA
Total
funding
(euro)
Impl rate
()
IT OP Competencies for Development ndash PA2 29740000 1488
UK OP West Wales and the Valleys- A4 55726379 2392
IT OP ESF Calabria ndash PA7 23803512 3109
IT OP ESF Sicily ndash PA7 14350000 3135
IT OP ESF Campania ndash PA7 40000000 3374
IT OP Apulia ESF ndash PA7 31340400 3474
MT Empowering people for more jobs and better quality PA4 17199118 4470
BG OP Human Resources Development ndash PA6 42559453 4569
SK OP Employment and Social Inclusion ndash PA4 67615059 4670
CZ OP Human Resources Development ndash PA44a 178020742 4923
RO OP Administrative Capacity Development 97883587 6282
BG OP Administrative Capacity ndash PA2 62440507 6290
HU State Reform OP ndash PA1 84742365 6750
BG OP Administrative Capacity ndash PA3 65819495 6774
PL OP Human Capital ndash PA5 455967699 6915
EL Administrative Reform ndash PA4 40905059 7046
RO OP Administrative Capacity Development ndash PA1 137037022 7139
HU State Reform OP ndash PA2 33738453 7580
SI OP Development of human resources ndash PA5 114178243 7810
CZ OP Human Resources Development ndash PA44b 8575033 7862
LT OP for the Development of Human Resources - PA4 181629418 7930
IT Governance and System Actions ndash PA5 103634307 7935
HU State Reform OP ndash PA3 47796012 8260
IT ESF Basilicata ndash PA7 9670968 8407
EL Administrative Reform ndash PA6 4047043 8465
LV Human Resources and Employment 24271094 8520
EE OP Human Resource Development ndashPA5 24465675 8670
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
44
MS OP - PA
Total
funding
(euro)
Impl rate
()
EL Administrative Reform ndash PA1 132496530 8758
BG Administrative Capacity ndash PA1 38835252 8803
EL Administrative Reform ndash PA5 50938324 8815
EL Administrative Reform ndash PA7 48235348 9022
EL Administrative Reform ndash PA8 41147810 9262
EL Administrative Reform ndash PA9 11062398 9707
EL Administrative Reform ndash PA2 87045034 10203
EL Administrative Reform ndash PA3 2396020 31574
Source SFC 2007-2013 Country Synthesis Reports
412 Types of output and result indicators selected by the OPs
A variety of outputs have been generated by SIC interventions Countries have
developed several types of indicators to monitor them
Important outputs relate to the participation of individuals in ESF activities This
category is made up of the traditional indicators to monitor progress with regard to
participants in events which are usually training events Human resources however
also include interventions other than training for which indicators can also be found
Examples of these indicators refer to number of persons participating in training or
persons achieving a qualification at the end of the intervention
Other outputs relate to the institutions that benefitted or those that were the object of
certain activities As SIC events also address structures and processes a whole series
of indicators have been used that in essence measure the number of supported
organisations This includes the number of supported organisations (eg supported
NGOs) also more specific output indicators have often been formulated to take the
object or content of the intervention into account Example of these are as follows
number of judiciary that have introduced court case management systems
administrations that have introduced systems for in-house electronic exchange
of documents
number of local governments whose employees have completed training
civil society structures that have trained their staff
functional reviews carried out for improving organisation and HR management
A further series of indicators measure the production of tools andor deliverables such
as the number of guides and other methodological documents prepared information
campaigns carried out and e-government services developedintroduced
The results are less easy to cluster and the indicators used raise some questions A
discussion of these issues has been used as a framework to show the types of results
that MSs aim for and achieve with SIC interventions that have been co-financed by
ESF
The first thing that stands out when examining the results indicators used for SIC
interventions is that a number of them are quite similar to the output indicators
discussed above This does not necessarily mean that these are not the correct
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
45
indicators for the results of the intervention This entirely depends on the type of
intervention and the intervention logic behind it Results indicators build upon the
indicators defined for outputs If these are defined as lsquothe number of trainingsrsquo for
example the results can be measured as the lsquonumber of successfully trained staffrsquo
However if the outputs were measured by lsquothe number of trained staffrsquo the result
should assess the next step in the objectives tree (eg the number of trained staff
that have obtained a qualification or have mastered specific skills) If new
organisations have been set up and this was used as a measure of outputs this could
be accompanied by an indicator for results that measures the use of such a structure
for example the number of visitors or number of services provided Occasionally it can
also be a point of discussion on where to draw the line between output and result
level
Result indicators that could also be found as output indicators are listed below
number of participants gaining a qualificationcertification
share of persons successfully completing a training programme
number of successful course graduates
newly created structures
public administration units supported in improving management standards
number of NGOs per year who have received advice
proportion of civil servants with individualised performance ratings
A second observation concerns the quality of the indicators The results indicators in
some cases appear to be less specific than the output indicators It may be the case
though that the SFC database only mentions the measure used (eg lsquopersonnel
turnoverrsquo or lsquothe average administrative costs associated with starting a business
activityrsquo) while the details (decrease how much by when) are specified elsewhere
The number of countries not specifying targets for results is also somewhat higher
than for outputs Six MSs did not set targets for part of the results of SIC
interventions whereas this only occurs in four countries for outputs
Indicators that are good examples of being specific measurable and relevant are
Administrations that have undertaken the optimisation of procedures as a
result of a functional review
Ratio of persons becoming civil servants within the central administration
system in the current year in relation to those previously employed The hiring
of these new staff members must be the result of an open call for applications
The second example also includes the time element required for SMART indicators
Several indicators refer to the introduction of systems or tools resulting from the
intervention It is clear that certain activities and outputs are required for these results
to be achieved such as training awareness raising promotion or even new legislative
requirements These are examples of indicators that clearly measure results rather
than outputs
legislative drafts accompanied by an impact assessment
administrations using the Single HRM Information System
bodies of the judiciary that have introduced a HRM system
normative acts adopted after consultation with stakeholders
the percentage of local governments that have implemented management
systems involving customer satisfaction measurement
administrations that observe the time standard for service provision
public sectors that have elaborated specific public private partnership rules
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
46
administrations that have introduced rules of procedure for the monitoring of
policy implementation
number of laws amended as a result of the programme
The more lsquostrategic naturersquo called for in the ESF Regulation is visible in a limited
number of results indicators Examples include
shortening the length of judicial proceedings
reducing the time for servicing clients
increasing the share of persons from target groups receiving services
providing compliance with the Maastricht criteria
Requirements for indicators and targets in the framework of ESF assistance
In its preamble (26) to the General Regulation ((EC) No 10832006) the Council states that ldquoit
is appropriate to set measurable targetsrdquo and that it is necessary to identify appropriate ways to measure and report the attainment of those targets Article 93 specifies the share of the budget to be devoted to activities that further the Unionrsquos objectives regarding competitiveness and job creation including the objectives of the Integrated Guidelines for Growth and Jobs (2005 to 2008) The targets set by MSs should reflect this Article 36c stipulates that targets
shall be quantified ldquousing a limited number of indicators for output and results taking into account the proportionality principlerdquo The ESF Regulation ((EC) No 10812006) specifies for programmes co-financed by ESF that the indicators shall be rdquostrategic in nature and limited in numberrdquo They must also rdquoreflect those used in the implementation of the European Employment Strategy and in the context of the relevant Community objectives in the fields of social inclusion and education and trainingrdquo
413 Overall achievements
In this section we provide an overview of the main achievements in terms of the
values of output and results indicators
In terms of outputs recorded during the 2007-2013 programming period 17000
training programmes were developed and 4000 studies undertaken campaigns
public consultations reviews (laws procedures) and reports have been implemented
Some 95000 organisationsinstitutions were involved under SIC-related interventions
The organisations that the ESF supported besides the obvious beneficiaries include
bodies of the judiciary government offices at county level boards of public benefit
activities at regional level and municipalities At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures including client
centres or regional offices
Most of the individuals that participated in a SIC-funded projectinitiative received
support in the form of training Examples of other achievements for individual persons
include lsquoattracting new specialistsrsquo and lsquoemployers assisting or financially supporting
These achievements were monitored through output indicators These figures probably
underestimate the number of outputs as countries have not necessarily included both
the number of organisations involved in training and the number of staff trained as
output indicators Sometimes the development of training plans was a distinct activity
however for many training programmes plans may exist without being monitored
through output indicators
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
47
The results achieved through ESF during the 2007-2013 programming period are
varied too
In order to illustrate them we first present the aggregate of realised values of result
indicators for SIC based on a limited set of key ESF results common to all ESF
priorities as reported in the EU Synthesis Report of the present service 11
as such
these values can be aggregated and compared with those of other ESF priorities
During the 2007-2013 programming period under the SIC priority approximately
512000 individuals gained a qualification and 87100 reported other positive results
Some 2000 entities or organisations were established or they recorded other positive
results and more than 1700 productssystemstools were developed It should be
mentioned however that due to data limitations it was not possible to aggregate all
results as reported in the AIR of ESF programmes and as a consequence this leads to
systematic under-reporting of the results of ESF12
In addition we provide a more detailed overview of the main types of results
customised to SIC interventions while section 414 provides a more in-depth analysis
of some of these indicators per typology of intervention
However it should be highlighted that several limitations mainly in the quality and
availability of monitoring data and heterogeneity of national evaluations coupled with
a broad range of intervention logics hamper the formulation of a concise and clear cut
assessment of achievements causality and extent to which results have been
achieved at EU level Furthermore as it will be mentioned below in more detail
typically information from national evaluations is of a more qualitative nature with
fewer evidence-based findings and is thus not conducive to drawing hard conclusions
ESF-supported interventions helped in reducing the administrative burden for citizens
and businesses The processing time was shortened for documents servicing clients
obtaining the necessary paperwork for starting a business and judicial procedures
(BG CZ PL) administrative costs were also reduced (EL RO PL)
Services were made more accessible through the introduction of on-line service
delivery at various administrative levels (BG CZ PL)
SIC interventions also contributed to the production of better quality policies and
legislation through the introduction of monitoring and evaluation procedures in
administrative bodies (BG RO) the increase in impact studies conducted before
introducing new legislation (BG CZ) the development of quality management in
public institutions (LV) and laws that were amended to better serve the community
(HU)
Management systems and practices were changed to incorporate modern human
resource management and planning techniques (EE PL LV) performance ratings used
for staff assessment (HU) and new staff that were attracted to join government
11 these are People in employment directly or sometime after the intervention People receiving a qualificationcertificate People reporting positive results other than employment or qualification such as for example improving skills competences or successfully completing the
ESF supported intervention (or reporting a combination of employment qualification and other positive result aggregating combined indicators) People in self-employment Entities being established or obtaining other positive results and Productssystemstools developed
12 For a more detailed analysis of data limitations in calculating ESF results see the EU Synthesis Report Chapter 41
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
48
institutions (HU) Cooperation with other actors was furthered through the preparation
of rules for public-private partnerships in public administrations (BG) and the inclusion
of NGOs in activities (LV) SIC interventions of course also led to many reforms in
public institutions (RO)
The support to institutional capacity also contributed to achievements in specific policy
areas equal opportunities through the increased number of public bodies of the
central government that promote the integration of gender policy (EL) environmental
policies through the development of territory plans in municipalities (LT) and
environmental management systems in companies (UK) and the social dialogue
through the increased number of employees that are covered by collective agreements
(LV)
The above overview of achievements is based on the indicators that MSs formulated to
measure results From the information provided in chapter 3 it is obvious that this
captures only some of the achievements
414 Achievements in specific fields of activity
In this section we provide a more in-depth analysis of achievements obtained through
the implementation of SIC-related interventions in some specific sectors according to
a classification of indicators per field of activity By looking at these different fields of
activity some interesting findings at country level emerge
Capacity building related to judiciary reforms
Relevant output indicators have been identified in this field in three countries (BG PL
and EL) Five of output indicators (BG and PL) relate to the training of individuals
such as magistrates or employees of judiciary offices and one to the number of
training modules developed (BG) In Greece the selected indicator refers to the
number of implemented upgrading actions of courtsrsquo administrative capacity One
more indicator in Bulgaria refers to the number of judicial bodies that have introduced
court case management systems
Of the twelve result indicators selected by four MSs (BG CZ PL and SI) seven
measure the decrease in the duration of proceedings of judicial cases (CZ PL and SI)
In Slovenia the average duration time for judicial procedures (in months) was reduced
from 95 to 39 thus surpassing the target (6) In the Czech Republic the length of
judicial proceedings was down to 497 (days) by the end of 2014 from an initial
baseline of 1057 (versus a target of 846) The remaining indicators refer to the
increased effectiveness of judiciary bodies and offices in terms of management and
quality assurance HR and provision of services
Results for BG and PL were less positive In Poland although the share of cases
handled by the courts for longer than 12 months decreased to 14 (target 1330
baseline 167) the indicators related to the average duration of proceedings in
commercial cases did not show a progress towards the set target In Bulgaria the
intervention on the web platform for e-justice failed due to lack of interest
Processes related to strategic planning and management
Eight output indicators have been selected by four MSs in the field of Strategic
planning and management (EL LT LV and PL) They refer to the number or the share
of public administration offices that implemented management systems and quality
assurance processes including the training of employees on these subjects
Eight result indicators for this field have been selected by five MS (EE LV LT PL and
RO) which measure the number of units or offices that have changed their
management system or introduced quality standards or management systems
E-government
Six output indicators have been selected in the field of e-government One indicator in
Slovenia refers to the number of online administration services available It is
interesting to note that in the case of Slovenia the target was overachieved by 249
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
49
(805 services online versus 323 targeted starting from an initial baseline of 308) In
Bulgaria the indicator refers to the number of administration units having introduced
systems for the in-house electronic exchange of documents (in total 108 although no
initial target was set) In Poland the selected indicator refers to the number of
employees who received training for the provision of online services (this indicator
shows a relevant underachievement as only 23 of the foreseen 800 workers received
the training)
By the end of 2014 in Slovenia the availability of e-government services has
increased from an initial baseline of 87 to 95 (initial target over achieved) usage
of ICT services by medical personnel has increased to 65 from an initial baseline of
60 while use by patients has risen to 25 from an initial 22 Usage of e-services
by the unemployed has increased from an initial baseline of 7 to 27
(implementation rate of 163) In Bulgaria 436 services have been made available
online (1000 were foreseen) In the Czech Republic achieved results relate to the
increased use of e-government public administration
Promoting a business-friendly administration
Five MSs selected result indicators relating to the promotion of a business-friendly
administration these mostly relate to shortening the time needed for setting up or
registering a business or in the rebate of administrative costs for business
In Slovenia the number of days required for setting up a corporate entity decreased
from 61 to 29 days (versus a target value of 7) In Poland the OP selected a
relatively high number of indicators to measure the goal of having a more conducive
administrative environment for companies the decrease in the number of days for
registration of an economic activity (for companies and individuals) and of the
administrative costs for setting up a business In all instances the indicators show that
initial targets have been achieved or over-achieved Lithuania also focuses on the
reduction of the time required to set up a business over the 2007-2014 period this
has decreased from 26 to 3 days
In Poland significant results in the area of administrative capacity connected with
diminishing burdens on economic activity have been found Diminishing burdens on
starting-up businesses are connected with a friendlier law and organisational setup ndash
simplifications were made of 92 legal acts which were most relevant in terms of
conducting economic activity (target 40) The average number of days required for the
registration of economic activity (starting up business) dropped to 005 (target 1
baseline 7) for individuals and 348h (target 24h baseline 168h) for companies The
empowerment of citizens was achieved through the results connected with access to
free legal consultations Other successful programmes include the implementation of
the lsquoone-stop-shoprsquo system for start-ups the simplification of administrative
procedures related to start up business increasing the quality of services rendered by
tax administration and equipping judiciary staff with necessary competences relevant
to dealing with economic cases (PA 512)
415 Effectiveness
Effectiveness can be measured by comparing achievements with initially set targets
As targets for outputs and results are defined in different ways a composite indicator
has been constructed which counts the number of targets that have been met and the
number of those that have not been reached for each ESF theme
Outputs
The table below shows the share of output targets achieved and not achieved for SIC
interventions and for ESF interventions as a whole It should be noted that no targets
were set for a number of outputs in Bulgaria the Czech Republic Greece Italy Latvia
and the United Kingdom The share of outputs without targets for these countries
amounted to 5 65 2 65 30 and 24 respectively
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50
It is to be recalled that targets were set for the end of the programming period with
the 2007-2013 expenditure being eligible until 31122015 Therefore tables and
figures below underestimate the attainment of targets as data on results refer to
2014 only
For the ESF as a whole only slightly more than half of the output targets were set
Where targets were set for outputs a majority of them were achieved (63) Targets
were more often set in countries that had allocated resources to SIC-related
interventions In those countries targets were set for 61 of the outputs defined
These targets were achieved to roughly the same degree as the other types of
interventions (see table below) For the SIC interventions themselves a relatively
large number of targets was set However only half of these targets were met which
is considerably less than for ESF interventions as a whole and this has not been
explained by the MS Obviously the fact that targets were set for a larger share of the
PAs did increase the chances of failing to meet targets this is because targets were
also set when this was more complicated to achieve (See Table 14)
Table 14 Target setting and achievement for outputs SIC and ESF
Targets set Targets achieved if set
ESF as a whole 54 63
MS with SIC related interventions 61 61
SIC related interventions 78 52
Source SFC 2007-2013Draft Country Synthesis Reports
Achieved or over-performed
In eight of the 14 countries SIC interventions performed better than interventions in
general These countries show the same or higher achievement rates for SIC
interventions than for all ESF interventions the Czech Republic Estonia Hungary
Latvia Romania Slovenia Slovakia and the United Kingdom With the exception of
Slovakia in particular these countries also performed considerably better than the
other countries (See Table 15)
Table 15 Achievement of output targets for SIC and all ESF interventions
ESF
SIC
Below target Above or = target Below target Above or = target
BG 73 27 94 6
CZ 27 73 0 100
EE 16 84 0 100
EL 63 38 74 26
HU 35 65 14 86
IT 37 63 77 23
LT 28 72 47 53
LV 16 84 0 100
MT 50 50 67 33
PL 33 67 42 58
RO 52 48 40 60
SI 35 65 14 86
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51
ESF
SIC
Below target Above or = target Below target Above or = target
SK 63 37 63 38
UK 30 70 25 75
BG Incl PA4 TA
CZ No data for PA 44b
Source SFC 2007-2013Draft CS Reports
Results
Tables 16 and 17 below provide a consolidated overview of the degree to which set
targets for results were met
Table 16 Target setting and achievement for results SIC and ESF
Targets set Targets achieved if set
ESF as a whole 63 39
MS with SIC related interventions 57 41
SIC related interventions 81 43
Source SFC 2007-2013Draft CS Reports
Achieved or over-performed
Result targets were considerably more often set for SIC related interventions rather
than for ESF interventions in general (81 compared to 63) Only four out of ten
SIC PAs achieved their targets In this they are comparable to other types of
interventions under ESF
Only four countries have performed equally or better in terms of achieving their
results targets for SIC compared with their performance regarding ESF interventions
as a whole Estonia Hungary Italy and Latvia (see table below)
In general countries set targets for results more often than they do for outputs (63
compared with 54) However the difference is negligible for SIC interventions On
the other hand the targets set for results were achieved much less often than those
for outputs For ESF as a whole 39 of the targets set for results were achieved
compared to 63 for the output targets Only 43 of the SIC interventions met their
targeted results compared with 52 of the output targets As this is the first period
for which targets had to be developed for SIC interventions it could be that these
targets were set at levels which were too ambitious It is conceivable that assessing
the chances of outputs being achieved would be easier than assessing likely results
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52
Table 17 Achievement of results targets for SIC and all ESF interventions
ESF SIC
Below target Above or = target Below target Above or = target
BG 76 24 87 13
CZ 31 69 56 44
EE 34 66 0 100
EL 78 22 100 0
HU 0 100 0 100
IT 78 22 56 44
LT 27 73 50 50
LV 36 64 29 71
MT 36 64 50 50
PL 47 53 52 48
RO 61 39 78 22
SI 52 48 75 25
SK 86 14 100 0
UK 29 71 86 14
BG Incl PA4 TA
CZ No data for PA 44b
For SI PP and SIC data are combined and this table therefore includes the PP interventions too
Source SFC
Of course target achievement is only one way of assessing results and national
evaluations in a number of cases more detailed analyses at the level of PAs have
provided more positive or more nuanced statements about the results (eg EL MT
PL RO SI) One reason is that these evaluations provide more information than is
available in the database or that they make a more detailed comparison between the
effectiveness of PAs or actions related to SIC However the assessment of the results
is also influenced by expectations and previous experience as well as by the use of
other criteria
The PA for lsquoModernising and improving the quality of public services for West Wales
and the Valleysrsquo met only 14 of the results targets according to the SFC database
However it can still be assessed positively when looking at national sources bearing in
mind that most targets were met or exceeded (AIR 2014) Also the projects within this
thematic area had a clear focus on seeking to instigate a positive change with a view
to creating long-standing service improvements This thematic area provided impetus
in moving some agendas and pilot ideas into practice due to the additional funding
provided13
13 Thematic Evaluations presentations PWC dated October 2014 and May 2015 available at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx
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53
416 Reaching the different target groups
In total over 14 million participations were reported in SIC-related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training
The fact that the target groups of SIC interventions are usually the staff of the
institutions concerned is reflected in the participantsrsquo characteristics These differ
considerably from the average ESF population
Almost all participants are as logic suggests employees The only exception is
Slovenia where lsquoonlyrsquo 865 of the participants are employed For the ESF as a
whole only one third of the participants are employed as many interventions focus on
promoting the labour market participation of unemployed and inactive people
The majority of the participants are well educated (ISCED 5 and 6) With 57 of the
participants in this category the educational level of participants is much higher in SIC
interventions than it is for ESF as whole where only 17 fall into this category
Conversely participation of people with lower educational levels especially ISCED 1
and 2 is much higher for ESF participants as a whole The highest educational levels
are found amongst participants in Lithuania Romania and Slovenia the lowest in the
Czech Republic Hungary and Italy
Participants in SIC interventions are older than ESF participants on average The vast
majority of the participants in SIC interventions are 25-54 years of age (86) while
this number amounts to only 63 for ESF as a whole They also belong to the older
age group of 55-65 years of age somewhat more often 11 versus 6 of the
population for ESF as a whole Young people (15-24) on the other hand are strongly
under-represented (4 for SIC interventions versus 31 for ESF as a whole)
Although in some countries young people are better represented (LT LV SI) but with
still far lower shares than for ESF as a whole Countries with the lowest share of young
people in SIC interventions are the Czech Republic Greece and Italy
The majority are women (64) For the ESF as a whole only 52 of the participants
are women This over-representation of women might be due to the fact that they are
usually over-represented in public administration which represents the most
important target of SIC interventions The share of women in SIC interventions is
somewhat lower in Italy and the United Kingdom (50-59) and considerably lower in
Malta and Slovakia (40-49) Women are over-represented in all sub-groups The
difference is however considerably less pronounced amongst the higher educated
This is caused by the fact that for ESF as a whole the share of women amongst
higher educated participants is relatively high (63) while for SIC interventions the
share of women remains in line with SIC interventions as a whole If we assume that
for SIC interventions higher education is accompanied by higher positions in the
organisations concerned this could reflect a lower representation of women at higher
levels in such positions
ESF 2007-2013 ex-post evaluation synthesis
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54
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014)
Source SFC 2007 Country Synthesis Reports
Values BG CZ EE EL HU IT LT LV MT PL RO SI SK UK TOTAL SIC
over
total W TOTAL ESF
over
total W
Total
participants252126 140810 43434 130340 210547 13878 92410 49538 20264 367776 70249 927 42725 822 1436920 64 98658829 52
Employed 241728 140810 43434 126685 205701 13878 87180 46318 20182 352000 70249 802 42151 822 1392409 969 64 33041257 335 53
of which self-
employed8799 - - - 1009 - 3323 1304 792 3619 - 97 170 - 19134 54 2437321 25 45
Unemployed 4531 - - 3655 1653 - 481 599 22 4004 - 78 46 - 15525 72 30039410 304 53
of which LTU 2062 - - - 482 - 166 330 4 935 - 7 11 - 4201 62 8996113 91 52
Inactive 5867 - - - 3193 - 4749 2621 60 11772 - 47 528 - 28986 64 35578162 361 50
of which in
educationtr
aining
1484 - - - 395 - 3967 2621 38 3898 - 41 76 - 12598 63 25207563 256 50
Young
people (15-
24 years)
13524 1 2512 950 4740 7 8022 4275 1270 16823 3497 98 2188 21 58157 40 61 30063502 305 47
Older people
(55-64
years)
39485 48 6384 15697 11244 995 12806 6508 2248 42046 7266 102 6317 101 151350 105 61 6106942 62 50
Migrants 125 - - 16 214 - 34 12 16 3 - 3 15 12 483 56 5152191 52 50
Minorities 9593 - - 38 1083 - 2150 447 - 40 3317 2 428 27 17309 58 3856947 39 47
Disabled 4737 - - 102 745 - 599 1082 94 948 146 12 357 37 8939 63 5265599 53 46
Others 1968 - - 101 - - 2637 48049 209 - - 6 335 - 53468 71 7017829 71 51
Primary or
lower
secondary
education
6421 - 667 3066 7087 7 3227 1041 3988 3909 - 16 4873 25 34454 24 57 38840296 394 48
Upper
secondary
education
49741 4 6730 31186 17941 780 2716 5347 3657 42521 9289 103 10136 169 180739 126 60 26014203 264 52
Post-
secondary
non tertiary
education
23951 - 5844 2970 5744 134 3720 3278 3460 52931 2214 150 1587 - 106029 74 66 4934362 50 57
Tertiary
education172013 71 30193 93114 38649 1385 82378 32254 9159 268415 58746 658 24057 611 812185 565 66 16297940 165 63
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55
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women participants
Source SFC 2007 Country Synthesis Reports
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
Total participants 630 633 707 648 601 543 678 725 437 684 606 669 476 564
Employed 631 633 707 638 600 543 684 721 437 685 606 647 476 564
of which self-
employed 574 - - - 640 - 569 712 188 429 - 237 247 -
Unemployed 591 - - 998 600 - 568 791 500 666 - 808 522 -
of which LTU 559 - - - 676 - 512 758 1000 725 - 857 364 -
Inactive 605 - - - 673 - 576 785 450 650 - 809 511 -
of which in
educationtraining 610 - - - 666 - 569 785 526 604 - 829 487 -
Young people (15-
24 years) 603 1000 702 783 536 1000 560 581 521 662 614 571 546 524
Older people (55-
64 years) 586 625 699 579 558 432 705 732 280 634 590 235 512 554
Migrants 448 - - 1000 640 - 529 583 688 667 - 333 67 583
Minorities 561 - - 1000 540 - 610 785 - 675 614 - 614 519
Disabled 621 - - 686 558 - 723 742 202 660 507 417 602 541
Others 615 - - 1000 - - 669 724 282 - - 500 254 -
Primary or lower
secondary
education 556 - 643 698 616 - 553 744 316 607 - 125 591 560
Upper secondary
education 581 750 680 656 554 505 419 732 468 626 571 359 464 556
Post-secondary
non tertiary
education 593 - 702 684 579 500 544 741 464 716 573 320 565 -
Tertiary
education 652 634 716 642 496 453 697 738 467 688 612 465 493 566
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56
42 Efficiency
As in other thematic evaluations the lack of information on the costs per result
hinders an assessment of the efficiency of ESF SIC investment It is always possible to
calculate the cost per participant but this is a less relevant and potentially confusing
indicator for SIC interventions The table below illustrates the limitations of this effort
Both Slovenia and the United Kingdom report an extremely small number of
participants and high cost per participant Under the Slovenian PA IT expenditure was
planned which involved substantial budgets for software hardware and expertise
with only a small proportion of the budget reserved for the training of future users
This was not the case for the United Kingdom and this combination of a small number
of participants and high cost per participant may be partly explained by the fact that
the number of trained people fell far below the original target Therefore only by
analysing the interventions undertaken by each country would it be possible to draw
any meaningful conclusions
Table 20 Funding per participation for SIC related OPsPAs
Total participants
Total expenditure (euro)
Cost per participant (euro)
BG 252126 137491170 545
CZ 140810 94381124 670
EE 43434 21210585 488
EL 130340 381930601 2930
HU 210547 122203794 580
IT 13878 131069031 9444
LT 92410 143977869 1558
LV 49538 20683459 418
MT 20264 7687444 379
PL 367776 315293255 857
RO 70249 159318804 2268
SI 927 89112721 96130
SK 42725 31545122 738
UK 822 13331326 16218
Source SFC database
Another indicator for efficiency was used in the ex-post evaluation of the Romanian
capacity development OP This programme was judged to be efficient because with a
similar level of investment it generated more immediate effects than initially
envisaged This is despite the fact that 120 of the selected projects in this country
could not be awarded due to depletion of funds this decreased the efficiency of the
OP somewhat as time was spent on processing and assessing these projects but with
no subsequent activity delivered or results achieved
Another more qualitative dimension of efficiency is assessed by looking at the
implementation process to see if there are features that are impeding or facilitating
the programme Two examples illustrate this In the Czech Republic only 75 of the
financial resources which were committed for the realisation of the selected projects
were fully spent This was caused by mistakes made during the procurement process
that resulted in delays in implementation Hungary showed that reforms could produce
the opposite or mixed effects on efficiency On the one hand state reforms may
increase the activity undertaken and the outputs and results produced On the other
hand the accompanying reorganisation of institutions may have a negative impact on
the efficiency of such interventions as they initially cause inefficiencies where people
ESF 2007-2013 ex-post evaluation synthesis
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57
are adjusting to the new situation Sometimes the complexity of procedures also
influences costs indirectly One example of this is when due to the complexity of
project administration huge amounts of money are spent on project management
which is provided by private companies that were established especially and solely for
this purpose (SK)
It can be concluded that the available information does not allow conclusions to be
drawn regarding the efficiency of SIC interventions The assessment of efficiency is
strongly hampered by the fact that the outputs of various activities are objects rather
than people This renders a comparison of costs per participant between PAs or
countries meaningless In addition there is a wide variation in the objects produced
which can range from studies to IT-systems therefore their costs also cannot be
compared without collecting detailed information on outputs and costs at activity level
The current evaluation does not encompass this level of analysis
43 The sustainability of ESF SIC interventions
Sustainability of SIC intervention refers to both the continuation of funded projects
(with or without EU funding) and the achieved results in terms of increased
empowerment and adaptation to new needs as they develop Although no clear-cut
evidence on sustainability has been detected it could be argued that in this respect
interventions are likely to be sustainable to a large extent Such interventions have
set in motion other activities which will continue beyond the lifespan of the original
activity Alternatively the tools developed provide a platform for new initiatives
without time constraints related to the project that introduced them For example
Those that have upgraded or added value to other interventions These are
mainly the training programmes based on needs assessments made through
functional analysis (BG)
E-governance and other tools (BG MT)
Quality management (LV)
A common learning portal for local authorities (UK)
Training or manpower interventions (EE IT MT)
Sustainability can be deliberately ensured by procedures and regulations to this end
In Poland changes in public administration institutions which were introduced as part
of the ESF project will have a permanent nature this is guaranteed by the
introduction of new procedures and regulations This applies to the Better Regulations
2015 adopted by the Council of Ministers on 22 January 2013 and concerning areas
such as legislative actions of simplification (solutions in removing barriers to
entrepreneurship development) impact assessment (an analytical tool that allows to
design regulations which correspond to the real socio-economic problems) and a public
consultation (the consultation facilitating stakeholder participation in the legislative
process - the on-line consultation system) The situation is the opposite for NGOs the
support they that received significantly influenced the development and strengthening
of the third sector but the lack of proven procedures and constant cooperation
between public authorities and NGOs adversely affects the durability of the results (the indicator - number of local government units that have implemented the
standards of cooperation with NGOs - has been achieved at the level of 856 in
Poland)
It should be mentioned however that the sustainability of SIC interventions is also
dependent on the context in which they are implemented and which these same
interventions aim to support Two main obstacles to sustainability have been identified
in this respect These are the lack of financial resources to sustain the action and the
institutional and political environment
Italy and Lithuania both highlight the importance of earmarking ESF funding for similar
interventions under the next programming period In Italy disappointing results of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
58
regional SIC interventions led to the introduction of national thematic objectives
These cover the whole of Italy for the current programming period which the 2014-
2020 regulation now allows14 Between 2014 and 2020 the strategies and actions that
were started during the previous period will be continued and consolidated in a more
structured and defined framework For Lithuania the sustainability of the products
developed and results achieved at the end of the EU funding were identified as
moderate and dependent on the field of intervention and public management
institutions Since the budgets of the state and especially municipal institutions are
limited the continuity of products and results created from the 2007ndash2013 Structural
Funds in the field of public management depend on planned investments during the
2014ndash2020 programming period (this is particularly applicable to the fields of
performance management and e-government) In the case of decentralisation lack of
funding is also more likely to occur and national (or ESF) funding is needed to ensure
that interventions will be sustained (RO) Formalisation through public policies at
national level is required for this
The institutional environment is flagged up as a deterrent to the sustained
effectiveness of interventions in Greece and Slovakia Key institutional factors in this
respect include
a high employee turnover among state employees (SK)
lack of a systematic policy for human capital (SK)
changing management with new elections (EL SK)
an overall administrative culture that is not conducive to change (EL)
44 Gender sensitivity of ESF SIC interventions
SIC may have a direct or indirect impact on gender equality by strengthening and
supporting the gender infrastructure that is an integral part of the institutional set up
of a countryregion The term gender infrastructure refers to the administrative
political and legal mechanisms existing within the public administration which are
aimed at promoting gender equality such as provisions for gender mainstreaming
policies at the central and local level or gender budgeting for example Gender
infrastructure can be targeted directly by SIC interventions through positive actions
(such as training staff on gender issues promoting studies on gender pay gaps or
supporting the creation of gender units) or indirectly by strengthening the overall
capacity of the administration and therefore also implicitly improving awareness on
gender policies whilst also developing their effectiveness
An example of such an approach can be found in Greece which dedicated a PA to
lsquoStrengthening policies aiming at ensuring equal opportunities for all in the whole
range of the public administrationrsquo The PA foresaw measures to enhance the gender
mainstreaming policy in the public administration and increase the participation and
career progress of women in employment Actions included
codification and simplification of law regulations for the enhancement of gender
mainstreaming in all the fields of policy making
evaluation of public policiesrsquo impacts through gender mainstreaming
enhancement of the integration of gender mainstreaming in public policy
14 Institutional capacity being reserved to Convergence areas in the 2007-2013 period
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
59
enhancement of the participation of women in decision making centres
enhancement of actions in prefecture authorities targeting the prevention and
combating of violence against women
support for NGOrsquoS (womens organisations)
From the available evidence it seems that most of the interventions were
implemented as planned The latter intervention encountered difficulties as it coincided
with the restructuring of the public sector which was necessitated by the economic
crisis Very little is known on the impact of these interventions
Other countries did not address the gender infrastructure However SIC interventions
can also be designed in such a way that in their implementation at least women and
their interests are taken into account or even furthered Although SIC interventions do
not specifically target women in Poland the Polish OP can be considered a good
practice of designing an OP in a gender supportive way with several features that
may help ensure that women really benefit from the interventions
Women were the specific target groups of some of the interventions although
not in the case of any of the SIC interventions which has been continued in the
new programming period however there are no OPs or priorities specifically
dedicated to women
An obligatory minimum standard was introduced in projects so that all of the
institutions implementing ESF funds would respect the principle of gender
equality This meant that in all projects (also those implemented within the
SIC area) it had to be shown how the project would contribute to the fight
against inequalities or at least how it would not sustain or strengthen them
The minimum standard has been continued and developed in all ESF
programmes for the 2014-2020 programming period However the assessment
criteria have been tightened in terms of gender sensitivity which means that
project promoters are supposed to describe how they are going to implement
gender equality at all project stages In the 2014-20 programming period
there are also some requirements in terms of gender equality for project
promoters within other funds (ERDF EAFRD EMFF) The manual on gender
equality published by the MA contains recommendations for the MAs on
gender sensitivity in management OP implementation and the setting of
thematic objectives (the PA) amongst other things
Additionally the MA created a strategic vision on the strengthening of equal
rights for men and women which was adopted in the official MA agenda A
group which included the representatives of the intermediary bodies was
formed to control the application of gender equality as a horizontal issue in the
interventions
All institutions that are engaged in the management and implementation of the
ESF in Poland (ie the MA and the IBs) were assessed regarding their own
equality policies The idea behind this was that they would be in a better
position to stand ldquoon guardrdquo and protect gender mainstreaming and gender
equality if they knew of it from their own experience
SIC interventions and staff capacity building in particular can also be assessed in
light of the contribution they make to womenrsquos careers in the organisations that are
being supported by these interventions
SIC interventions typically have more female than male participants For most
countries this reflects the over-representation of women in public institutions As
precise figures are often lacking it is unclear as to whether women are proportionally
represented in interventions Women are also less represented at the higher and
managerial levels in administrations and sometimes in interventionsactions targeted
at managerial positions in public administrations (IT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
60
Proportional representation provides equal opportunities for women to better their
position It does not level the playing field however as is argued and exemplified in
the Estonia On the other hand more women participated in training than men in
Estonia For example in the central training program 2008-2009 three times more
women were trained than men this was also the case in training for NGOs where the
proportion of women was very high (nearly 75) This training ultimately influenced
the competitiveness of women in the labour market This should in theory help to
reduce the existing gap between women and men However it is not clear whether
the unequal labour market position really results from the differences in knowledge
and it is not likely that the gender pay gap will start to decrease as a result of the
training The effects on such a level are probably rather modest In this respect it is
worth noting that in programmes for top managers in the public sector the ratio
between men and women is very different there are twice as many men as women
Also the competence model and the related methodology for the regular evaluation of
competences which are developed for top managers in the Estonian public service
are gender neutral While this is obviously better than a system implicitly favouring
men this also means that it will not actively pursue a change in the gender balance at
this level
More specific actions would be required to improve the position of women in public
administrations in terms of qualitative criteria such as pay and function levels These
appear to be rare as women are seldom a specific target group in SIC interventions A
number of countries did make equal opportunities a selection criterion for projects
(CZ LT RO) However only two countries include actions that aim to further the
position of women In Greece specific PAs have the objective of enhancing gender
mainstreaming policy in the public administration increasing the participation and
career progression of women in employment and reducing genderndashbased segregation
in the public sector The Hungarian action lsquopromoting performance-based career
pathwaysrsquo includes specific activities to enable staff to better balance domestic and
work obligations which is something that will help women in particular
45 Community added value of ESF SIC interventions
Community added value can be achieved in four different ways volume role scope
and process
In the case of ESF SIC interventions this translates into the following options as
highlighted in Table 4 section 311 above
ESF funding was used to strengthen pre-existing good governance and capacity
building interventions funded by national strategies (volume)
ESF was used to reach new target groups (scope)
ESF was used to test new and innovative activities (role)
ESF was successfully used to improve PA service delivery by improving systems
and methods (process)
For most countries having ESF adds value to what would have been done in the
countries without this support
451 Volume effects
The main CAV dimension detected across the different MSs is the volume effect In
many countries (BG EE LV MT RO IT) interventions have been undertaken on a far
larger scale than would have been possible without the financial backing from ESF
This effect has been even greater than would have otherwise been possible due to the
impact that the financial crisis had on MSsrsquo budgets While this probably holds for
other areas of intervention too SIC interventions are more likely to suffer from budget
reductions as increasing unemployment and poverty rates are likely to be more
pressing concerns especially as administrative reform plans in several of the countries
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
61
concerned receive limited political backing Some examples of this effect can be
identified as follows
In Bulgaria the ESF provides key funding to support good governance on
municipal district and national levels as well as for reforms in important areas
including the judicial system which is one of the main recommendations to the
country and is the focus of the public opinion debate
In Poland ESF funds were used to train a larger share of public administration
employees
In Malta ESF funding complemented the Governmentrsquos efforts towards further
simplification and through building capacity amongst government employees
to assist citizens in accessing and using e-services Management processes
within the Public Service were streamlined with a view to facilitating more rapid
decision-making and implementation and more accountability of results
Support for regulatory reform in order to reduce the regulatory burdens on
businesses was also provided
In Lithuania available evidence confirms that the ESF provided additional
funding to support good governance according to the evaluation of the
lsquoEuropean Union Structural Funds Investments for Human Resource
Developmentrsquo through the interventions of measures under priorities 1 2 and
4 of the HRDOP more than 286 thousand public sector workers successfully
completed the training The increased quality of human capital in the public
sector resulted in the higher quality of work which was appreciated by the
public who expressed greater confidence in state and municipal institutions
and bodies15 In addition to this it should be mentioned that ESF funds were
almost the only source to support certain target groups in the context of the
economic crisis EU funds have become probably the only source of financing
for the employee qualification development initiatives for public institutions of
Lithuania16
In Slovenia an example of additional funding is the project lsquoInteroperability
and e-exchange of datarsquo which established amongst other things multi-
functional mechanisms for the implementation of complex data queries in
administrative records and an internet portal (NIO portal wwwniogovsi)
Today the latter is the central contact point for open data in the public sector
(Source AIR 2014)
452 Scope effects
ESF has also added value by broadening the scope of the interventions undertaken by
MSs The first way by which the scope of interventions changed was in terms of
actors such as NGOs or social partners (MT LV BG EE) In Slovenia new target
groups also included businesses and entrepreneurs through the creation of two online
portals (EUGO and e-VEM) providing information for the set-up registration operation
and closing of a company All processes can be undertaken online EUGO the Slovenia
Business Point is the English counterpart of e-VEM It helps foreign business entities
that want to do business in Slovenia
15 BGI Consulting European Union Structural Funds Investments for Human Resource Development Summary of the final report of evaluation (EN) 2015
16 PWC Evaluation of the quality and efficiency trainings financed by ESF 2011
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
62
SIC interventions also altered the scope of the national PAR (HU) or played a key role
in putting administrative capacity on the agenda (IT SK) Finally SIC helped to
introduce topics such as social inclusion equal opportunities and the reconciliation of
work and family life as policies these did not exist in the political agenda prior to the
ESF (SK)
453 Role effects
ESF SIC funding played a role in supporting the introduction and testing of innovative
tools or systems especially those concerning the introduction of e-government In
Bulgaria for example although with several delays and obstacles the Administrative
Capacity OP has supported the introduction of many e-services on a municipal level
as well as for specific national agencies and bodies including the judicial system In
Slovenia as an element of the modernisation and simplification of courtsrsquo
organisations a smart technology that had already been used successfully in the
medical sector was tested for speeding up the writing of judgments through voice
recognition Fifty judges tested this technology in a pilot project After three months
the software was developed fully and then mainstreamed (Source AIR 2013) In Italy
the ESF supported the digitalisation of ESF management administrative processes in
the Apulia OP
Role effects can be also identified in actions and fields not directly related to e-
governance such as
The introduction of monitoring and evaluation systems for policy
implementation on municipal and national levels which is also connected with
the introduction of the mechanism for public discussion of new policies (MT)
In Poland an impact assessment of regulations (an analytical tool that allows
to design regulations which correspond to the real socio-economic problems)
was introduced and tested along with the on-line public consultation system -
the consultation facilitating stakeholder participation in the legislative process
In Latvia under the action Reduction of administrative burden and improving
the quality of public servicesrdquo the Ministry of Environmental Protection and
Regional Development carried out a feasibility study for the setting up of a
single customer service centre network that brings together a number of
services carried out by public administrations
The support to PES in Campania region (IT)
454 Process effects
Process effects occurred in various countries and they relate to the programmatic and
cyclical nature of policy making monitoring and evaluation of policies and work
processes in general Some examples have been provided below
Improvement in the delivery of PA services is the main contribution of ESF SIC
investment in Bulgaria PA service delivery has been improved through the
training of civil servants the implementation of functional analysis on
municipal district and national levels setting up systems from monitoring and
evaluation of policy implementation the introduction of e-services and one
stop shop services exchange and the introduction of good practices from
other countries
In Italy new purchasing procedures were defined through the Ministry of
Education national OP (and also in the Calabria OP) interventions for
increasing the effectiveness of judiciary officesrsquo activities were introduced
(Campania Sicily Basilicata OPs) as well as projects aimed at improving ESF
programming management and control capacities (Apulia Sicily Ministry of
Labour OPs)
In Lithuania ESF support was used to improve PA service delivery systems and
methods for instance the ESF supported the development of the
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Thematic EU synthesis report Strengthening Institutional Capacity
63
interoperability (interface) system and improved the safety and functionality of
the information systems in public administration institutions Similarly the ESF
also supported the development and implementation of a centralised public
procurement management system Both interventions were included among the
good practice examples in the Strategic Evaluation of the Effectiveness and
Impact of EU Structural Assistance on the Improvement of Public Management
in Lithuania17
In Latvia a specific project devoted to Improving the quality of public services
at national regional and local level was implemented with the funding of 25
projects Within this the State Employment Agency developed a management
method referred to as Management according to the objectivesrdquo in order to
improve its services while the State Land Service developed an e-guide for
customer service
In Slovenia in order to improve the processing of documents an electronic
documentation system was established at the Public Employment Service It
allows for shorter response times and quicker decisions and also lowers costs
The new system was introduced in ten key processes of the PES which
constitute 85 of the administrative activities
46 The socio-economic impact of ESF SIC
461 Impact indicators and evidence from national ESF evaluations
As discussed impact indicators are virtually non-existent for SIC interventions in the
SFC database18 National sources do include information on impacts Typically this
information is of a more qualitative nature and does not permit conclusions to be
drawn on the level of impacts However it is possible to provide an indication of the
type of impacts that are achieved with SIC related interventions
In their strategic reports on programme implementation over the 2007-2013 period
according to the overall report rdquoseveral MSs emphasise the role that the ERDF and
ESF play in fostering national reform efforts particularly in the field of better
regulation reform of education systems the labour market public administration and
structural reforms in the water sector In addition the ESF has fostered capacity
building for the social partnersrdquo (European Commission 2013) In general however
impacts are seldom so clearly defined or evaluated The table below provides an
overview of what can tentatively be called (intermediate) impacts and indicators
Some information on impacts is available for six countries On this basis some
tentative conclusions emerge that could be tested in future evaluations For each of
these the evidence is rated using a three-point scale
Monitoring systems for policies and ex-ante impact assessment of new
regulatory initiatives seem to be effective in increasing the quality of legislation
and monitoring progress in implementation of policies (weak evidence BG)
The impacts of initiatives aimed at furthering institutional cooperation seem too
low after suffering from fragmented or limited implementation (evidence EE
LT)
17 PPMI Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the Improvement of Public Management in Lithuania 2014
18 It is to be noted that they were not required by the Regulation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
64
The quality of public services shows clear signs of improvement during the
2007-2013 programming period It is likely that SIC interventions played a role
in this but lsquohardrsquo evidence on this is lacking (Strong evidence on changes but weak on causality CZ-regional level LT PL)
Table 21 Examples of tentative impact evaluations
MS ASSESSMENT
BG Based on the main conclusions in the First Report on the evaluation of OP AC
implementation for the period January-December 2014 the main achievements of this OP contributed to the optimisation and of the work of administration resulting in improved monitoring of policy implementation improved quality of the regulatory documents due to the introduction of their impact evaluation improved capacity of servants by training
CZ There is a slight increase of citizensrsquo satisfaction with the performance of the regional
administrations however the satisfaction with the state administration has been continuously declining
EE Although the effectiveness of the SIC investments has been good and the range of activities has been widened compared to previous programming periods the impacts have still stayed rather modest Even though a strategy unit was established in the
Government Office that has immensely contributed to the decrease in the number of strategic plans there is still room for strengthening the coordination between organisations (the ministries implementing agencies local and central governments) responsible for planning and implementing the strategies Also the social dialogue in policy-making has still room for development A number of joint committees (including the representatives of relevant organisations and social partners) have been created to include relevant partners incl social partners and to consequently add transparency
to policy-making At the same time such committees are criticised facilitating
transparency only seemingly and also diffusing responsibility
LT During the 2007-2013 period the key positive achievements of ESF SIC investments in Lithuania was the improvement of the overall quality and accessibility of public sector services in the country This was achieved through several different mechanisms The
ESF support contributed to the development of the HR capacity in public service Also the investments had positive influence on the management of internal activities in the public sector in Lithuania in particular a number of internal processes were digitalised and a number of strategic planning documents were developed In addition the investments are expected to contribute to the development of e-governance in the country and thereby improve the communication between the public authorities and citizens The key under-achievements of ESF SIC investments in Lithuania were the
very low impact on system-level reforms in public sector as well as low impact on institutional cooperation and partnership building Because of the lack or complete absence of necessary preconditions the reforms at system-level were implemented are fragmentary and are unlikely to produce any significant results Similarly because of a
number of negative factors (lack of coordination of different institutional cooperation initiatives lack of support and awareness on the part of political authorities and executive bodies lack of proper methods for involvement of relevant institutions) the
initiatives enhancing cooperation and partnerships between public institutions will most likely result in low or null impacts in these areas
PL Considering the impact of the ESF on improving the regulatory business environment it is worth mentioning the significant advancement of Poland in the World Banks Doing Business rankings 2015 In terms of ease of doing business Poland took 32nd position
(out of 189 countries) and moved up thirteen places in comparison with the previous year The World Bank assessed countries in 10 categories such as among others ease of opening of the company the necessary start-up capital or tax returns
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
65
462 Impacts in relation to changes in the quality of administrations
The World Bank publishes a broad range of data on the perceived quality of
governance In particular the Worldwide Governance Indicators cover six broad
dimensions three of which are particularly relevant to this report
government effectiveness
regulatory quality
rule of law
This dataset aggregates the results of many surveys that have been conducted
worldwide It has been doing so since 1996 which means that developments can be
traced throughout the programming period
The charts below present the estimates of the perceived quality for each of the three
dimensions The perception of quality is rated ranging from approximately -25
(weak) to 25 (strong) in order to illustrate governance performance
Better quality services ndash competitiveness of companies 4621
Government effectiveness the first dimension of the Worldwide Governance
Indicators assesses the perception of public service quality the quality of the civil
service and its degree of independence from political pressures the quality of policy
formulation and implementation and the credibility of the governments commitment
to such policies Concerning public attitudes towards government effectiveness in the
case of ten of the fourteen countries citizens businesses and institutions felt that
their government had become more effective between 2007 and 2014 The four
exceptions were Greece Hungary Malta and the United Kingdom
The previous section showed that ESF had contributed to better quality services in the
three countries for which evidence was available (CZ LT PL) For the latter two
countries it is therefore likely that ESF has played a role in improving the regulatory
quality scores for their countries However as section 313 showed nine MSs had
actions aimed specifically at improving their delivery systems and eight MSs had
actions aiming at policy delivery as well as development
Figure 4 Government effectiveness
Source The Worldwide Governance Indicators 2015 Update
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Government effectiveness
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
66
The dimension of regulatory quality measures the governmentrsquos ability to formulate
and implement sound policies and regulations that permit and promote private sector
development Regulatory quality was receiving slightly higher marks on average in
2007 than government effectiveness However for only five countries this assessment
had improved by 2014 Estonia Latvia Lithuania Poland and Romania Four of these
countries already had relatively high scores in 2007 but so did some of the countries
with decreasing evaluations such as Hungary Slovakia and the United Kingdom
Ten MSs implemented actions that were dedicated to improving the business
environment while 14 MSs had actions aimed at introducing and strengthening the
use of e-services in public administrations (sections 313 and 314) In light of this
the fact that only five MSs were deemed to have improved the quality of their
regulatory process is again a sign that the impact of efforts made under SIC actions is
not or at least not yet noticeable
Figure 5 Regulatory quality
Source The Worldwide Governance Indicators 2015 Update
The overall conclusion is therefore that in the majority of the MSs the impact of
these actions on the governmental performance is not yet evident or if it is it is still
not noticeable to citizens and businesses However with the nature of SIC
interventions it may be a matter of time before these impacts become obvious only
then will a further impact on the performance of businesses and the wellbeing of
citizens be expected to occur
000
020
040
060
080
100
120
140
160
180
200
2007 2008 2009 2010 2011 2012 2013 2014
Regulatory quality
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
67
Better quality justice and rule of law ndash a conducive socio-economic 4622
environment
The 2015 EU Justice scoreboard shows that there is significant divergence in the
effectiveness of judicial systems across MSs According to the 2015 EU
Competitiveness report the functioning of justice systems in several countries
requires further improvements19
Rule of law measures the extent to which agents have confidence in and abide by the
rules of society and more specifically in the quality of contract enforcement property
rights the police and the courts as well as the likelihood of crime and violence The
satisfaction with rule of law increased between 2007 and 2014 for nine countries
which is almost as many as for government effectiveness Greece Hungary Italy and
Malta experienced decreasing evaluations over this period
Of the nine countries with increasing scores for rule of law four countriesrsquo evidence is
available on the results actions undertaken in the justice sector (section 414) These
results were decidedly mixed with SI and CZ showing positive achievements and
Bulgaria and Poland showing under-achievements As the rule of law indicator is a
very general indicator and the evidence on ESF SIC actions in this area are few and
mixed in terms of results the conclusion here is that the necessary evidence on the
impact of ESF SIC actions in this sector is insufficient to draw conclusions
Nonetheless the increased satisfaction with the rule of law is a positive development
Figure 6 Rule of law
Source The Worldwide Governance Indicators 2015 Update
19 European Commission Single Market Integration and Competitiveness in the EU and its Member States Report 2015 October 2015 section 326
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Rule of law
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
68
4623 Assessment
Improvements in the quality of public administration occurred between 2007 and
2014 especially in the fields of government effectiveness and rule of law The
perception of regulatory quality improved in a smaller number of countries
The best performance could be seen in Romania Poland and the three Baltic States
These countries improved their ratings on each of the three dimensions between 2007
and 2014 On the other end of the scale three countries saw their assessment
decreasing on all three dimensions Greece Hungary and Malta
It is to be expected that ESF would have contributed to positive changes However
this causal relationship can only be established through impact assessments and
evaluations and the evidence available at this point is insufficient to draw conclusions
in this respect
463 Key factors determining success or failure
Overview 4631
Several factors determine whether interventions are successful and can be considered
good practice in achieving their objectives and whether they do so in an efficient
manner Factors for success and failure are complementary For this reason the two
are discussed together here although the national evaluations do distinguish between
them as can be seen from the figure below
The key factors are similar to those identified in earlier evaluations of ESF SIC
interventions Five factors were identified in national evaluations or by the country
experts based on more general sources
Management this factor is typically linked with the lack of administrative
capacity in the Managing Authority or Intermediate Body itself and was
identified as a key factor for the Czech Republic Italy Romania and Slovakia
Strategic approach and intervention logic this factor refers to coherence and
consistency in policies regarding SIC interventions as well as the detailed
development of an intervention logic It was identified as a key factor for Italy
Lithuania and Romania
Motivation and capacities of beneficiaries this factor directly influences the
performance of individual activities and is therefore of obvious importance It
was identified as playing a key role in Bulgaria the Czech Republic Latvia
Lithuania Malta and Slovakia
Cooperation and coordination efficient coordination of various funded activities
and efficient cooperation between different organisations were listed as key
factors for performance in the Czech Republic Estonia and Lithuania
Context factors these factors include national public administration reform
strategies legislation and the political and institutional environment
Contextual factors are the most regularly cited explanatory factor for success
and failure for Bulgaria Greece Hungary Italy Lithuania Malta Poland
Slovenia and Slovakia
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
69
Figure 7 Key factors for success and failure mentioned for MS
The colour of the country abbreviations signifies that the factor was deemed either a success
(blue) or a failure (red) for that country In the case of some countries it turned out to be both
Source country templates based on national evaluations or assessment of country experts based on more general sources
Because of its importance the institutional and political context is discussed in more
detail here It also constitutes a rather specific factor for successful capacity building
interventions Annex III provides a complete overview of the success and risk factors
identified for individual countries
The role of the institutional and political context 4632
This section looks at the role of the institutional and political context as a determinant
for success or failure of ESF interventions that were aimed at strengthening
institutional capacity The information in this section is based upon expert assessment
provided by the country experts where these contextual factors were flagged up as a
success or risk factor to a greater or lesser extent The political and institutional
environment has been flagged up as a crucial factor for successful SIC interventions
under ESF by several countries (BG CZ EL HU IT LT MT RO SK) Rapid changes in
government politicised institutions and lacking political support were all cited as
impediments to the effectiveness of SIC interventions
According to the synthesis evaluation country report for the Czech Republic in all
international comparisons the institutional environment is evaluated as one of the
most significant weaknesses of the Czech Republic When discussing the institutional
environment of the country reference is made to inefficient institutions an excessive
regulatory burden and corruption The performance of the countryrsquos administration
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
70
has been continuously declining since 200620 This is impacting on the performance of
ESF SIC interventions According to the AIR 2014 OP HRE and the evaluation
conducted the realisation of the PA 4 of the OP HRE has been lagging behind the
other priority axes over a long-term period The core problems deal with the
administrative capacity of the Ministry of Interior in its role as an Intermediate Body
as well as the organisational changes of the state institutions in their role as
beneficiaries In addition a high error rate exists in the management of individual
projects which is usually linked to the procurement arrangements and to
irregularities
In Greece the OP Administrative Reform has encountered serious difficulties that
hindered its smooth implementation Besides other factors the institutional
environment plays a key role in this The administrative culture has been criticised for
its absence of strategic action wasteful maladministration of the scarce public
resources organisational overlapping absence of rational planning regarding the
allocation of functions and unsatisfactory services provided to citizens Another
important contextual constraint lies in the absence of an enduring political will and
clientelism accompanied by the politicisation of the senior civil service At least until
very recently these conditions remained unchanged and were reinforced by
widespread corrupt practices Furthermore civil society is only weakly developed in
Greece while consultation structures and practices as part of policy preparation are
also underdeveloped Of particular concern is the on-going politicisation and
subsequent instability at senior levels of the administration
The Hungarian State Reform has gone through essential changes which have had a
substantial impact on the effectiveness and efficiency of the SIC PAs in this country
The direction of the reform was changed and the reform has intensified since 2010
with the election of the new conservative government This has boosted the efforts
made and increased the number of activities and outputs produced under the relevant
PAs This was particularly visible in the number of laws and the activities connected to
their preparation At the same time these political changes seem to have had a
negative impact on the efficiency of the implementation of the PAs This inefficiency
resulted from the fact that new government took time to establish and had partly
different priorities This meant that many changes in the planning and implementation
of interventions had to be made and much adjustment was necessary by those
involved in the implementation
Because of the lack or complete absence of necessary preconditions in Lithuania
the reforms at system-level were implemented in a fragmented manner and are
unlikely to produce any significant results Consequently the key under-achievements
of ESF SIC investments in Lithuania were the very low impact on system-level reforms
in the public sector as well as low impact on institutional cooperation and partnership
building Similarly because of a combination of negative factors the initiatives
enhancing cooperation and partnerships between public institutions will most likely
result in low or no impact in these areas These factors include the lack of coordination
of different institutional cooperation initiatives lack of proper methods for the
involvement of relevant institutions but also the lack of support and awareness on the
part of political authorities and executive bodies
20 Source Supreme Audit Office of the Czech Republic Information from the control action No 1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
71
In Slovakia the institutional environment is politicised in the sense that as a rule
following every general election new management enters the administration
Systematic work with human capital in public administration is largely absent As a
result employee turnover is high among state employees This in turn is potentially
dangerous to the sustainability of the results and impacts achieved with SIC related
interventions
According to a publication of the EUOECD SIGMA initiative five years after accession
political processes and considerations still substantially impacted the effect and
sustainability of EU capacity building interventions in Central and Eastern Europe In
addition the 2015 single market integration and competitiveness report pointed out
that regulatory and political instability are important barriers to economic growth as
they negatively impact on investment decisions especially longer term ones The
2014 competitiveness report draws attention to insufficient political will as a factor
besides the lack of capacity to enforce rules hampering the effect of anti-corruption
policies in several of the convergence countries From the present study it can be
concluded that during the 2007-2013 period several factors in the institutional and
political environment were indeed hampering progress in achieving the objectives
associated with capacity building interventions These factors include a lack of political
awareness or support (LT) rapid changes in government (EL HU SK) often
changing inefficient change-averse or politicised institutions (CZ EL HU LT) and
clientelism (EL)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
72
5 Overview of key lessons learned
Key findings
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe 2020
Strategy might be further enhanced by specifying the more relevant fields of ESF
SIC support such as e-government or business friendly administration The
institutional and political context remains a key success and risk factor for capacity
building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to the staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to capacity
building is required by MSs as well as a well-defined intervention logic This should
go well beyond the specific objectives and into the realm of intermediate and final
impacts Support provided to countries should take into account the five key factors
that influence the success of SIC interventions management strategic approach
and intervention logic motivation and capacities of beneficiaries cooperation and
coordination and context factors New programmes need to make sure that results
and impacts whose sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or PA
are often linked to a lack of administrative capacity in the Managing Authority or
Intermediate Body both in terms of numbers and qualifications of staff Significant
personnel turnover and frequent changes in staff contributed to mistakes being
made in financial reporting by beneficiaries which was further hampered by
complicated and often-changing rules and errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review ex-
ante the output and result indicators proposed by MSs to see if they comply with
SMART criteria apply a categorisation to common output and result indicators in
the SFC database
Evaluation Fields of activities as found in the CSRs for example could provide a
starting point for the development of impact indicators for ex-post evaluation More
systematic guidance on the distinction between indicators for capacity
enhancement performance and impact indicators could help countries formulate
better indicators for monitoring results In addition a benchmark is needed against
which achievements can be measured
51 Key lessons in terms of policy choices
In the 2007-2013 period strengthening the institutional capacity and efficiency of
public administrations and public services became an ESF objective for convergence
regions (section 22) Supporting SIC interventions in a general or horizontal manner
was new to the 2007-2013 period as increasing administrative capacity was deemed
to be vital for delivering on the Europe 2020 Strategy
The budget spent on SIC interventions has been small in comparison to overall
expenditure under ESF and in comparison to vertical capacity building aimed at labour
market and education institutions (section 34) Impacts are slow to emerge and
difficult to detect which is particularly the case for this priority theme (section 46)
Capacity building takes time and the crisis has had a negative influence on the results
of SIC interventions in the 2007-2013 programming period Community added value
of SIC interventions supported under ESF (section 45) confirms the need for SIC
interventions It therefore stands to reason for the EU to continue funding such
activities in future programming periods
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
73
There are specific areas of interest or fields of activity as referred to in this report
(section 412) which are clearly deemed important in the framework of SIC and that
bear a more direct link to the objectives of the Europe 2020 Strategy These are
visible in the country specific recommendations prepared by the European
Commission but also in the topics chosen by the EU funded network that examined
how to make better use of the ESF for public administration reforms21 ESF SIC
interventions have proven to be instrumental in helping countries follow-up on the
recommendations they receive from the Commission (section 31) At the same time
however many actions focus on more general capacity enhancement In order to
emphasise support for the Europe 2020 Strategy it could be considered to adapt and
further specify the relevant provisions in the ESF Regulation (Article 32b) inserting
those fields of activity that best contribute to this Possible examples include
lsquoimproving the environment for businessesrsquo and lsquoincreasing e-government servicesrsquo
The institutional and political context is a key success or risk factor for capacity
building interventions For all countries it is impossible to achieve results without
political backing and support Some of the countries studied here are still dealing with
structural political and cultural features in their environment that will effectively block
SIC interventions if they are not addressed (section 462)
It is therefore important to make the provision of financial support for capacity
building dependent on proven commitment and capacity in the institutional and
political context As a result the Commission can apply as Knott (2007) phrased it
the logic of consequences The logic of consequences assumes that rational actors will
seek to maximise their welfare or utility through strategic actions Depending on how
it is enforced in practice it constitutes a tool with which resources can be directed to
environments where they are likely to be more effective although MSs with less
favourable conditions in which to choose face an obvious choice Knott quoting
others also distinguishes the logic of appropriateness This logic encourages actorsrsquo
motivation by internalising identities values and norms This raises the question of
whether lsquosofterrsquo methods such as those associated with mutual learning could play a
role in this lsquostrategy for changersquo A good starting point to look for answers is the
existing and ongoing mutual learning benchmarking and policy coordination
mechanisms that are practiced by the EU in its employment and social policies A
second place is the strengthening of mutual learning initiatives for regional and local
actors as these are often absent in regular EU employment initiatives
One of the reasons why output targets are not met includes problems related to the
management of projects by MA and IB (section 46) this would suggest the need to
continue interventions aimed at improving the implementation capacity of such bodies
21 From 1 January 2010 to 31 December 2012 an EU funded project lsquoFacing the Challenge ndash How to Effectively Support Public Administration Reforms by ESF Fundsrsquo sought to learn more about making better use of the European Social Fund for public administration reforms The topics chosen were strategic planning e-governance the partnership principle for better regulation and local development business-friendly administration local government reform
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
74
52 Key lessons in terms of target groups
As discussed earlier in this report target groups have a specific meaning in the
framework of SIC interventions For SIC interventions the distinction between
beneficiaries and target groups is somewhat blurred Typically target groups will be
employees of beneficiary institutions
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions Motivation and capacities of
beneficiaries have been cited as a reason why projects are delayed or abandoned
impacting on the degree to which the envisaged outputs and results are achieved ESF
should therefore continue to provide support to beneficiaries However lessons should
also be learned by MSs on the criteria and conditions to be met by potential
beneficiaries before qualifying for support
One reason why output targets are not met (section 41) involves problems related to
the actual implementation by beneficiaries For a number of countries reports exist
about projects that have been abandoned before completion or not even started
Some projects are also poorly implemented with low quality training on offer Some
interventions do not achieve their target Several factors cause this but the interest
and motivation of beneficiaries are a key factor in the success of a programme Higher
involvement of beneficiaries in the preparation of programmes may provide a means
by which to increase such motivation offer concrete support to project managers in
the form of training or provide mutual learning events as a means to increase their
capacity (section 46) However without the right culture in the public sector which
is attentive to human resource management for example this will be insufficient Of
course other factors will also determine the interest of those participating in SIC
interventions such as workload
For several countries the lack of capacity for project management in the target
organisations may itself constitute a barrier to success This applies to those that are
promoting or managing projects This may endanger project implementation but
above all the consolidation of results
Finally with regard to beneficiary institutions it can be observed that national
institutions are the main beneficiary of ESF SIC interventions In the absence of an
objective criterion for the required degree of local and regional authority involvement
it would be good to monitor the satisfaction of these parties in terms of their
involvement in ESF The same applies to NGOs and social partner institutions (section
312)
53 Key lessons in terms of appropriate programming
A number of conclusions can be drawn regarding the strategic approach taken as well
as the intervention logics developed and applied in MSs (section 31)
Strategic approach and intervention logic are related but they are not the same The
strategic approach starts with a call for a unitary coherent and consistent policy
regarding SIC interventions rather than a series of unrelated independent SIC
interventions This can also result in an overall vision or framework for SIC The
strategic approach can also be applied during implementation Selection procedures
for projects based upon calls for project ideas are an example of this Key factors
related to intervention logics include the identification of intervention areas that
respond to a clear need but will also be sufficiently substantial in reaching a critical
mass whilst also fitting the funding possibilities It also concerns the precise
identification and definition of objectives coherence in instruments outputs and
results Target groups need to be well defined but formal delineations should not
prohibit a dedicated search for the actual intended beneficiaries during
implementation
A substantial part of the capacity building interventions takes place under OPs and PAs
that are of a more thematic or sectoral nature (section 34) From the viewpoint of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
75
expenditure categories the SIC interventions are small compared to other sectors
notably more policy sector oriented categories Nevertheless and perhaps because of
this SIC interventions have a specific role to play in the interaction with vertical
capacity building interventions For developing such a role the following questions
could provide some guidance
How does SIC relate to capacity building activities in the framework of other
priorities
How does SIC contribute to the wider objectives of this strategy as well as
national priorities
How and where do SIC interventions interact with other capacity building
interventions How does alignment take place at the strategic level during
implementation
Should SIC support be horizontal as was often the case during the 2007-2013
programming period or be more focused on certain sectors
What are the underlying considerations and criteria for this
A SIC strategic approach towards capacity building under ESF could be strengthened
with questions such as
What are the overall needs and objectives of capacity building in the country
How does ESF capacity building fit into to the overall PAR strategy
How does it contribute to and how is it supported by it
This comprehensive and strategic approach to capacity building should be the starting
point for the development of a well-defined intervention logic that goes well beyond
the specific objectives into the realm of intermediate and final impacts At present
few indicators at impact level exist but the results indicators seem to harbour
distinctive levels amongst them Objectives and indicators could be better delineated
through the use of the general intervention logic for example which was developed in
the interim evaluation (Ecorys 2011) This study used the following sequence as the
basis for the objectives tree underlying the intervention logic better administration
performance leads to more effective governance that in turn will ensure a better
response to citizensrsquo and firmsrsquo needs which will eventually contribute to
competitiveness and growth in the European Union
Nevertheless a word of caution is in order here The ESF plays an important role in
providing support for SIC interventions The efforts made are large but the
performance of these interventions seems lower than desired SIC interventions were
less likely to achieve their output targets than ESF interventions in general (section
41) and evidence on quality improvements in public administrations is mixed (section
46) This lower performance may be partly explained by inexperience in target setting
for this type of activity and it does not prevent progress being made Progress is in
fact being made albeit slower in some countries and faster in others Capacity
building needs time For the newer MSs it has been a process driven largely by the
EU-accession process over a long time The 2007-2013 programming period could
have been the period during which the EU assumptions and objectives regarding the
role of modern public institutions could have become more internalised The crisis
has however been a strong counteracting force in this respect with an immediate
impact on staff and human resources development in public institutions Admittedly it
requires time and a long-term perspective for capacity building to realise its effects
and reach the top level of the objectives tree Support to countries in this process
should take into account the five key factors that influence the success of SIC
interventions management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
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76
54 Key lessons in terms of effective implementation
Issues concerning the management of the OP or PA are often linked to the lack of
administrative capacity in the Managing Authority or Intermediate Body itself (see
Annex III) both in quantitative and in qualitative terms Significant personnel outflow
along with complicated rules and errors in the implementation process as well as
often changing rules contributed to mistakes being made in financial reporting by
beneficiaries (section 46) Vice versa an attentive MA closely monitoring and
aligning project and financial considerations will be a contributing factor to a
successful programme implementation
Other lessons concerning the implementation of ESF interventions relate to
coordination and cooperation Efficient coordination of different funded activities and
efficient cooperation between different organisations involved are factors for success
(section 463) the lack of these elements was identified as a reason for the
unsuccessful implementation of programmes Coordination is also required to avoid
overlap in activities especially when targeting NGOs or local governments as there is
a greater risk that they are being approached from multiple directions for similar
interventions Coordination or alignment of training interventions for example can
also help increase the effectiveness and sustainability of the individual interventions
Fragmentation is in turn likely to increase costs and decrease impacts
55 Key lessons in terms of monitoring
With a greater number of improved indicators it will also be possible to improve
monitoring and evaluation so that results and impacts can be better traced during the
new programming period However this is potentially at odds with the intention to
minimise the administrative burden for organisations involved in the implementation
of ESF interventions For this reason the following improvements have been
suggested
A specificity of SIC PAs and actions seems to be that they tend to cover such a
variety of activities that a comparison of financial and participantsrsquo data is
rather meaningless (section 314) The introduction of compulsory types of
indicators per type of intervention according to a classification of interventions
can be beneficial such as the pre-existing one for training the number of
participants would also help in solving this issue
Ex-ante review of output and result indicators which have been proposed by
MSs to see if they comply with SMART criteria as a minimum measurable and
time-bound
Categorisation of indicators in the SFC database with categories such as the
number of persons supported number of organisations supported number of
studies provided etc
The fields of activity mentioned under section 51 represent objectives at various
levels in the intervention logic Sometimes these fields represent expected results
from the capacity building interventions (introduction of e-government systems and
more efficient public administration) sometimes they seem more focused on impacts
directly following from these results (a business-friendly environment and less
corruption) and sometimes they focus on a specific sector (judiciary reform) They
seem to move back and forth between results and intermediate impacts or between
capacity and performance outcomes More systematic guidance on where to situate
these fields could help countries formulate better indicators for monitoring results
In order to draw conclusions it does not suffice to just have good indicators One
must also establish a benchmark against which achievements can be measured
Sometimes other interventions or countries can act as a benchmark However
additional information is sometimes required This is illustrated by the example of
gender A more direct approach would be to develop indicators or targets that include
such a benchmark such as those based on proportional participation (section 44)
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77
56 Key lessons in terms of evaluation
One of the main shortcomings encountered during this evaluation is the lack of
information on achievements (in terms of results) and on impacts
Concerning results several limitations hamper the formulation of a concise and clear-
cut assessment of achievements causality and extent to which results have been
achieved at the level These relate to the quality and availability of monitoring data
and the heterogeneity of national evaluations coupled with a broad range of
intervention logics Furthermore information from national evaluations is typically of a
more qualitative nature with less evidence-based findings and is thus not conducive
to drawing hard conclusions
The formulation of impact indicators is not mandatory and they turn out to be virtually
absent This problem is not compensated for in national evaluations
Any attempt to measure impacts must begin with the formulation of a good
intervention logic as well as an objectives tree Two approaches could be envisaged
Bottom-up measuring the impact of individual activities (actionsPAsOPs)
aggregating the evaluation findings for such individual activities (etc) and
using the indicators developed in the MSs
Formulating one or more lsquoframework intervention logicsrsquo with specific
objectives that are the compulsory final targets of any action of MSsrsquo indicators
Both approaches require further examination with regard to their feasibility The
aggregation of findings from a large number of evaluations may lead to abstract
conclusions that convey little more than a final quantitative score in the most
extreme cases they will only convey whether there has or has not been an impact
This effect can perhaps be mitigated by the agreement of guidelines on the structure
of evaluations carried out at national level With regard to the framework intervention
logic it is important to determine whether this can do justice to the individual and
specific character of the programmes in light of the national contexts This approach
may also imply that the formulation of actions must be aligned with the envisaged
specific objectives of the framework logic The current variety in programming SIC
interventions would need to be reviewed both in terms of the benefits it brings to MSs
in targeting their interventions and the drawbacks it has for evaluation
The distinction between capacity enhancement and performance indicators raised by
the World Bank Institute and their overview of capacity enhancement indicators can
help MSs formulate appropriate (results and) impact indicators
During the analysis of efficiency (section 42) it became apparent that the nature of
SIC activities makes it hard to apply the usual indicators for efficiency based on costs
per participant or institution supported In order to arrive at meaningful indicators
financial data would need to be available at activity level so that they can be linked to
a typology of activities As this seems to be too cumbersome an obligation to be
introduced into the regular monitoring system it is recommended that this should be
addressed in the national ex-ante evaluations so that synthesis evaluations can
expand upon this
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Thematic EU synthesis report Strengthening Institutional Capacity
78
References
De Koning et al (2006)
Jaap de Koning Katja Korolkova Emiel Maasland Peter van Nes With the assistance
of Marinka van de Kamp Jan Joost Kessler Evaluation of the ESF support to capacity
building Final report October 2006
Ecorys (2011)
Jan Maarten De Vet Aimar Ferran Guijarro Sacha Koppert Colm McClements
Assessment of administrative and institutional capacity building interventions and
future needs in the context of European Social Fund(VC2009066-009) April 2011
Europan Union (2010)
European Union The European Social Fund and institutional capacity of public bodies
2010
European Commission (2012)
European Commission Quality of public administration European Semester 2012 ndash
Thematic Fiche 2012
European Commission (2013)
Strategic Report 2013 ndash Programme implementation 2007-2013 Factsheet
Institutional Capacity Building Factsheet produced in support of the Commission 2013
Strategic report on cohesion policy programme implementation 2007-2013
European Commission (2013b)
Report from the Commission to the European Parliament the Council the European
Economic and Social Committee and the Committee of the Regions Cohesion policy
Strategic report 2013 on programme implementation 2007-2013 SWD(2013) 129
final
European Commission (2014)
European Commission Directorate-General for Employment Social Affairs and
Inclusion Unit E1 Promoting good governance European Social Fund thematic paper
2014
European Commission (2014b)
European Commission Reindustrialising Europe Member Statesrsquo Competitiveness
Report 2014 Commission staff working document SWD(2014) 278 2014 (chapter 2
Public administration scoreboard)
European Commission (2014c)
Guidance document on indicators Public Administration Capacity building 2014
EIPA (2013)
Guidelines for the verification process of the ex-ante conditionality of the thematic
objective ldquoEnhancing Institutional capacity of public authorities and stakeholders and
efficient public administrationrdquo Guidelines drafted by the European Institute of Public
Administration (EIPA) on behalf of DG Employment Social Affairs and Inclusion of the
European Commission Version 6 - 14 August 2013
EIPA (2014)
Alexander Heichlinger Nick Thijs Julia Bosse From Strengthening Administrative
Capacity Building (ACB) to Public Sector Innovation (PSI) Building Blocks and
Successful lsquoBridgesrsquo EIPA 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
79
Ferry (2013)
Martin Ferry The Achievements of Cohesion Policy Evidence and Methodological
Challenges from an EU 10 Perspective European Policies research Centre University
of Strathclyde May 2013
Panteia (2013)
Panteia Preparatory study for the ex-post evaluation of ESF 2007-2013 Final report
October 2013
Knott (2007)
Julian Knott the impact of the EU accession process on the establishment of
evaluation capacity in Bulgaria and Romania in International Public Policy Review
Vol 3 No 1 ndash June 2007
The Worldwide Governance Indicators 2015 Update Aggregate Governance Indicators
1996-2014 Sept 25 2015
The World Bank (2003)
Yemile Mizrahi Capacity Enhancement Indicators Review of the Literature WBI
Evaluation Studies No EG03-72 World Bank Institute
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
80
Annex I - Overview of OPs PAs and Actions explicitly addressing SIC
MS OP PA A1 A2 A3 A4 A5 A6
BG OP Human Resources Development
PA 6
Improving the effectiveness of labour market
institutions and of social and
healthcare services
61 Development and modernisation of
the labour market system
62 Strengthening the capacity of
institutions for social inclusion
and for provision of health services
BG OP Administrative Capacity
PA 1
Good governance
11 Effective Structure of the State
Administration
12 Transparency and Integrity of
the State
Administration
13 Effective Coordination and Partnership
in Policy-Making
and Implementation of Policies
14 The Administration ndash Partner of the
Business
15 Transparent and Effective
Judicial System
16 Transnational and Inter-
regional
Cooperation
BG OP Administrative
Capacity
PA 2
Human resources
management
21 Modern human resources
management in the state administration
22 Competent and effective
state administration
23 Strengthening
the capacity of the civil society structures
24 Competent judicial system and
effective human resource management
25 Transnational
and interregional cooperation
BG OP Administrative
Capacity
PA 3
Quality administrative
service delivery and e-Governance development
31 Improvement of
the service delivery to the citizens and the business sector including through e-governance
development
32 Standard information and
communication environment and interoperability
33 Improvement of
the service delivery provided by the bodies of the judiciary through development of
information technologies
34 Transnational and interregional
cooperation
CZ Operational Programme
PA 4
Public administration
41 Strengthening of
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Thematic EU synthesis report Strengthening Institutional Capacity
81
MS OP PA A1 A2 A3 A4 A5 A6
Human Resources
Development
and public services
institutional capacity and
efficiency in public administration
EE OP for Human Resource Development
PA 5
Enhancing administrative capacity
Measure ldquoEnhancement of strategic
management of the public sector and NGOsrdquo
Measure ldquoBetter regulationrdquo
Measure ldquoTraining and development of
employees of the State local authorities and NGOsrdquo
Measure ldquoSupporting county-level
support structuresrdquo
EL OP for Human
Resource Development
PA1 ldquoImproving
national public policies
modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA2 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA3 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human Resource Development
PA4 ldquoDevelopment of the human capital in the public
administration
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Thematic EU synthesis report Strengthening Institutional Capacity
82
MS OP PA A1 A2 A3 A4 A5 A6
EL OP for Human Resource
Development
PA5 ldquoDevelopment of the human
capital in the public administration
EL OP for Human Resource Development
PA6 ldquoDevelopment of the human capital in the
public administration
EL OP for Human Resource Development
PA7 Strengthening policies aiming at ensuring
equal
opportunities for all in the whole range of the public administration
EL OP for Human Resource Development
PA8 Strengthening policies aiming at ensuring equal opportunities for
all in the whole range of the
public administration
EL OP for Human Resource Development
PA9 Strengthening policies aiming at ensuring
equal opportunities for all in the whole
range of the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
83
MS OP PA A1 A2 A3 A4 A5 A6
public administration
HU State Reform OP
PA 1
Renewal of processes and organisation
development
11 Improvement of the capacity for
self-governance and the quality of legislation
12 Renewal of procedures and work processes
as well as organisation development
HU State Reform OP
PA 2
Improving the quality of human resources
21 Establishment of open recruitment and an efficient internal
replacement
22 Performance-based career pathways
HU State Reform OP
PA 3
Developments to be attained in the Central Hungarian Region
31 Renewal of the processes and organisational development
32 The improvement of the quality of human resources
IT Campania ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies programming
monitoring and
evaluation capacities at the National regional and local level with a view to
improving territorial governance
Specific Objective P ndash Strengthen capacity of institutions and
systems for the
implementation of policies and programmes
IT Calabria ROP PA Institutional Specific Specific
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Thematic EU synthesis report Strengthening Institutional Capacity
84
MS OP PA A1 A2 A3 A4 A5 A6
7 capacity Objective P ndash Improving
policies programming monitoring and evaluation
capacities at the National regional and
local level with a view to improving territorial governance
Objective Q ndash Strengthen
capacity of institutions and systems for the implementation
of policies and programmes
IT Sicily ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation
capacities at the National regional and local level with a view to
improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation
of policies and programmes
IT Basilicata ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies
programming monitoring and
evaluation capacities at the
Specific Objective P ndash Strengthen capacity of
institutions and systems for the
implementation of policies and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
85
MS OP PA A1 A2 A3 A4 A5 A6
National regional and
local level with a view to improving territorial
governance
programmes
IT Apulia ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation capacities at the
National regional and local level with a view to improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation of policies and
programmes
IT Governance and System Actions
(Ministry of Labour)
National OP
PA E5
Institutional capacity
Specific Objective 51 (Increasing
innovation effectiveness
and transparency of public action)
Specific Objective 52 (Improving
inter-institutional negotiation
capacities with specific reference to public-private partnerships)
Specific Objective 53 (Improving
public services standards)
Specific Objective 54 (Defining together with
Regions standards and methodologies
for managing monitoring evaluating and supporting ESF and non-ESF interventions
quality and effectiveness as
well as their reciprocal
Specific Objective 55 (Strengthening
and integrating the
environmental governance system)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
86
MS OP PA A1 A2 A3 A4 A5 A6
complementarity)
IT Competencies for development (Ministry of
Education) National OP
PA 2
Institutional capacity
Specific Objective H (Improving Education
System Governance and Evaluation)
LT OP for the Development of Human Resources 2007-2013
PA 4
Fostering Administrative Competences and Increasing Efficiency of
Public Administrationrdquo
Specific Objective 1 Improving management of human resources
and strengthening
administrative capabilities in public service
Specific Objective 2 Improving management of activities better
implementing EU policies
improving structure of public administration
Specific Objective 3 Improving regulation of economic
activities and providing
services to people and business
LV OP Human Resources and Employment
PA 5
Administrative Capacity Building
51 Better Regulation Policy
52Capacity Building of Human Resources
53 Administrative Capacity and Development Planning Capacity
Building of
Planning Regions and Local Governments
MT OP II -
Empowering people for more jobs and
a better quality of life
PA
4
Strengthening of
institutional and administrative capacity
Supporting
public sector reform
Lifelong learning
for the Public Sector
Strengthening
the quality of employment services
Promoting a more
effective social and civil dialogue in Malta
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
87
MS OP PA A1 A2 A3 A4 A5 A6
PL Human Capital Operational
Programme
PA 5
Good governance
51 Strengthening
potential of government administration
52 Strengthening
potential of local government administration
53 Support for implementation
of the Lisbon Strategy
54 Development of the third
sectorrsquos potential
55 Development
of social dialogue
RO OP ACD ndash Operational Programme
Administrative Capacity Development
PA 1
Improving structure and processes of
public policies cycle management
11 - Improving decision making processes at
administrative and political level
12 ndash Increasing public administration
responsibility
13 - Improving organisational effectiveness
RO OP ACD ndash Operational
Programme
Administrative Capacity Development
PA 2
Improving quality and
efficiency of
public services with a focus on decentralisation
21 ndash Support for sectoral
decentralisation
of services
22 - Improving quality and
efficiency of
public services
SI OP Development
of human resources for the period 2007-2013
PA 5
Institutional and administrative
capacity
51 Efficient and effective public
administration
52 Reform of the institutions
in the labour market
SK Operational Programme
Employment and Social Inclusion
PA 4
Capacity building and
enhancement of the quality of public administration
41 Enhancement of
services quality provided by public administration and NGOs ndash activities focused
on increasing of quality and effectiveness of
the services
42 Establishing of quality
management systems in public administration and NGOs in the field of employment and
social policy ndash improvement of process
management in
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
88
MS OP PA A1 A2 A3 A4 A5 A6
provided by public
administration
public administration
was planned NOTE not implemented
UK West Wales and the Valleys ESF
Convergence programme
PA 4
Modernising and improving the quality of public
services
A = Action see section 312 for clarifications
Source Country experts based on relevant Operational Programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
89
ANNEX II Country specific recommendations in the field of SIC
2007 2008 2009 2011 20122013
BG urgently further strengthen administrative
capacity in particular focusing on key government functions including regulatory authorities and the judiciary
adopt new measures and
rapidly implement adopted measures to
substantially cut red tape and shorten procedural
delays in order to improve the business environment (in particular for SMEs and facilitating start-ups) which will also help in the fight against corruption
tackling undeclared work
by strengthening
institutional capacity to perform inspections and ensure legal enforcement
urgently further strengthen the efficiency and the
effectiveness of the public administration in particular by focusing on key government functions including the competition
supervisory and regulatory authorities and the judiciary and continue taking all measures necessary to ensure effective financial controls and
sound management of structural funds
rapidly adopt and implement
new measures to substantially cut red tape at central and local level and shorten procedural delays in order to improve the business
environment which will also help in the fight against corruption -
(low efficiency of public services quality of staff or key functions e-services)
enhance administrative capacity in key government functions and regulatory authorities in order to make
public services more effective in responding to the needs of citizens and businesses introduce measures to check
public procurement on the basis of risk assessments
strengthen the capacity of the authorities to prevent and sanction irregularities in order to improve quality and value-for-money in the use of public funds
(The use of EU funds remains low )
Complicated administrative procedures
business and regulatory environment
e-government
Step up efforts to enhance
administrative capacity and reforms by reducing red tape
and the cost of tax compliance and collection and further improving the absorption of
EU funds Improve the quality and independence of the judicial system and speed up the introduction of e-government Strengthen public administrative capacity in key transport sectors and
regulatory authorities
Ensure sound implementation
of public procurement legislation Strengthen the prevention of irregularities and effectively apply the sanctions under the Public Procurement
Law and those of the Law on Conflict of Interest
CZ speeding up progress in speeding up progress in (quality of the Czech legal (efficiency of public
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
90
2007 2008 2009 2011 20122013
the ICT area including by implementing and monitoring the development of a fully
enabling legal environment for e-government
meet targets for reducing the administrative burden on enterprises
further developing access
to finance for innovative companies
the ICT area including by implementing and monitoring a fully enabled legal environment for e-
government
and regulatory framework frequent and far-reaching reorganisations of PA impede its efficiency transparency of
public procurement
improve the quality of public services in areas essential for the business environment In this context speed up the
implementation of the anti-corruption strategy in line with the identified targets adopt
the Public Servants Act to promote stability and effectiveness of the public administration and revise the
Commercial Code to abolish anonymous shareholding
administration
e- services
reduction of administrative burden for businesses
Anticorruption
adoption of the new Public Procurement Act)
Adopt and implement as a matter of urgency the Public
Servants Act to promote
stability and effectiveness of the public administration to avoid irregularities
Ensure adequate implementation of the new Public Procurement Act
Address the issue of anonymous share holding
Ensure correct implementation
of EU Funds and step up the fight against corruption
EE - launching the new
immunity and leniency programme and
strengthening competition enforcement
One of the aims within the Priority Axis 5 ldquoEnhancing administrative capacityldquo of OP
for Human Resource Development was to provide more modern and efficient public services From the standpoint of the public
service training and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
91
2007 2008 2009 2011 20122013
developmental activities it was considered important to assist in the unified formation of the know-how for public
sector workers public servants and NGOs (incl social partners) as regards job skills management cooperation and coordination However the ESF did not
support directly the merging of municipalities)
- (Being limited in size the majority of local governments have difficulties to universally deliver the necessary social
health labour market transport and educational services)
- - Enhance fiscal sustainability of
municipalities while improving
efficiency of local governments
and ensure effective service provision notably through stronger incentives for merger or increased cooperation of municipalities
EL - modernises its public administration by building
up effective regulatory control and enforcement
capacities including
- implement the reform of its public administration
by building up effective regulatory control and
enforcement capacities
- implement reform of the public administration by
building up effective regulatory control and enforcement capacities with
an emphasis on simplifying
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
92
2007 2008 2009 2011 20122013
through upgrading skills so as to also ensure effective use of Structural Funds
by modernising its human resources policy and through effective use of the Structural Funds
- improve further the transposition of internal market legislation
the regulatory environment for business and citizens and reducing red tape
HU - reforms the public administration health
care pension and education systems with a view to ensuring long-term fiscal sustainability and improve economic
efficiency - further reductions of the
administrative burden on enterprises
- continue to reform the public administration
healthcare pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic
efficiency - improving the regulatory
environment through further reducing administrative burden and legislative simplification
- continue to reform the public administration health care
pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic efficiency
- PES administrative capacity - Improve the business
environment by implementing all the measures envisaged for regulatory reform and lowering administrative burdens in the National
Reform Programme
- (transparency and quality of public administration where
progress would also help in improving the stability of the institutional and policy environment)
- capacity of the PES
- Implement measures envisaged to reduce the
administrative burden Ensure that public procurement and the legislative process support market competition and ensure a stable regulatory and business-friendly
environment for financial and nonfinancial enterprises including foreign direct
investors Reduce tax compliance costs
IT - strengthening and fully implementing the system of impact assessment for proposed regulation
- improving the efficiency of regulatory environment
with particular focus on legislative simplification
- support economic activity by advancing implementation of
EU programmes financed by EU structural funds
- (to enhance the performance-orientation and accountability of the public administration
scope for removing regulatory and administrative barriers in product and services markets particularly in professional services)
- Take steps to accelerate
- (deficiencies in terms of administrative capacity continue to hamper absorption
and hence the implementation of the Plan notably in the convergence regions complex and burdensome tax administrative procedures
Although some measures have
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
93
2007 2008 2009 2011 20122013
growth-enhancing expenditure co-financed by cohesion policy funds in order to reduce the persistent disparities between
regions by improving administrative capacity and political governance Respect the commitments made in the national Strategic Reference Framework in terms of the
amount of resources and quality of expenditure
already been adopted to encourage administrative simplification the business environment in Italy remains
complex In particular the judiciary system suffers from a number of inefficiencies in terms of resource utilisation procedures and institutional organisation that are reflected
in the low performance of the Italian civil justice in particular as regards the excessive duration of case-
handling and the amount of backlogs)
- Simplify further the regulatory
framework for businesses and enhance administrative capacity Implement the planned reorganisation of the civil justice system and promote the use of alternative dispute settlement mechanism
LT - improving the efficiency
of regulatory environment with particular focus on legislative simplification
- support economic activity by
advancing implementation of EU programmes financed by EU structural funds
business environment
strengthen business inspectorates increase transparency and reduce the administrative burden on business
LV
(poor transparency complicates evidence-based local decision making)
Take measures to improve
management and efficiency of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
94
2007 2008 2009 2011 20122013
the judiciary in particular to reduce the backlog and length of procedures Take steps to improve the insolvency regime
and the mediation laws
MT - introducing systematic impact assessment and speeding up progress towards simplification of regulations
- further improving the regulatory environment by continuing simplifying legislation by introducing systematic impact assessments and effective
one-stop-shops for business start-ups
PL - improving human capital and incentives to work
- speeding-up the business
registration process - ensuring timely
implementation of the e-
government programmes - improve the transposition
of internal market legislation
- (quality of the business environment and efficiency of public administration is low)
- Establish a timetable to
simplify legal procedures involved in enforcing contracts revise construction and zoning legislation with a view to streamlining appeal procedures and speeding up administrative procedures
- (business remains high and public administration continues to lack efficiency The main areas of concern
include high compliance costs complex and unstable tax legislation weak contract enforcement lengthy and burdensome licensing Judicial proceedings and other legal actions are lengthy and there
are a relatively high number of cases pending)
RO - urgently strengthen
administrative capacity at both central and local levels of government by building up effective
regulatory control and enforcement capacity
- take rapid measures to
reduce substantially
- strengthen the efficiency effectiveness and independence of the public administration at both central and local level by building up
effective regulatory control and enforcement capacity
- in the context of a coherent
better regulation policy
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
95
2007 2008 2009 2011 20122013
administrative procedures and delays to obtain authorisations as part of a coherent better regulation
policy in order to improve the business environment which will also help in the fight against corruption
urgently implement measures to substantially reduce administrative procedures and delays in obtaining
authorisations in order to improve the business environment which will also help in the fight against corruption
SI - strengthening the enforcement of the legal framework for protecting intellectual property rights
NA NA Streamline regulated
professions and improve the administrative capacity of the Competition Protection Office in order to enhance the
business environment and attract investment
NA
SK - Reduction of
administrative burden is a must
- -Recommendations to improve the evaluation system and to stabilise the administrative
capacities improvements
in the better regulation system
- improve the regulatory
environment notably by implementing a comprehensive better regulation strategy covering both impact assessment and simplification of existing
legislation - full implementation of
one-stop-shops for start-up companies
- implement a comprehensive
better regulation strategy conduct impact assessments and continuously simplify the existing legislation while stepping up the reduction of administrative burdens on businesses particularly SMEs
(quality of the business
environment and efficiency of public administration is low)
- Establish a timetable to simplify legal procedures involved in enforcing contracts revise construction
and zoning legislation with a
view to streamlining appeal procedures and speeding up administrative procedures
(business remains high and
public administration continues to lack efficiency The main areas of concern include high compliance costs complex and unstable tax legislation weak contract
enforcement lengthy and
burdensome licensing Judicial proceedings and other legal actions are lengthy and there are a relatively high number of cases pending)
Strengthen the quality of the
public service including by
improving management of human resources Further
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
96
2007 2008 2009 2011 20122013
shorten the length of judicial proceedings and strengthen the role of the Public Procurement office as an
independent body
UK NA NA
NA NA NA
Sources own analysis of country specific recommendations
Annex III - Factors influencing success and failure of SIC interventions for individual countries per category
Management
The activation of a clear well dimensioned and recognised SIC theme management structure able to assume and carry out the oversight of the various implementing interventions and
equally important of the relations between the different actors and stakeholders (IT)
A ldquoCapacity traprdquo is often at work in weak regions SIC is affected by the same problems that should be solved This reinforces the need for a strong and result oriented governance (IT)
the constant concern of the MA for managing the programme in correlation with the available resources at the level of OP ACD The financial allocation was correlated with the specific objectives of OP ACD for each Priority Axis The financial reallocations between the KAIs of
the same PA show the concern for correlating the available financial allocations with the interest shown by potential beneficiaries and for maintaining the balance between the allocated resources and the result indicators of the programme (RO)
Lack of administrative capacity of the Intermediate Body This was demonstrated for example by a long length of the projectsrsquo evaluation process and by frequent requirements of the IB to get exceptions from the Operational Manual (CZ)
Personal fluctuation and related staffing instability of the IB in projectsrsquo administration (CA)
Finally the SROP projects have extensively involved external experts which proved not to be the guarantee of the success of the SROP projects supposing the lack of familiarity with the local administration (HU)
The low capacity level of MA OP DAC both in terms of headcount and in terms of experience and expertise The significant personnel outflows prevented the development of the OP DAC team in an adequate manner causing faults in communicating with beneficiaries and in effectively managing project implementation from the programme level (RO)
Relevance and quality of the activities for the target groups (eg relevant and high quality
trainings for different categories of civil servants) (LT)
Complicated administration of the projects and often changed rules (SK)
Huge number of mistakes in financial reporting timesheets eligible and non-eligible costs direct and indirect costs (SK)
Non-observance of deadlines by first level financial control (SK)
Strategic approach and intervention logic
Romania The analysis developed in order to support the OP ACD correctly identified the
horizontal issues affecting the Romanian public administration but its lack of focus on types of beneficiaries and target groups led to the elaboration of a programme with objectives which are difficult to quantify with a low level of prioritisation and with an untargeted implementation strategy The lack of depth of the analysis underpinning OP DAC is the weakest point in the logic of intervention of the programmerdquo For some indicators the targets
were not correctly planned due to a lack of analyses and research studies but there were also cases when the targets became unrealistic during the programming period due to the
context changes occurred Finally beneficiaries often lacked a strategic approach particularly in respect of the decentralisation process The question to be answered here is whether these problems were due to contextual factors as described above or had to do with the capacity of institutions and people the very thing the interventions were supposed to address
The approach based on calls for project ideas (for large projects) was one mechanism used
for this strategic approach which proved to be successful This approach resulted in an increased relevance to KAI considering also the contribution to meeting the specific objectives (RO)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
98
SIC requires structural and long-term strategy (IT)
Evaluation of SIC must identify a proper theory of change based on fundamental mechanisms and has to identify the structural changes in the PA (IT)
The definition and implementation of SIC theme as an internally coherent and consistent policy line and not as a sum or juxtaposition of single interventions (IT)
The ex-ante identification of few and relevant areas of interventions to tackle with an adequate funds and resources critical mass (IT)
The Public Administration(s) capacity to identify precise objectives definite implementing actions coherent instruments and coherent responsibilities for results and outputs (IT)
Well-developed intervention logic (it was a positive factor in the case of successful development of HR and a negative factor in the case of system-level reforms under PA 4 in Lithuania) (LT)
The target groups of OP DAC are generally relevant for the programme intervention logic but the lack of individualization coming out of the supporting analysis led to their identification in a rather general manner (RO)
Motivation and capacities of beneficiaries
Proper motivation of target groups (for instance in certain cases lack of motivation was one of the key negative factors affecting the results of trainings funded under PA 4 in Lithuania) (LT)
The willingness of the public sector to engage in training activities and the provision of training which is organised in a manner which caters for the need of the public sector (MT)
The evaluation points to the importance of the support of local government leaders as key issues in the success of the interventionsprojects Without strong support the projects have never been successful (HU)
Projectslsquo beneficiaries that resign from the projects lsquorealisation or cancel their projectslsquo proposals (CZ)
guarantors of the projectslsquo proposals that have not enforced implementation of their projects within their subordinate organisations (CZ)
Leadership and organisational maturity on the part of project implementersmanagers Low organisation maturity was a somewhat negative factor in HR trainings funded by ESF (a large part of trainings was implemented by private companies) At the same time it was a positive factor in the case of initiatives focusing on the improvement of internal management activities within public institutions (LT)
The ability of civil society organisations to consolidate their efforts and participate in actions is an important aspect to be addressed as the success of civil organisations depends on their ability to strengthen their capacity and networking opportunities (MT)
The low capacity of project beneficiaries in project formulation implementation and the lack general project management skills (RO)
Errors in implementation process and huge number of projects that were not completed (SK)
Cooperation and coordination
Efficient coordination of different funded activities and efficient cooperation between different institutions in implementing the changes An incomplete cooperation between institutions was
responsible for only partly successful implementation of e-governance measures (LT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
99
inter-ministerial coordination structures that not work continuously (CZ)
Context factors
PAR
The existence before ESF intervention of a clear and explicit capacity building strategy to be integrated and boosted by ESF funding (but able to go beyond ESF support) (IT)
The existence of strategic vision (at statesystem level) in relation to the implemented interventions (LT)
Legislation
Maladjustment of the applicable law to the IT projects In many cases existing regulations require the delivery of documents in paper form Therefore the introduction of electronic services was possible only partially So it is necessary to modify certain provisions as well as
identify such barriers at the stage of diagnosis (PL)
A systemic issue which also causes a significant negative impact on the low efficiency of OP DAC by the end of 2012 is the complex legislation in the area of public procurement and its different interpretation by the institutions involved in certifying and controlling the subsequent procedures (RO)
Huge number of mistakes in public procurement (often changed rules as well) (SK)
Institutional and political
The support and awareness of political authorities and institutions involved on the importance of reformschanges (LT)
Changing political environment (EL SI)
Politicised institutional environment (EL HU)
the support by politicians (SI)
Source Own elaboration on the basis of information provided by Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
100
Annex IV - Evaluations relevant to SIC interventions
The following table provides an overview of Member States evaluations that focus on ESF
SIC interventions and were an important source for the assessments made in this
chapter
Table 22 SIC related evaluations in Member States ESF 2007-2013
MS Relevant evaluations for SIC
BG OPAC Interim Evaluation Report for the period 2007-2013 first Report on the evaluation of OP AC implementation for the period January-
December 2014 May 2015
CZ Supreme Audit Office of the Czech Republic Information from the control action No
1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
Ministry of Interior (2015) Annual report on Smart Administration strategy for the period 142014 ndash 3132015 Ministerstvo vnitra Ročniacute zpraacuteva o Smart Administration
za obdobiacute od 14 2014 do 313 2015 Informace pro vlaacutedu Českeacute republiky zpracovanou 3042015
Ministry of Labour and Social Affairs (2014) Final report from the internal evaluation of the PA 4 of the OP HRE Ministerstvo praacutece a sociaacutelniacutech věciacute Zaacutevěrečnaacute zpraacuteva z interniacute evaluace provaacuteděniacute PO 4 OP LZZ
EE The evaluation of the effectiveness and the impact of the PA 5 ldquoRaising Estonian
administrative capacityrdquo CPD 2011 in Estonian
httpwwwstruktuurifondideepublicInimressursi_arendamise_rakenduskava_IARKpdf
Executive summary in English httpwwwavalikteenistuseepublicHaldusmeedeEvaluation_Report_Administrative_Capacity_Estonia_2011_-_Executive_Summary_-_Logopdf
EL Logotech-Prooptiki 2007 lsquoEx-ante evaluation of the OP Administrative Reformrsquo March
2007 Athens EEO Group-Eurotec 2013 lsquoInterim evaluation of the OP Administrative Reformrsquo
February 2013 Athens EEO Group-Eurotec 2014 lsquoField research on women non-governmental organisations
active in the fields of equality and human rights protectionrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network of improving the quality of
public services towards enterprisesrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network supporting consumers in issues
relating to indebtednessrsquo Athens
HU Final evaluation (AAM 2012) Final evaluation report on the State Reform OP 2007-2010
institutional development projects executed (Eacuterteacutekeleacutesi zaacuteroacutejelenteacutes az AacuteROP 2007-2010 koumlzoumltt megvaloacutesiacutetott szervezeti ceacuteluacute fejleszteacuteseiről) AAM Consulting November
2012 httpswwwpalyazatgovhukozigazgatasi_fejlesztesek_ertekelese Executive Summary ndashEx-post evaluation of the organisational development measures
founded by the State Reform OP AAM consulting nov 2012 (Az Aacutellamreform OP szervezetfejleszteacutesi ceacuteluacute fejleszteacuteseinek eacuterteacutekeleacutese)
SROP case DUNAUacuteJVAacuteROS (2014) Study paper on the evaluation and revision results of previous State Reform OP system development project (Tanulmaacuteny a koraacutebbi AacuteROP szervezetfejleszteacutesi projekt eacuterteacutekeleacutesi eacutes feluumllvizsgaacutelati eredmeacutenyeiről -
Eredmeacutenytermeacutekek hasznosulaacutesaacutenak eacutes horizontaacutelis szempontok eacuterveacutenyesuumlleacuteseacutenek vizsgaacutelata) Case project of the local government of DUNAUacuteJVAacuteROS (SROP - 1A5 ndash 2013-2013-0090) 2014 February 28
httpwwwdunaujvaroshusitesallfilesdokumentumokpalyazatokarop1a5dunaujvaros_korabbi_arop_felulvizsgalat_1_tanulmany_v30pdf
IT Annual evaluation reports of the Governance and System Actions OP (4 covering until
now w 2011 2012 2013 2014)
LT Evaluation of the implementation of result indicators in the Human Resources
Development Programmes priority axis 4 measures 2 and 3 2009 Evaluation of the quality and effectiveness of the training financed by the ESF 2011 Interim evaluation of the Human Resources Development Operational Programmes
priority axis 4 Final evaluation report 2013
European Union Structural Funds Investments for Human Resource Development 2015
Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
101
MS Relevant evaluations for SIC
Improvement of Public Management in Lithuania 2014
LV Ongoing evaluation started in 2014 Impact evaluation of 151 Better Regulation
Policy and 152Capacity Building of Human Resources
lsquoImpact evaluation of the activities implemented under the Operational Programme ldquoHuman Resources and Employmentrdquo and Operational Programmersquos Compliment measures 151 ldquoBetter Regulations Policyrdquo and 152 ldquoStrengthening Capacity of Human Resourcesrdquo during the 2007 ndash 2013 programming periodrsquo 2015 httpwwwesfondilvuploadPetijumi_un_izvertejumigala-zin_pec-saskanosanas-sanaksmes_081015pdf
MT Thematic Evaluations presentations PWC dated October 2014 and May 2015 available
at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx The Thematic Evaluation is not published
PL Assessment of the level of achievement the HC OP main and specific objectives as well
as impact of the ESF funds on results accomplished within specific areas of intervention ndash II thematic report (2015) - The main goal of this research was to assess the contribution by ESF funds to the results achieved within specific areas of intervention and their impact on the social and economic changes in Poland (including the level of satisfaction in the population living in the areas receiving support)
Evaluation of the indicator named Gender Index in the institutions participating in the
implementation of the HC OP (2011) ndash Main topics Recruitment releases remuneration promotion training and development work-life balance and prevention of mobbing and sexual harassment - measured in the HC OPrsquos implementing institutions
Evaluation of barriers and legal gaps in the effectiveness of the European Social Fundrsquos support (2013) - legal system of a country and its coherence with ESF requirements
opportunities and provisions Public administration - effective and modern (2011) - achievement of Measures
objectives with regard to capacity of public administration possible strengthening of its potential and modernisation of management system and structure
RO Second interim evaluation OP ACD 2010-2012 - Second evaluation OP ACD 2013 Performance evaluation of OP ACD management and implementation ndash OP ACD
performance evaluation 2015
SI The institutional evaluation of the ESRS (Employment Service of the Republic of
Slovenia) 2012
The institutional evaluation of the ESRS (Employment Service of the Republic of Slovenia) is not considered in this evaluation as it is not related to ESF financing It
evaluates however the effectiveness and efficiency of processes analyses obstacles to effective provision of services and proposes 12 indicators for the monitoring of the processes
SK Possibly relevant evaluations mentioned in EEN-INV_SK but not available on internet
(planned probably not realised) 1) Final Evaluation of Implementation of OP Employment and Social Inclusion (beginning planned in 2014 end planned in 2015 not
available in time for this study) Evaluation of Improvement of Human Resources Quality and Management in Public
Administration and NGOs (end of the evaluation was planned in 2012 not made available in time for this study)
UK Thematic Evaluations of the 2007-2013 Structural Funds Programmes in Wales
including Modernising Public Services (ESF Convergence Priority 4)
Source Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
102
HOW TO OBTAIN EU PUBLICATIONS
Free publications
bull one copy
via EU Bookshop (httpbookshopeuropaeu)
bull more than one copy or postersmaps
from the European Unionrsquos representations (httpeceuropaeurepresent_enhtm)
from the delegations in non-EU countries
(httpeeaseuropaeudelegationsindex_enhtm)
by contacting the Europe Direct service (httpeuropaeueuropedirectindex_enhtm)
or calling 00 800 6 7 8 9 10 11 (freephone number from anywhere in the EU) () () The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
Priced publications
bull via EU Bookshop (httpbookshopeuropaeu)
Priced subscriptions
bull via one of the sales agents of the Publications Office of the European Union
(httppublicationseuropaeuothersagentsindex_enhtm)
doi[102767271126]
[KE-0
2-1
6-9
29-E
N-N
]
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
this theme is subject to another thematic evaluation - one of the Priorities of Article 3 lsquoScope of assistancersquo of the ESF Regulation No 10812006
ISCED International Standard Classification of Education an
international standard classification used to classify the education levels
1 Primary education
2 Lower secondary education
3 Upper secondary education
4 Post-secondary non-tertiary education
5 Short-cycle tertiary education
6 Bachelor or equivalent
Intermediate Body (IB) The organisation charged by the Managing Authority to implement the ESF funds in the OP
Intervention The third level in the OP architecture usually the Actions in the OP consist of several interventions
Managing Authority (MA) The institution in each Member State OP responsible for the
strategic direction and financial management of the OP
Multi-Objective OP An OP in which both RCE and Convergence regions participate
Operational Programme (OP)
The means through which the ESF support was implemented in the Member States as agreed between the European Commission and the Member States Each OP consists of several Priority Axes which in turn consist of several actions
which in turn consist of several interventions
Output The immediate reach of the ESF activity (eg number of participants reached number of schools or enterprises supported)
Participant The person who participated in the ESF funded activity
Priority Axis (PA) The first level in the OP architecture usually the OP consists of several Priority Axes (concepts of priorities areas and others
are also used in the OPs) which in turn consist of several actions and each action of several interventions
Project promoter The organisation in charge of implementing specific ESF funded projects
Promoting Partnerships (PP)
Policy area focused on partnerships pacts and initiatives
through networking of relevant stakeholders such as the social
partners and non-governmental organisations at the
transnational national regional and local levels in order to
mobilise for reforms in the field of employment and labour
market inclusiveness PP is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006
Regional competitiveness and employment objective
(RCE)
NUTS level 2 regions in the EU Member States whose GDP per capita was above 90 of the average GDP of the EU-25 for
the same reference period
Result The change achieved through the activity leading to long term achievements of ESF activities (eg number of qualifications
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
acquired by participants number of enterprises providing training)
Social Inclusion Refers to a wide range of issues and activities covering
aspects such as fundamental rights access to adequate
income support and quality services From the perspective of
ESF SI interventions the most common strand of activity in
the Recommendation is that relating to inclusive labour
markets This focus is also echoed in the ESF Regulation
where the SI priority focuses on inclusion into the labour
market as the best means of integrating individuals into
society and of combatting social exclusion SI is one of the
Priorities of Article 3 ldquoScope of assistanceldquo of the ESF
Regulation No 10812006
Strengthening Institutional Capacity
A key policy area focussing on the efficiency of public
administrations and public services at national regional and
local level by promoting mechanisms to improve good policy
and programme design monitoring and evaluation and
capacity building in the delivery of policies and programmes in
the relevant fields SIC is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006 and
is the object of this evaluation
Sustainability The extent to which the achieved results last
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Acronyms
A2E Access to employment and sustainable integration into employment
AIR Annual Implementation Report
CAV Community Added Value
CoE Category of expenditure
CSR Country Specific Recommendation
EC European Commission
EEN Expert Evaluation Network
ESF European Social Fund
EU European Union
HC Human Capital
LTU Long Term Unemployment
MA Managing Authority
MS Member State
NGO Non-governmental organisation
OP Operational Programme
PA Priority Axis
PAR Public Administration Reform
PES Public Employment Service
SFC Structural Funds Common Database
SIC Strengthening Institutional Capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Table of contents
Executive Summary i
1 Introduction 6
11 Background 6
12 Objectives 6
13 Scope 7
14 Methodological Approach and information sources 7
15 Structure of the report 7
2 Key SIC challenges and policy directions in the EU in the 2007-2013
programming period 9
21 Evolution of the institutional capacity building focus 9
211 The origins of institutional capacity building support 9
212 Good governance as a deciding factor for competitiveness and cohesion 9
213 Definitions and concepts 10
22 Capacity building and ESF 11
3 Overview of key ESF SIC investment features in the 27 Member States 13
31 Links to the national and EU policy priorities main activities and target
groups 13
311 Links to the national and EU policy directions 13
312 Key characteristics of activities and target groups at EU and MS level 17
313 Key characteristics of specific dimensions and categories 19
314 Structures and processes 20
315 Human resources 24
316 Tools 27
32 The overall strategy for ESF SIC investment 28
33 The impact of the economic crisis on ESF SIC priorities actions and funding
(EU-27) 33
34 The ESF expenditure in the area of SIC 34
341 Overall funding levels 34
342 Programmed expenditure on Category of Expenditure 81 36
4 The effectiveness efficiency sustainability gender sensitivity community
added value and the socio-economic impact of ESF SIC investment in the 27 Member
States 39
41 The effectiveness of ESF SIC interventions 40
411 Progress in the financial implementation of ESF SIC 40
412 Types of output and result indicators selected by the OPs 44
413 Overall achievements 46
414 Achievements in specific fields of activity 48
415 Effectiveness 49
416 Reaching the different target groups 53
42 Efficiency 56
43 The sustainability of ESF SIC interventions 57
44 Gender sensitivity of ESF SIC interventions 58
45 Community added value of ESF SIC interventions 60
451 Volume effects 60
452 Scope effects 61
453 Role effects 62
454 Process effects 62
46 The socio-economic impact of ESF SIC 63
461 Impact indicators and evidence from national ESF evaluations 63
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
462 Impacts in relation to changes in the quality of administrations65
463 Key factors determining success or failure 68
5 Overview of key lessons learned 72
51 Key lessons in terms of policy choices 72
52 Key lessons in terms of target groups 74
53 Key lessons in terms of appropriate programming 74
54 Key lessons in terms of effective implementation 76
55 Key lessons in terms of monitoring 76
56 Key lessons in terms of evaluation 77
References
Annex I Overview of OPs PAs and Actions explicitly addressing SIC
Annex II Country specific recommendations in the field of SIC
Annex III Factors influencing success and failure of SIC interventions for individual
countries per category
Annex IV Evaluations relevant to SIC interventions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
List of figures and tables
Figure 1 SIC in OPs and PAs 29
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of funds
allocated to SIC-related Priority Axes over total ESF budget) 35
Figure 3 Budget allocated to expenditure category 81 per MS 36
Figure 4 Government effectiveness 65
Figure 5 Regulatory quality 66
Figure 6 Rule of law 67
Figure 7 Key factors for success and failure mentioned for MS 69
Table 1 Institutional capacity objectives tree for ESF 11
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP 14
Table 3 CSR addressed under SIC interventions by MS 15
Table 4 Contribution of ESF SIC interventions to MS policies 16
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category 18
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS) 19
Table 7 Characteristics of SIC actions 20
Table 8 Countries covered in programming and expenditure based analyses 30
Table 9 Overview of SIC dedicated OPs and PAs by MS 31
Table 10 ESF SIC investment and over total ESF (total funding) 35
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS 37
Table 12 SIC and overall ESF implementation rate () by MS (31 December 2014)
40
Table 13 Share of the budget spent per SIC relevant PA43
Table 14 Target setting and achievement for outputs SIC and ESF 50
Table 15 Achievement of output targets for SIC and all ESF interventions 50
Table 16 Target setting and achievement for results SIC and ESF 51
Table 17 Achievement of results targets for SIC and all ESF interventions 52
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014) 54
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women
participants55
Table 20 Funding per participation for SIC related OPsPAs 56
Table 21 Examples of tentative impact evaluations 64
Table 22 SIC related evaluations in Member States ESF 2007-2013 100
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
i
Executive Summary
Key findings
EU-28 Member States (MS) allocated euro2419 million to Operational Programmes
(OPs) or Priority Axes (PAs) that were dedicated to Strengthening Institutional
Capacity (SIC) objectives This includes funding from national (public and private)
sources as well as the amount of co-funding foreseen from the EU
As of the 311220141 693 of SIC allocated funding at EU-27 level was spent
compared to 793 of total ESF budget which demonstrates that on average
fewer SIC funds have been spent in relation to overall ESF funding The economic
crisis contributed to budget reductions or lower impact in several MS
Almost 14 million participations were reported to have been involved in SIC-
related interventions
Almost all participants are employees of beneficiary institutions the majority
are women (64) and well educated (ISCED 5 and 6)
Most countries used ESF to provide additional funding for good governance to
test new and innovative activities to reach new target groups and to
improve public administration service and delivery systems and methods
In doing this they responded to the issues identified by Country Specific
Recommendations in the SIC field
At least 17000 training programmes were developed while 4000 studies
campaigns public consultations reviews (laws procedures) and reports have been
implemented amongst other actions At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures
including client centres or regional offices
ESF contributed to reforms of the judiciary system improved access to e-
government services a better business environment and a better
management of public administrations in general
Introduction
This report analyses how the theme of strengthening institutional capacity (SIC) was
integrated in the ESF 2007-2013 programming in EU-27 MS how it was implemented
and what its main achievements were with a view to determining the key lessons
learned and recommendations for ESF programming and implementation
Strengthening institutional capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
10812006 which only covers Convergence regions describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo With the support for SIC a more horizontal
approach to capacity building was introduced in the 2007-2013 programming which
1 It is to be noted that according to the Regulation expenditure of the 2007-2013 period is eligible if incurred by 31122015 which is why the current report does not cover the last year of implementation Final data on spending participants and results are then higher than the ones reported
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
ii
complemented the existing institutional capacity support provided in other policy
fields Notable areas where this was the case include employment education and
social inclusion as well as in the implementation of the structural funds themselves
(technical assistance)
Programming of SIC under the ESF
During the 2007-2013 programming period 14 MSs included Priority Axes
dedicated to SIC interventions in their ESF programming (the report does not
cover Croatia due to late start of ESF activities upon accession to EU) Four of them
(BG EL HU RO) have explicitly dedicated one OP to institutional capacity building
The remaining ten countries (CZ EE IT LT LV MT PL SI SK UK) have OPs with
one or more PA dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting SIC
Most OPs are national but in Italy (5 out of 7) and in the United Kingdom there are
also regional OPs
ESF SIC investment is closely linked to SIC-related challenges in the relevant MS
and the corresponding Country Specific Recommendations (CSR) that the European
Commission issued during the programming period Besides a general need for
improved effectiveness and efficiency of public administrations recurring themes in
the CSRs are simplifying the regulatory system and improving the business
environment Other themes include the introduction of e-government reforms in the
judiciary sector and anti-corruption policies and public procurement regulation and
practices Most of the individual CSRs were explicitly addressed by ESF SIC
interventions
Capacity building under the SIC theme addressed structures and processes as well as
human resources Some 70 of actions at the level between PA and the actual
interventions addressed structures and processes The horizontal approach under
SIC enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and management
strengthening quality assurance or the role of the regional or local level in policy
development and implementation In the majority of actions organisational changes
address national local or regional levels by optimising the structures of the central
district and municipal administration An almost equally high share of the actions
addressed the development of human capital This included staff capacity building
interventions as well as the development and implementation of human resources
management strategies Developing human resource management under ESF covers
several areas including recruitment staff motivation systems for accreditation of
public servants internal mobility gender mainstreaming and mutual learning ESF
SIC also supported the development of tools related to e-government and helped
improve monitoring and evaluation systems While most activities seem to target the
public sector as a whole some focus on a specific policy sector such as the judicial
system
In capacity building interventions the target group is typically the staff of the
beneficiary organisations
Financial programming and implementation
In the EU-28 a total of euro2419 million was allocated to OPs or PAs that were dedicated
to SIC objectives This constitutes 21 of total allocated funding under ESF and 4
of funds available in convergence regions and includes funding from national (public
and private) sources as well as the amount of co-funding planned from the EU This
sum includes euro10 million allocated in Croatia whose interventions do not fall under
the scope of the present study The highest absolute levels of SIC allocation are found
in EL and PL while countries that allocate the highest share to SIC relative to their
overall ESF budgets (over 12) are BG and LT followed by MT and SI
The total amount of certified eligible expenditure by the end 2014 was euro167 million
This constitutes 693 of SIC allocated funding at the EU-27 level For comparison
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iii
the implementation rate (level of spending) for the total ESF budget of SIC allocated
funding amounted to 793 Implementation rates differ considerably between
countries and PAs It is worth mentioning that the lack of adequate administrative
capacity of beneficiaries might have contributed to the low absorption of ESF SIC
investments in these MSregions according to the so-called ldquocapacity traprdquo effect
Effectiveness and impacts
In total 14 million participations were registered in SIC related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training These participations result in a set of
characteristics which is very different from other ESF priorities as almost all
participants are employees and most of the participants in SIC interventions (57)
are well educated (ISCED 5 and 6) Participants in SIC interventions are older than
ESF participants on average Young people (15-24) are strongly under-represented
(4 for SIC interventions versus 31 for ESF as a whole) The majority of
participants are women (64)
In terms of outputs during the 2007-2013 programming period 17000 training
programmes were conducted and 4000 studies campaigns public consultations
reviews (laws procedures) reports etc implemented Some 95000 organisations
institutions were involved in SIC-related interventions The organisations that the ESF
supported besides public administrations include bodies of the judiciary county level
government offices boards of public benefit activities at the regional level and
municipalities Other outputs include at least 1500 projects or activities launched
some 250 guides and guidelines produced and 150 new structures established
including client centres or regional offices
The results achieved through ESF SIC funding during the 2007-2013 period vary
Approximately 512000 individuals gained a qualification 87000 reported other
positive results some 2000 entities or organisations were established or recorded
other positive results and more than 1700 productssystemstools were developed It
should be mentioned however that due to data limitations it was not possible to
aggregate all results as reported in the AIR of ESF programmes and as a consequence
this leads to systematic underreporting of the results of ESF
ESF supported interventions helped to reduce the administrative burden for citizens
and businesses and contributed to the production of better quality policies and
legislation Management systems and practices were changed to incorporate modern
human resource management and planning techniques The support for developing
institutional capacity also contributed to achievements in specific policy areas such as
equal opportunities environmental policies and the social dialogue
Four fields of activities were analysed in more depth during the study
Strengthening of the judiciary was supported by activities including the training of
magistrates or employees of judiciary offices and the introduction of court case
management systems These activities resulted in a reduction of the duration of
judicial procedures in several countries (SI PL) The effectiveness of judiciary bodies
and offices was also increased in terms of management and quality assurance HR and
provision and equipping judiciary staff dealing with economic cases Strategic
planning and management was improved (EL LT LV and PL) by increasing the
number or the share of public administration offices that implemented management
systems and quality assurance processes Increasing the number of services available
to citizens and businesses online and training public administration staff to use them
properly were a means to achieve MS ambitions in the field of e-government
Improving the environment for businesses was achieved by shortening the time
needed for setting up or registering a business and decreasing administrative costs
Other achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iv
Information on impacts is available for six countries only Typically this information
is of a more qualitative nature and does not permit hard conclusions to be drawn
According to World Bank data improvements in the quality of public administrations
occurred between 2007 and 2014 especially in the field of government effectiveness
and rule of law The perception of regulatory quality improved in several countries
particularly the three Baltic States as well as in Poland and Romania It is to be
expected that ESF has contributed to these changes However this causal relationship
can only be established through impact assessments and evaluations The evidence
available at this point is insufficient to draw conclusions in this respect
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by various countries (CZ EL HU IT LT MT
RO SK) Rapid changes in government politicised institutions and lack of political
support were all cited as impediments to the effectiveness of SIC interventions
Other evaluation findings
The findings regarding four further evaluation criteria are as follows
Efficiency Available information does not allow conclusions regarding the
efficiency of SIC interventions The assessment of efficiency is hampered by the
fact that the outputs of various activities are not defined in terms of the
number of persons or objects
Sustainability SIC interventions sustainability refers to both the continuation
of funded projects (with or without EU funding) and the achieved results in
terms of increased empowerment and adaptation to new needs as they
develop The sustainability of SIC interventions is particularly dependent on the
context in which they are implemented and which these same interventions aim
to support
Gender sensitivity Gender equality is seldom targeted directly by SIC
interventions through positive actions However in some countries SIC
interventions were designed in such a way that in their implementation at
least women and womenrsquos interests are taken into account or possibly
furthered SIC interventions typically have more female than male participants
For most countries this reflects the over-representation of women in public
institutions
Community added value The main effect from ESF SIC support is a volume
effect This effect has been even greater than it otherwise would have been due
to the impact of the financial crisis on MS budgets ESF has also added value by
broadening the scope of the interventions undertaken by MSs or by putting
administrative capacity on the agenda SIC funding played a relevant role in
supporting the introduction and testing of innovative tools or systems such as
the introduction of e-government
Overview of key lesson learned
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe
2020 Strategy might be further enhanced by specifying the more relevant fields
of ESF SIC support such as e-government or business-friendly administration
The institutional and political context remains a key success and risk factor for
capacity building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are
important factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to
capacity building as well as a well-defined intervention logic are required by
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
v
MS Programming should go well beyond the specific objectives and into the
realm of intermediate and final impact Support provided to countries should
consider the five key factors that influence the success of SIC interventions
management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
New programmes need to make sure that results and impacts whose
sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or
PA are often linked to a lack of administrative capacity in the Managing
Authority or Intermediate Body both in terms of the number and qualifications
of staff Significant personnel turnover and frequent changes in staff
contributed to mistakes being made in financial reporting by beneficiaries
which was further hampered by complicated and often-changing rules and
errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review
ex-ante the output and result indicators proposed by MS to see if they comply
with SMART criteria apply a categorisation into common output and result
indicators in the SFC database More systematic guidance on the difference
between indicators for capacity enhancement performance and impact
indicators could help countries formulate better indicators for monitoring
results In addition a benchmark is needed against which achievements can be
measured
Evaluation Fields of activities as found in the CSRs for example could
provide a starting point for the development of impact indicators for ex-post
evaluation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
6
1 Introduction
11 Background
This report is for Task 3A Thematic EU Synthesis Reports of the ldquoESF 2007-2013 Ex-
Post Evaluation Synthesisrdquo (Contract No VC20150098)
The purpose of the Ex-Post Evaluation is to synthesise and update the results of three
ESF thematic ex-post evaluations that were launched by DG EMPL during 2014 and
covered the following ESF Priorities Adaptability and Human Capital (grouped under
the ex-post evaluation Investment in Human Capital) Supporting the Integration of
Disadvantaged Groups into Labour Marked and Society (Social Inclusion) and Access
and Sustainable Integration into Employment (Access to employment) Under Task 3A
the Synthesis shall provide a supplementary evaluation of the ESF Priorities
lsquoStrengthening Institutional Capacityrsquo (ESF Reg 10812006 Art 32b) - the present
report - and - lsquoPromoting Partnershipsrsquo (Art 31e) which is presented in a separate
document These priorities were not covered by separate services and therefore
providing the key information needed in order to compile the EU synthesis report
covering all the ESF Priorities
Strengthening Institutional Capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
108120062 only covers Convergence regions and describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo
Strengthening institutional capacity was a new theme introduced for the 2007-2013
period Until then capacity building was supported for specific sectors notably
employment social inclusion and education and for the implementation of the
structural funds themselves (technical assistance) With SIC a more horizontal
approach was introduced that aimed at improving good policy and programme design
monitoring and evaluating a variety of activities and supporting capacity building in
the delivery of policies and programmes Specific fields supported by ESF SIC include
strategic planning and management support to the judiciary sector e-government
and promoting a business-friendly environment
This thematic report builds upon the knowledge and information collected during the
previous tasks of the synthesis evaluation particularly the Country Synthesis Reports
(CSR) that provide information on each and every ESF policy priority including a
summary overview of the Strengthening Institutional Capacity priority
12 Objectives
This thematic synthesis report provides an overview of the implementation of the ESF
Priority SIC at EU level in terms of implemented actions financial resources
participants outputs and results The report also illustrates how resources have been
used the effectiveness of implemented interventions (in terms of results) and
efficiency measured in terms of financial resources spent in order to achieve them
2 Regulation (EC) No 10812006 of the European Parliament and of the Council of 5 July 2006 on the European Social Fund and repealing Regulation (EC) No 17841999
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
7
The report also aims to provide an assessment of the sustainability community added
value and contribution to gender equality of the SIC priority thus feeding the most
relevant lessons learned and conclusions of the analysis
13 Scope
In total 14 of the EU-27 MSs defined one or more ESF OPs that have one or more
Priority Axes (PA) that predominantly address SIC (in total 34 SIC-related PAs in 21
OPs)3 A full list of these Priority Axes is presented in Annex I The programmes
covered the period between 1 January 2007 and 31 December 2013 with operations
continuing until 31 December 2015 However the evaluation could only draw on 2014
data reported by the MSs in the Annual Implementation Reports (AIR) submitted to
the Commission by 30 June 2015
14 Methodological Approach and information sources
The identification of Priority Axes relevant to SIC was based on the Preparatory Study
of the Ex-post evaluation of the ESF 2007-2013 the ESF Expert Evaluation Network
reports and the three ex-post thematic evaluations This selection was used as the
main reference to identify MSs and OPs with Priority Axes relevant to this field this
selection was further refined over the course of Task 2 ndash Country Synthesis Reports
For these PAs an analysis of the participants was carried out (Annex XXIII data) as
well as of the groups of outputs and results achieved by the ESF Each MS has to
report on these in the AIR and they can be extracted from the System for Fund
Management in the European Union (SFC2007)
Country experts in the relevant MSs were asked to review and integrate SFC data
(based on AIRs) if necessary Most importantly experts were asked to fill in country
templates enabling the assessment of the main activities of SIC that have been
carried out under the selected OPs for this report Also any other relevant information
such as the sustainability of the activities and results the contribution to gender
equality the community added value (CAV) the key success and failure factors and
the main lessons learned These templates were to be completed based on the
expertrsquos own assessment information drawn from the Operational Programmes and
AIRs 2007-2014 relevant evaluations or other sources of information available at
national level and in some cases through ad-hoc interviews with Managing
Authorities (MA)
The Country Synthesis Reports and templates filled in by country experts were a key
information source as the SIC Priority covers a relatively small share of ESF resources
SIC differs from the other priorities as it is not directly focused on educationtraining
or employment-related objectives for individuals but rather focuses on strengthening
structures and entities directly or indirectly involved in implementing such objectives
For this reason available quantitative data may not be representative of the relevance
and effectiveness of related interventions which is why additional qualitative
information had to be collected
15 Structure of the report
The report begins by reviewing briefly the background and content of the theme
(Chapter 2) Chapter 3 links SIC interventions to national and EU policies and
3 Please note that this could be a PA but in some cases also sub priorities when a PA is split up across more than one ESF theme
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
8
explains and analyses the activities foreseen It goes on to describe how SIC related
interventions are integrated into the ESF programming by MSs and the subsequent
impact of the economic crisis on the actual implementation Finally this chapter
discusses the financial performance Chapter 4 focuses on the evaluation criteria (ie
effectiveness efficiency sustainability gender sensitivity community added value and
socio-economic impact) The conclusions of the above analyses are presented in the
final chapter (Chapter 5) in terms of the lessons learned in six areas
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
9
2 Key SIC challenges and policy directions in the EU in the 2007-2013 programming period
Key findings
The quality of public policies and their implementation has been on the European
agenda since the beginning of the century It was also a key issue in the
preparation of countries for EU accession and the support the EU provided to them
amongst others in the framework of the PHARE programme
The modernisation of public administration was identified as one of the five
priorities in the Commissionrsquos recent Annual Growth Surveys Between 2012 and
2014 around 20 countries have been receiving country specific recommendations
related to public administration every year
Three dimensions of institutional capacity can be identified structures and
processes human resources systems and tools
Article 32b of ESF 2007-2013 Regulation identifies SIC as one of the five ESF
priorities focusing exclusively on Convergence regions
21 Evolution of the institutional capacity building focus
211 The origins of institutional capacity building support
The concept of institutional capacity owes much to the work conducted in the
framework of development aid According to De Koning et al (2006) the term
capacity building was introduced in the late 1980s It has various predecessors
though with the concept of institution building arising as early as the 1950s
It was also a key issue in the preparation of countries for EU accession and the
support the EU provided to them amongst others in the framework of the PHARE
programme It was recognised that only by developing appropriate administrative and
judicial structures would the new or adapted legislation be implemented effectively
(European Union 2010 p 16-17) The PHARE programme and the instrument for
pre-accession assistance (IPA) as of 2007 the Technical Assistance and Information
Exchange instrument (TAIEX) and Twinning have helped accession countries to
increase their institutional capacity After accession further support was deemed
necessary in this area and the ESF became the new vehicle for delivering it (European
Union 2010 p 18)
According to Ferry (2013) institutional capacity has remained an issue for Cohesion
policy in these countries His literature review revealed that there are many absorption
challenges faced by EU-10 countries both during and after accession Administrative
reforms and institutional instability were impeding the effectiveness of management
and implementation systems The collection and analysis of monitoring data has also
greatly suffered from this as did the implementation of ESF Ferry refers to a number
of issues in particular ldquoadministrative capacity weaknesses in managing authorities
(MA) lack of funding shortages of administrative resources high staff turnover lack
of political steer and administrative complexitiesrdquo (Ferry 2013 p 30)
212 Good governance as a deciding factor for competitiveness and cohesion
The quality of public policies and their implementation has also been on the European
agenda since the beginning of the century In the early 2000s the European
Commission identified the reform of European governance as one of its four strategic
objectives This entailed adapting European institutions and increasing the coherence
of its policies The Lisbon Treaty (ratified at the end of 2009) supported this by giving
a stronger role to the European Parliament and national parliaments and more
opportunities for citizens to have their voices heard The Lisbon Treaty also underlines
the importance of public services in MSs for social and regional cohesion it also
included key principles for action to promote effective services of general economic
interest Subsequently the Europe 2020 strategy for smart sustainable and inclusive
growth builds on this and emphasises the modernisation of labour markets and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
10
enhancing the performance of education systems The modernisation of public
administration was identified as one of the five priorities in the Commissionrsquos recent
Annual Growth Surveys Between 2012 and 2014 around 20 countries have been
receiving country specific recommendations related to public administration every
year4
The reason for making institutional capacity a priority across the European Union is
that it is assumed to promote competitiveness eg through a stable business
environment and lower regulatory and administrative burdens This will also help
increase employment levels along with the number of stable and high quality jobs It
can also be argued that increased administrative capacity will foster social inclusion
and social cohesion Increased revenue from taxation and social security contributions
from well-functioning economies as well as government services operating more
efficiently will allow the maintenance of adequate levels of social protection It will in
brief increase productivity and in the economy improve the quality of the design and
implementation of policies for growth and employment and is the basis for good
governance (European Union 2010)
The European Union has been systematically and actively promoting public
administration reforms (PAR) in central and Eastern European countries both during
and after the accession process These MSs are part of an EU-wide effort of
modernising Public Employment Services (PES) and other institutions in the field of
labour social and educational policies which are supported under the Human Capital
and Access to Employment priorities (and are covered by the relevant thematic
evaluations)
213 Definitions and concepts
A number of dimensions of capacity building can be emphasised De Koning et al
(2006) identify investment in the human capital of individuals group-oriented
development organisational development or institutional development Building on
the classification applied by the World Bank the Ecorys (2011) report identifies three
dimensions that have since been used in various sources These concern structures
people and tools and are as follows
Structures relate to legislation delivery and development structures as well as
overall coordination cooperation and partnership
Human resources area include competence gaps (especially among senior and
line managers) staff turnover lack of HR policies (especially of modern HR
management approaches) lack of employee engagement and rigorous
application to tasks and in some cases a focus on narrow specialisms rather
than on broader management and public service competences
Systems and tools include the use of ICT and its embeddedness in
organisational processes the management of information systems finance
monitoring and evaluation and the state of play with regards to performance
management and the management of workloads
4 For more information see httpeceuropaeueurope2020making-it-happencountry-specific-recommendationsindex_enhtm
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
11
De Koning et al (2006) also distinguish different types of interventions that may be
used in capacity building projects and programmes knowledge skills tools and
equipment
22 Capacity building and ESF
The ESF thematic paper on promoting good governance highlights the importance of
having high quality public administration for economic prosperity as well as the well-
being of societies and their citizens (European Commission 2014)
For the 2007-2013 programming period three articles of the ESF Regulation (EC
10812006) are of particular relevance to capacity building
Article 31b addresses both the Convergence and the Regional
Competitiveness and Employment objectives It states that the ESF shall
support actions in MSs by promoting the modernisation and strengthening of
labour market institutions particularly employment services and other relevant
initiatives in the context of the strategies of the European Union and the MSs
for full employment
Article 31d refers to ESF support to enhance human capital by promoting the
design and introduction of reforms in education and training systems [] and
the continual updating of the skills of training personnel
Article 32b focuses exclusively on the Convergence regions mentioning that
the ESF shall support actions in MSs that are strengthening institutional
capacity and the efficiency of public administrations and public services at
national regional and local level Where relevant Article 32b also focuses on
strengthening social partners and non-governmental organisations These
interventions are targeted towards implementing reforms better regulation and
good governance This is especially the case in the economic employment
education social environmental and judicial fields
Article 32b covers SIC interventions as evaluated in the present study The focus on
institutional capacity and efficiency was new in the 2007-2013 programming period
Before 2007 the ESF objectives were defined only in the areas of employment social
inclusion and education
SIC interventions represent one of the additional objectives for so-called Convergence
regions Convergence regions are defined as those regions having per capita gross
domestic product (GDP) less than 75 of the average GDP of the EU-255
The following table summarises the logic behind ESF interventions in the field of
institutional capacity
Table 1 Institutional capacity objectives tree for ESF
Driver Economic growth employment and good governance (Lisbon Strategy)
Global objectives
The ESF shall contribute to the priorities of the Community with regard to
strengthening economic and social cohesion by improving employment
and job opportunities encouraging a high level of employment and a
5 Commission Decision C(2006)3475 of 4th August 2006 and Commission Decision C(2007) 1283 of 26 March 2007 amending Decision 2006595EC as concerns Bulgaria and Romania)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
12
greater number of better jobs It shall achieve this by supporting MSs
policies aiming to achieve full employment ensure quality and
productivity at work promote social inclusion including the access of
disadvantaged people to employment and reduce national regional
and local employment disparities
Specific objectives
Article 32b Within the framework of the Convergence objective ESF shall
support actions in MSs under the priorities listed below
ldquoStrengthening institutional capacity and the efficiency of public
administrations and public services at national regional and local level Where
relevant these policies will also target social partners and non-governmental
organisations with a view to reforms better regulation and good governance
especially in the economic employment education social environmental and
judicial fieldsrdquo
Types
of interventions
(i) Mechanisms to improve good policy and programme design monitoring
and evaluation will be achieved through studies statistics expert advice
support for interdepartmental coordination and dialogue between relevant
public and private bodies
(ii) Capacity building in the delivery of policies and programmes in the
relevant fields including those regarding the enforcement of legislation
especially through continuous managerial and staff training as well as specific
support to key services inspectorates and socio-economic actors this includes
social and environmental partners relevant non-governmental organisations
and representative professional organisations
Source Assessment of administrative and institutional capacity building interventions and future needs in the context of European Social Fund (VC2009066 - 009)
The analytical framework developed for the previous evaluation of administrative
capacity under ESF (Ecorys 2011) summarised the need for capacity building
interventions as follows
poor performance of public administration
weak response to citizensrsquo and firmsrsquo needs
higher well-being of citizens through increased competitiveness and cohesion
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
13
3 Overview of key ESF SIC investment features in the 27 Member States
Key findings
ESF SIC investment is closely linked with SIC-related challenges in the relevant
MS All countries that have programmed a SIC-dedicated OP or PA received CSR
over the 2007-2013 period covering SIC-related themes
SIC-related CSR can take the form of general recommendations such as improving
the overall effectiveness of the public administration of the regulatory capacity of
the public bodies for example or they can relate to specific fields of interventions
such as the judiciary or the business environment
Some 70 of SIC actions at the level between PA and the actual interventions
addressed structures and processes The horizontal approach under SIC
enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and
management and strengthening quality assurance
An almost equally high share of the actions addressed the development of human
capital This included staff capacity building interventions as well as the
development and implementation of human resources management strategies
ESF SIC also supported the development of tools such as those related to e-
government and the improvement of monitoring and evaluation systems
While most activities seem to target the public sector as a whole some focus on a
specific policy sector such as the judicial system
During the 2007-2013 programming period 14 of EU-27 included Priority Axes
dedicated to SIC interventions in their ESF programming Four of them (BG EL
HU RO) have explicitly dedicated one OP to institutional capacity building The
remaining ten countries (IT LT LV MT PL RO SI SL SK UK) have OPs with one
or more PAs dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting
SIC
Within EU-28 a total of euro2419 million was allocated to OPs or PAs that were
dedicated to SIC objectives (EU+national) this constitutes 21 of total allocated
funding under ESF and 4 of the funds available in convergence regions The
highest absolute levels of SIC allocation are found in EL and PL while countries
that allocate the highest share to SIC relative to their overall ESF budgets (over
12) are BG and LT followed by MT and SI
31 Links to the national and EU policy priorities main activities and target groups
311 Links to the national and EU policy directions
ESF SIC investment is closely linked with SIC-related challenges in the relevant MS
All countries that have programmed a SIC-dedicated OP or PA received Country
specific recommendations over the 2007-2013 period covering SIC-related themes
Country Specific Recommendations (CSRs) are issued for each MS
In the context of the European Semester since 2011 the Commission undertakes a
detailed analysis of MS plans for budgetary macroeconomic and structural reforms
and provides them with CSR for the next 12-18 months These recommendations also
contribute to the objectives of the EUs long-term strategy for jobs and growth and the
Europe 2020 strategy
Annex I presents a full overview of how SIC interventions addressed country specific
recommendations
The content of the CSRs varies from country to country and from year to year
Although all MSs have their own CSR proposals there are common themes that arise
This section highlights the common key messages in the fields that are relevant for
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
14
SIC and provides an overview of the types of categoriesmeasures in which the
European Commission issued CSRs over the years from 2007-2013 and indicates how
these relate to specific MSs
Table 2 below shows how these CSRs clustered by typology are lsquodistributedrsquo across
the relevant MS over the 2007-2013 programming period SIC-related CSR can take
the form of general recommendations such as improving the overall effectiveness of
the public administration of the regulatory capacity of the public bodies for example
or they can relate to specific fields of interventions such as the judiciary or the
business environment The table illustrates that the overall improvement of the public
administration is a challenge identified in at least nine out of the 14 MSs Improving
the business environment facilitating entrepreneurship and business start-ups and
increasing the attractiveness of a country as an investment destination has been
identified a challenge in at least 11 MSs Improving the regulatory capacity of public
bodies and supporting simplification (including the aim to improve the business
environment) has been identified as a challenge in at least six MSs The reform and
the support of the judiciary sector has been identified as a specific challenge in at
least three MSs (this does not mean it is not a challenge for other MS with the
judiciary being a part of public administration)
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP
Type of challenge BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
effectiveness and efficiency
of the public administration x x x x x x x x x
effectiveness of the judiciaryreform x x x x
business environment x x x x x x x x x x x
Anti-corruptionpromotion of rule of law x x x
public procurement x x x
absorption of ESI funds x
e-government x x x x
regulatory systemsimplification administrative burden
x x x x x x
Source own elaboration on the basis of CSR2007-2009 2010-201213
Challenges and related recommendations are also visible in national strategies and
ESF SIC investments constitute an integral part of the national effort to support good
governance and improvements to the public administration in many countries This is
particularly the case in countries that have concentrated a relatively large amount of
ESF resources to this priority or those that have dedicated a full OP to it such as in
the case of BG EL HU and RO
In the case of Bulgaria for example where there is a separate OP devoted to
administrative reform and strengthening institutional capacity ndash OP Administrative
Capacity (OPAC) ndash the ESF plays an important role in supporting reforms and capacity
OPAC financed some of the most important measures in the National Reform
Programme (NRP) and was indeed a key instrument for the administrative reform in
Bulgaria where these reform processes play an important role in the national agenda
also considering its relatively recent accession to the EU and of its political past
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Thematic EU synthesis report Strengthening Institutional Capacity
15
In Greece a number of reforms have been implemented in the past decade mainly in
the fields of state-citizen relationships the development of e-government human
resource management better regulation and control mechanisms These are fully in
line with the strategic goal of the OP Administrative Reform 2007-2013 which aimed
to improve the quality of governance through enhancing the effectiveness and
efficiency of public organisations whilst also strengthening the accountability and
professionalism through broadening public consultation and the participation of
stakeholders
In Romania the main contribution of the State Reform OP was to support the
accomplishment of the strategy for improving the capacity of the public
administration The main leverage used involved creating more efficient local
administration units and reducing the development gap between local and central
public administrations Increasing the expertise of staff in public institutions through
participation in specialised training (ICT data management systems) helped in
preparing them for the development of e-government services and facilitated the
simplification processes relating to administrative procedures in line with the National
Strategy for the Digital agenda for Romania and the European Digital agenda
During the last few decades public administration reform strategies in Italy have
been focusing on two main areas a) the delivery of (public) services to citizens and
companies b) the management of public (material and immaterial) goods Both areas
have been subject to reforms aimed at improving their levels of effectiveness and
efficiency In more detail the reform strategies focused on service delivery (covering
the national regional and sub-regional level along with relevant policy actors) and
tackling long-standing criticisms such as the overall lack of efficiency in Public
Administrations (especially in terms of the optimisation of governance mechanisms)
They also concentrated in the simplification of administrative rules and regulations and
the efficiency and effectiveness of (mainly civil) justice As for the reforms they
focused on improving the management of public goods the main critical issues that
have been covered relate to the fight against corruption (especially in public tenders
and contracts) the effective spending of public funding (national but also EU) and the
full implementation of relevant infrastructure investments These strategies have been
accompanied by reforms supporting the productivity and assessment of PA employees
and management as well as of the organisations themselves
Table 3 shows the linkage between the CSRs received and whether relevant MSs had
addressed these through ESF SIC investment Only in five MSs (BG CZ EE IT LT)
were the recommendations not fully addressed in some specific years
Table 3 CSR addressed under SIC interventions by MS
Country 2007 2008 2009 2011 2012
BG NA YES partially YES partially YES partially YES partially
CZ YES NO NA YES YES
EE NA YES NA NA YES partially
EL YES YES YES NA NA
HU YES YES YES YES YES
IT NO NO YES YES
LT NA YES partially YES partially YES NA
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
16
Country 2007 2008 2009 2011 2012
LV NA NA NA NA NA
MT YES YES NA NA NA
PL YES YES NA YES YES
RO NA YES YES NA NA
SI NA NA YES NA
SK YES YES YES YES YES
UK NA NA NA NA NA
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
NA means that no recommendations were made
Details of the recommendations are provided in Annex II
In the Czech Republic SIC-related ESF programming addressed all the
recommendations apart from the one aiming to further quicken the ldquoprogress in the
ICT area including through the implementation and monitoring of a fully enabled legal
environment for e-governmentrdquo This implementation began in 2008 although a start
was made in 2007 as was then recommended
Estonia also used ESF funding for SIC interventions to address most of the
recommendations it received although SIC interventions were not explicitly used to
support the merging of municipalities as was recommended in 2012
Italy did not use ESF funds to explicitly address the recommendations it received in
2007 and 2008 These recommendations involved the introduction of an impact
assessment system and the competition in product and service markets The latter
was taken up again by the recommendations in the following years and ESF SIC
interventions were used to improve the situation
Table 4 below provides an overview of the linkages between MSsrsquo policies and ESF
support to SIC
Most MSs that have included PAs on SIC use ESF to obtain additional funding to
support good governance and to improve the delivery systems and methods for
services to citizens and businesses in their country Most countries also use it to test
innovative activities ESF is least commonly used to reach new target groups which is
understandable for SIC interventions
Table 4 Contribution of ESF SIC interventions to MS policies
ESF provided additional funding to
support good governance
ESF was used to test new and innovative
activities
ESF was used to reach new target groups
ESF was used to improve PA service
delivery- systems and methods
BG Y Y N Y
CZ Y Y N Y
EE Y Y Y Y
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
17
ESF provided additional funding to support good governance
ESF was used to test new and innovative activities
ESF was used to reach new target groups
ESF was used to improve PA service delivery- systems and
methods
EL Y Y N Y
HU Y N N Y
IT Y Y N Y
LT Y Y Y Y
LV Y Y Y Y
MT Y Y Y Y
PL Y Y N Y
RO Y N N Y
SI Y Y Y Y
SK Y Y N Y
UK N N N Y
Source overall assessment of country experts based on research carried out by them and
national evaluations conducted in the country
312 Key characteristics of activities and target groups at EU and MS level
An overview of the key characteristics of activities and targets groups that are the
focus of ESF SIC investment is provided below This is based mainly on the analysis of
lsquoactionsrsquo that have been programmed and carried out at MS level By actions we refer
to the unit of analysis below PA level6
Art 32b of the ESF Regulation distinguishes two main groups of interventions those
that relate to design monitoring and evaluation and those related to the delivery of
policies and programmes Only one in 10 actions focuses solely on the first objective
More than one-third of the actions focus on delivery and almost half of the measures
address both (see Table 5 below)
Most of the actions target the national level (70) However substantial numbers
address additionally local (41) andor regional (53) levels Only 4 of actions
have an international character
6 In the 2007-2013 programming period there is no standardised unit below the PA level such
as the measures in the 2000-2006 period However many Member States distinguish a lsquomeasure typersquo level Sometimes these are still called measures although sometimes other names are given In this report they are referred to as lsquoactionsrsquo and some of the analyses are conducted at this level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
18
Public entities were the main beneficiary of SIC actions (85) Social partners and
NGOs were targeted by approximately a quarter of the actions
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category
Characteristic and categories Absolute
no
Objective (ESF Regulation Art 32b i and ii)
Design MampE 8 103
Delivery 28 359
Both 38 487
No information 4 51
Total 78 100
Level of the intervention (multiple answers possible)
Local 33 423
Regional 42 539
National 56 718
International 3 39
No information 8 103
Recipients
Public entities 66 846
Social partners 21 269
NGOs 19 244
Source country templates - assessment by country experts based on review of relevant
literature and Country synthesis reports
In order to carry out a more detailed analysis we reviewed the key characteristics at
MS level Table 6 below shows whether a certain characteristic occurs in one or more
of the actions in each country This analysis is similar to that carried out at an OP
level However in the analysis at OP level the results for Bulgaria (two OPs) and
Italy (seven OPs) would lsquocolourrsquo the results excessively which is the reason why we
opted for a comparison of MSs
Table 6 illustrates the results for the various characteristics Very few MSs have
measures that focus exclusively on the design monitoring and evaluation of policies
and programmes or measures with an international component Few MSs have
measures that focus on e-government under ESF SIC actions Of course these actions
may be specifically targeted under other themes
Some more detailed conclusions emerge when we compare countries by the most
common types of OPs (section 313) dedicated OPs regional OPs and human
resources or sectoral OPs
Objective of the interventions
In Hungary and Bulgaria only (two of the countries with dedicated OPs) can
actions be found that focus solely on design monitoring and evaluation (obj
32bi)
All four countries with dedicated OPs have one or more actions that uniquely
target the second objective (delivery) In the two other groups this is the case
for around half of the countries
The mixed approach can be found in some of the countries in all three groups
Level of the interventions
All Member States have one or more actions at national level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
19
As expected all regional OPs target the regional level In the two other groups
around half of the countries have PAsactions addressing the regional level
In Bulgaria only do the actions under the administrative capacity OP have an
international dimension
Recipients
In all MSs public institutions benefit from institutional capacity building actions
Social partners and NGOs are often targeted as an explicit (BG EE SK) or
implicit (EL IT SI) target group of human resource development actions They
are also more likely to be amongst the recipients when the objective of actions
is to increase cooperation (BG) to further social dialogue (MT) or to improve
service delivery to citizens or businesses (BG LT) Social partners or NGOs are
also target groups when better regulation (EE) and equal opportunities (EE) are
prioritised
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS)
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK Tot
ESF objective 32b i and ii
Design MampE 1 1 2
Delivery 1 1 1 1 1 1 1 1 1 9
Both 1 1 1 1 1 1 1 1 8
Level of the intervention (multiple answers possible)
Local 1 1 1 1 1 1 1 1 1 9
Regional 1 1 1 1 1 1 1 1 9
National 1 1 1 1 1 1 1 1 1 1 1 1 12
International 1 1
Recipients (multiple answers possible)
Public entities 1 1 1 1 1 1 1 1 1 1 1 1 1 13
Social
partners 1 1 1 1 1 1 1 1 8
NGOs 1 1 1 1 1 1 1 1 8
Source country templates - assessment by country experts based on review of relevant literature and synthesis country report prepared previously
In Italy OP Sicily action linked to Specific Objective ldquoOrdquo and SK action 42 not implemented
so not included in Hungary no information available on level of interventions and recipients in
Slovakia and Czeck Rep no information on objectives
Target groups
In capacity building interventions the concept of target group needs to be considered
carefully If developing structures processes or tools are the objectives of the
intervention the only target group is the staff involved or (other) users of these
systems Thus the target group of SIC interventions are typically the employees of
the beneficiary institutions
313 Key characteristics of specific dimensions and categories
As mentioned above in order to bring out the variety of interventions implemented
with support from the ESF the actions are taken as the starting point for a more
detailed characterisation of SIC interventions The classification departs from the three
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
20
dimensions distinguished in section 213 structures and processes human resources
systems and tools Categories have been developed that reflect the objectives of ESF
with regard to capacity building on the one hand and the actual objectives and
activities in countries on the other Table 7 below presents the classification as well
as the number of actions to which a dimension or category applies
Table 7 Characteristics of SIC actions
Dimension and categories no of actions
Structures and processes (SampP)
Structures (general) 17
Processes (general or core processes) 5
Structures and processes with a regional or local dimension 36
Processes related to strategic planning and management 12
Structures processes aimed at creating of a business-friendly environment 10
Processes related to quality assurance and quality management systems 6
Human resources (HR)
Human resources management (eg working environment training policies and programmes certification mobility)
17
Staff capacity building 24
Tools
E-governance 14
Monitoring and evaluation systems (MampE) 14
Source information from country templates on objectives and types of activities supported by
ESF
multiple categories possible
The number of actions cannot be added as more than one category may apply to one
action both structures and processes may be addressed in one action as could
human resources systems and staff capacity building Other examples include quality
assurance or e-governance In addition 33 out of the 78 actions (42) could be
classified under more than one dimension
It should be mentioned here that capacity building in the justice system plays an
important role in assuring good governance The activities carried out under these
actions may cover all three of the dimensions identified above
Methodological justification of the classification
The fact that not all actions were classified on all three dimensions is partly due to the nature of
the actions and partly to the fact that this analysis could not be based on a more disaggregated
level of analysis such as the individual interventions The classification was based on a summary description prepared by country experts of the main typologies of interventions or activities that were carried out under the different actions it also includes a global assessment of their characteristics which was also made by country experts The formal titles and the objectives of the relevant OP and PA provided further guidance for the classification These
three sources enabled a detailed classification but cannot capture every single activity and their characteristics carried out in the framework of an action
The three dimensions are discussed in more detail below
314 Structures and processes
Structures (general) 3141
Objectives and activities
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
21
Changing organisational structures is not an aim in itself It is accomplished to create
conditions for other changes that will help realise good governance in the country or
to improve public policies and their implementation directly
In Hungary the ESF SIC investment is aimed at creating lsquothe organisational conditions
for a strategy driven specialised policy approach in the central administrationrsquo This
should contribute to the capacity for self-governance and the quality of legislation
which is targeted under Action 11 of the State Reform OP Under Action 12 support
to the creation and operation of institutional models will help create a simpler and
more transparent organisational structure which in turn will further the development
of more efficient and cost-effective public organisations In Romania revising
developing and optimising the structure of public services (action 21) was undertaken
in order to improve their quality and efficiency
In the majority of actions organisational changes address national as well as local or
regional levels Action 11 of the Bulgarian OP Administrative Capacity aims to create
an effective structure for the State administration by optimising the structures of the
central district and municipal administration ESF SIC support is also used to bring
about and support decentralisation processes Lithuania aims to affect structural
changes at all levels (central regional and local municipality) and identified the need
for support in decentralisation and processes to reduce concentration This is in order
to achieve an optimal distribution of functions among central territorial and local
municipal levels In Romania the main objective of Action 21 in the OP Administrative
Capacity Development is to support structure and process changes resulting from
sectoral decentralisation initiatives The support provided includes training and
technical assistance as well as for the evaluation of pilots for the process of
decentralisation and reducing concentration
Organisational change is sometimes internally driven where it can be aimed at
achieving less fragmentation and duplication of work in Malta for example In other
cases it can be externally driven such as the lsquoone-stop-shoprsquo system developed for
start-ups in Poland (Action 51 OP Human Capital)
The ESF in Poland furthered the development of an important policy design instrument the Social Diagnosis It was a project designed to support the diagnostic work with detailed data
that had been derived from institutional indicators concerning households with a view to investigating the attitudes mind-sets and behaviours of their members It is a diagnosis of Polish conditions and quality of life as they report it Although this research has been ongoing since the 1990s under the ESF programme it has developed and become the main basis for designing policies and providing a source of information for decision makers The scale and impact of the research carried out has been changed considerably thus providing an effective tool for designing policies and strategies7
Beneficiaries and geographical level
All actions address solely public authorities except for the Greek actions that also
target social partners and in one case NGOs Most actions target the national as well
as the regional or local level
Processes (general) 3142
Objectives and activities
7 EEN 2014 Final country report Poland
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
22
The Greek administrative reform OP provides a good example to demonstrate the type
of activities undertaken in the framework of structural reforms It captures a range of
activities and interventions which are all addressing the organisational and
operational re-engineering of public organisations A key aim is the rationalisation of
specific administrative functions such as budgeting and the reduction of
administrative burdens Concrete activities include the
introduction of performance and efficiency systems in the central and regional
public organisations
modernisation and rationalisation of the budgeting
simplification of administrative procedures to reduce the administrative
burdens
reduction of the time needed for the issuance of social and state pensions
enhancement of the E-health program (individual e-papers)
introduction of one stop shops for enterprise licences
The Hungarian actions specifically address the renewal of procedures and work
processes as well as organisational development In Malta renewed processes aim to
support the public sector reform whereas in the Czech Republic renewed processes
seek to increase institutional capacity and efficiency The Bulgarian action focuses on
the judicial sector aiming to make it more transparent and effective
The activities undertaken under this heading can be summarised as simplification and
streamlining They include lsquooptimisation of the workflow and better coordinationrsquo in
the judiciary system (BG) streamlining the activities of public administration
authorities (CZ) simplifying the procedures mostly used by the citizens (HU) and
streamlining management processes within the public sector with a view to facilitating
more rapid decision-making and implementation as well as greater accountability of
results (MT)
Beneficiaries and geographical level
The SIC interventions that aimed to change processes targeted public administration
itself rather than social partners or NGOs the interventions were a mixture of
national regional and local actions although the emphasis was focused at the national
level
Structures and processes with a regional or local dimension 3143
The overarching characteristic of this category of actions is their aim to strengthen
administrative capacity or good governance at the regional or local level These
actions aim to support regional or local authorities in the development and
implementation of policies An element of decentralisation is needed to be present for
actions to be categorised under this heading The classification was performed by
triangulating information from the objectives and description of the OPPA and actions
along with the assessment made by country experts considering the level at which
the actions were foreseen This was the case in regional OPs
Objectives and activities
Theoretically four elements were identified integrated development territorial
reform regional local and municipal governance and decentralisation In the PAs
dedicated to SIC however no regional planning and development activities were
found Neither were actions aimed at territorial reform Support for decentralisation is
provided as has been discussed above but the undertaking of decentralisation itself is
not encountered in the SIC PAs The only clear decentralisation objective is found in
the Romanian administrative capacity development OP The main objective of action
21 is to support structure and process changes resulting from initiatives of sectoral
decentralisation Studies consultancy training evaluation and mutual learning were
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
23
all delivered to structures and staff involved in the planning and coordination of the
decentralisation process The evaluation of pilot projects was supported along with
more general studies on the decentralisation process
The predominant types of action classified under this category are therefore those that
aim to strengthen regional local and municipal governance As the majority of
activities undertaken for these actions are already discussed in other categories no
further description is provided here
Some interesting examples of this type of intervention can be found in Italy Two of the most relevant projects implemented by the National OP Governance (that accounts for the majority of ESF SIC-related investment across all OPs) are lsquoCapacitagrave Sudrsquo aimed at reinforcing the
institutional and administrative capacity of Regions in the field of Structural Funds management and networking and lsquoPerformancersquo PA which aims to supporting the reform and modernisation of public administration mainly involving Municipalities At the level of the regional OPs the implementation of the Institution building programme aimed to strengthen the institutional
capacity of the regional public administrations (development of a favourable administrative environment and public policies) the regional OP of Campania in cooperation with the central government funded this programme The main interventions implemented under this
programme include the following organisational support development of a management control system support to administrative simplification and e-government development of an anti-corruption plan and strengthening local development systems
Beneficiaries and geographical level
Most of the actions solely target public authorities Actions are always carried out at
regional or local level besides the national level
Processes related to strategic planning and management 3144
Six countries have used strategic planning or management tools to enhance their
functioning and performance Estonia Greece Hungary Italy Lithuania and Romania
Objectives and activities
Most of the activities are part of more general SIC interventions However two
countries have established PAs that are dedicated to performance management
Estonia under its human resources OP has formulated a PA for the enhancement of
strategic management in the public sector and NGOs Hungary also under a human
resources OP formulated a PA dedicated to performance-based career pathways
Examples of such tools are management by objectivesresults policy cycle
management performance management and strategic planning lsquoEfficiency and
performancersquo systems were foreseen for Greece and Hungary which may imply a
somewhat heavy focus on staff performance Information on individual interventions
would be required to clarify this
Beneficiaries and geographical level
The beneficiaries are public institutions (all) and NGOs (Greece) The activities target
institutions at national regional and local level
Structures and processes aimed at creating of a business-friendly 3145
environment
Creating a more business-friendly environment is an important feature of the
European 2020 Strategy Actions that address this issue are found in several countries
(including CZ EE EL LT LV MT PL)
Objectives and activities
Improving the regulatory environment for businesses and reducing their
administrative burden is undertaken with a view to improving the performance of
these and the competitiveness of the MSs Many activities under this heading aim to
improve and simplify the regulatory environment thereby creating an attractive
environment for enterprises and for domestic and foreign investors (CZ EE EL LT
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
24
MT PL) They also include the development of ex-ante impact assessments or
evaluation systems for calculating the administrative burden for enterprises (EE LT
LV) as well as the introduction of one-stop-shop systems (EL LT PL) Other
activities such as quality assurance and management (discussed below) will also help
to improve the environment in which businesses operate
Beneficiaries and geographical level
The end recipients of these actions are businesses but the final beneficiaries are
public authorities at all geographical levels though somewhat more often at national
level
Processes related to quality assurance and quality management 3146
systems
Seven countries focused on quality assurance or quality management as a tool
Bulgaria Hungary Lithuania Latvia Malta Slovenia and Slovakia However the
Slovak action did not end up being implemented
Objectives and activities
Quality Assurance (QA) and Quality Management (QM) systems can and do support
virtually all objectives foreseen for SIC interventions Slovenia for example used the
European common assessment framework (CAF) and the European Foundation for
Quality Management (EFQM) framework Bulgaria Lithuania and Latvia introduced QM
systems with the aim of enhancing the quality of administrative service delivery
These systems are also introduced as part of an overall administrative reform (HU
MT) The introduction of minimum quality standards is part of quality management
although this is not considered to belong in this category if occurring in isolation As
the introduction of quality management systems was usually one of many activities
undertaken in the framework of an individual action more detailed information is not
available on the activities carried out to introduce these systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector on the national level
315 Human resources
In this section we provide an overview of the actions related to human resources
development as they have been programmed and implemented across the 14 MSs
These actions can be divided into two broad categories Human Resources
Management and Capacity building of staff Capacity building of staff usually takes the
form of training activities and programmes although it should be mentioned that
training takes place also outside of HR focused actions In this case training is not a
capacity building objective in itself but aims to improve the strategic management of
an organisation or the implementation an e-government programme
Human resource management 3151
Objectives and activities
Developing human resource management (HRM) under SIC ESF investment covers
various human resource management areas such as recruitment staff motivation
internships systems of accrediting public servants internal mobility gender
mainstreaming and mutual learning While most activities seem to target the public
sector at large some focus on a specific policy sector such as the judicial system
The Bulgarian Administrative capacity OP has one PA targeting human resource
management in public administration This is further articulated into five actions
Action 21 Modern human resources management in the state (improving recruitment
and human resources management systems including motivation internship
opportunities certification of public servantsrsquo skills and mechanisms for mobility)
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Thematic EU synthesis report Strengthening Institutional Capacity
25
Action 22 Competent and effective state administration (training programmes and
training for public servants of the central district and municipal administration)
Action 23 Strengthening the capacity of civil society organisations in policymaking
(training for organisational development strategic planning etc)
Action 24 Competent judicial system and effective human resource management
(introducing new human resources management systems and the provision of training
to magistrates and administrative staff)
Action 25 Transnational and interregional cooperation (projects for exchange of good
practices in the field of human resources management)
In Greece the OP for Administrative Reform seeks to improve modernise and reform
the operational capacity of Human Resources Departments in central administrative
units The objective is to improve the quality design and implementation of vocational
education programmes in public administration thereby upgrading the skills
qualifications and knowledge of the personnel in the public administration Concrete
activities include the development of tools for the improvement of the Human
Resources departments and the development of strategic and operational plans for
vocational education institutions Other Greek PAs under the HRD OP focus on gender
mainstreaming in the public sector This is to be attained by a variety of activities
which include improving the legislative framework for gender mainstreaming
increasing the participation of women in decision making evaluating the impact of
public policies in gender mainstreaming enhancing the integration of gender
mainstreaming in public policy enhancing actions targeting the prevention and
combating of violence against women and supporting NGOs that help further female
participation
The Hungarian OP State Reform addressed the need to increase the participation of
women through Human resources improvement strategies through PA 2 (Increasing
the quality of Human Resources) Action 22 which focuses on performance-based
career pathways This PA aims to modernise the instruments for human resources
management focusing in particular on the elaboration and scheduled introduction of
the life path-career management system Aside from the activities such as the
establishment of a government human resource centre which is responsible for the
application of the new HR policy other actions include the elaboration of an
international government officersrsquo and civil servantsrsquo exchange programme along with
the introduction of individual performance assessments that link outcomes to the
remuneration system The PA supports activities that help staff to reconcile obligations
from family and work life
In Lithuania one of the actions under the OP for the development of human resources
targets HRM It aims to improve the management of human resources and strengthen
the administrative capabilities in the public sector Modernising the management of
human resources is undertaken in order to further a more productive use of
knowledge capabilities and skills in the public administration It includes activities
that promote the own initiative of public employees and improving the system of
encouragement
The human resources development OP in Slovenia has an action dedicated to efficient
and effective public administration which includes activities for developing public
management This is done through enforcing the use of modern management
techniques and developing active management of human resources and knowledge
The action also included a system for strategic planning as well as for monitoring the
status of results related to objectives of the priority
In Estonia the OP for human resource development has an action aiming to train and
develop State employees as well as those of local authorities and NGOs It covers
various areas including human resources management Interventions are mostly
implemented in the form of different training studies analyses and development
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
26
activities Interventions are also to a certain extent enacted through the
development of methodological materials practicing and information activities
Beneficiaries and geographical level
All PAs target public authorities The Greek and Estonian PAs also target social
partners NGOs are potential beneficiaries in some Bulgarian Greek and the Estonian
PAs
Staff capacity building 3152
Objectives and activities
Sometimes activities under HRM and staff capacity building are strongly intertwined
such as in Poland and the United Kingdom The PA dealing with staff capacity building
under the human capital OP in Poland includes an action advancing the modernisation
of management in public administration and justice administration It used a variety of
activities to achieve this aim revision of all legal acts related to public finance
management improvement of budgetary and strategic planning developing the
system of public tasks evaluation based on indicators strengthening the divisions of
self-government units responsible for monitoring and evaluation improvement of
cooperation mechanisms between public administration units new methods of
management increasing the quality of services implementation of the altered
remuneration system in the public administration development of competence
standards for self-government administration employees and ethical standards
development
Similarly in the United Kingdom the action to build the capacity of public service
sectors includes a more strategic approach to the management of human resources
The aim of staff capacity building in the UK PA is to deliver higher quality services
This entails developing the skills and capacity of the public sector workforce and of the
organisations they are engaged in deliver and sustain the reform agenda It also
included helping leaders and managers build their capacity to lead the workforce
through change securing a more strategic approach to the management of human
resources and addressing specific skills gaps
Specific staff capacity building is undertaken through different types of activities The
main activity is training A variety of possible training subjects are covered by the
Bulgarian example organisational development strategic planning policy making
monitoring of policies business planning and financial management and effective
negotiation and partnership Additional types of training actions are covered by other
MSs such as raising managerial capacity (HU) strategic planning (LV) implementation
of policies and programmes (IT) and negotiation capacities for public private
partnerships (IT)
Other types of activities are found in Malta for example Under the OP that aims to
empower people to seek out new jobs and a better quality of life one of the actions
establishes and elaborates the principle of lifelong learning for the public sector
Activities identified under this intervention area in the OP include training in areas
such as financial regulation and basic skills related to financial management public
procurement project management national environmental and planning legislation
and Community policies which include competition policy Other associated activities
include analyses of training needs scholarships and internships accreditation of
trainers and academic development of the trainers and the introduction of stronger
linkages between training and career development particularly at the boundary
between middle and senior management levels
Greece introduced systems for job profiles and job descriptions programmes for
enhancing the mobility of staff a training needs analysis and a standardisation of
Educational Plans in public administration and certification systems
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Thematic EU synthesis report Strengthening Institutional Capacity
27
The Estonian OP for human resource development has one action supporting country-
level support structures Interventions include different training counselling
practicing (study tours) and mentoring activities
Beneficiaries and geographical level
Most actions aimed at beneficiaries in the public sector Some of the PAs in Greece
Lithuania and Malta also target social partners NGOs are amongst the potential
beneficiaries in Bulgaria Estonia Latvia Malta and Slovakia
Capacity building usually targets the public sector as a whole A clear exception is
found in the Bulgarian lsquoHuman resources developmentrsquo OP The PA dealing with SIC
has two actions with each action concentrating on specific policy sectors
development and modernisation of the labour market system and strengthening the
capacity of institutions for social inclusion and the provision of health services
The target groups do not always remain the same over time however
In Slovakia most of the calls focused on public bodies There was only one call (in two
rounds) designed for NGOs After the experience with the implementation and
administration of projects at NGO level the managing authority took the decision to
focus on the public sector Most of the actions focused on training the employees in
the sector or in some of its institutions (eg building analytical capacities in the
Ministry of Finance capacity building of the Constitutional Court of the Slovak
Republic preparation for EU Presidency and human resource capacity building of
some institutions)
In Latvia the objective was the administrative capacity building of all parties involved
in the design and implementation of action policies This was undertaken in order to
ensure the active participation and representation of all interest groups in
policymaking processes and to improve the quality of decisions made At first the
activities were targeted at the administrative capacity building of social partners
(Latvian Employersrsquo Confederation and Free Trade Union Confederation of Latvia) and
to strengthen social dialogue at the regional level This activity resulted in the
establishment of regional structures of the Latvian Employersrsquo Confederation and Free
Trade Union Confederation of Latvia which contributed to the formation of non-
governmental organisations and a significant increase in their activities Another
branch of capacity building activities was targeted at non-governmental organisations
and local governments mainly to promote their participation in decision-making and
the efficient planning and management of EU projects
316 Tools
E-governance 3161
The introduction of some type of e-governance is a horizontal element to many SIC
investments under the ESF In at least six countries support of e-governance was a
key component of capacity building efforts under SIC dedicated OPsPAs (this does not
mean that e-governance support did not also take place in other MSs as part of their
overall SIC strategy) These countries are Bulgaria Greece Italy Lithuania Malta and
Slovenia Some of the actions in this field take place in specific policy sectors justice
(eg BG IT) health (eg EL) and employment (eg IT SI) In some instances such
as in Italy e-governance support was used to implement and improve ESF monitoring
systems Other countries support e-governance across policy sectors (eg BG SI)
The Bulgarian administrative reform OP also supports the introduction of an integrated
information system of the state administration
Objectives and activities
The support for e-governance was provided with a view to making public
administrations more effective (BG IT) modernise them (EL) and improve the
service delivery to citizens and businesses (BG)
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Thematic EU synthesis report Strengthening Institutional Capacity
28
In the case of policy sector initiatives some examples of the objectives included the
creation of a transparent and effective judicial system (BG) and the improvement of
the service delivery provided by the bodies of the judiciary The information available
typically mentions the introduction of e-government e-health etc In Slovenia some
more detailed information is available on the type of activities carried out in this
framework Slovenia supported e-government as part of its efforts to achieve an
efficient and effective public administration The support for e-government consisted
of two parts an e-portal and e-administration Within the framework of the e-portal
development further progress of e-government was achieved The objectives were to
secure permanent availability support e-democracy in cooperation with the
interested public in making decisions on the abolition of obstacles in the
administration and further develop e-services E-administration was designed for
legal persons and based on a single access point The activities focused on providing a
permanent single access point for legal personnel and businesses This online
resource harnesses the interaction between the state and businesses Examples of
possible services include the registration of employees data transfer and requesting
confirmation
Beneficiaries and geographical level
The beneficiaries always include public sector institutions The actions also target
social partners and NGOs but it is unclear as to whether these concern the e-
governance related or other activities carried out in the framework of these actions
Similarly actions target all geographical levels but it is entirely possible that this is
due to the governance structure in the country or the presence of non e-government
activities within the actions identified here
Monitoring and evaluation systems 3162
Monitoring and evaluation (MampE) systems are an important tool for measuring
progress towards the objectives that governments set themselves in capacity building
interventions They are also important in measuring performance as a supplier of
services to citizens and businesses and in achieving objectives related to these such
as the reduction of the administrative burden The seven countries that included
monitoring and evaluation in their actions are Bulgaria Estonia Italy Malta Poland
Romania and Slovenia
Objectives and activities
Monitoring and evaluation was used to measure internal and external performance as
well as for capacity building good governance policies and policy sector policies
Consequently MampE systems were developed to measure the needs of target groups
such as marginalised groups labour markets or working conditions (BG IT)
progress in achieving good governance (BG PL) or cooperation (PL) better
application of specific capacity building policies including better regulation or reducing
the administrative burden (BG EE) and sector policies like employment policies (IT
MT RO)
No further information is available on the concrete activities undertaken to introduce
or improve MampE systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector They often address
the national level but also the local or regional level if these levels were targeted by
the actions under which MampE is promoted
32 The overall strategy for ESF SIC investment
As has already been stated during the 2007-2013 programming period 14 out of the
EU-27 MSs included specific SIC interventions in their programming and 21 OPs were
dedicated to SIC or had one or more Priority Axes dedicated to this theme Seven of
these OPs were Italian In total 34 PAs and 78 actions have been identified as
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
29
dedicated to SIC Four out of the 14 MSs that have integrated SIC into their planning
have explicitly dedicated one Operational Programme to institutional capacity building
These countries are Bulgaria Greece Hungary and Romania The remaining ten
countries have OPs with one or more PAs dedicated to SIC
Figure 1 SIC in OPs and PAs
OPs with SIC dedicated PAs typically aim to develop human resources In Italy (five
out of seven) and in the United Kingdom there are regional programmes In Slovakia
it is the OP Employment and Social Inclusion that has a SIC related PA
The PAs typically apply a horizontal approach Only Bulgaria has focused one of its SIC
PAs on labour market institutions and on social and healthcare services corresponding
with the two sectors to which the OP was dedicated Slovakia originally foresaw both a
horizontal and a vertical PA (Establishing quality management systems in public
administration and NGOs in the field of employment and social policy) but the latter
was never implemented It should be noted though that below the level of PAs
individual actions sometimes do focus again at specific sectors This is further
discussed in the following section
Other MSs have developed interventions that aim to reinforce institutional capacity
under PAs that are dealing with other themes such as access to employment or
reform of the educational system which are covered by the other thematic
evaluations This becomes apparent when looking at Categories of Expenditure (CoE)
where expenditure category 81 Mechanisms for improving good policy and
programme design monitoring and evaluation at national regional and local level
capacity building in the delivery of policies and programmes shows the planned or
actual Union contribution to SIC interventions independent of PAs Furthermore it
should be noted that some capacity building interventions take place under other CoE
Important examples are the modernisation and strengthening of labour market
institutions (or expenditure category 65) the design introduction and implementation
of reforms in education and training systems (or category 72) as well as promoting
partnerships (category 80) SIC is sometimes supported as a crosscutting theme
across all Priority Axes without specific references in programming or reporting
Table 8 below shows that 14 MSs programmed SIC in OPs or PAs Two more countries
(Cyprus and Spain) did not programme SIC but did foresee expenditure on this theme
under category 81
Dedicated OP(s)
Dedicated PA(s)AT
BG
HU
IT
NL
FR
EL
ROLT
UK
CZ EE
SI
SK
LV
MT PL
BE CY
DEDK
ES
FI
IRLUPT
SE
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Thematic EU synthesis report Strengthening Institutional Capacity
30
Table 8 Countries covered in programming and expenditure based analyses
Country SIC in
programming (OPPA)
With an OP dedicated to
SIC
With expenditure in Cat 81
Yes No
Austria X
Belgium X
Bulgaria X X X
Cyprus X
Czech R X X
Germany X
Denmark X
Estonia X X
Spain X
Finland X
France X
Greece X X X
Hungary X X X
Ireland X
Italy X X
Lithuania X X
Luxembourg X
Latvia X X
Malta X X
Netherlands X
Poland X X
Portugal X
Romania X X X
Sweden X
Slovenia X X
Slovakia X X
UK X X
TOTAL 14 4 16 11
Source Own elaborations on the basis of SFC data and information from Country experts
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Thematic EU synthesis report Strengthening Institutional Capacity
31
Table 9 Overview of SIC dedicated OPs and PAs by MS
MS OP TITLE SIC PA DESCRIPTION
BG OP Human Resources Development PA 6 Improving the effectiveness of labour market institutions and of social and healthcare services
BG OP Administrative Capacity PA 12
and 3
Good governance Human resources management Quality administrative service delivery and e-
Governance development
CZ OP Human Resources Development PA 4 Public administration and public services
EE OP for Human Resource Development PA 5 Enhancing administrative capacity
EL OP Administrative Reform PA1 - 9
Improving national public policies modernisation of the public administration Development of
the human capital in the public administration strengthening policies aiming at ensuring equal
opportunities for all in the whole range of the public administration
HU State Reform OP PA 1 2
and 3
Renewal of processes and organisation development Improving the quality of human resources
Developments to be attained in the Central Hungarian Region
IT Regional OP Campania PA 7 Institutional capacity
IT Regional OP Calabria PA 7 Institutional capacity
IT Regional OP Sicily PA 7 Institutional capacity
IT Regional OP Basilicata PA 7 Institutional capacity
IT Regional OP Apulia PA 7 Institutional capacity
IT OP Governance and System Actions (Ministry of
Labour) PA E5 Institutional capacity
IT OP Competences for Development (Ministry of
Education) PA 2 Institutional capacity
LT OP for the Development of Human Resources PA 4 Fostering Administrative Competences and Increasing Efficiency of Public Administrationrdquo
LV OP Human Resources and Employment PA 5 Administrative Capacity Building
MT OP II - Empowering people for more jobs and a
better quality of life PA 4 Strengthening of institutional and administrative capacity
PL OP Human Capital PA 5 Good governance
RO OP Administrative Capacity Development PA 1 2 Improving structure and processes of public policies cycle management Improving quality and
efficiency of public services with a focus on decentralisation
SI OP Development of human resources for the
period 2007-2013 PA 5 Institutional and administrative capacity
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Thematic EU synthesis report Strengthening Institutional Capacity
32
MS OP TITLE SIC PA DESCRIPTION
SK OP Employment and Social Inclusion PA 4 Capacity building and enhancement of the quality of public administration
UK OP West Wales and the Valleys PA 4 Modernising and improving the quality of public services
Annex I contains a complete overview of OPs PAs and actions dedicated to SIC
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Thematic EU synthesis report Strengthening Institutional Capacity
33
33 The impact of the economic crisis on ESF SIC priorities actions and funding (EU-27)
There is a number of reasons why the economic crisis can be expected to have an
impact on the allocation of ESF funds to SIC interventions The main reason is that
high unemployment rates will exert high pressure on political decision makers to
provide measures that directly address the problems resulting from this and can be
expected to yield results in the short term Capacity building interventions can be
expected to contribute to better functioning social protection and labour market
reintegration systems thereby improving social inclusion and employment rates
However they do so indirectly and effects take time to materialise With this in mind
it could be expected that MSs would redirect resources from SIC to other objectives in
response to the crisis
This was not the case for Bulgaria where reallocations were limited and unrelated to
the crisis They were caused by delays in numerous tender procedures resulting from
the insufficient capacity of beneficiaries As such implementation delays may signal
the emergence of the so-called ldquocapacity traprdquo effect where beneficiaries are unable
to use funds for improvement of administrative capacity due to the low initial capacity
Similarly in the United Kingdom funds were switched to other priorities because of
insufficient take-up The transfer of funds was unrelated to the crisis This has also
been the case in several other countries
In other countries some of the resources were reallocated Greece diverted SIC
resources towards employment (OP Human Resources Development) Two Italian
regions reduced their SIC budgets This was the case for the OPs for Sicily and
Campania No reductions were found for the other regions or the two OPs at the
national level The most likely destinations of these funds are the Access to
Employment and Human Capital themes Furthermore in response to the crisis Latvia
diverted resources from SIC to other objectives mainly to promote employability In
Slovakia in 2012 substantial reallocations took place taking away resources from SIC
to spend on other priorities It is not clear if this diversion was caused by the crisis
but according to the reallocation to PA 1 focused on employment it can be assumed
that the crisis was at least one of the reasons
Planned allocations for SIC were not implemented at all in Spain In the Autonomous
Community Castilla-La Mancha there were no certified expenditures on SIC due to a
restructuring of funds to face the economic and financial crisis in order to alleviate
problems related to unemployment reinforcing active employment policies and
supporting the most disadvantaged groups or territories This was a rsquoremedialrsquo action
carried out by several Spanish Autonomous Communities in order to finally dedicate
1687 of the ESF expenditure planned for the 2007-2013 financing period in order to
reduce the national unemployment rate (262 in 2013 compared to 83 in 2007)
which was one of the highest unemployment rates in the European Union
A reallocation of resources was not the only impact that the crisis had on SIC
interventions It also made the implementation of SIC interventions more difficult As
a result of the economic crisis and the Memorandum of Understanding Greece had to
implement downsizing and cuts in the wages and social security benefits of civil
servants Amidst this climate civil servants were bound to become demoralised and
the introduction of reforms was bound to face additional difficulties Italy saw a
general slowdown of its physical and financial implementation especially in ROPs
(other priorities emerged) It increased the role of the national OP from the Ministry of
Labour as it supported cross-territorial interventions The crisis also induced a growing
emphasis on the importance of having effective and efficient Public Administrations
that are more able to cope with crisis effects This applied especially to policy fields
like employment social inclusion education and local development The
aforementioned effect also occurred in Latvia the additional pressure was felt
especially by those implementing activities on the ground who had to use the
available resources as efficiently as possible This side effect of economic crisis
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Thematic EU synthesis report Strengthening Institutional Capacity
34
manifested itself in a positive way by encouraging political activities and decision
making capacity
Finally the crisis had a negative impact on the results of SIC interventions According
to the evaluation of the effectiveness and the impact of PA 5 lsquoRaising Estonian
administrative capacityrsquo the financial crisis was one of the main external factors that
had a negative impact on the achievement of the results of the PA 5 The
consequences of the crisis were not anticipated during the planning of the objectives
and activities of the programming period One outcome was that the budget cuts
diminished the share of top managers that were participating in the development
activities In addition the reduction of staff levels as a result of the economic
recession increased their workload and thereby reduced their possibilities to engage
in development activities However various activities might not have been carried out
at all if it had not been for the PA mainly due to the severe effects of the financial
crisis on public sector expenditure in general
In Lithuania the number of civil servants and public institutions were reduced in
response to the economic crisis As a consequence the effectiveness of investments in
the quality of public services and improvement of organisational capacities suffered a
number civil servants of beneficiaries lost their jobs and a number of beneficiary
organisations were simply abolished On the other hand the economic crisis also
increased the relevance of ESF support in the area of SIC to some extent The
evidence shows that as a result of the economic crisis the national funds focused on
training civil servants were replaced by ESF funds Thus because of the cuts in
national funds in the area of ISC ESF funds became more important in Lithuania
According to the capacity building OP evaluation in Romania the economic and
financial crisis influenced the public administration sector which also affected the
implementation of this OP The reduction of tax revenues resulting from the
decreased income from private businesses and taxpayers along with the reduction of
state budget allocations towards public administrations units (main OP beneficiaries)
lead to the impossibility of insuring appropriate co-financing for running projects and
consequently affected the achievement of projectsrsquo programme indicators At the
same time the restructuring measures taken to counter the economic crisis effects
implied reduction of PA unitsrsquo personnel which affected the target groups involved in
the projects and the underachievement of programme indicators
34 The ESF expenditure in the area of SIC
341 Overall funding levels
In total EU-28 MSs allocated euro2418710066 to OPs or PAs that were dedicated to
SIC objectives equating to 21 of total ESF funding (see Table 10 below) This
includes funding from national (public and private) sources as well as the amount of
co-funding foreseen from the EU Most funding is allocated to national Operational
Programmes with only IT and UK having regional OPs In Italy however the majority
of the SIC funding goes to the National OP Governance (20 of total ESF SIC
investment) This sum includes Croatia whose interventions do not fall under the
scope of the present study due to the late start of ESF activities upon accession to EU
The highest absolute amounts allocated to SIC are found in Greece and Poland
followed by Italy and Romania Expenditure on SIC does not always correlate with
overall ESF expenditure In other words MSs consciously choose to prioritise SIC or
not In fact percentages of SIC allocation to overall ESF investment vary considerably
across countries with BG and LT allocating 15 of their ESF budget to SIC followed
by Malta and Slovenia (131 and 128 respectively) Greece invests 81 while
the other countries with high absolute amounts of SIC investments such as PL and IT
allocate a relatively small percentage of their ESF resources to SIC (39 and 18
respectively)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
35
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of
funds allocated to SIC-related Priority Axes over total ESF budget)
Source SFC2007 latest version OPs
Table 10 ESF SIC investment and over total ESF (total funding)
allocation to SIC-dedicated PAs (euro)
over total ESF
BG 209654707 151
CZ 186595775 43
EE 24465675 53
EL 418273566 81
HU 166276830 39
IT 252539187 18
LT 181629418 150
LV 24271094 35
MT 17199118 131
PL 455967699 39
RO 234920609 54
SI 114178243 128
SK 67615059 39
UK 55726379 06
Total SIC EU27 2409313359
HR 9396707 50
Total SIC EU28 2418710066
TOTAL ESF 115596750390 21
Source SFC2007 Operational Programmes as of 31-12-2014
HR interventions are excluded from this evaluation due to the late start of ESF activities upon accession to EU
0
2
4
6
8
10
12
14
16
BG LT MT SI EL RO EE CZ HU PL SK LV EU27 IT UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
36
The total amount of certified eligible expenditure paid by beneficiaries by the end 2014
(or actual expenditure) was euro1669 million The difference between planned and actual
expenditure is discussed in section 411
342 Programmed expenditure on Category of Expenditure 81
In this section we provide an overview of the allocation of Category of Expenditure
81 relating to Mechanisms for improving good policy and programme design
monitoring and evaluation at national regional and local level capacity building in the
delivery of policies and programmes and it involves comparing it with the funding on
SIC-dedicated PAs
The budget foreseen by the EU for Category of Expenditure 81 relating to
Mechanisms for improving good policy and programme design monitoring and
evaluation at national regional and local level capacity building in the delivery of
policies and programmes amounted to euro14 billion ie 19 of the total budget
provided by community funding was allocated to SIC
With regard to the spending foreseen on SIC according to CoE 81 three distinct
groups of countries emerge
Countries with relatively high or fairly high programmed expenditure on SIC
are Bulgaria Estonia Hungary Lithuania Latvia Malta and Romania with
12 5 4 7 4 8 and 5 of their co-funding respectively
Countries with medium scores on SIC Cyprus Czech Republic Poland (3-
4) Italy and Slovenia (2-25) Greece and Slovakia (1-15)
The third group of countries has allocated very small parts of their budget
typically zero or at least less than 1 for SIC Austria Belgium Germany
Denmark Spain Finland France Ireland Luxembourg The Netherlands
Portugal Sweden and the United Kingdom
Figure 3 Budget allocated to expenditure category 81 per MS
Source SFC 2007-2013 latest version OPs community amounts
It is worth noting that capacity building under the ESF is not limited to expenditures
under category 81 only presented above Nor is it limited to SIC-dedicated OPsPAs
-
50 000 000
100 000 000
150 000 000
200 000 000
250 000 000
300 000 000
350 000 000
400 000 000
450 000 000
AT BE BG CY CZ DE DK EE ES FI FR GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
37
In total some euro12 billion out of the euro77 billion8 budgeted for co-funding from ESF
were reserved for the three main other expenditure categories that are likely to
include capacity building actions or activities Modernisation of labour market
institutions (CoE 65) Reforming education and training systems (CoE 72) and
Partnerships Networks and initiatives (CoE 80) Altogether these four categories
constitute 157 of the total community funding budgeted for the 2007-2013
programming period These figures are provided just for completeness of information
as SIC spending (and investment) for the purposes of this report only relates to SIC-
dedicated PAs (ie those PAs which focused exclusively or for a large part on SIC as
per Article 32b of the ESF Regulation
The first group that was identified in the previous section which is comprised of
countries that earmark high shares of their ESF budget to SIC can be expected to
dedicate one or more OPsPAs or actions to SIC This is indeed the case as can be
seen from the table below
Nonetheless one third of the countries that place a medium emphasis on SIC -three
out of nine ndash also included SIC in their programming Czech Republic Italy and
Poland
Even amongst the group with relatively small budgets for SIC one country is found
with dedicated OPs or PAs to SIC the United Kingdom Of course a small share may
still total several millions of euros The United Kingdom earmarked only 1 of its
budget for SIC but this still amounts to euro25 million
Countries devoting neither financial nor material attention to SIC are Austria Belgium
Germany Denmark Finland Ireland Luxembourg the Netherlands and Sweden
The programming of SIC in ESF is discussed in more detail in the following section
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
AT 00 -
BE 00 -
BG 122 143988501 2 4 17
CY 39 4615273
CZ 35 127571573 1 1 1
DE 00 -
DK 00 -
EE 51 20126546 1 1 4
ES 01 6564559
FI 00 -
FR 00 2599325
EL 11 47010448 1 9 9
HU 41 147490451 1 3 6
IR 00 -
8 Source SFC 2007-2013 section on programming ndash operational programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
38
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
IT 25 171426165 7 7 16
LT 68 69552049 1 1 3
LU 00 -
LV 42 24275976 1 1 3
MT 78 8752517 1 1 4
NL 00 -
PL 38 381835672 1 1 5
PT 01 9888970
RO 54 199682518 1 2 5
SE 00 -
SI 21 15861756 1 1 2
SK 13 19308570 1 1 2
UK 05 24585962 1 1 1
EU27 19 1425136831 21 34 78
Envisaged community funding programmed for category 81 SFC 2007-2013 latest version OPs
Dedicated OPs in this table also includes OPs with one or more SIC dedicated PAs
PA 4 of the OP for Guiana covered both Promoting partnerships and SIC and is discussed
under the thematic review of the former
As explained in section 341 the money allocated for OPs and PAs which has been
specifically dedicated to SIC amounts to euro2409 million However this amount
includes national funding which therefore cannot be compared to the allocated
community funding for category 81 expenditure
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
39
4 The effectiveness efficiency sustainability gender sensitivity community added value and the socio-economic
impact of ESF SIC investment in the 27 member States
Key findings
The total amount of certified eligible expenditure by the end 2014 was euro167
million This constitutes 69 of SIC allocated funding at EU level versus 793
for total ESF Implementation rates differ considerably among countries and PAs
In total almost 14 million participations were registered in SIC-related
interventions covering mostly staff from public institutions social partners and
NGOs receiving training This results in a set of characteristics which is very
different from other ESF priorities
In terms of outputs during the 2007-2013 programming period 17000 training
programmes and 4000 studies were undertaken campaigns public consultations
reviews (laws procedures) reports etc were implemented Some 95000
organisationsinstitutions were involved in SIC-related interventions at least
1500 projects or activities launched some 250 guides and guidelines produced
and 150 new structures established
The results achieved through ESF SIC funding during the 2007-2013 period are
varied Approximately 512000 individuals gained a qualification 87000 reported
other positive results some 2000 entities or organisations were established and
more than 1700 productssystemstools were developed
Activities aimed at strengthening of the judiciary resulted in a reduction of the
duration of judicial procedures in a number of countries Strategic planning and
management was improved by increasing the number or the share of public
administration offices that implemented management systems and quality
assurance processes Increasing the number of services available to citizens
online businesses and training of public administration staff to use them correctly
were a means to achieve MS ambitions in the field of e-government Improving
the environment for businesses was achieved by shortening the time needed for
setting up or registering a business and decreasing administrative costs Other
achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by a number of MS
The sustainability of SIC interventions is particularly dependent on the context in
which they are implemented and which they aim to support
Gender equality is seldom targeted directly by SIC interventions through positive
actions However in some countries SIC interventions were designed in such a
way that in their implementation at least women and womenrsquos interests are
taken into account or possibly furthered SIC interventions typically have more
female than male participants
The main Community added value of ESF SIC investment is a volume effect
ESF has also added value by broadening the scope of the interventions
undertaken in MS or by putting administrative capacity on the agenda SIC
funding played a relevant role in supporting the introduction and testing of
innovative tools or systems such as the introduction of e-government
The data presented in this chapter were gathered from the EC Structural Funds
database (SFC) They reflect the situation as available in December 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
40
41 The effectiveness of ESF SIC interventions
The effectiveness of the selected interventions was assessed through
Analysis of financial implementation comparing the actual spending reported
with the allocated funds However as many projects in the interventions are
still ongoing the current analysis at the end of 2014 is only indicative of the
final financial implementation of the interventions
Analysis of the different participant groups addressed in the selected
interventions
Analysis of the intervention outputs and results comparing the targets for
outputs and results with those achieved However this analysis needs to be
treated with caution as it was not possible to systematically assess whether
the initial targets were set in a comparable and appropriate way across the OPs
(eg were the set targets challenging comfortable or realistic) In OPs the
targets have also been adjusted over time further complicating these like-for-
like comparisons
Additional evidence and information derived from national evaluations and
other relevant documents
It was not possible to conduct a systematic comparison with the results of similar non-
ESF sponsored interventions in the national regional contexts due to the lack of
sufficiently similar non-ESF sponsored interventions
411 Progress in the financial implementation of ESF SIC
At EU level euro1670 million or 693 of SIC allocated funding was spent as at
311220149 On average less SIC funds have been spent in relation to the overall ESF
funding with an implementation rate of 793 (See Table 12 below)
Table 12 SIC and overall ESF implementation rate () by MS (31 December
2014)
MS certified expenditure (euro) total allocation (euro)
SIC impl rate ()
total
ESF impl rate ()
BG 137491170 209654707 656 758
CZ 94381124 186595775 506 734
EE 21210585 24465675 867 835
EL 381930601 418273566 913 792
HU 122203794 166276830 735 703
IT 131069031 252539187 519 769
9 Figure does not include Croatia
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
41
MS certified expenditure (euro) total allocation (euro)
SIC impl
rate ()
total ESF impl rate ()
LT 143977869 181629418 793 827
LV 20683459 24271094 852 973
MT 7687444 17199118 447 674
PL 315293255 455967699 691 844
RO 159318804 234920609 678 441
SI 89112721 114178243 780 838
SK 31545122 67615059 467 649
UK 13331326 55726379 239 770
Total 1669537980 2409313359 693 793
Source SFC 2007 The implementation rate corresponds to the percentage of certified expenditure over the total funding of the PA
HR not included
Table 13 below shows considerable differences among PAs Extremely low rates can
be observed for most of the Italian and the UK OPs dedicated to SIC They all spent
less than one-third of their budget for the period by the end of 2014
For Italy low implementation rates were recorded in all (convergence) regional OPs
and in the National OP Competencies for Development which was due in the latter
case to the slow start of activities10 A number of explanations can be offered for the
low implementation rates of regional Italian OPs a) involving public administrations in
reform processes traditionally requires a large amount of time (in Italy) b)
implementation was slow for the regional OPs in general (not only for the SIC PAs) c)
other important public administration reform processes involved MAs and this shifted
its attention from SIC theme implementation d) the theme funding was generally not
so relevant (for regional OPs but also in the case of the Ministry of Education for
national OP for example) e) generally small sized interventions (also for
administrative reasons) have been implemented and the spending speed was
therefore slow f) (probably) an overestimation of funding needs occurred in OPs
Within that context overall allocation to SIC PAs in Italy (EU and national funding)
decreased significantly from the beginning of the programming period due to the
reallocation of resources
10 In fact implementation accelerated significantly in 2015 national data (29022016) account for a commitment rate above 100 and payments around 60
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
42
Most of the Greek PAs on the other hand had extremely high implementation rates
spending more than 90 of the money budgeted The extremely high implementation
rate of PA 3 in the Greek OP Administrative Reform is due to the fact that this PA
underwent several revisions and eventually financed a major intervention lsquoFemale
entrepreneurship 24-64rsquo (implemented by OAED-Ministry of Labour) Concurrently co-
financing rates were also revised
Other high implementation rates (over 80) can be noted for the Bulgarian
administrative reform OP as well as for the Estonian OP the Latvian OP the Italian
Basilicata region and the Italian national governance OP (the most relevant OP in
terms of SIC investment in Italy) the Lithuanian OP the Czech Republic OP the
Slovenian OP the Hungarian reform OP and one of Romanias PAs
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
43
Table 13 Share of the budget spent per SIC relevant PA
MS OP - PA
Total
funding
(euro)
Impl rate
()
IT OP Competencies for Development ndash PA2 29740000 1488
UK OP West Wales and the Valleys- A4 55726379 2392
IT OP ESF Calabria ndash PA7 23803512 3109
IT OP ESF Sicily ndash PA7 14350000 3135
IT OP ESF Campania ndash PA7 40000000 3374
IT OP Apulia ESF ndash PA7 31340400 3474
MT Empowering people for more jobs and better quality PA4 17199118 4470
BG OP Human Resources Development ndash PA6 42559453 4569
SK OP Employment and Social Inclusion ndash PA4 67615059 4670
CZ OP Human Resources Development ndash PA44a 178020742 4923
RO OP Administrative Capacity Development 97883587 6282
BG OP Administrative Capacity ndash PA2 62440507 6290
HU State Reform OP ndash PA1 84742365 6750
BG OP Administrative Capacity ndash PA3 65819495 6774
PL OP Human Capital ndash PA5 455967699 6915
EL Administrative Reform ndash PA4 40905059 7046
RO OP Administrative Capacity Development ndash PA1 137037022 7139
HU State Reform OP ndash PA2 33738453 7580
SI OP Development of human resources ndash PA5 114178243 7810
CZ OP Human Resources Development ndash PA44b 8575033 7862
LT OP for the Development of Human Resources - PA4 181629418 7930
IT Governance and System Actions ndash PA5 103634307 7935
HU State Reform OP ndash PA3 47796012 8260
IT ESF Basilicata ndash PA7 9670968 8407
EL Administrative Reform ndash PA6 4047043 8465
LV Human Resources and Employment 24271094 8520
EE OP Human Resource Development ndashPA5 24465675 8670
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
44
MS OP - PA
Total
funding
(euro)
Impl rate
()
EL Administrative Reform ndash PA1 132496530 8758
BG Administrative Capacity ndash PA1 38835252 8803
EL Administrative Reform ndash PA5 50938324 8815
EL Administrative Reform ndash PA7 48235348 9022
EL Administrative Reform ndash PA8 41147810 9262
EL Administrative Reform ndash PA9 11062398 9707
EL Administrative Reform ndash PA2 87045034 10203
EL Administrative Reform ndash PA3 2396020 31574
Source SFC 2007-2013 Country Synthesis Reports
412 Types of output and result indicators selected by the OPs
A variety of outputs have been generated by SIC interventions Countries have
developed several types of indicators to monitor them
Important outputs relate to the participation of individuals in ESF activities This
category is made up of the traditional indicators to monitor progress with regard to
participants in events which are usually training events Human resources however
also include interventions other than training for which indicators can also be found
Examples of these indicators refer to number of persons participating in training or
persons achieving a qualification at the end of the intervention
Other outputs relate to the institutions that benefitted or those that were the object of
certain activities As SIC events also address structures and processes a whole series
of indicators have been used that in essence measure the number of supported
organisations This includes the number of supported organisations (eg supported
NGOs) also more specific output indicators have often been formulated to take the
object or content of the intervention into account Example of these are as follows
number of judiciary that have introduced court case management systems
administrations that have introduced systems for in-house electronic exchange
of documents
number of local governments whose employees have completed training
civil society structures that have trained their staff
functional reviews carried out for improving organisation and HR management
A further series of indicators measure the production of tools andor deliverables such
as the number of guides and other methodological documents prepared information
campaigns carried out and e-government services developedintroduced
The results are less easy to cluster and the indicators used raise some questions A
discussion of these issues has been used as a framework to show the types of results
that MSs aim for and achieve with SIC interventions that have been co-financed by
ESF
The first thing that stands out when examining the results indicators used for SIC
interventions is that a number of them are quite similar to the output indicators
discussed above This does not necessarily mean that these are not the correct
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
45
indicators for the results of the intervention This entirely depends on the type of
intervention and the intervention logic behind it Results indicators build upon the
indicators defined for outputs If these are defined as lsquothe number of trainingsrsquo for
example the results can be measured as the lsquonumber of successfully trained staffrsquo
However if the outputs were measured by lsquothe number of trained staffrsquo the result
should assess the next step in the objectives tree (eg the number of trained staff
that have obtained a qualification or have mastered specific skills) If new
organisations have been set up and this was used as a measure of outputs this could
be accompanied by an indicator for results that measures the use of such a structure
for example the number of visitors or number of services provided Occasionally it can
also be a point of discussion on where to draw the line between output and result
level
Result indicators that could also be found as output indicators are listed below
number of participants gaining a qualificationcertification
share of persons successfully completing a training programme
number of successful course graduates
newly created structures
public administration units supported in improving management standards
number of NGOs per year who have received advice
proportion of civil servants with individualised performance ratings
A second observation concerns the quality of the indicators The results indicators in
some cases appear to be less specific than the output indicators It may be the case
though that the SFC database only mentions the measure used (eg lsquopersonnel
turnoverrsquo or lsquothe average administrative costs associated with starting a business
activityrsquo) while the details (decrease how much by when) are specified elsewhere
The number of countries not specifying targets for results is also somewhat higher
than for outputs Six MSs did not set targets for part of the results of SIC
interventions whereas this only occurs in four countries for outputs
Indicators that are good examples of being specific measurable and relevant are
Administrations that have undertaken the optimisation of procedures as a
result of a functional review
Ratio of persons becoming civil servants within the central administration
system in the current year in relation to those previously employed The hiring
of these new staff members must be the result of an open call for applications
The second example also includes the time element required for SMART indicators
Several indicators refer to the introduction of systems or tools resulting from the
intervention It is clear that certain activities and outputs are required for these results
to be achieved such as training awareness raising promotion or even new legislative
requirements These are examples of indicators that clearly measure results rather
than outputs
legislative drafts accompanied by an impact assessment
administrations using the Single HRM Information System
bodies of the judiciary that have introduced a HRM system
normative acts adopted after consultation with stakeholders
the percentage of local governments that have implemented management
systems involving customer satisfaction measurement
administrations that observe the time standard for service provision
public sectors that have elaborated specific public private partnership rules
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
46
administrations that have introduced rules of procedure for the monitoring of
policy implementation
number of laws amended as a result of the programme
The more lsquostrategic naturersquo called for in the ESF Regulation is visible in a limited
number of results indicators Examples include
shortening the length of judicial proceedings
reducing the time for servicing clients
increasing the share of persons from target groups receiving services
providing compliance with the Maastricht criteria
Requirements for indicators and targets in the framework of ESF assistance
In its preamble (26) to the General Regulation ((EC) No 10832006) the Council states that ldquoit
is appropriate to set measurable targetsrdquo and that it is necessary to identify appropriate ways to measure and report the attainment of those targets Article 93 specifies the share of the budget to be devoted to activities that further the Unionrsquos objectives regarding competitiveness and job creation including the objectives of the Integrated Guidelines for Growth and Jobs (2005 to 2008) The targets set by MSs should reflect this Article 36c stipulates that targets
shall be quantified ldquousing a limited number of indicators for output and results taking into account the proportionality principlerdquo The ESF Regulation ((EC) No 10812006) specifies for programmes co-financed by ESF that the indicators shall be rdquostrategic in nature and limited in numberrdquo They must also rdquoreflect those used in the implementation of the European Employment Strategy and in the context of the relevant Community objectives in the fields of social inclusion and education and trainingrdquo
413 Overall achievements
In this section we provide an overview of the main achievements in terms of the
values of output and results indicators
In terms of outputs recorded during the 2007-2013 programming period 17000
training programmes were developed and 4000 studies undertaken campaigns
public consultations reviews (laws procedures) and reports have been implemented
Some 95000 organisationsinstitutions were involved under SIC-related interventions
The organisations that the ESF supported besides the obvious beneficiaries include
bodies of the judiciary government offices at county level boards of public benefit
activities at regional level and municipalities At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures including client
centres or regional offices
Most of the individuals that participated in a SIC-funded projectinitiative received
support in the form of training Examples of other achievements for individual persons
include lsquoattracting new specialistsrsquo and lsquoemployers assisting or financially supporting
These achievements were monitored through output indicators These figures probably
underestimate the number of outputs as countries have not necessarily included both
the number of organisations involved in training and the number of staff trained as
output indicators Sometimes the development of training plans was a distinct activity
however for many training programmes plans may exist without being monitored
through output indicators
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
47
The results achieved through ESF during the 2007-2013 programming period are
varied too
In order to illustrate them we first present the aggregate of realised values of result
indicators for SIC based on a limited set of key ESF results common to all ESF
priorities as reported in the EU Synthesis Report of the present service 11
as such
these values can be aggregated and compared with those of other ESF priorities
During the 2007-2013 programming period under the SIC priority approximately
512000 individuals gained a qualification and 87100 reported other positive results
Some 2000 entities or organisations were established or they recorded other positive
results and more than 1700 productssystemstools were developed It should be
mentioned however that due to data limitations it was not possible to aggregate all
results as reported in the AIR of ESF programmes and as a consequence this leads to
systematic under-reporting of the results of ESF12
In addition we provide a more detailed overview of the main types of results
customised to SIC interventions while section 414 provides a more in-depth analysis
of some of these indicators per typology of intervention
However it should be highlighted that several limitations mainly in the quality and
availability of monitoring data and heterogeneity of national evaluations coupled with
a broad range of intervention logics hamper the formulation of a concise and clear cut
assessment of achievements causality and extent to which results have been
achieved at EU level Furthermore as it will be mentioned below in more detail
typically information from national evaluations is of a more qualitative nature with
fewer evidence-based findings and is thus not conducive to drawing hard conclusions
ESF-supported interventions helped in reducing the administrative burden for citizens
and businesses The processing time was shortened for documents servicing clients
obtaining the necessary paperwork for starting a business and judicial procedures
(BG CZ PL) administrative costs were also reduced (EL RO PL)
Services were made more accessible through the introduction of on-line service
delivery at various administrative levels (BG CZ PL)
SIC interventions also contributed to the production of better quality policies and
legislation through the introduction of monitoring and evaluation procedures in
administrative bodies (BG RO) the increase in impact studies conducted before
introducing new legislation (BG CZ) the development of quality management in
public institutions (LV) and laws that were amended to better serve the community
(HU)
Management systems and practices were changed to incorporate modern human
resource management and planning techniques (EE PL LV) performance ratings used
for staff assessment (HU) and new staff that were attracted to join government
11 these are People in employment directly or sometime after the intervention People receiving a qualificationcertificate People reporting positive results other than employment or qualification such as for example improving skills competences or successfully completing the
ESF supported intervention (or reporting a combination of employment qualification and other positive result aggregating combined indicators) People in self-employment Entities being established or obtaining other positive results and Productssystemstools developed
12 For a more detailed analysis of data limitations in calculating ESF results see the EU Synthesis Report Chapter 41
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
48
institutions (HU) Cooperation with other actors was furthered through the preparation
of rules for public-private partnerships in public administrations (BG) and the inclusion
of NGOs in activities (LV) SIC interventions of course also led to many reforms in
public institutions (RO)
The support to institutional capacity also contributed to achievements in specific policy
areas equal opportunities through the increased number of public bodies of the
central government that promote the integration of gender policy (EL) environmental
policies through the development of territory plans in municipalities (LT) and
environmental management systems in companies (UK) and the social dialogue
through the increased number of employees that are covered by collective agreements
(LV)
The above overview of achievements is based on the indicators that MSs formulated to
measure results From the information provided in chapter 3 it is obvious that this
captures only some of the achievements
414 Achievements in specific fields of activity
In this section we provide a more in-depth analysis of achievements obtained through
the implementation of SIC-related interventions in some specific sectors according to
a classification of indicators per field of activity By looking at these different fields of
activity some interesting findings at country level emerge
Capacity building related to judiciary reforms
Relevant output indicators have been identified in this field in three countries (BG PL
and EL) Five of output indicators (BG and PL) relate to the training of individuals
such as magistrates or employees of judiciary offices and one to the number of
training modules developed (BG) In Greece the selected indicator refers to the
number of implemented upgrading actions of courtsrsquo administrative capacity One
more indicator in Bulgaria refers to the number of judicial bodies that have introduced
court case management systems
Of the twelve result indicators selected by four MSs (BG CZ PL and SI) seven
measure the decrease in the duration of proceedings of judicial cases (CZ PL and SI)
In Slovenia the average duration time for judicial procedures (in months) was reduced
from 95 to 39 thus surpassing the target (6) In the Czech Republic the length of
judicial proceedings was down to 497 (days) by the end of 2014 from an initial
baseline of 1057 (versus a target of 846) The remaining indicators refer to the
increased effectiveness of judiciary bodies and offices in terms of management and
quality assurance HR and provision of services
Results for BG and PL were less positive In Poland although the share of cases
handled by the courts for longer than 12 months decreased to 14 (target 1330
baseline 167) the indicators related to the average duration of proceedings in
commercial cases did not show a progress towards the set target In Bulgaria the
intervention on the web platform for e-justice failed due to lack of interest
Processes related to strategic planning and management
Eight output indicators have been selected by four MSs in the field of Strategic
planning and management (EL LT LV and PL) They refer to the number or the share
of public administration offices that implemented management systems and quality
assurance processes including the training of employees on these subjects
Eight result indicators for this field have been selected by five MS (EE LV LT PL and
RO) which measure the number of units or offices that have changed their
management system or introduced quality standards or management systems
E-government
Six output indicators have been selected in the field of e-government One indicator in
Slovenia refers to the number of online administration services available It is
interesting to note that in the case of Slovenia the target was overachieved by 249
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
49
(805 services online versus 323 targeted starting from an initial baseline of 308) In
Bulgaria the indicator refers to the number of administration units having introduced
systems for the in-house electronic exchange of documents (in total 108 although no
initial target was set) In Poland the selected indicator refers to the number of
employees who received training for the provision of online services (this indicator
shows a relevant underachievement as only 23 of the foreseen 800 workers received
the training)
By the end of 2014 in Slovenia the availability of e-government services has
increased from an initial baseline of 87 to 95 (initial target over achieved) usage
of ICT services by medical personnel has increased to 65 from an initial baseline of
60 while use by patients has risen to 25 from an initial 22 Usage of e-services
by the unemployed has increased from an initial baseline of 7 to 27
(implementation rate of 163) In Bulgaria 436 services have been made available
online (1000 were foreseen) In the Czech Republic achieved results relate to the
increased use of e-government public administration
Promoting a business-friendly administration
Five MSs selected result indicators relating to the promotion of a business-friendly
administration these mostly relate to shortening the time needed for setting up or
registering a business or in the rebate of administrative costs for business
In Slovenia the number of days required for setting up a corporate entity decreased
from 61 to 29 days (versus a target value of 7) In Poland the OP selected a
relatively high number of indicators to measure the goal of having a more conducive
administrative environment for companies the decrease in the number of days for
registration of an economic activity (for companies and individuals) and of the
administrative costs for setting up a business In all instances the indicators show that
initial targets have been achieved or over-achieved Lithuania also focuses on the
reduction of the time required to set up a business over the 2007-2014 period this
has decreased from 26 to 3 days
In Poland significant results in the area of administrative capacity connected with
diminishing burdens on economic activity have been found Diminishing burdens on
starting-up businesses are connected with a friendlier law and organisational setup ndash
simplifications were made of 92 legal acts which were most relevant in terms of
conducting economic activity (target 40) The average number of days required for the
registration of economic activity (starting up business) dropped to 005 (target 1
baseline 7) for individuals and 348h (target 24h baseline 168h) for companies The
empowerment of citizens was achieved through the results connected with access to
free legal consultations Other successful programmes include the implementation of
the lsquoone-stop-shoprsquo system for start-ups the simplification of administrative
procedures related to start up business increasing the quality of services rendered by
tax administration and equipping judiciary staff with necessary competences relevant
to dealing with economic cases (PA 512)
415 Effectiveness
Effectiveness can be measured by comparing achievements with initially set targets
As targets for outputs and results are defined in different ways a composite indicator
has been constructed which counts the number of targets that have been met and the
number of those that have not been reached for each ESF theme
Outputs
The table below shows the share of output targets achieved and not achieved for SIC
interventions and for ESF interventions as a whole It should be noted that no targets
were set for a number of outputs in Bulgaria the Czech Republic Greece Italy Latvia
and the United Kingdom The share of outputs without targets for these countries
amounted to 5 65 2 65 30 and 24 respectively
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
50
It is to be recalled that targets were set for the end of the programming period with
the 2007-2013 expenditure being eligible until 31122015 Therefore tables and
figures below underestimate the attainment of targets as data on results refer to
2014 only
For the ESF as a whole only slightly more than half of the output targets were set
Where targets were set for outputs a majority of them were achieved (63) Targets
were more often set in countries that had allocated resources to SIC-related
interventions In those countries targets were set for 61 of the outputs defined
These targets were achieved to roughly the same degree as the other types of
interventions (see table below) For the SIC interventions themselves a relatively
large number of targets was set However only half of these targets were met which
is considerably less than for ESF interventions as a whole and this has not been
explained by the MS Obviously the fact that targets were set for a larger share of the
PAs did increase the chances of failing to meet targets this is because targets were
also set when this was more complicated to achieve (See Table 14)
Table 14 Target setting and achievement for outputs SIC and ESF
Targets set Targets achieved if set
ESF as a whole 54 63
MS with SIC related interventions 61 61
SIC related interventions 78 52
Source SFC 2007-2013Draft Country Synthesis Reports
Achieved or over-performed
In eight of the 14 countries SIC interventions performed better than interventions in
general These countries show the same or higher achievement rates for SIC
interventions than for all ESF interventions the Czech Republic Estonia Hungary
Latvia Romania Slovenia Slovakia and the United Kingdom With the exception of
Slovakia in particular these countries also performed considerably better than the
other countries (See Table 15)
Table 15 Achievement of output targets for SIC and all ESF interventions
ESF
SIC
Below target Above or = target Below target Above or = target
BG 73 27 94 6
CZ 27 73 0 100
EE 16 84 0 100
EL 63 38 74 26
HU 35 65 14 86
IT 37 63 77 23
LT 28 72 47 53
LV 16 84 0 100
MT 50 50 67 33
PL 33 67 42 58
RO 52 48 40 60
SI 35 65 14 86
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51
ESF
SIC
Below target Above or = target Below target Above or = target
SK 63 37 63 38
UK 30 70 25 75
BG Incl PA4 TA
CZ No data for PA 44b
Source SFC 2007-2013Draft CS Reports
Results
Tables 16 and 17 below provide a consolidated overview of the degree to which set
targets for results were met
Table 16 Target setting and achievement for results SIC and ESF
Targets set Targets achieved if set
ESF as a whole 63 39
MS with SIC related interventions 57 41
SIC related interventions 81 43
Source SFC 2007-2013Draft CS Reports
Achieved or over-performed
Result targets were considerably more often set for SIC related interventions rather
than for ESF interventions in general (81 compared to 63) Only four out of ten
SIC PAs achieved their targets In this they are comparable to other types of
interventions under ESF
Only four countries have performed equally or better in terms of achieving their
results targets for SIC compared with their performance regarding ESF interventions
as a whole Estonia Hungary Italy and Latvia (see table below)
In general countries set targets for results more often than they do for outputs (63
compared with 54) However the difference is negligible for SIC interventions On
the other hand the targets set for results were achieved much less often than those
for outputs For ESF as a whole 39 of the targets set for results were achieved
compared to 63 for the output targets Only 43 of the SIC interventions met their
targeted results compared with 52 of the output targets As this is the first period
for which targets had to be developed for SIC interventions it could be that these
targets were set at levels which were too ambitious It is conceivable that assessing
the chances of outputs being achieved would be easier than assessing likely results
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
52
Table 17 Achievement of results targets for SIC and all ESF interventions
ESF SIC
Below target Above or = target Below target Above or = target
BG 76 24 87 13
CZ 31 69 56 44
EE 34 66 0 100
EL 78 22 100 0
HU 0 100 0 100
IT 78 22 56 44
LT 27 73 50 50
LV 36 64 29 71
MT 36 64 50 50
PL 47 53 52 48
RO 61 39 78 22
SI 52 48 75 25
SK 86 14 100 0
UK 29 71 86 14
BG Incl PA4 TA
CZ No data for PA 44b
For SI PP and SIC data are combined and this table therefore includes the PP interventions too
Source SFC
Of course target achievement is only one way of assessing results and national
evaluations in a number of cases more detailed analyses at the level of PAs have
provided more positive or more nuanced statements about the results (eg EL MT
PL RO SI) One reason is that these evaluations provide more information than is
available in the database or that they make a more detailed comparison between the
effectiveness of PAs or actions related to SIC However the assessment of the results
is also influenced by expectations and previous experience as well as by the use of
other criteria
The PA for lsquoModernising and improving the quality of public services for West Wales
and the Valleysrsquo met only 14 of the results targets according to the SFC database
However it can still be assessed positively when looking at national sources bearing in
mind that most targets were met or exceeded (AIR 2014) Also the projects within this
thematic area had a clear focus on seeking to instigate a positive change with a view
to creating long-standing service improvements This thematic area provided impetus
in moving some agendas and pilot ideas into practice due to the additional funding
provided13
13 Thematic Evaluations presentations PWC dated October 2014 and May 2015 available at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
53
416 Reaching the different target groups
In total over 14 million participations were reported in SIC-related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training
The fact that the target groups of SIC interventions are usually the staff of the
institutions concerned is reflected in the participantsrsquo characteristics These differ
considerably from the average ESF population
Almost all participants are as logic suggests employees The only exception is
Slovenia where lsquoonlyrsquo 865 of the participants are employed For the ESF as a
whole only one third of the participants are employed as many interventions focus on
promoting the labour market participation of unemployed and inactive people
The majority of the participants are well educated (ISCED 5 and 6) With 57 of the
participants in this category the educational level of participants is much higher in SIC
interventions than it is for ESF as whole where only 17 fall into this category
Conversely participation of people with lower educational levels especially ISCED 1
and 2 is much higher for ESF participants as a whole The highest educational levels
are found amongst participants in Lithuania Romania and Slovenia the lowest in the
Czech Republic Hungary and Italy
Participants in SIC interventions are older than ESF participants on average The vast
majority of the participants in SIC interventions are 25-54 years of age (86) while
this number amounts to only 63 for ESF as a whole They also belong to the older
age group of 55-65 years of age somewhat more often 11 versus 6 of the
population for ESF as a whole Young people (15-24) on the other hand are strongly
under-represented (4 for SIC interventions versus 31 for ESF as a whole)
Although in some countries young people are better represented (LT LV SI) but with
still far lower shares than for ESF as a whole Countries with the lowest share of young
people in SIC interventions are the Czech Republic Greece and Italy
The majority are women (64) For the ESF as a whole only 52 of the participants
are women This over-representation of women might be due to the fact that they are
usually over-represented in public administration which represents the most
important target of SIC interventions The share of women in SIC interventions is
somewhat lower in Italy and the United Kingdom (50-59) and considerably lower in
Malta and Slovakia (40-49) Women are over-represented in all sub-groups The
difference is however considerably less pronounced amongst the higher educated
This is caused by the fact that for ESF as a whole the share of women amongst
higher educated participants is relatively high (63) while for SIC interventions the
share of women remains in line with SIC interventions as a whole If we assume that
for SIC interventions higher education is accompanied by higher positions in the
organisations concerned this could reflect a lower representation of women at higher
levels in such positions
ESF 2007-2013 ex-post evaluation synthesis
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54
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014)
Source SFC 2007 Country Synthesis Reports
Values BG CZ EE EL HU IT LT LV MT PL RO SI SK UK TOTAL SIC
over
total W TOTAL ESF
over
total W
Total
participants252126 140810 43434 130340 210547 13878 92410 49538 20264 367776 70249 927 42725 822 1436920 64 98658829 52
Employed 241728 140810 43434 126685 205701 13878 87180 46318 20182 352000 70249 802 42151 822 1392409 969 64 33041257 335 53
of which self-
employed8799 - - - 1009 - 3323 1304 792 3619 - 97 170 - 19134 54 2437321 25 45
Unemployed 4531 - - 3655 1653 - 481 599 22 4004 - 78 46 - 15525 72 30039410 304 53
of which LTU 2062 - - - 482 - 166 330 4 935 - 7 11 - 4201 62 8996113 91 52
Inactive 5867 - - - 3193 - 4749 2621 60 11772 - 47 528 - 28986 64 35578162 361 50
of which in
educationtr
aining
1484 - - - 395 - 3967 2621 38 3898 - 41 76 - 12598 63 25207563 256 50
Young
people (15-
24 years)
13524 1 2512 950 4740 7 8022 4275 1270 16823 3497 98 2188 21 58157 40 61 30063502 305 47
Older people
(55-64
years)
39485 48 6384 15697 11244 995 12806 6508 2248 42046 7266 102 6317 101 151350 105 61 6106942 62 50
Migrants 125 - - 16 214 - 34 12 16 3 - 3 15 12 483 56 5152191 52 50
Minorities 9593 - - 38 1083 - 2150 447 - 40 3317 2 428 27 17309 58 3856947 39 47
Disabled 4737 - - 102 745 - 599 1082 94 948 146 12 357 37 8939 63 5265599 53 46
Others 1968 - - 101 - - 2637 48049 209 - - 6 335 - 53468 71 7017829 71 51
Primary or
lower
secondary
education
6421 - 667 3066 7087 7 3227 1041 3988 3909 - 16 4873 25 34454 24 57 38840296 394 48
Upper
secondary
education
49741 4 6730 31186 17941 780 2716 5347 3657 42521 9289 103 10136 169 180739 126 60 26014203 264 52
Post-
secondary
non tertiary
education
23951 - 5844 2970 5744 134 3720 3278 3460 52931 2214 150 1587 - 106029 74 66 4934362 50 57
Tertiary
education172013 71 30193 93114 38649 1385 82378 32254 9159 268415 58746 658 24057 611 812185 565 66 16297940 165 63
ESF 2007-2013 ex-post evaluation synthesis
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55
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women participants
Source SFC 2007 Country Synthesis Reports
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
Total participants 630 633 707 648 601 543 678 725 437 684 606 669 476 564
Employed 631 633 707 638 600 543 684 721 437 685 606 647 476 564
of which self-
employed 574 - - - 640 - 569 712 188 429 - 237 247 -
Unemployed 591 - - 998 600 - 568 791 500 666 - 808 522 -
of which LTU 559 - - - 676 - 512 758 1000 725 - 857 364 -
Inactive 605 - - - 673 - 576 785 450 650 - 809 511 -
of which in
educationtraining 610 - - - 666 - 569 785 526 604 - 829 487 -
Young people (15-
24 years) 603 1000 702 783 536 1000 560 581 521 662 614 571 546 524
Older people (55-
64 years) 586 625 699 579 558 432 705 732 280 634 590 235 512 554
Migrants 448 - - 1000 640 - 529 583 688 667 - 333 67 583
Minorities 561 - - 1000 540 - 610 785 - 675 614 - 614 519
Disabled 621 - - 686 558 - 723 742 202 660 507 417 602 541
Others 615 - - 1000 - - 669 724 282 - - 500 254 -
Primary or lower
secondary
education 556 - 643 698 616 - 553 744 316 607 - 125 591 560
Upper secondary
education 581 750 680 656 554 505 419 732 468 626 571 359 464 556
Post-secondary
non tertiary
education 593 - 702 684 579 500 544 741 464 716 573 320 565 -
Tertiary
education 652 634 716 642 496 453 697 738 467 688 612 465 493 566
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56
42 Efficiency
As in other thematic evaluations the lack of information on the costs per result
hinders an assessment of the efficiency of ESF SIC investment It is always possible to
calculate the cost per participant but this is a less relevant and potentially confusing
indicator for SIC interventions The table below illustrates the limitations of this effort
Both Slovenia and the United Kingdom report an extremely small number of
participants and high cost per participant Under the Slovenian PA IT expenditure was
planned which involved substantial budgets for software hardware and expertise
with only a small proportion of the budget reserved for the training of future users
This was not the case for the United Kingdom and this combination of a small number
of participants and high cost per participant may be partly explained by the fact that
the number of trained people fell far below the original target Therefore only by
analysing the interventions undertaken by each country would it be possible to draw
any meaningful conclusions
Table 20 Funding per participation for SIC related OPsPAs
Total participants
Total expenditure (euro)
Cost per participant (euro)
BG 252126 137491170 545
CZ 140810 94381124 670
EE 43434 21210585 488
EL 130340 381930601 2930
HU 210547 122203794 580
IT 13878 131069031 9444
LT 92410 143977869 1558
LV 49538 20683459 418
MT 20264 7687444 379
PL 367776 315293255 857
RO 70249 159318804 2268
SI 927 89112721 96130
SK 42725 31545122 738
UK 822 13331326 16218
Source SFC database
Another indicator for efficiency was used in the ex-post evaluation of the Romanian
capacity development OP This programme was judged to be efficient because with a
similar level of investment it generated more immediate effects than initially
envisaged This is despite the fact that 120 of the selected projects in this country
could not be awarded due to depletion of funds this decreased the efficiency of the
OP somewhat as time was spent on processing and assessing these projects but with
no subsequent activity delivered or results achieved
Another more qualitative dimension of efficiency is assessed by looking at the
implementation process to see if there are features that are impeding or facilitating
the programme Two examples illustrate this In the Czech Republic only 75 of the
financial resources which were committed for the realisation of the selected projects
were fully spent This was caused by mistakes made during the procurement process
that resulted in delays in implementation Hungary showed that reforms could produce
the opposite or mixed effects on efficiency On the one hand state reforms may
increase the activity undertaken and the outputs and results produced On the other
hand the accompanying reorganisation of institutions may have a negative impact on
the efficiency of such interventions as they initially cause inefficiencies where people
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
57
are adjusting to the new situation Sometimes the complexity of procedures also
influences costs indirectly One example of this is when due to the complexity of
project administration huge amounts of money are spent on project management
which is provided by private companies that were established especially and solely for
this purpose (SK)
It can be concluded that the available information does not allow conclusions to be
drawn regarding the efficiency of SIC interventions The assessment of efficiency is
strongly hampered by the fact that the outputs of various activities are objects rather
than people This renders a comparison of costs per participant between PAs or
countries meaningless In addition there is a wide variation in the objects produced
which can range from studies to IT-systems therefore their costs also cannot be
compared without collecting detailed information on outputs and costs at activity level
The current evaluation does not encompass this level of analysis
43 The sustainability of ESF SIC interventions
Sustainability of SIC intervention refers to both the continuation of funded projects
(with or without EU funding) and the achieved results in terms of increased
empowerment and adaptation to new needs as they develop Although no clear-cut
evidence on sustainability has been detected it could be argued that in this respect
interventions are likely to be sustainable to a large extent Such interventions have
set in motion other activities which will continue beyond the lifespan of the original
activity Alternatively the tools developed provide a platform for new initiatives
without time constraints related to the project that introduced them For example
Those that have upgraded or added value to other interventions These are
mainly the training programmes based on needs assessments made through
functional analysis (BG)
E-governance and other tools (BG MT)
Quality management (LV)
A common learning portal for local authorities (UK)
Training or manpower interventions (EE IT MT)
Sustainability can be deliberately ensured by procedures and regulations to this end
In Poland changes in public administration institutions which were introduced as part
of the ESF project will have a permanent nature this is guaranteed by the
introduction of new procedures and regulations This applies to the Better Regulations
2015 adopted by the Council of Ministers on 22 January 2013 and concerning areas
such as legislative actions of simplification (solutions in removing barriers to
entrepreneurship development) impact assessment (an analytical tool that allows to
design regulations which correspond to the real socio-economic problems) and a public
consultation (the consultation facilitating stakeholder participation in the legislative
process - the on-line consultation system) The situation is the opposite for NGOs the
support they that received significantly influenced the development and strengthening
of the third sector but the lack of proven procedures and constant cooperation
between public authorities and NGOs adversely affects the durability of the results (the indicator - number of local government units that have implemented the
standards of cooperation with NGOs - has been achieved at the level of 856 in
Poland)
It should be mentioned however that the sustainability of SIC interventions is also
dependent on the context in which they are implemented and which these same
interventions aim to support Two main obstacles to sustainability have been identified
in this respect These are the lack of financial resources to sustain the action and the
institutional and political environment
Italy and Lithuania both highlight the importance of earmarking ESF funding for similar
interventions under the next programming period In Italy disappointing results of
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Thematic EU synthesis report Strengthening Institutional Capacity
58
regional SIC interventions led to the introduction of national thematic objectives
These cover the whole of Italy for the current programming period which the 2014-
2020 regulation now allows14 Between 2014 and 2020 the strategies and actions that
were started during the previous period will be continued and consolidated in a more
structured and defined framework For Lithuania the sustainability of the products
developed and results achieved at the end of the EU funding were identified as
moderate and dependent on the field of intervention and public management
institutions Since the budgets of the state and especially municipal institutions are
limited the continuity of products and results created from the 2007ndash2013 Structural
Funds in the field of public management depend on planned investments during the
2014ndash2020 programming period (this is particularly applicable to the fields of
performance management and e-government) In the case of decentralisation lack of
funding is also more likely to occur and national (or ESF) funding is needed to ensure
that interventions will be sustained (RO) Formalisation through public policies at
national level is required for this
The institutional environment is flagged up as a deterrent to the sustained
effectiveness of interventions in Greece and Slovakia Key institutional factors in this
respect include
a high employee turnover among state employees (SK)
lack of a systematic policy for human capital (SK)
changing management with new elections (EL SK)
an overall administrative culture that is not conducive to change (EL)
44 Gender sensitivity of ESF SIC interventions
SIC may have a direct or indirect impact on gender equality by strengthening and
supporting the gender infrastructure that is an integral part of the institutional set up
of a countryregion The term gender infrastructure refers to the administrative
political and legal mechanisms existing within the public administration which are
aimed at promoting gender equality such as provisions for gender mainstreaming
policies at the central and local level or gender budgeting for example Gender
infrastructure can be targeted directly by SIC interventions through positive actions
(such as training staff on gender issues promoting studies on gender pay gaps or
supporting the creation of gender units) or indirectly by strengthening the overall
capacity of the administration and therefore also implicitly improving awareness on
gender policies whilst also developing their effectiveness
An example of such an approach can be found in Greece which dedicated a PA to
lsquoStrengthening policies aiming at ensuring equal opportunities for all in the whole
range of the public administrationrsquo The PA foresaw measures to enhance the gender
mainstreaming policy in the public administration and increase the participation and
career progress of women in employment Actions included
codification and simplification of law regulations for the enhancement of gender
mainstreaming in all the fields of policy making
evaluation of public policiesrsquo impacts through gender mainstreaming
enhancement of the integration of gender mainstreaming in public policy
14 Institutional capacity being reserved to Convergence areas in the 2007-2013 period
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
59
enhancement of the participation of women in decision making centres
enhancement of actions in prefecture authorities targeting the prevention and
combating of violence against women
support for NGOrsquoS (womens organisations)
From the available evidence it seems that most of the interventions were
implemented as planned The latter intervention encountered difficulties as it coincided
with the restructuring of the public sector which was necessitated by the economic
crisis Very little is known on the impact of these interventions
Other countries did not address the gender infrastructure However SIC interventions
can also be designed in such a way that in their implementation at least women and
their interests are taken into account or even furthered Although SIC interventions do
not specifically target women in Poland the Polish OP can be considered a good
practice of designing an OP in a gender supportive way with several features that
may help ensure that women really benefit from the interventions
Women were the specific target groups of some of the interventions although
not in the case of any of the SIC interventions which has been continued in the
new programming period however there are no OPs or priorities specifically
dedicated to women
An obligatory minimum standard was introduced in projects so that all of the
institutions implementing ESF funds would respect the principle of gender
equality This meant that in all projects (also those implemented within the
SIC area) it had to be shown how the project would contribute to the fight
against inequalities or at least how it would not sustain or strengthen them
The minimum standard has been continued and developed in all ESF
programmes for the 2014-2020 programming period However the assessment
criteria have been tightened in terms of gender sensitivity which means that
project promoters are supposed to describe how they are going to implement
gender equality at all project stages In the 2014-20 programming period
there are also some requirements in terms of gender equality for project
promoters within other funds (ERDF EAFRD EMFF) The manual on gender
equality published by the MA contains recommendations for the MAs on
gender sensitivity in management OP implementation and the setting of
thematic objectives (the PA) amongst other things
Additionally the MA created a strategic vision on the strengthening of equal
rights for men and women which was adopted in the official MA agenda A
group which included the representatives of the intermediary bodies was
formed to control the application of gender equality as a horizontal issue in the
interventions
All institutions that are engaged in the management and implementation of the
ESF in Poland (ie the MA and the IBs) were assessed regarding their own
equality policies The idea behind this was that they would be in a better
position to stand ldquoon guardrdquo and protect gender mainstreaming and gender
equality if they knew of it from their own experience
SIC interventions and staff capacity building in particular can also be assessed in
light of the contribution they make to womenrsquos careers in the organisations that are
being supported by these interventions
SIC interventions typically have more female than male participants For most
countries this reflects the over-representation of women in public institutions As
precise figures are often lacking it is unclear as to whether women are proportionally
represented in interventions Women are also less represented at the higher and
managerial levels in administrations and sometimes in interventionsactions targeted
at managerial positions in public administrations (IT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
60
Proportional representation provides equal opportunities for women to better their
position It does not level the playing field however as is argued and exemplified in
the Estonia On the other hand more women participated in training than men in
Estonia For example in the central training program 2008-2009 three times more
women were trained than men this was also the case in training for NGOs where the
proportion of women was very high (nearly 75) This training ultimately influenced
the competitiveness of women in the labour market This should in theory help to
reduce the existing gap between women and men However it is not clear whether
the unequal labour market position really results from the differences in knowledge
and it is not likely that the gender pay gap will start to decrease as a result of the
training The effects on such a level are probably rather modest In this respect it is
worth noting that in programmes for top managers in the public sector the ratio
between men and women is very different there are twice as many men as women
Also the competence model and the related methodology for the regular evaluation of
competences which are developed for top managers in the Estonian public service
are gender neutral While this is obviously better than a system implicitly favouring
men this also means that it will not actively pursue a change in the gender balance at
this level
More specific actions would be required to improve the position of women in public
administrations in terms of qualitative criteria such as pay and function levels These
appear to be rare as women are seldom a specific target group in SIC interventions A
number of countries did make equal opportunities a selection criterion for projects
(CZ LT RO) However only two countries include actions that aim to further the
position of women In Greece specific PAs have the objective of enhancing gender
mainstreaming policy in the public administration increasing the participation and
career progression of women in employment and reducing genderndashbased segregation
in the public sector The Hungarian action lsquopromoting performance-based career
pathwaysrsquo includes specific activities to enable staff to better balance domestic and
work obligations which is something that will help women in particular
45 Community added value of ESF SIC interventions
Community added value can be achieved in four different ways volume role scope
and process
In the case of ESF SIC interventions this translates into the following options as
highlighted in Table 4 section 311 above
ESF funding was used to strengthen pre-existing good governance and capacity
building interventions funded by national strategies (volume)
ESF was used to reach new target groups (scope)
ESF was used to test new and innovative activities (role)
ESF was successfully used to improve PA service delivery by improving systems
and methods (process)
For most countries having ESF adds value to what would have been done in the
countries without this support
451 Volume effects
The main CAV dimension detected across the different MSs is the volume effect In
many countries (BG EE LV MT RO IT) interventions have been undertaken on a far
larger scale than would have been possible without the financial backing from ESF
This effect has been even greater than would have otherwise been possible due to the
impact that the financial crisis had on MSsrsquo budgets While this probably holds for
other areas of intervention too SIC interventions are more likely to suffer from budget
reductions as increasing unemployment and poverty rates are likely to be more
pressing concerns especially as administrative reform plans in several of the countries
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
61
concerned receive limited political backing Some examples of this effect can be
identified as follows
In Bulgaria the ESF provides key funding to support good governance on
municipal district and national levels as well as for reforms in important areas
including the judicial system which is one of the main recommendations to the
country and is the focus of the public opinion debate
In Poland ESF funds were used to train a larger share of public administration
employees
In Malta ESF funding complemented the Governmentrsquos efforts towards further
simplification and through building capacity amongst government employees
to assist citizens in accessing and using e-services Management processes
within the Public Service were streamlined with a view to facilitating more rapid
decision-making and implementation and more accountability of results
Support for regulatory reform in order to reduce the regulatory burdens on
businesses was also provided
In Lithuania available evidence confirms that the ESF provided additional
funding to support good governance according to the evaluation of the
lsquoEuropean Union Structural Funds Investments for Human Resource
Developmentrsquo through the interventions of measures under priorities 1 2 and
4 of the HRDOP more than 286 thousand public sector workers successfully
completed the training The increased quality of human capital in the public
sector resulted in the higher quality of work which was appreciated by the
public who expressed greater confidence in state and municipal institutions
and bodies15 In addition to this it should be mentioned that ESF funds were
almost the only source to support certain target groups in the context of the
economic crisis EU funds have become probably the only source of financing
for the employee qualification development initiatives for public institutions of
Lithuania16
In Slovenia an example of additional funding is the project lsquoInteroperability
and e-exchange of datarsquo which established amongst other things multi-
functional mechanisms for the implementation of complex data queries in
administrative records and an internet portal (NIO portal wwwniogovsi)
Today the latter is the central contact point for open data in the public sector
(Source AIR 2014)
452 Scope effects
ESF has also added value by broadening the scope of the interventions undertaken by
MSs The first way by which the scope of interventions changed was in terms of
actors such as NGOs or social partners (MT LV BG EE) In Slovenia new target
groups also included businesses and entrepreneurs through the creation of two online
portals (EUGO and e-VEM) providing information for the set-up registration operation
and closing of a company All processes can be undertaken online EUGO the Slovenia
Business Point is the English counterpart of e-VEM It helps foreign business entities
that want to do business in Slovenia
15 BGI Consulting European Union Structural Funds Investments for Human Resource Development Summary of the final report of evaluation (EN) 2015
16 PWC Evaluation of the quality and efficiency trainings financed by ESF 2011
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
62
SIC interventions also altered the scope of the national PAR (HU) or played a key role
in putting administrative capacity on the agenda (IT SK) Finally SIC helped to
introduce topics such as social inclusion equal opportunities and the reconciliation of
work and family life as policies these did not exist in the political agenda prior to the
ESF (SK)
453 Role effects
ESF SIC funding played a role in supporting the introduction and testing of innovative
tools or systems especially those concerning the introduction of e-government In
Bulgaria for example although with several delays and obstacles the Administrative
Capacity OP has supported the introduction of many e-services on a municipal level
as well as for specific national agencies and bodies including the judicial system In
Slovenia as an element of the modernisation and simplification of courtsrsquo
organisations a smart technology that had already been used successfully in the
medical sector was tested for speeding up the writing of judgments through voice
recognition Fifty judges tested this technology in a pilot project After three months
the software was developed fully and then mainstreamed (Source AIR 2013) In Italy
the ESF supported the digitalisation of ESF management administrative processes in
the Apulia OP
Role effects can be also identified in actions and fields not directly related to e-
governance such as
The introduction of monitoring and evaluation systems for policy
implementation on municipal and national levels which is also connected with
the introduction of the mechanism for public discussion of new policies (MT)
In Poland an impact assessment of regulations (an analytical tool that allows
to design regulations which correspond to the real socio-economic problems)
was introduced and tested along with the on-line public consultation system -
the consultation facilitating stakeholder participation in the legislative process
In Latvia under the action Reduction of administrative burden and improving
the quality of public servicesrdquo the Ministry of Environmental Protection and
Regional Development carried out a feasibility study for the setting up of a
single customer service centre network that brings together a number of
services carried out by public administrations
The support to PES in Campania region (IT)
454 Process effects
Process effects occurred in various countries and they relate to the programmatic and
cyclical nature of policy making monitoring and evaluation of policies and work
processes in general Some examples have been provided below
Improvement in the delivery of PA services is the main contribution of ESF SIC
investment in Bulgaria PA service delivery has been improved through the
training of civil servants the implementation of functional analysis on
municipal district and national levels setting up systems from monitoring and
evaluation of policy implementation the introduction of e-services and one
stop shop services exchange and the introduction of good practices from
other countries
In Italy new purchasing procedures were defined through the Ministry of
Education national OP (and also in the Calabria OP) interventions for
increasing the effectiveness of judiciary officesrsquo activities were introduced
(Campania Sicily Basilicata OPs) as well as projects aimed at improving ESF
programming management and control capacities (Apulia Sicily Ministry of
Labour OPs)
In Lithuania ESF support was used to improve PA service delivery systems and
methods for instance the ESF supported the development of the
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63
interoperability (interface) system and improved the safety and functionality of
the information systems in public administration institutions Similarly the ESF
also supported the development and implementation of a centralised public
procurement management system Both interventions were included among the
good practice examples in the Strategic Evaluation of the Effectiveness and
Impact of EU Structural Assistance on the Improvement of Public Management
in Lithuania17
In Latvia a specific project devoted to Improving the quality of public services
at national regional and local level was implemented with the funding of 25
projects Within this the State Employment Agency developed a management
method referred to as Management according to the objectivesrdquo in order to
improve its services while the State Land Service developed an e-guide for
customer service
In Slovenia in order to improve the processing of documents an electronic
documentation system was established at the Public Employment Service It
allows for shorter response times and quicker decisions and also lowers costs
The new system was introduced in ten key processes of the PES which
constitute 85 of the administrative activities
46 The socio-economic impact of ESF SIC
461 Impact indicators and evidence from national ESF evaluations
As discussed impact indicators are virtually non-existent for SIC interventions in the
SFC database18 National sources do include information on impacts Typically this
information is of a more qualitative nature and does not permit conclusions to be
drawn on the level of impacts However it is possible to provide an indication of the
type of impacts that are achieved with SIC related interventions
In their strategic reports on programme implementation over the 2007-2013 period
according to the overall report rdquoseveral MSs emphasise the role that the ERDF and
ESF play in fostering national reform efforts particularly in the field of better
regulation reform of education systems the labour market public administration and
structural reforms in the water sector In addition the ESF has fostered capacity
building for the social partnersrdquo (European Commission 2013) In general however
impacts are seldom so clearly defined or evaluated The table below provides an
overview of what can tentatively be called (intermediate) impacts and indicators
Some information on impacts is available for six countries On this basis some
tentative conclusions emerge that could be tested in future evaluations For each of
these the evidence is rated using a three-point scale
Monitoring systems for policies and ex-ante impact assessment of new
regulatory initiatives seem to be effective in increasing the quality of legislation
and monitoring progress in implementation of policies (weak evidence BG)
The impacts of initiatives aimed at furthering institutional cooperation seem too
low after suffering from fragmented or limited implementation (evidence EE
LT)
17 PPMI Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the Improvement of Public Management in Lithuania 2014
18 It is to be noted that they were not required by the Regulation
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64
The quality of public services shows clear signs of improvement during the
2007-2013 programming period It is likely that SIC interventions played a role
in this but lsquohardrsquo evidence on this is lacking (Strong evidence on changes but weak on causality CZ-regional level LT PL)
Table 21 Examples of tentative impact evaluations
MS ASSESSMENT
BG Based on the main conclusions in the First Report on the evaluation of OP AC
implementation for the period January-December 2014 the main achievements of this OP contributed to the optimisation and of the work of administration resulting in improved monitoring of policy implementation improved quality of the regulatory documents due to the introduction of their impact evaluation improved capacity of servants by training
CZ There is a slight increase of citizensrsquo satisfaction with the performance of the regional
administrations however the satisfaction with the state administration has been continuously declining
EE Although the effectiveness of the SIC investments has been good and the range of activities has been widened compared to previous programming periods the impacts have still stayed rather modest Even though a strategy unit was established in the
Government Office that has immensely contributed to the decrease in the number of strategic plans there is still room for strengthening the coordination between organisations (the ministries implementing agencies local and central governments) responsible for planning and implementing the strategies Also the social dialogue in policy-making has still room for development A number of joint committees (including the representatives of relevant organisations and social partners) have been created to include relevant partners incl social partners and to consequently add transparency
to policy-making At the same time such committees are criticised facilitating
transparency only seemingly and also diffusing responsibility
LT During the 2007-2013 period the key positive achievements of ESF SIC investments in Lithuania was the improvement of the overall quality and accessibility of public sector services in the country This was achieved through several different mechanisms The
ESF support contributed to the development of the HR capacity in public service Also the investments had positive influence on the management of internal activities in the public sector in Lithuania in particular a number of internal processes were digitalised and a number of strategic planning documents were developed In addition the investments are expected to contribute to the development of e-governance in the country and thereby improve the communication between the public authorities and citizens The key under-achievements of ESF SIC investments in Lithuania were the
very low impact on system-level reforms in public sector as well as low impact on institutional cooperation and partnership building Because of the lack or complete absence of necessary preconditions the reforms at system-level were implemented are fragmentary and are unlikely to produce any significant results Similarly because of a
number of negative factors (lack of coordination of different institutional cooperation initiatives lack of support and awareness on the part of political authorities and executive bodies lack of proper methods for involvement of relevant institutions) the
initiatives enhancing cooperation and partnerships between public institutions will most likely result in low or null impacts in these areas
PL Considering the impact of the ESF on improving the regulatory business environment it is worth mentioning the significant advancement of Poland in the World Banks Doing Business rankings 2015 In terms of ease of doing business Poland took 32nd position
(out of 189 countries) and moved up thirteen places in comparison with the previous year The World Bank assessed countries in 10 categories such as among others ease of opening of the company the necessary start-up capital or tax returns
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
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65
462 Impacts in relation to changes in the quality of administrations
The World Bank publishes a broad range of data on the perceived quality of
governance In particular the Worldwide Governance Indicators cover six broad
dimensions three of which are particularly relevant to this report
government effectiveness
regulatory quality
rule of law
This dataset aggregates the results of many surveys that have been conducted
worldwide It has been doing so since 1996 which means that developments can be
traced throughout the programming period
The charts below present the estimates of the perceived quality for each of the three
dimensions The perception of quality is rated ranging from approximately -25
(weak) to 25 (strong) in order to illustrate governance performance
Better quality services ndash competitiveness of companies 4621
Government effectiveness the first dimension of the Worldwide Governance
Indicators assesses the perception of public service quality the quality of the civil
service and its degree of independence from political pressures the quality of policy
formulation and implementation and the credibility of the governments commitment
to such policies Concerning public attitudes towards government effectiveness in the
case of ten of the fourteen countries citizens businesses and institutions felt that
their government had become more effective between 2007 and 2014 The four
exceptions were Greece Hungary Malta and the United Kingdom
The previous section showed that ESF had contributed to better quality services in the
three countries for which evidence was available (CZ LT PL) For the latter two
countries it is therefore likely that ESF has played a role in improving the regulatory
quality scores for their countries However as section 313 showed nine MSs had
actions aimed specifically at improving their delivery systems and eight MSs had
actions aiming at policy delivery as well as development
Figure 4 Government effectiveness
Source The Worldwide Governance Indicators 2015 Update
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Government effectiveness
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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66
The dimension of regulatory quality measures the governmentrsquos ability to formulate
and implement sound policies and regulations that permit and promote private sector
development Regulatory quality was receiving slightly higher marks on average in
2007 than government effectiveness However for only five countries this assessment
had improved by 2014 Estonia Latvia Lithuania Poland and Romania Four of these
countries already had relatively high scores in 2007 but so did some of the countries
with decreasing evaluations such as Hungary Slovakia and the United Kingdom
Ten MSs implemented actions that were dedicated to improving the business
environment while 14 MSs had actions aimed at introducing and strengthening the
use of e-services in public administrations (sections 313 and 314) In light of this
the fact that only five MSs were deemed to have improved the quality of their
regulatory process is again a sign that the impact of efforts made under SIC actions is
not or at least not yet noticeable
Figure 5 Regulatory quality
Source The Worldwide Governance Indicators 2015 Update
The overall conclusion is therefore that in the majority of the MSs the impact of
these actions on the governmental performance is not yet evident or if it is it is still
not noticeable to citizens and businesses However with the nature of SIC
interventions it may be a matter of time before these impacts become obvious only
then will a further impact on the performance of businesses and the wellbeing of
citizens be expected to occur
000
020
040
060
080
100
120
140
160
180
200
2007 2008 2009 2010 2011 2012 2013 2014
Regulatory quality
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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67
Better quality justice and rule of law ndash a conducive socio-economic 4622
environment
The 2015 EU Justice scoreboard shows that there is significant divergence in the
effectiveness of judicial systems across MSs According to the 2015 EU
Competitiveness report the functioning of justice systems in several countries
requires further improvements19
Rule of law measures the extent to which agents have confidence in and abide by the
rules of society and more specifically in the quality of contract enforcement property
rights the police and the courts as well as the likelihood of crime and violence The
satisfaction with rule of law increased between 2007 and 2014 for nine countries
which is almost as many as for government effectiveness Greece Hungary Italy and
Malta experienced decreasing evaluations over this period
Of the nine countries with increasing scores for rule of law four countriesrsquo evidence is
available on the results actions undertaken in the justice sector (section 414) These
results were decidedly mixed with SI and CZ showing positive achievements and
Bulgaria and Poland showing under-achievements As the rule of law indicator is a
very general indicator and the evidence on ESF SIC actions in this area are few and
mixed in terms of results the conclusion here is that the necessary evidence on the
impact of ESF SIC actions in this sector is insufficient to draw conclusions
Nonetheless the increased satisfaction with the rule of law is a positive development
Figure 6 Rule of law
Source The Worldwide Governance Indicators 2015 Update
19 European Commission Single Market Integration and Competitiveness in the EU and its Member States Report 2015 October 2015 section 326
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Rule of law
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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Thematic EU synthesis report Strengthening Institutional Capacity
68
4623 Assessment
Improvements in the quality of public administration occurred between 2007 and
2014 especially in the fields of government effectiveness and rule of law The
perception of regulatory quality improved in a smaller number of countries
The best performance could be seen in Romania Poland and the three Baltic States
These countries improved their ratings on each of the three dimensions between 2007
and 2014 On the other end of the scale three countries saw their assessment
decreasing on all three dimensions Greece Hungary and Malta
It is to be expected that ESF would have contributed to positive changes However
this causal relationship can only be established through impact assessments and
evaluations and the evidence available at this point is insufficient to draw conclusions
in this respect
463 Key factors determining success or failure
Overview 4631
Several factors determine whether interventions are successful and can be considered
good practice in achieving their objectives and whether they do so in an efficient
manner Factors for success and failure are complementary For this reason the two
are discussed together here although the national evaluations do distinguish between
them as can be seen from the figure below
The key factors are similar to those identified in earlier evaluations of ESF SIC
interventions Five factors were identified in national evaluations or by the country
experts based on more general sources
Management this factor is typically linked with the lack of administrative
capacity in the Managing Authority or Intermediate Body itself and was
identified as a key factor for the Czech Republic Italy Romania and Slovakia
Strategic approach and intervention logic this factor refers to coherence and
consistency in policies regarding SIC interventions as well as the detailed
development of an intervention logic It was identified as a key factor for Italy
Lithuania and Romania
Motivation and capacities of beneficiaries this factor directly influences the
performance of individual activities and is therefore of obvious importance It
was identified as playing a key role in Bulgaria the Czech Republic Latvia
Lithuania Malta and Slovakia
Cooperation and coordination efficient coordination of various funded activities
and efficient cooperation between different organisations were listed as key
factors for performance in the Czech Republic Estonia and Lithuania
Context factors these factors include national public administration reform
strategies legislation and the political and institutional environment
Contextual factors are the most regularly cited explanatory factor for success
and failure for Bulgaria Greece Hungary Italy Lithuania Malta Poland
Slovenia and Slovakia
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69
Figure 7 Key factors for success and failure mentioned for MS
The colour of the country abbreviations signifies that the factor was deemed either a success
(blue) or a failure (red) for that country In the case of some countries it turned out to be both
Source country templates based on national evaluations or assessment of country experts based on more general sources
Because of its importance the institutional and political context is discussed in more
detail here It also constitutes a rather specific factor for successful capacity building
interventions Annex III provides a complete overview of the success and risk factors
identified for individual countries
The role of the institutional and political context 4632
This section looks at the role of the institutional and political context as a determinant
for success or failure of ESF interventions that were aimed at strengthening
institutional capacity The information in this section is based upon expert assessment
provided by the country experts where these contextual factors were flagged up as a
success or risk factor to a greater or lesser extent The political and institutional
environment has been flagged up as a crucial factor for successful SIC interventions
under ESF by several countries (BG CZ EL HU IT LT MT RO SK) Rapid changes in
government politicised institutions and lacking political support were all cited as
impediments to the effectiveness of SIC interventions
According to the synthesis evaluation country report for the Czech Republic in all
international comparisons the institutional environment is evaluated as one of the
most significant weaknesses of the Czech Republic When discussing the institutional
environment of the country reference is made to inefficient institutions an excessive
regulatory burden and corruption The performance of the countryrsquos administration
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Thematic EU synthesis report Strengthening Institutional Capacity
70
has been continuously declining since 200620 This is impacting on the performance of
ESF SIC interventions According to the AIR 2014 OP HRE and the evaluation
conducted the realisation of the PA 4 of the OP HRE has been lagging behind the
other priority axes over a long-term period The core problems deal with the
administrative capacity of the Ministry of Interior in its role as an Intermediate Body
as well as the organisational changes of the state institutions in their role as
beneficiaries In addition a high error rate exists in the management of individual
projects which is usually linked to the procurement arrangements and to
irregularities
In Greece the OP Administrative Reform has encountered serious difficulties that
hindered its smooth implementation Besides other factors the institutional
environment plays a key role in this The administrative culture has been criticised for
its absence of strategic action wasteful maladministration of the scarce public
resources organisational overlapping absence of rational planning regarding the
allocation of functions and unsatisfactory services provided to citizens Another
important contextual constraint lies in the absence of an enduring political will and
clientelism accompanied by the politicisation of the senior civil service At least until
very recently these conditions remained unchanged and were reinforced by
widespread corrupt practices Furthermore civil society is only weakly developed in
Greece while consultation structures and practices as part of policy preparation are
also underdeveloped Of particular concern is the on-going politicisation and
subsequent instability at senior levels of the administration
The Hungarian State Reform has gone through essential changes which have had a
substantial impact on the effectiveness and efficiency of the SIC PAs in this country
The direction of the reform was changed and the reform has intensified since 2010
with the election of the new conservative government This has boosted the efforts
made and increased the number of activities and outputs produced under the relevant
PAs This was particularly visible in the number of laws and the activities connected to
their preparation At the same time these political changes seem to have had a
negative impact on the efficiency of the implementation of the PAs This inefficiency
resulted from the fact that new government took time to establish and had partly
different priorities This meant that many changes in the planning and implementation
of interventions had to be made and much adjustment was necessary by those
involved in the implementation
Because of the lack or complete absence of necessary preconditions in Lithuania
the reforms at system-level were implemented in a fragmented manner and are
unlikely to produce any significant results Consequently the key under-achievements
of ESF SIC investments in Lithuania were the very low impact on system-level reforms
in the public sector as well as low impact on institutional cooperation and partnership
building Similarly because of a combination of negative factors the initiatives
enhancing cooperation and partnerships between public institutions will most likely
result in low or no impact in these areas These factors include the lack of coordination
of different institutional cooperation initiatives lack of proper methods for the
involvement of relevant institutions but also the lack of support and awareness on the
part of political authorities and executive bodies
20 Source Supreme Audit Office of the Czech Republic Information from the control action No 1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
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71
In Slovakia the institutional environment is politicised in the sense that as a rule
following every general election new management enters the administration
Systematic work with human capital in public administration is largely absent As a
result employee turnover is high among state employees This in turn is potentially
dangerous to the sustainability of the results and impacts achieved with SIC related
interventions
According to a publication of the EUOECD SIGMA initiative five years after accession
political processes and considerations still substantially impacted the effect and
sustainability of EU capacity building interventions in Central and Eastern Europe In
addition the 2015 single market integration and competitiveness report pointed out
that regulatory and political instability are important barriers to economic growth as
they negatively impact on investment decisions especially longer term ones The
2014 competitiveness report draws attention to insufficient political will as a factor
besides the lack of capacity to enforce rules hampering the effect of anti-corruption
policies in several of the convergence countries From the present study it can be
concluded that during the 2007-2013 period several factors in the institutional and
political environment were indeed hampering progress in achieving the objectives
associated with capacity building interventions These factors include a lack of political
awareness or support (LT) rapid changes in government (EL HU SK) often
changing inefficient change-averse or politicised institutions (CZ EL HU LT) and
clientelism (EL)
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72
5 Overview of key lessons learned
Key findings
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe 2020
Strategy might be further enhanced by specifying the more relevant fields of ESF
SIC support such as e-government or business friendly administration The
institutional and political context remains a key success and risk factor for capacity
building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to the staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to capacity
building is required by MSs as well as a well-defined intervention logic This should
go well beyond the specific objectives and into the realm of intermediate and final
impacts Support provided to countries should take into account the five key factors
that influence the success of SIC interventions management strategic approach
and intervention logic motivation and capacities of beneficiaries cooperation and
coordination and context factors New programmes need to make sure that results
and impacts whose sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or PA
are often linked to a lack of administrative capacity in the Managing Authority or
Intermediate Body both in terms of numbers and qualifications of staff Significant
personnel turnover and frequent changes in staff contributed to mistakes being
made in financial reporting by beneficiaries which was further hampered by
complicated and often-changing rules and errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review ex-
ante the output and result indicators proposed by MSs to see if they comply with
SMART criteria apply a categorisation to common output and result indicators in
the SFC database
Evaluation Fields of activities as found in the CSRs for example could provide a
starting point for the development of impact indicators for ex-post evaluation More
systematic guidance on the distinction between indicators for capacity
enhancement performance and impact indicators could help countries formulate
better indicators for monitoring results In addition a benchmark is needed against
which achievements can be measured
51 Key lessons in terms of policy choices
In the 2007-2013 period strengthening the institutional capacity and efficiency of
public administrations and public services became an ESF objective for convergence
regions (section 22) Supporting SIC interventions in a general or horizontal manner
was new to the 2007-2013 period as increasing administrative capacity was deemed
to be vital for delivering on the Europe 2020 Strategy
The budget spent on SIC interventions has been small in comparison to overall
expenditure under ESF and in comparison to vertical capacity building aimed at labour
market and education institutions (section 34) Impacts are slow to emerge and
difficult to detect which is particularly the case for this priority theme (section 46)
Capacity building takes time and the crisis has had a negative influence on the results
of SIC interventions in the 2007-2013 programming period Community added value
of SIC interventions supported under ESF (section 45) confirms the need for SIC
interventions It therefore stands to reason for the EU to continue funding such
activities in future programming periods
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73
There are specific areas of interest or fields of activity as referred to in this report
(section 412) which are clearly deemed important in the framework of SIC and that
bear a more direct link to the objectives of the Europe 2020 Strategy These are
visible in the country specific recommendations prepared by the European
Commission but also in the topics chosen by the EU funded network that examined
how to make better use of the ESF for public administration reforms21 ESF SIC
interventions have proven to be instrumental in helping countries follow-up on the
recommendations they receive from the Commission (section 31) At the same time
however many actions focus on more general capacity enhancement In order to
emphasise support for the Europe 2020 Strategy it could be considered to adapt and
further specify the relevant provisions in the ESF Regulation (Article 32b) inserting
those fields of activity that best contribute to this Possible examples include
lsquoimproving the environment for businessesrsquo and lsquoincreasing e-government servicesrsquo
The institutional and political context is a key success or risk factor for capacity
building interventions For all countries it is impossible to achieve results without
political backing and support Some of the countries studied here are still dealing with
structural political and cultural features in their environment that will effectively block
SIC interventions if they are not addressed (section 462)
It is therefore important to make the provision of financial support for capacity
building dependent on proven commitment and capacity in the institutional and
political context As a result the Commission can apply as Knott (2007) phrased it
the logic of consequences The logic of consequences assumes that rational actors will
seek to maximise their welfare or utility through strategic actions Depending on how
it is enforced in practice it constitutes a tool with which resources can be directed to
environments where they are likely to be more effective although MSs with less
favourable conditions in which to choose face an obvious choice Knott quoting
others also distinguishes the logic of appropriateness This logic encourages actorsrsquo
motivation by internalising identities values and norms This raises the question of
whether lsquosofterrsquo methods such as those associated with mutual learning could play a
role in this lsquostrategy for changersquo A good starting point to look for answers is the
existing and ongoing mutual learning benchmarking and policy coordination
mechanisms that are practiced by the EU in its employment and social policies A
second place is the strengthening of mutual learning initiatives for regional and local
actors as these are often absent in regular EU employment initiatives
One of the reasons why output targets are not met includes problems related to the
management of projects by MA and IB (section 46) this would suggest the need to
continue interventions aimed at improving the implementation capacity of such bodies
21 From 1 January 2010 to 31 December 2012 an EU funded project lsquoFacing the Challenge ndash How to Effectively Support Public Administration Reforms by ESF Fundsrsquo sought to learn more about making better use of the European Social Fund for public administration reforms The topics chosen were strategic planning e-governance the partnership principle for better regulation and local development business-friendly administration local government reform
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Thematic EU synthesis report Strengthening Institutional Capacity
74
52 Key lessons in terms of target groups
As discussed earlier in this report target groups have a specific meaning in the
framework of SIC interventions For SIC interventions the distinction between
beneficiaries and target groups is somewhat blurred Typically target groups will be
employees of beneficiary institutions
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions Motivation and capacities of
beneficiaries have been cited as a reason why projects are delayed or abandoned
impacting on the degree to which the envisaged outputs and results are achieved ESF
should therefore continue to provide support to beneficiaries However lessons should
also be learned by MSs on the criteria and conditions to be met by potential
beneficiaries before qualifying for support
One reason why output targets are not met (section 41) involves problems related to
the actual implementation by beneficiaries For a number of countries reports exist
about projects that have been abandoned before completion or not even started
Some projects are also poorly implemented with low quality training on offer Some
interventions do not achieve their target Several factors cause this but the interest
and motivation of beneficiaries are a key factor in the success of a programme Higher
involvement of beneficiaries in the preparation of programmes may provide a means
by which to increase such motivation offer concrete support to project managers in
the form of training or provide mutual learning events as a means to increase their
capacity (section 46) However without the right culture in the public sector which
is attentive to human resource management for example this will be insufficient Of
course other factors will also determine the interest of those participating in SIC
interventions such as workload
For several countries the lack of capacity for project management in the target
organisations may itself constitute a barrier to success This applies to those that are
promoting or managing projects This may endanger project implementation but
above all the consolidation of results
Finally with regard to beneficiary institutions it can be observed that national
institutions are the main beneficiary of ESF SIC interventions In the absence of an
objective criterion for the required degree of local and regional authority involvement
it would be good to monitor the satisfaction of these parties in terms of their
involvement in ESF The same applies to NGOs and social partner institutions (section
312)
53 Key lessons in terms of appropriate programming
A number of conclusions can be drawn regarding the strategic approach taken as well
as the intervention logics developed and applied in MSs (section 31)
Strategic approach and intervention logic are related but they are not the same The
strategic approach starts with a call for a unitary coherent and consistent policy
regarding SIC interventions rather than a series of unrelated independent SIC
interventions This can also result in an overall vision or framework for SIC The
strategic approach can also be applied during implementation Selection procedures
for projects based upon calls for project ideas are an example of this Key factors
related to intervention logics include the identification of intervention areas that
respond to a clear need but will also be sufficiently substantial in reaching a critical
mass whilst also fitting the funding possibilities It also concerns the precise
identification and definition of objectives coherence in instruments outputs and
results Target groups need to be well defined but formal delineations should not
prohibit a dedicated search for the actual intended beneficiaries during
implementation
A substantial part of the capacity building interventions takes place under OPs and PAs
that are of a more thematic or sectoral nature (section 34) From the viewpoint of
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Thematic EU synthesis report Strengthening Institutional Capacity
75
expenditure categories the SIC interventions are small compared to other sectors
notably more policy sector oriented categories Nevertheless and perhaps because of
this SIC interventions have a specific role to play in the interaction with vertical
capacity building interventions For developing such a role the following questions
could provide some guidance
How does SIC relate to capacity building activities in the framework of other
priorities
How does SIC contribute to the wider objectives of this strategy as well as
national priorities
How and where do SIC interventions interact with other capacity building
interventions How does alignment take place at the strategic level during
implementation
Should SIC support be horizontal as was often the case during the 2007-2013
programming period or be more focused on certain sectors
What are the underlying considerations and criteria for this
A SIC strategic approach towards capacity building under ESF could be strengthened
with questions such as
What are the overall needs and objectives of capacity building in the country
How does ESF capacity building fit into to the overall PAR strategy
How does it contribute to and how is it supported by it
This comprehensive and strategic approach to capacity building should be the starting
point for the development of a well-defined intervention logic that goes well beyond
the specific objectives into the realm of intermediate and final impacts At present
few indicators at impact level exist but the results indicators seem to harbour
distinctive levels amongst them Objectives and indicators could be better delineated
through the use of the general intervention logic for example which was developed in
the interim evaluation (Ecorys 2011) This study used the following sequence as the
basis for the objectives tree underlying the intervention logic better administration
performance leads to more effective governance that in turn will ensure a better
response to citizensrsquo and firmsrsquo needs which will eventually contribute to
competitiveness and growth in the European Union
Nevertheless a word of caution is in order here The ESF plays an important role in
providing support for SIC interventions The efforts made are large but the
performance of these interventions seems lower than desired SIC interventions were
less likely to achieve their output targets than ESF interventions in general (section
41) and evidence on quality improvements in public administrations is mixed (section
46) This lower performance may be partly explained by inexperience in target setting
for this type of activity and it does not prevent progress being made Progress is in
fact being made albeit slower in some countries and faster in others Capacity
building needs time For the newer MSs it has been a process driven largely by the
EU-accession process over a long time The 2007-2013 programming period could
have been the period during which the EU assumptions and objectives regarding the
role of modern public institutions could have become more internalised The crisis
has however been a strong counteracting force in this respect with an immediate
impact on staff and human resources development in public institutions Admittedly it
requires time and a long-term perspective for capacity building to realise its effects
and reach the top level of the objectives tree Support to countries in this process
should take into account the five key factors that influence the success of SIC
interventions management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
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76
54 Key lessons in terms of effective implementation
Issues concerning the management of the OP or PA are often linked to the lack of
administrative capacity in the Managing Authority or Intermediate Body itself (see
Annex III) both in quantitative and in qualitative terms Significant personnel outflow
along with complicated rules and errors in the implementation process as well as
often changing rules contributed to mistakes being made in financial reporting by
beneficiaries (section 46) Vice versa an attentive MA closely monitoring and
aligning project and financial considerations will be a contributing factor to a
successful programme implementation
Other lessons concerning the implementation of ESF interventions relate to
coordination and cooperation Efficient coordination of different funded activities and
efficient cooperation between different organisations involved are factors for success
(section 463) the lack of these elements was identified as a reason for the
unsuccessful implementation of programmes Coordination is also required to avoid
overlap in activities especially when targeting NGOs or local governments as there is
a greater risk that they are being approached from multiple directions for similar
interventions Coordination or alignment of training interventions for example can
also help increase the effectiveness and sustainability of the individual interventions
Fragmentation is in turn likely to increase costs and decrease impacts
55 Key lessons in terms of monitoring
With a greater number of improved indicators it will also be possible to improve
monitoring and evaluation so that results and impacts can be better traced during the
new programming period However this is potentially at odds with the intention to
minimise the administrative burden for organisations involved in the implementation
of ESF interventions For this reason the following improvements have been
suggested
A specificity of SIC PAs and actions seems to be that they tend to cover such a
variety of activities that a comparison of financial and participantsrsquo data is
rather meaningless (section 314) The introduction of compulsory types of
indicators per type of intervention according to a classification of interventions
can be beneficial such as the pre-existing one for training the number of
participants would also help in solving this issue
Ex-ante review of output and result indicators which have been proposed by
MSs to see if they comply with SMART criteria as a minimum measurable and
time-bound
Categorisation of indicators in the SFC database with categories such as the
number of persons supported number of organisations supported number of
studies provided etc
The fields of activity mentioned under section 51 represent objectives at various
levels in the intervention logic Sometimes these fields represent expected results
from the capacity building interventions (introduction of e-government systems and
more efficient public administration) sometimes they seem more focused on impacts
directly following from these results (a business-friendly environment and less
corruption) and sometimes they focus on a specific sector (judiciary reform) They
seem to move back and forth between results and intermediate impacts or between
capacity and performance outcomes More systematic guidance on where to situate
these fields could help countries formulate better indicators for monitoring results
In order to draw conclusions it does not suffice to just have good indicators One
must also establish a benchmark against which achievements can be measured
Sometimes other interventions or countries can act as a benchmark However
additional information is sometimes required This is illustrated by the example of
gender A more direct approach would be to develop indicators or targets that include
such a benchmark such as those based on proportional participation (section 44)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
77
56 Key lessons in terms of evaluation
One of the main shortcomings encountered during this evaluation is the lack of
information on achievements (in terms of results) and on impacts
Concerning results several limitations hamper the formulation of a concise and clear-
cut assessment of achievements causality and extent to which results have been
achieved at the level These relate to the quality and availability of monitoring data
and the heterogeneity of national evaluations coupled with a broad range of
intervention logics Furthermore information from national evaluations is typically of a
more qualitative nature with less evidence-based findings and is thus not conducive
to drawing hard conclusions
The formulation of impact indicators is not mandatory and they turn out to be virtually
absent This problem is not compensated for in national evaluations
Any attempt to measure impacts must begin with the formulation of a good
intervention logic as well as an objectives tree Two approaches could be envisaged
Bottom-up measuring the impact of individual activities (actionsPAsOPs)
aggregating the evaluation findings for such individual activities (etc) and
using the indicators developed in the MSs
Formulating one or more lsquoframework intervention logicsrsquo with specific
objectives that are the compulsory final targets of any action of MSsrsquo indicators
Both approaches require further examination with regard to their feasibility The
aggregation of findings from a large number of evaluations may lead to abstract
conclusions that convey little more than a final quantitative score in the most
extreme cases they will only convey whether there has or has not been an impact
This effect can perhaps be mitigated by the agreement of guidelines on the structure
of evaluations carried out at national level With regard to the framework intervention
logic it is important to determine whether this can do justice to the individual and
specific character of the programmes in light of the national contexts This approach
may also imply that the formulation of actions must be aligned with the envisaged
specific objectives of the framework logic The current variety in programming SIC
interventions would need to be reviewed both in terms of the benefits it brings to MSs
in targeting their interventions and the drawbacks it has for evaluation
The distinction between capacity enhancement and performance indicators raised by
the World Bank Institute and their overview of capacity enhancement indicators can
help MSs formulate appropriate (results and) impact indicators
During the analysis of efficiency (section 42) it became apparent that the nature of
SIC activities makes it hard to apply the usual indicators for efficiency based on costs
per participant or institution supported In order to arrive at meaningful indicators
financial data would need to be available at activity level so that they can be linked to
a typology of activities As this seems to be too cumbersome an obligation to be
introduced into the regular monitoring system it is recommended that this should be
addressed in the national ex-ante evaluations so that synthesis evaluations can
expand upon this
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Thematic EU synthesis report Strengthening Institutional Capacity
78
References
De Koning et al (2006)
Jaap de Koning Katja Korolkova Emiel Maasland Peter van Nes With the assistance
of Marinka van de Kamp Jan Joost Kessler Evaluation of the ESF support to capacity
building Final report October 2006
Ecorys (2011)
Jan Maarten De Vet Aimar Ferran Guijarro Sacha Koppert Colm McClements
Assessment of administrative and institutional capacity building interventions and
future needs in the context of European Social Fund(VC2009066-009) April 2011
Europan Union (2010)
European Union The European Social Fund and institutional capacity of public bodies
2010
European Commission (2012)
European Commission Quality of public administration European Semester 2012 ndash
Thematic Fiche 2012
European Commission (2013)
Strategic Report 2013 ndash Programme implementation 2007-2013 Factsheet
Institutional Capacity Building Factsheet produced in support of the Commission 2013
Strategic report on cohesion policy programme implementation 2007-2013
European Commission (2013b)
Report from the Commission to the European Parliament the Council the European
Economic and Social Committee and the Committee of the Regions Cohesion policy
Strategic report 2013 on programme implementation 2007-2013 SWD(2013) 129
final
European Commission (2014)
European Commission Directorate-General for Employment Social Affairs and
Inclusion Unit E1 Promoting good governance European Social Fund thematic paper
2014
European Commission (2014b)
European Commission Reindustrialising Europe Member Statesrsquo Competitiveness
Report 2014 Commission staff working document SWD(2014) 278 2014 (chapter 2
Public administration scoreboard)
European Commission (2014c)
Guidance document on indicators Public Administration Capacity building 2014
EIPA (2013)
Guidelines for the verification process of the ex-ante conditionality of the thematic
objective ldquoEnhancing Institutional capacity of public authorities and stakeholders and
efficient public administrationrdquo Guidelines drafted by the European Institute of Public
Administration (EIPA) on behalf of DG Employment Social Affairs and Inclusion of the
European Commission Version 6 - 14 August 2013
EIPA (2014)
Alexander Heichlinger Nick Thijs Julia Bosse From Strengthening Administrative
Capacity Building (ACB) to Public Sector Innovation (PSI) Building Blocks and
Successful lsquoBridgesrsquo EIPA 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
79
Ferry (2013)
Martin Ferry The Achievements of Cohesion Policy Evidence and Methodological
Challenges from an EU 10 Perspective European Policies research Centre University
of Strathclyde May 2013
Panteia (2013)
Panteia Preparatory study for the ex-post evaluation of ESF 2007-2013 Final report
October 2013
Knott (2007)
Julian Knott the impact of the EU accession process on the establishment of
evaluation capacity in Bulgaria and Romania in International Public Policy Review
Vol 3 No 1 ndash June 2007
The Worldwide Governance Indicators 2015 Update Aggregate Governance Indicators
1996-2014 Sept 25 2015
The World Bank (2003)
Yemile Mizrahi Capacity Enhancement Indicators Review of the Literature WBI
Evaluation Studies No EG03-72 World Bank Institute
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
80
Annex I - Overview of OPs PAs and Actions explicitly addressing SIC
MS OP PA A1 A2 A3 A4 A5 A6
BG OP Human Resources Development
PA 6
Improving the effectiveness of labour market
institutions and of social and
healthcare services
61 Development and modernisation of
the labour market system
62 Strengthening the capacity of
institutions for social inclusion
and for provision of health services
BG OP Administrative Capacity
PA 1
Good governance
11 Effective Structure of the State
Administration
12 Transparency and Integrity of
the State
Administration
13 Effective Coordination and Partnership
in Policy-Making
and Implementation of Policies
14 The Administration ndash Partner of the
Business
15 Transparent and Effective
Judicial System
16 Transnational and Inter-
regional
Cooperation
BG OP Administrative
Capacity
PA 2
Human resources
management
21 Modern human resources
management in the state administration
22 Competent and effective
state administration
23 Strengthening
the capacity of the civil society structures
24 Competent judicial system and
effective human resource management
25 Transnational
and interregional cooperation
BG OP Administrative
Capacity
PA 3
Quality administrative
service delivery and e-Governance development
31 Improvement of
the service delivery to the citizens and the business sector including through e-governance
development
32 Standard information and
communication environment and interoperability
33 Improvement of
the service delivery provided by the bodies of the judiciary through development of
information technologies
34 Transnational and interregional
cooperation
CZ Operational Programme
PA 4
Public administration
41 Strengthening of
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81
MS OP PA A1 A2 A3 A4 A5 A6
Human Resources
Development
and public services
institutional capacity and
efficiency in public administration
EE OP for Human Resource Development
PA 5
Enhancing administrative capacity
Measure ldquoEnhancement of strategic
management of the public sector and NGOsrdquo
Measure ldquoBetter regulationrdquo
Measure ldquoTraining and development of
employees of the State local authorities and NGOsrdquo
Measure ldquoSupporting county-level
support structuresrdquo
EL OP for Human
Resource Development
PA1 ldquoImproving
national public policies
modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA2 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA3 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human Resource Development
PA4 ldquoDevelopment of the human capital in the public
administration
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Thematic EU synthesis report Strengthening Institutional Capacity
82
MS OP PA A1 A2 A3 A4 A5 A6
EL OP for Human Resource
Development
PA5 ldquoDevelopment of the human
capital in the public administration
EL OP for Human Resource Development
PA6 ldquoDevelopment of the human capital in the
public administration
EL OP for Human Resource Development
PA7 Strengthening policies aiming at ensuring
equal
opportunities for all in the whole range of the public administration
EL OP for Human Resource Development
PA8 Strengthening policies aiming at ensuring equal opportunities for
all in the whole range of the
public administration
EL OP for Human Resource Development
PA9 Strengthening policies aiming at ensuring
equal opportunities for all in the whole
range of the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
83
MS OP PA A1 A2 A3 A4 A5 A6
public administration
HU State Reform OP
PA 1
Renewal of processes and organisation
development
11 Improvement of the capacity for
self-governance and the quality of legislation
12 Renewal of procedures and work processes
as well as organisation development
HU State Reform OP
PA 2
Improving the quality of human resources
21 Establishment of open recruitment and an efficient internal
replacement
22 Performance-based career pathways
HU State Reform OP
PA 3
Developments to be attained in the Central Hungarian Region
31 Renewal of the processes and organisational development
32 The improvement of the quality of human resources
IT Campania ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies programming
monitoring and
evaluation capacities at the National regional and local level with a view to
improving territorial governance
Specific Objective P ndash Strengthen capacity of institutions and
systems for the
implementation of policies and programmes
IT Calabria ROP PA Institutional Specific Specific
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Thematic EU synthesis report Strengthening Institutional Capacity
84
MS OP PA A1 A2 A3 A4 A5 A6
7 capacity Objective P ndash Improving
policies programming monitoring and evaluation
capacities at the National regional and
local level with a view to improving territorial governance
Objective Q ndash Strengthen
capacity of institutions and systems for the implementation
of policies and programmes
IT Sicily ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation
capacities at the National regional and local level with a view to
improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation
of policies and programmes
IT Basilicata ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies
programming monitoring and
evaluation capacities at the
Specific Objective P ndash Strengthen capacity of
institutions and systems for the
implementation of policies and
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Thematic EU synthesis report Strengthening Institutional Capacity
85
MS OP PA A1 A2 A3 A4 A5 A6
National regional and
local level with a view to improving territorial
governance
programmes
IT Apulia ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation capacities at the
National regional and local level with a view to improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation of policies and
programmes
IT Governance and System Actions
(Ministry of Labour)
National OP
PA E5
Institutional capacity
Specific Objective 51 (Increasing
innovation effectiveness
and transparency of public action)
Specific Objective 52 (Improving
inter-institutional negotiation
capacities with specific reference to public-private partnerships)
Specific Objective 53 (Improving
public services standards)
Specific Objective 54 (Defining together with
Regions standards and methodologies
for managing monitoring evaluating and supporting ESF and non-ESF interventions
quality and effectiveness as
well as their reciprocal
Specific Objective 55 (Strengthening
and integrating the
environmental governance system)
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86
MS OP PA A1 A2 A3 A4 A5 A6
complementarity)
IT Competencies for development (Ministry of
Education) National OP
PA 2
Institutional capacity
Specific Objective H (Improving Education
System Governance and Evaluation)
LT OP for the Development of Human Resources 2007-2013
PA 4
Fostering Administrative Competences and Increasing Efficiency of
Public Administrationrdquo
Specific Objective 1 Improving management of human resources
and strengthening
administrative capabilities in public service
Specific Objective 2 Improving management of activities better
implementing EU policies
improving structure of public administration
Specific Objective 3 Improving regulation of economic
activities and providing
services to people and business
LV OP Human Resources and Employment
PA 5
Administrative Capacity Building
51 Better Regulation Policy
52Capacity Building of Human Resources
53 Administrative Capacity and Development Planning Capacity
Building of
Planning Regions and Local Governments
MT OP II -
Empowering people for more jobs and
a better quality of life
PA
4
Strengthening of
institutional and administrative capacity
Supporting
public sector reform
Lifelong learning
for the Public Sector
Strengthening
the quality of employment services
Promoting a more
effective social and civil dialogue in Malta
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87
MS OP PA A1 A2 A3 A4 A5 A6
PL Human Capital Operational
Programme
PA 5
Good governance
51 Strengthening
potential of government administration
52 Strengthening
potential of local government administration
53 Support for implementation
of the Lisbon Strategy
54 Development of the third
sectorrsquos potential
55 Development
of social dialogue
RO OP ACD ndash Operational Programme
Administrative Capacity Development
PA 1
Improving structure and processes of
public policies cycle management
11 - Improving decision making processes at
administrative and political level
12 ndash Increasing public administration
responsibility
13 - Improving organisational effectiveness
RO OP ACD ndash Operational
Programme
Administrative Capacity Development
PA 2
Improving quality and
efficiency of
public services with a focus on decentralisation
21 ndash Support for sectoral
decentralisation
of services
22 - Improving quality and
efficiency of
public services
SI OP Development
of human resources for the period 2007-2013
PA 5
Institutional and administrative
capacity
51 Efficient and effective public
administration
52 Reform of the institutions
in the labour market
SK Operational Programme
Employment and Social Inclusion
PA 4
Capacity building and
enhancement of the quality of public administration
41 Enhancement of
services quality provided by public administration and NGOs ndash activities focused
on increasing of quality and effectiveness of
the services
42 Establishing of quality
management systems in public administration and NGOs in the field of employment and
social policy ndash improvement of process
management in
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88
MS OP PA A1 A2 A3 A4 A5 A6
provided by public
administration
public administration
was planned NOTE not implemented
UK West Wales and the Valleys ESF
Convergence programme
PA 4
Modernising and improving the quality of public
services
A = Action see section 312 for clarifications
Source Country experts based on relevant Operational Programmes
ESF 2007-2013 ex-post evaluation synthesis
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89
ANNEX II Country specific recommendations in the field of SIC
2007 2008 2009 2011 20122013
BG urgently further strengthen administrative
capacity in particular focusing on key government functions including regulatory authorities and the judiciary
adopt new measures and
rapidly implement adopted measures to
substantially cut red tape and shorten procedural
delays in order to improve the business environment (in particular for SMEs and facilitating start-ups) which will also help in the fight against corruption
tackling undeclared work
by strengthening
institutional capacity to perform inspections and ensure legal enforcement
urgently further strengthen the efficiency and the
effectiveness of the public administration in particular by focusing on key government functions including the competition
supervisory and regulatory authorities and the judiciary and continue taking all measures necessary to ensure effective financial controls and
sound management of structural funds
rapidly adopt and implement
new measures to substantially cut red tape at central and local level and shorten procedural delays in order to improve the business
environment which will also help in the fight against corruption -
(low efficiency of public services quality of staff or key functions e-services)
enhance administrative capacity in key government functions and regulatory authorities in order to make
public services more effective in responding to the needs of citizens and businesses introduce measures to check
public procurement on the basis of risk assessments
strengthen the capacity of the authorities to prevent and sanction irregularities in order to improve quality and value-for-money in the use of public funds
(The use of EU funds remains low )
Complicated administrative procedures
business and regulatory environment
e-government
Step up efforts to enhance
administrative capacity and reforms by reducing red tape
and the cost of tax compliance and collection and further improving the absorption of
EU funds Improve the quality and independence of the judicial system and speed up the introduction of e-government Strengthen public administrative capacity in key transport sectors and
regulatory authorities
Ensure sound implementation
of public procurement legislation Strengthen the prevention of irregularities and effectively apply the sanctions under the Public Procurement
Law and those of the Law on Conflict of Interest
CZ speeding up progress in speeding up progress in (quality of the Czech legal (efficiency of public
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90
2007 2008 2009 2011 20122013
the ICT area including by implementing and monitoring the development of a fully
enabling legal environment for e-government
meet targets for reducing the administrative burden on enterprises
further developing access
to finance for innovative companies
the ICT area including by implementing and monitoring a fully enabled legal environment for e-
government
and regulatory framework frequent and far-reaching reorganisations of PA impede its efficiency transparency of
public procurement
improve the quality of public services in areas essential for the business environment In this context speed up the
implementation of the anti-corruption strategy in line with the identified targets adopt
the Public Servants Act to promote stability and effectiveness of the public administration and revise the
Commercial Code to abolish anonymous shareholding
administration
e- services
reduction of administrative burden for businesses
Anticorruption
adoption of the new Public Procurement Act)
Adopt and implement as a matter of urgency the Public
Servants Act to promote
stability and effectiveness of the public administration to avoid irregularities
Ensure adequate implementation of the new Public Procurement Act
Address the issue of anonymous share holding
Ensure correct implementation
of EU Funds and step up the fight against corruption
EE - launching the new
immunity and leniency programme and
strengthening competition enforcement
One of the aims within the Priority Axis 5 ldquoEnhancing administrative capacityldquo of OP
for Human Resource Development was to provide more modern and efficient public services From the standpoint of the public
service training and
ESF 2007-2013 ex-post evaluation synthesis
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91
2007 2008 2009 2011 20122013
developmental activities it was considered important to assist in the unified formation of the know-how for public
sector workers public servants and NGOs (incl social partners) as regards job skills management cooperation and coordination However the ESF did not
support directly the merging of municipalities)
- (Being limited in size the majority of local governments have difficulties to universally deliver the necessary social
health labour market transport and educational services)
- - Enhance fiscal sustainability of
municipalities while improving
efficiency of local governments
and ensure effective service provision notably through stronger incentives for merger or increased cooperation of municipalities
EL - modernises its public administration by building
up effective regulatory control and enforcement
capacities including
- implement the reform of its public administration
by building up effective regulatory control and
enforcement capacities
- implement reform of the public administration by
building up effective regulatory control and enforcement capacities with
an emphasis on simplifying
ESF 2007-2013 ex-post evaluation synthesis
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92
2007 2008 2009 2011 20122013
through upgrading skills so as to also ensure effective use of Structural Funds
by modernising its human resources policy and through effective use of the Structural Funds
- improve further the transposition of internal market legislation
the regulatory environment for business and citizens and reducing red tape
HU - reforms the public administration health
care pension and education systems with a view to ensuring long-term fiscal sustainability and improve economic
efficiency - further reductions of the
administrative burden on enterprises
- continue to reform the public administration
healthcare pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic
efficiency - improving the regulatory
environment through further reducing administrative burden and legislative simplification
- continue to reform the public administration health care
pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic efficiency
- PES administrative capacity - Improve the business
environment by implementing all the measures envisaged for regulatory reform and lowering administrative burdens in the National
Reform Programme
- (transparency and quality of public administration where
progress would also help in improving the stability of the institutional and policy environment)
- capacity of the PES
- Implement measures envisaged to reduce the
administrative burden Ensure that public procurement and the legislative process support market competition and ensure a stable regulatory and business-friendly
environment for financial and nonfinancial enterprises including foreign direct
investors Reduce tax compliance costs
IT - strengthening and fully implementing the system of impact assessment for proposed regulation
- improving the efficiency of regulatory environment
with particular focus on legislative simplification
- support economic activity by advancing implementation of
EU programmes financed by EU structural funds
- (to enhance the performance-orientation and accountability of the public administration
scope for removing regulatory and administrative barriers in product and services markets particularly in professional services)
- Take steps to accelerate
- (deficiencies in terms of administrative capacity continue to hamper absorption
and hence the implementation of the Plan notably in the convergence regions complex and burdensome tax administrative procedures
Although some measures have
ESF 2007-2013 ex-post evaluation synthesis
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93
2007 2008 2009 2011 20122013
growth-enhancing expenditure co-financed by cohesion policy funds in order to reduce the persistent disparities between
regions by improving administrative capacity and political governance Respect the commitments made in the national Strategic Reference Framework in terms of the
amount of resources and quality of expenditure
already been adopted to encourage administrative simplification the business environment in Italy remains
complex In particular the judiciary system suffers from a number of inefficiencies in terms of resource utilisation procedures and institutional organisation that are reflected
in the low performance of the Italian civil justice in particular as regards the excessive duration of case-
handling and the amount of backlogs)
- Simplify further the regulatory
framework for businesses and enhance administrative capacity Implement the planned reorganisation of the civil justice system and promote the use of alternative dispute settlement mechanism
LT - improving the efficiency
of regulatory environment with particular focus on legislative simplification
- support economic activity by
advancing implementation of EU programmes financed by EU structural funds
business environment
strengthen business inspectorates increase transparency and reduce the administrative burden on business
LV
(poor transparency complicates evidence-based local decision making)
Take measures to improve
management and efficiency of
ESF 2007-2013 ex-post evaluation synthesis
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94
2007 2008 2009 2011 20122013
the judiciary in particular to reduce the backlog and length of procedures Take steps to improve the insolvency regime
and the mediation laws
MT - introducing systematic impact assessment and speeding up progress towards simplification of regulations
- further improving the regulatory environment by continuing simplifying legislation by introducing systematic impact assessments and effective
one-stop-shops for business start-ups
PL - improving human capital and incentives to work
- speeding-up the business
registration process - ensuring timely
implementation of the e-
government programmes - improve the transposition
of internal market legislation
- (quality of the business environment and efficiency of public administration is low)
- Establish a timetable to
simplify legal procedures involved in enforcing contracts revise construction and zoning legislation with a view to streamlining appeal procedures and speeding up administrative procedures
- (business remains high and public administration continues to lack efficiency The main areas of concern
include high compliance costs complex and unstable tax legislation weak contract enforcement lengthy and burdensome licensing Judicial proceedings and other legal actions are lengthy and there
are a relatively high number of cases pending)
RO - urgently strengthen
administrative capacity at both central and local levels of government by building up effective
regulatory control and enforcement capacity
- take rapid measures to
reduce substantially
- strengthen the efficiency effectiveness and independence of the public administration at both central and local level by building up
effective regulatory control and enforcement capacity
- in the context of a coherent
better regulation policy
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
95
2007 2008 2009 2011 20122013
administrative procedures and delays to obtain authorisations as part of a coherent better regulation
policy in order to improve the business environment which will also help in the fight against corruption
urgently implement measures to substantially reduce administrative procedures and delays in obtaining
authorisations in order to improve the business environment which will also help in the fight against corruption
SI - strengthening the enforcement of the legal framework for protecting intellectual property rights
NA NA Streamline regulated
professions and improve the administrative capacity of the Competition Protection Office in order to enhance the
business environment and attract investment
NA
SK - Reduction of
administrative burden is a must
- -Recommendations to improve the evaluation system and to stabilise the administrative
capacities improvements
in the better regulation system
- improve the regulatory
environment notably by implementing a comprehensive better regulation strategy covering both impact assessment and simplification of existing
legislation - full implementation of
one-stop-shops for start-up companies
- implement a comprehensive
better regulation strategy conduct impact assessments and continuously simplify the existing legislation while stepping up the reduction of administrative burdens on businesses particularly SMEs
(quality of the business
environment and efficiency of public administration is low)
- Establish a timetable to simplify legal procedures involved in enforcing contracts revise construction
and zoning legislation with a
view to streamlining appeal procedures and speeding up administrative procedures
(business remains high and
public administration continues to lack efficiency The main areas of concern include high compliance costs complex and unstable tax legislation weak contract
enforcement lengthy and
burdensome licensing Judicial proceedings and other legal actions are lengthy and there are a relatively high number of cases pending)
Strengthen the quality of the
public service including by
improving management of human resources Further
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
96
2007 2008 2009 2011 20122013
shorten the length of judicial proceedings and strengthen the role of the Public Procurement office as an
independent body
UK NA NA
NA NA NA
Sources own analysis of country specific recommendations
Annex III - Factors influencing success and failure of SIC interventions for individual countries per category
Management
The activation of a clear well dimensioned and recognised SIC theme management structure able to assume and carry out the oversight of the various implementing interventions and
equally important of the relations between the different actors and stakeholders (IT)
A ldquoCapacity traprdquo is often at work in weak regions SIC is affected by the same problems that should be solved This reinforces the need for a strong and result oriented governance (IT)
the constant concern of the MA for managing the programme in correlation with the available resources at the level of OP ACD The financial allocation was correlated with the specific objectives of OP ACD for each Priority Axis The financial reallocations between the KAIs of
the same PA show the concern for correlating the available financial allocations with the interest shown by potential beneficiaries and for maintaining the balance between the allocated resources and the result indicators of the programme (RO)
Lack of administrative capacity of the Intermediate Body This was demonstrated for example by a long length of the projectsrsquo evaluation process and by frequent requirements of the IB to get exceptions from the Operational Manual (CZ)
Personal fluctuation and related staffing instability of the IB in projectsrsquo administration (CA)
Finally the SROP projects have extensively involved external experts which proved not to be the guarantee of the success of the SROP projects supposing the lack of familiarity with the local administration (HU)
The low capacity level of MA OP DAC both in terms of headcount and in terms of experience and expertise The significant personnel outflows prevented the development of the OP DAC team in an adequate manner causing faults in communicating with beneficiaries and in effectively managing project implementation from the programme level (RO)
Relevance and quality of the activities for the target groups (eg relevant and high quality
trainings for different categories of civil servants) (LT)
Complicated administration of the projects and often changed rules (SK)
Huge number of mistakes in financial reporting timesheets eligible and non-eligible costs direct and indirect costs (SK)
Non-observance of deadlines by first level financial control (SK)
Strategic approach and intervention logic
Romania The analysis developed in order to support the OP ACD correctly identified the
horizontal issues affecting the Romanian public administration but its lack of focus on types of beneficiaries and target groups led to the elaboration of a programme with objectives which are difficult to quantify with a low level of prioritisation and with an untargeted implementation strategy The lack of depth of the analysis underpinning OP DAC is the weakest point in the logic of intervention of the programmerdquo For some indicators the targets
were not correctly planned due to a lack of analyses and research studies but there were also cases when the targets became unrealistic during the programming period due to the
context changes occurred Finally beneficiaries often lacked a strategic approach particularly in respect of the decentralisation process The question to be answered here is whether these problems were due to contextual factors as described above or had to do with the capacity of institutions and people the very thing the interventions were supposed to address
The approach based on calls for project ideas (for large projects) was one mechanism used
for this strategic approach which proved to be successful This approach resulted in an increased relevance to KAI considering also the contribution to meeting the specific objectives (RO)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
98
SIC requires structural and long-term strategy (IT)
Evaluation of SIC must identify a proper theory of change based on fundamental mechanisms and has to identify the structural changes in the PA (IT)
The definition and implementation of SIC theme as an internally coherent and consistent policy line and not as a sum or juxtaposition of single interventions (IT)
The ex-ante identification of few and relevant areas of interventions to tackle with an adequate funds and resources critical mass (IT)
The Public Administration(s) capacity to identify precise objectives definite implementing actions coherent instruments and coherent responsibilities for results and outputs (IT)
Well-developed intervention logic (it was a positive factor in the case of successful development of HR and a negative factor in the case of system-level reforms under PA 4 in Lithuania) (LT)
The target groups of OP DAC are generally relevant for the programme intervention logic but the lack of individualization coming out of the supporting analysis led to their identification in a rather general manner (RO)
Motivation and capacities of beneficiaries
Proper motivation of target groups (for instance in certain cases lack of motivation was one of the key negative factors affecting the results of trainings funded under PA 4 in Lithuania) (LT)
The willingness of the public sector to engage in training activities and the provision of training which is organised in a manner which caters for the need of the public sector (MT)
The evaluation points to the importance of the support of local government leaders as key issues in the success of the interventionsprojects Without strong support the projects have never been successful (HU)
Projectslsquo beneficiaries that resign from the projects lsquorealisation or cancel their projectslsquo proposals (CZ)
guarantors of the projectslsquo proposals that have not enforced implementation of their projects within their subordinate organisations (CZ)
Leadership and organisational maturity on the part of project implementersmanagers Low organisation maturity was a somewhat negative factor in HR trainings funded by ESF (a large part of trainings was implemented by private companies) At the same time it was a positive factor in the case of initiatives focusing on the improvement of internal management activities within public institutions (LT)
The ability of civil society organisations to consolidate their efforts and participate in actions is an important aspect to be addressed as the success of civil organisations depends on their ability to strengthen their capacity and networking opportunities (MT)
The low capacity of project beneficiaries in project formulation implementation and the lack general project management skills (RO)
Errors in implementation process and huge number of projects that were not completed (SK)
Cooperation and coordination
Efficient coordination of different funded activities and efficient cooperation between different institutions in implementing the changes An incomplete cooperation between institutions was
responsible for only partly successful implementation of e-governance measures (LT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
99
inter-ministerial coordination structures that not work continuously (CZ)
Context factors
PAR
The existence before ESF intervention of a clear and explicit capacity building strategy to be integrated and boosted by ESF funding (but able to go beyond ESF support) (IT)
The existence of strategic vision (at statesystem level) in relation to the implemented interventions (LT)
Legislation
Maladjustment of the applicable law to the IT projects In many cases existing regulations require the delivery of documents in paper form Therefore the introduction of electronic services was possible only partially So it is necessary to modify certain provisions as well as
identify such barriers at the stage of diagnosis (PL)
A systemic issue which also causes a significant negative impact on the low efficiency of OP DAC by the end of 2012 is the complex legislation in the area of public procurement and its different interpretation by the institutions involved in certifying and controlling the subsequent procedures (RO)
Huge number of mistakes in public procurement (often changed rules as well) (SK)
Institutional and political
The support and awareness of political authorities and institutions involved on the importance of reformschanges (LT)
Changing political environment (EL SI)
Politicised institutional environment (EL HU)
the support by politicians (SI)
Source Own elaboration on the basis of information provided by Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
100
Annex IV - Evaluations relevant to SIC interventions
The following table provides an overview of Member States evaluations that focus on ESF
SIC interventions and were an important source for the assessments made in this
chapter
Table 22 SIC related evaluations in Member States ESF 2007-2013
MS Relevant evaluations for SIC
BG OPAC Interim Evaluation Report for the period 2007-2013 first Report on the evaluation of OP AC implementation for the period January-
December 2014 May 2015
CZ Supreme Audit Office of the Czech Republic Information from the control action No
1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
Ministry of Interior (2015) Annual report on Smart Administration strategy for the period 142014 ndash 3132015 Ministerstvo vnitra Ročniacute zpraacuteva o Smart Administration
za obdobiacute od 14 2014 do 313 2015 Informace pro vlaacutedu Českeacute republiky zpracovanou 3042015
Ministry of Labour and Social Affairs (2014) Final report from the internal evaluation of the PA 4 of the OP HRE Ministerstvo praacutece a sociaacutelniacutech věciacute Zaacutevěrečnaacute zpraacuteva z interniacute evaluace provaacuteděniacute PO 4 OP LZZ
EE The evaluation of the effectiveness and the impact of the PA 5 ldquoRaising Estonian
administrative capacityrdquo CPD 2011 in Estonian
httpwwwstruktuurifondideepublicInimressursi_arendamise_rakenduskava_IARKpdf
Executive summary in English httpwwwavalikteenistuseepublicHaldusmeedeEvaluation_Report_Administrative_Capacity_Estonia_2011_-_Executive_Summary_-_Logopdf
EL Logotech-Prooptiki 2007 lsquoEx-ante evaluation of the OP Administrative Reformrsquo March
2007 Athens EEO Group-Eurotec 2013 lsquoInterim evaluation of the OP Administrative Reformrsquo
February 2013 Athens EEO Group-Eurotec 2014 lsquoField research on women non-governmental organisations
active in the fields of equality and human rights protectionrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network of improving the quality of
public services towards enterprisesrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network supporting consumers in issues
relating to indebtednessrsquo Athens
HU Final evaluation (AAM 2012) Final evaluation report on the State Reform OP 2007-2010
institutional development projects executed (Eacuterteacutekeleacutesi zaacuteroacutejelenteacutes az AacuteROP 2007-2010 koumlzoumltt megvaloacutesiacutetott szervezeti ceacuteluacute fejleszteacuteseiről) AAM Consulting November
2012 httpswwwpalyazatgovhukozigazgatasi_fejlesztesek_ertekelese Executive Summary ndashEx-post evaluation of the organisational development measures
founded by the State Reform OP AAM consulting nov 2012 (Az Aacutellamreform OP szervezetfejleszteacutesi ceacuteluacute fejleszteacuteseinek eacuterteacutekeleacutese)
SROP case DUNAUacuteJVAacuteROS (2014) Study paper on the evaluation and revision results of previous State Reform OP system development project (Tanulmaacuteny a koraacutebbi AacuteROP szervezetfejleszteacutesi projekt eacuterteacutekeleacutesi eacutes feluumllvizsgaacutelati eredmeacutenyeiről -
Eredmeacutenytermeacutekek hasznosulaacutesaacutenak eacutes horizontaacutelis szempontok eacuterveacutenyesuumlleacuteseacutenek vizsgaacutelata) Case project of the local government of DUNAUacuteJVAacuteROS (SROP - 1A5 ndash 2013-2013-0090) 2014 February 28
httpwwwdunaujvaroshusitesallfilesdokumentumokpalyazatokarop1a5dunaujvaros_korabbi_arop_felulvizsgalat_1_tanulmany_v30pdf
IT Annual evaluation reports of the Governance and System Actions OP (4 covering until
now w 2011 2012 2013 2014)
LT Evaluation of the implementation of result indicators in the Human Resources
Development Programmes priority axis 4 measures 2 and 3 2009 Evaluation of the quality and effectiveness of the training financed by the ESF 2011 Interim evaluation of the Human Resources Development Operational Programmes
priority axis 4 Final evaluation report 2013
European Union Structural Funds Investments for Human Resource Development 2015
Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
101
MS Relevant evaluations for SIC
Improvement of Public Management in Lithuania 2014
LV Ongoing evaluation started in 2014 Impact evaluation of 151 Better Regulation
Policy and 152Capacity Building of Human Resources
lsquoImpact evaluation of the activities implemented under the Operational Programme ldquoHuman Resources and Employmentrdquo and Operational Programmersquos Compliment measures 151 ldquoBetter Regulations Policyrdquo and 152 ldquoStrengthening Capacity of Human Resourcesrdquo during the 2007 ndash 2013 programming periodrsquo 2015 httpwwwesfondilvuploadPetijumi_un_izvertejumigala-zin_pec-saskanosanas-sanaksmes_081015pdf
MT Thematic Evaluations presentations PWC dated October 2014 and May 2015 available
at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx The Thematic Evaluation is not published
PL Assessment of the level of achievement the HC OP main and specific objectives as well
as impact of the ESF funds on results accomplished within specific areas of intervention ndash II thematic report (2015) - The main goal of this research was to assess the contribution by ESF funds to the results achieved within specific areas of intervention and their impact on the social and economic changes in Poland (including the level of satisfaction in the population living in the areas receiving support)
Evaluation of the indicator named Gender Index in the institutions participating in the
implementation of the HC OP (2011) ndash Main topics Recruitment releases remuneration promotion training and development work-life balance and prevention of mobbing and sexual harassment - measured in the HC OPrsquos implementing institutions
Evaluation of barriers and legal gaps in the effectiveness of the European Social Fundrsquos support (2013) - legal system of a country and its coherence with ESF requirements
opportunities and provisions Public administration - effective and modern (2011) - achievement of Measures
objectives with regard to capacity of public administration possible strengthening of its potential and modernisation of management system and structure
RO Second interim evaluation OP ACD 2010-2012 - Second evaluation OP ACD 2013 Performance evaluation of OP ACD management and implementation ndash OP ACD
performance evaluation 2015
SI The institutional evaluation of the ESRS (Employment Service of the Republic of
Slovenia) 2012
The institutional evaluation of the ESRS (Employment Service of the Republic of Slovenia) is not considered in this evaluation as it is not related to ESF financing It
evaluates however the effectiveness and efficiency of processes analyses obstacles to effective provision of services and proposes 12 indicators for the monitoring of the processes
SK Possibly relevant evaluations mentioned in EEN-INV_SK but not available on internet
(planned probably not realised) 1) Final Evaluation of Implementation of OP Employment and Social Inclusion (beginning planned in 2014 end planned in 2015 not
available in time for this study) Evaluation of Improvement of Human Resources Quality and Management in Public
Administration and NGOs (end of the evaluation was planned in 2012 not made available in time for this study)
UK Thematic Evaluations of the 2007-2013 Structural Funds Programmes in Wales
including Modernising Public Services (ESF Convergence Priority 4)
Source Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
102
HOW TO OBTAIN EU PUBLICATIONS
Free publications
bull one copy
via EU Bookshop (httpbookshopeuropaeu)
bull more than one copy or postersmaps
from the European Unionrsquos representations (httpeceuropaeurepresent_enhtm)
from the delegations in non-EU countries
(httpeeaseuropaeudelegationsindex_enhtm)
by contacting the Europe Direct service (httpeuropaeueuropedirectindex_enhtm)
or calling 00 800 6 7 8 9 10 11 (freephone number from anywhere in the EU) () () The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
Priced publications
bull via EU Bookshop (httpbookshopeuropaeu)
Priced subscriptions
bull via one of the sales agents of the Publications Office of the European Union
(httppublicationseuropaeuothersagentsindex_enhtm)
doi[102767271126]
[KE-0
2-1
6-9
29-E
N-N
]
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
acquired by participants number of enterprises providing training)
Social Inclusion Refers to a wide range of issues and activities covering
aspects such as fundamental rights access to adequate
income support and quality services From the perspective of
ESF SI interventions the most common strand of activity in
the Recommendation is that relating to inclusive labour
markets This focus is also echoed in the ESF Regulation
where the SI priority focuses on inclusion into the labour
market as the best means of integrating individuals into
society and of combatting social exclusion SI is one of the
Priorities of Article 3 ldquoScope of assistanceldquo of the ESF
Regulation No 10812006
Strengthening Institutional Capacity
A key policy area focussing on the efficiency of public
administrations and public services at national regional and
local level by promoting mechanisms to improve good policy
and programme design monitoring and evaluation and
capacity building in the delivery of policies and programmes in
the relevant fields SIC is one of the Priorities of Article 3
ldquoScope of assistanceldquo of the ESF Regulation No 10812006 and
is the object of this evaluation
Sustainability The extent to which the achieved results last
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Acronyms
A2E Access to employment and sustainable integration into employment
AIR Annual Implementation Report
CAV Community Added Value
CoE Category of expenditure
CSR Country Specific Recommendation
EC European Commission
EEN Expert Evaluation Network
ESF European Social Fund
EU European Union
HC Human Capital
LTU Long Term Unemployment
MA Managing Authority
MS Member State
NGO Non-governmental organisation
OP Operational Programme
PA Priority Axis
PAR Public Administration Reform
PES Public Employment Service
SFC Structural Funds Common Database
SIC Strengthening Institutional Capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
Table of contents
Executive Summary i
1 Introduction 6
11 Background 6
12 Objectives 6
13 Scope 7
14 Methodological Approach and information sources 7
15 Structure of the report 7
2 Key SIC challenges and policy directions in the EU in the 2007-2013
programming period 9
21 Evolution of the institutional capacity building focus 9
211 The origins of institutional capacity building support 9
212 Good governance as a deciding factor for competitiveness and cohesion 9
213 Definitions and concepts 10
22 Capacity building and ESF 11
3 Overview of key ESF SIC investment features in the 27 Member States 13
31 Links to the national and EU policy priorities main activities and target
groups 13
311 Links to the national and EU policy directions 13
312 Key characteristics of activities and target groups at EU and MS level 17
313 Key characteristics of specific dimensions and categories 19
314 Structures and processes 20
315 Human resources 24
316 Tools 27
32 The overall strategy for ESF SIC investment 28
33 The impact of the economic crisis on ESF SIC priorities actions and funding
(EU-27) 33
34 The ESF expenditure in the area of SIC 34
341 Overall funding levels 34
342 Programmed expenditure on Category of Expenditure 81 36
4 The effectiveness efficiency sustainability gender sensitivity community
added value and the socio-economic impact of ESF SIC investment in the 27 Member
States 39
41 The effectiveness of ESF SIC interventions 40
411 Progress in the financial implementation of ESF SIC 40
412 Types of output and result indicators selected by the OPs 44
413 Overall achievements 46
414 Achievements in specific fields of activity 48
415 Effectiveness 49
416 Reaching the different target groups 53
42 Efficiency 56
43 The sustainability of ESF SIC interventions 57
44 Gender sensitivity of ESF SIC interventions 58
45 Community added value of ESF SIC interventions 60
451 Volume effects 60
452 Scope effects 61
453 Role effects 62
454 Process effects 62
46 The socio-economic impact of ESF SIC 63
461 Impact indicators and evidence from national ESF evaluations 63
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
462 Impacts in relation to changes in the quality of administrations65
463 Key factors determining success or failure 68
5 Overview of key lessons learned 72
51 Key lessons in terms of policy choices 72
52 Key lessons in terms of target groups 74
53 Key lessons in terms of appropriate programming 74
54 Key lessons in terms of effective implementation 76
55 Key lessons in terms of monitoring 76
56 Key lessons in terms of evaluation 77
References
Annex I Overview of OPs PAs and Actions explicitly addressing SIC
Annex II Country specific recommendations in the field of SIC
Annex III Factors influencing success and failure of SIC interventions for individual
countries per category
Annex IV Evaluations relevant to SIC interventions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
List of figures and tables
Figure 1 SIC in OPs and PAs 29
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of funds
allocated to SIC-related Priority Axes over total ESF budget) 35
Figure 3 Budget allocated to expenditure category 81 per MS 36
Figure 4 Government effectiveness 65
Figure 5 Regulatory quality 66
Figure 6 Rule of law 67
Figure 7 Key factors for success and failure mentioned for MS 69
Table 1 Institutional capacity objectives tree for ESF 11
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP 14
Table 3 CSR addressed under SIC interventions by MS 15
Table 4 Contribution of ESF SIC interventions to MS policies 16
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category 18
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS) 19
Table 7 Characteristics of SIC actions 20
Table 8 Countries covered in programming and expenditure based analyses 30
Table 9 Overview of SIC dedicated OPs and PAs by MS 31
Table 10 ESF SIC investment and over total ESF (total funding) 35
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS 37
Table 12 SIC and overall ESF implementation rate () by MS (31 December 2014)
40
Table 13 Share of the budget spent per SIC relevant PA43
Table 14 Target setting and achievement for outputs SIC and ESF 50
Table 15 Achievement of output targets for SIC and all ESF interventions 50
Table 16 Target setting and achievement for results SIC and ESF 51
Table 17 Achievement of results targets for SIC and all ESF interventions 52
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014) 54
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women
participants55
Table 20 Funding per participation for SIC related OPsPAs 56
Table 21 Examples of tentative impact evaluations 64
Table 22 SIC related evaluations in Member States ESF 2007-2013 100
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
i
Executive Summary
Key findings
EU-28 Member States (MS) allocated euro2419 million to Operational Programmes
(OPs) or Priority Axes (PAs) that were dedicated to Strengthening Institutional
Capacity (SIC) objectives This includes funding from national (public and private)
sources as well as the amount of co-funding foreseen from the EU
As of the 311220141 693 of SIC allocated funding at EU-27 level was spent
compared to 793 of total ESF budget which demonstrates that on average
fewer SIC funds have been spent in relation to overall ESF funding The economic
crisis contributed to budget reductions or lower impact in several MS
Almost 14 million participations were reported to have been involved in SIC-
related interventions
Almost all participants are employees of beneficiary institutions the majority
are women (64) and well educated (ISCED 5 and 6)
Most countries used ESF to provide additional funding for good governance to
test new and innovative activities to reach new target groups and to
improve public administration service and delivery systems and methods
In doing this they responded to the issues identified by Country Specific
Recommendations in the SIC field
At least 17000 training programmes were developed while 4000 studies
campaigns public consultations reviews (laws procedures) and reports have been
implemented amongst other actions At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures
including client centres or regional offices
ESF contributed to reforms of the judiciary system improved access to e-
government services a better business environment and a better
management of public administrations in general
Introduction
This report analyses how the theme of strengthening institutional capacity (SIC) was
integrated in the ESF 2007-2013 programming in EU-27 MS how it was implemented
and what its main achievements were with a view to determining the key lessons
learned and recommendations for ESF programming and implementation
Strengthening institutional capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
10812006 which only covers Convergence regions describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo With the support for SIC a more horizontal
approach to capacity building was introduced in the 2007-2013 programming which
1 It is to be noted that according to the Regulation expenditure of the 2007-2013 period is eligible if incurred by 31122015 which is why the current report does not cover the last year of implementation Final data on spending participants and results are then higher than the ones reported
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
ii
complemented the existing institutional capacity support provided in other policy
fields Notable areas where this was the case include employment education and
social inclusion as well as in the implementation of the structural funds themselves
(technical assistance)
Programming of SIC under the ESF
During the 2007-2013 programming period 14 MSs included Priority Axes
dedicated to SIC interventions in their ESF programming (the report does not
cover Croatia due to late start of ESF activities upon accession to EU) Four of them
(BG EL HU RO) have explicitly dedicated one OP to institutional capacity building
The remaining ten countries (CZ EE IT LT LV MT PL SI SK UK) have OPs with
one or more PA dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting SIC
Most OPs are national but in Italy (5 out of 7) and in the United Kingdom there are
also regional OPs
ESF SIC investment is closely linked to SIC-related challenges in the relevant MS
and the corresponding Country Specific Recommendations (CSR) that the European
Commission issued during the programming period Besides a general need for
improved effectiveness and efficiency of public administrations recurring themes in
the CSRs are simplifying the regulatory system and improving the business
environment Other themes include the introduction of e-government reforms in the
judiciary sector and anti-corruption policies and public procurement regulation and
practices Most of the individual CSRs were explicitly addressed by ESF SIC
interventions
Capacity building under the SIC theme addressed structures and processes as well as
human resources Some 70 of actions at the level between PA and the actual
interventions addressed structures and processes The horizontal approach under
SIC enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and management
strengthening quality assurance or the role of the regional or local level in policy
development and implementation In the majority of actions organisational changes
address national local or regional levels by optimising the structures of the central
district and municipal administration An almost equally high share of the actions
addressed the development of human capital This included staff capacity building
interventions as well as the development and implementation of human resources
management strategies Developing human resource management under ESF covers
several areas including recruitment staff motivation systems for accreditation of
public servants internal mobility gender mainstreaming and mutual learning ESF
SIC also supported the development of tools related to e-government and helped
improve monitoring and evaluation systems While most activities seem to target the
public sector as a whole some focus on a specific policy sector such as the judicial
system
In capacity building interventions the target group is typically the staff of the
beneficiary organisations
Financial programming and implementation
In the EU-28 a total of euro2419 million was allocated to OPs or PAs that were dedicated
to SIC objectives This constitutes 21 of total allocated funding under ESF and 4
of funds available in convergence regions and includes funding from national (public
and private) sources as well as the amount of co-funding planned from the EU This
sum includes euro10 million allocated in Croatia whose interventions do not fall under
the scope of the present study The highest absolute levels of SIC allocation are found
in EL and PL while countries that allocate the highest share to SIC relative to their
overall ESF budgets (over 12) are BG and LT followed by MT and SI
The total amount of certified eligible expenditure by the end 2014 was euro167 million
This constitutes 693 of SIC allocated funding at the EU-27 level For comparison
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iii
the implementation rate (level of spending) for the total ESF budget of SIC allocated
funding amounted to 793 Implementation rates differ considerably between
countries and PAs It is worth mentioning that the lack of adequate administrative
capacity of beneficiaries might have contributed to the low absorption of ESF SIC
investments in these MSregions according to the so-called ldquocapacity traprdquo effect
Effectiveness and impacts
In total 14 million participations were registered in SIC related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training These participations result in a set of
characteristics which is very different from other ESF priorities as almost all
participants are employees and most of the participants in SIC interventions (57)
are well educated (ISCED 5 and 6) Participants in SIC interventions are older than
ESF participants on average Young people (15-24) are strongly under-represented
(4 for SIC interventions versus 31 for ESF as a whole) The majority of
participants are women (64)
In terms of outputs during the 2007-2013 programming period 17000 training
programmes were conducted and 4000 studies campaigns public consultations
reviews (laws procedures) reports etc implemented Some 95000 organisations
institutions were involved in SIC-related interventions The organisations that the ESF
supported besides public administrations include bodies of the judiciary county level
government offices boards of public benefit activities at the regional level and
municipalities Other outputs include at least 1500 projects or activities launched
some 250 guides and guidelines produced and 150 new structures established
including client centres or regional offices
The results achieved through ESF SIC funding during the 2007-2013 period vary
Approximately 512000 individuals gained a qualification 87000 reported other
positive results some 2000 entities or organisations were established or recorded
other positive results and more than 1700 productssystemstools were developed It
should be mentioned however that due to data limitations it was not possible to
aggregate all results as reported in the AIR of ESF programmes and as a consequence
this leads to systematic underreporting of the results of ESF
ESF supported interventions helped to reduce the administrative burden for citizens
and businesses and contributed to the production of better quality policies and
legislation Management systems and practices were changed to incorporate modern
human resource management and planning techniques The support for developing
institutional capacity also contributed to achievements in specific policy areas such as
equal opportunities environmental policies and the social dialogue
Four fields of activities were analysed in more depth during the study
Strengthening of the judiciary was supported by activities including the training of
magistrates or employees of judiciary offices and the introduction of court case
management systems These activities resulted in a reduction of the duration of
judicial procedures in several countries (SI PL) The effectiveness of judiciary bodies
and offices was also increased in terms of management and quality assurance HR and
provision and equipping judiciary staff dealing with economic cases Strategic
planning and management was improved (EL LT LV and PL) by increasing the
number or the share of public administration offices that implemented management
systems and quality assurance processes Increasing the number of services available
to citizens and businesses online and training public administration staff to use them
properly were a means to achieve MS ambitions in the field of e-government
Improving the environment for businesses was achieved by shortening the time
needed for setting up or registering a business and decreasing administrative costs
Other achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
iv
Information on impacts is available for six countries only Typically this information
is of a more qualitative nature and does not permit hard conclusions to be drawn
According to World Bank data improvements in the quality of public administrations
occurred between 2007 and 2014 especially in the field of government effectiveness
and rule of law The perception of regulatory quality improved in several countries
particularly the three Baltic States as well as in Poland and Romania It is to be
expected that ESF has contributed to these changes However this causal relationship
can only be established through impact assessments and evaluations The evidence
available at this point is insufficient to draw conclusions in this respect
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by various countries (CZ EL HU IT LT MT
RO SK) Rapid changes in government politicised institutions and lack of political
support were all cited as impediments to the effectiveness of SIC interventions
Other evaluation findings
The findings regarding four further evaluation criteria are as follows
Efficiency Available information does not allow conclusions regarding the
efficiency of SIC interventions The assessment of efficiency is hampered by the
fact that the outputs of various activities are not defined in terms of the
number of persons or objects
Sustainability SIC interventions sustainability refers to both the continuation
of funded projects (with or without EU funding) and the achieved results in
terms of increased empowerment and adaptation to new needs as they
develop The sustainability of SIC interventions is particularly dependent on the
context in which they are implemented and which these same interventions aim
to support
Gender sensitivity Gender equality is seldom targeted directly by SIC
interventions through positive actions However in some countries SIC
interventions were designed in such a way that in their implementation at
least women and womenrsquos interests are taken into account or possibly
furthered SIC interventions typically have more female than male participants
For most countries this reflects the over-representation of women in public
institutions
Community added value The main effect from ESF SIC support is a volume
effect This effect has been even greater than it otherwise would have been due
to the impact of the financial crisis on MS budgets ESF has also added value by
broadening the scope of the interventions undertaken by MSs or by putting
administrative capacity on the agenda SIC funding played a relevant role in
supporting the introduction and testing of innovative tools or systems such as
the introduction of e-government
Overview of key lesson learned
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe
2020 Strategy might be further enhanced by specifying the more relevant fields
of ESF SIC support such as e-government or business-friendly administration
The institutional and political context remains a key success and risk factor for
capacity building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are
important factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to
capacity building as well as a well-defined intervention logic are required by
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
v
MS Programming should go well beyond the specific objectives and into the
realm of intermediate and final impact Support provided to countries should
consider the five key factors that influence the success of SIC interventions
management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
New programmes need to make sure that results and impacts whose
sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or
PA are often linked to a lack of administrative capacity in the Managing
Authority or Intermediate Body both in terms of the number and qualifications
of staff Significant personnel turnover and frequent changes in staff
contributed to mistakes being made in financial reporting by beneficiaries
which was further hampered by complicated and often-changing rules and
errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review
ex-ante the output and result indicators proposed by MS to see if they comply
with SMART criteria apply a categorisation into common output and result
indicators in the SFC database More systematic guidance on the difference
between indicators for capacity enhancement performance and impact
indicators could help countries formulate better indicators for monitoring
results In addition a benchmark is needed against which achievements can be
measured
Evaluation Fields of activities as found in the CSRs for example could
provide a starting point for the development of impact indicators for ex-post
evaluation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
6
1 Introduction
11 Background
This report is for Task 3A Thematic EU Synthesis Reports of the ldquoESF 2007-2013 Ex-
Post Evaluation Synthesisrdquo (Contract No VC20150098)
The purpose of the Ex-Post Evaluation is to synthesise and update the results of three
ESF thematic ex-post evaluations that were launched by DG EMPL during 2014 and
covered the following ESF Priorities Adaptability and Human Capital (grouped under
the ex-post evaluation Investment in Human Capital) Supporting the Integration of
Disadvantaged Groups into Labour Marked and Society (Social Inclusion) and Access
and Sustainable Integration into Employment (Access to employment) Under Task 3A
the Synthesis shall provide a supplementary evaluation of the ESF Priorities
lsquoStrengthening Institutional Capacityrsquo (ESF Reg 10812006 Art 32b) - the present
report - and - lsquoPromoting Partnershipsrsquo (Art 31e) which is presented in a separate
document These priorities were not covered by separate services and therefore
providing the key information needed in order to compile the EU synthesis report
covering all the ESF Priorities
Strengthening Institutional Capacity (SIC) is one of the policy priorities supported by
ESF in the 2007-2013 programming period Article 32b of the ESF Regulation No
108120062 only covers Convergence regions and describes the policy field
ldquostrengthening institutional capacity and the efficiency of public administrations and
public services at national regional and local level and where relevant of the social
partners and non-governmental organisations with a view to reforms better
regulation and good governance especially in the economic employment education
social environmental and judicial fieldsrdquo
Strengthening institutional capacity was a new theme introduced for the 2007-2013
period Until then capacity building was supported for specific sectors notably
employment social inclusion and education and for the implementation of the
structural funds themselves (technical assistance) With SIC a more horizontal
approach was introduced that aimed at improving good policy and programme design
monitoring and evaluating a variety of activities and supporting capacity building in
the delivery of policies and programmes Specific fields supported by ESF SIC include
strategic planning and management support to the judiciary sector e-government
and promoting a business-friendly environment
This thematic report builds upon the knowledge and information collected during the
previous tasks of the synthesis evaluation particularly the Country Synthesis Reports
(CSR) that provide information on each and every ESF policy priority including a
summary overview of the Strengthening Institutional Capacity priority
12 Objectives
This thematic synthesis report provides an overview of the implementation of the ESF
Priority SIC at EU level in terms of implemented actions financial resources
participants outputs and results The report also illustrates how resources have been
used the effectiveness of implemented interventions (in terms of results) and
efficiency measured in terms of financial resources spent in order to achieve them
2 Regulation (EC) No 10812006 of the European Parliament and of the Council of 5 July 2006 on the European Social Fund and repealing Regulation (EC) No 17841999
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
7
The report also aims to provide an assessment of the sustainability community added
value and contribution to gender equality of the SIC priority thus feeding the most
relevant lessons learned and conclusions of the analysis
13 Scope
In total 14 of the EU-27 MSs defined one or more ESF OPs that have one or more
Priority Axes (PA) that predominantly address SIC (in total 34 SIC-related PAs in 21
OPs)3 A full list of these Priority Axes is presented in Annex I The programmes
covered the period between 1 January 2007 and 31 December 2013 with operations
continuing until 31 December 2015 However the evaluation could only draw on 2014
data reported by the MSs in the Annual Implementation Reports (AIR) submitted to
the Commission by 30 June 2015
14 Methodological Approach and information sources
The identification of Priority Axes relevant to SIC was based on the Preparatory Study
of the Ex-post evaluation of the ESF 2007-2013 the ESF Expert Evaluation Network
reports and the three ex-post thematic evaluations This selection was used as the
main reference to identify MSs and OPs with Priority Axes relevant to this field this
selection was further refined over the course of Task 2 ndash Country Synthesis Reports
For these PAs an analysis of the participants was carried out (Annex XXIII data) as
well as of the groups of outputs and results achieved by the ESF Each MS has to
report on these in the AIR and they can be extracted from the System for Fund
Management in the European Union (SFC2007)
Country experts in the relevant MSs were asked to review and integrate SFC data
(based on AIRs) if necessary Most importantly experts were asked to fill in country
templates enabling the assessment of the main activities of SIC that have been
carried out under the selected OPs for this report Also any other relevant information
such as the sustainability of the activities and results the contribution to gender
equality the community added value (CAV) the key success and failure factors and
the main lessons learned These templates were to be completed based on the
expertrsquos own assessment information drawn from the Operational Programmes and
AIRs 2007-2014 relevant evaluations or other sources of information available at
national level and in some cases through ad-hoc interviews with Managing
Authorities (MA)
The Country Synthesis Reports and templates filled in by country experts were a key
information source as the SIC Priority covers a relatively small share of ESF resources
SIC differs from the other priorities as it is not directly focused on educationtraining
or employment-related objectives for individuals but rather focuses on strengthening
structures and entities directly or indirectly involved in implementing such objectives
For this reason available quantitative data may not be representative of the relevance
and effectiveness of related interventions which is why additional qualitative
information had to be collected
15 Structure of the report
The report begins by reviewing briefly the background and content of the theme
(Chapter 2) Chapter 3 links SIC interventions to national and EU policies and
3 Please note that this could be a PA but in some cases also sub priorities when a PA is split up across more than one ESF theme
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
8
explains and analyses the activities foreseen It goes on to describe how SIC related
interventions are integrated into the ESF programming by MSs and the subsequent
impact of the economic crisis on the actual implementation Finally this chapter
discusses the financial performance Chapter 4 focuses on the evaluation criteria (ie
effectiveness efficiency sustainability gender sensitivity community added value and
socio-economic impact) The conclusions of the above analyses are presented in the
final chapter (Chapter 5) in terms of the lessons learned in six areas
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
9
2 Key SIC challenges and policy directions in the EU in the 2007-2013 programming period
Key findings
The quality of public policies and their implementation has been on the European
agenda since the beginning of the century It was also a key issue in the
preparation of countries for EU accession and the support the EU provided to them
amongst others in the framework of the PHARE programme
The modernisation of public administration was identified as one of the five
priorities in the Commissionrsquos recent Annual Growth Surveys Between 2012 and
2014 around 20 countries have been receiving country specific recommendations
related to public administration every year
Three dimensions of institutional capacity can be identified structures and
processes human resources systems and tools
Article 32b of ESF 2007-2013 Regulation identifies SIC as one of the five ESF
priorities focusing exclusively on Convergence regions
21 Evolution of the institutional capacity building focus
211 The origins of institutional capacity building support
The concept of institutional capacity owes much to the work conducted in the
framework of development aid According to De Koning et al (2006) the term
capacity building was introduced in the late 1980s It has various predecessors
though with the concept of institution building arising as early as the 1950s
It was also a key issue in the preparation of countries for EU accession and the
support the EU provided to them amongst others in the framework of the PHARE
programme It was recognised that only by developing appropriate administrative and
judicial structures would the new or adapted legislation be implemented effectively
(European Union 2010 p 16-17) The PHARE programme and the instrument for
pre-accession assistance (IPA) as of 2007 the Technical Assistance and Information
Exchange instrument (TAIEX) and Twinning have helped accession countries to
increase their institutional capacity After accession further support was deemed
necessary in this area and the ESF became the new vehicle for delivering it (European
Union 2010 p 18)
According to Ferry (2013) institutional capacity has remained an issue for Cohesion
policy in these countries His literature review revealed that there are many absorption
challenges faced by EU-10 countries both during and after accession Administrative
reforms and institutional instability were impeding the effectiveness of management
and implementation systems The collection and analysis of monitoring data has also
greatly suffered from this as did the implementation of ESF Ferry refers to a number
of issues in particular ldquoadministrative capacity weaknesses in managing authorities
(MA) lack of funding shortages of administrative resources high staff turnover lack
of political steer and administrative complexitiesrdquo (Ferry 2013 p 30)
212 Good governance as a deciding factor for competitiveness and cohesion
The quality of public policies and their implementation has also been on the European
agenda since the beginning of the century In the early 2000s the European
Commission identified the reform of European governance as one of its four strategic
objectives This entailed adapting European institutions and increasing the coherence
of its policies The Lisbon Treaty (ratified at the end of 2009) supported this by giving
a stronger role to the European Parliament and national parliaments and more
opportunities for citizens to have their voices heard The Lisbon Treaty also underlines
the importance of public services in MSs for social and regional cohesion it also
included key principles for action to promote effective services of general economic
interest Subsequently the Europe 2020 strategy for smart sustainable and inclusive
growth builds on this and emphasises the modernisation of labour markets and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
10
enhancing the performance of education systems The modernisation of public
administration was identified as one of the five priorities in the Commissionrsquos recent
Annual Growth Surveys Between 2012 and 2014 around 20 countries have been
receiving country specific recommendations related to public administration every
year4
The reason for making institutional capacity a priority across the European Union is
that it is assumed to promote competitiveness eg through a stable business
environment and lower regulatory and administrative burdens This will also help
increase employment levels along with the number of stable and high quality jobs It
can also be argued that increased administrative capacity will foster social inclusion
and social cohesion Increased revenue from taxation and social security contributions
from well-functioning economies as well as government services operating more
efficiently will allow the maintenance of adequate levels of social protection It will in
brief increase productivity and in the economy improve the quality of the design and
implementation of policies for growth and employment and is the basis for good
governance (European Union 2010)
The European Union has been systematically and actively promoting public
administration reforms (PAR) in central and Eastern European countries both during
and after the accession process These MSs are part of an EU-wide effort of
modernising Public Employment Services (PES) and other institutions in the field of
labour social and educational policies which are supported under the Human Capital
and Access to Employment priorities (and are covered by the relevant thematic
evaluations)
213 Definitions and concepts
A number of dimensions of capacity building can be emphasised De Koning et al
(2006) identify investment in the human capital of individuals group-oriented
development organisational development or institutional development Building on
the classification applied by the World Bank the Ecorys (2011) report identifies three
dimensions that have since been used in various sources These concern structures
people and tools and are as follows
Structures relate to legislation delivery and development structures as well as
overall coordination cooperation and partnership
Human resources area include competence gaps (especially among senior and
line managers) staff turnover lack of HR policies (especially of modern HR
management approaches) lack of employee engagement and rigorous
application to tasks and in some cases a focus on narrow specialisms rather
than on broader management and public service competences
Systems and tools include the use of ICT and its embeddedness in
organisational processes the management of information systems finance
monitoring and evaluation and the state of play with regards to performance
management and the management of workloads
4 For more information see httpeceuropaeueurope2020making-it-happencountry-specific-recommendationsindex_enhtm
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
11
De Koning et al (2006) also distinguish different types of interventions that may be
used in capacity building projects and programmes knowledge skills tools and
equipment
22 Capacity building and ESF
The ESF thematic paper on promoting good governance highlights the importance of
having high quality public administration for economic prosperity as well as the well-
being of societies and their citizens (European Commission 2014)
For the 2007-2013 programming period three articles of the ESF Regulation (EC
10812006) are of particular relevance to capacity building
Article 31b addresses both the Convergence and the Regional
Competitiveness and Employment objectives It states that the ESF shall
support actions in MSs by promoting the modernisation and strengthening of
labour market institutions particularly employment services and other relevant
initiatives in the context of the strategies of the European Union and the MSs
for full employment
Article 31d refers to ESF support to enhance human capital by promoting the
design and introduction of reforms in education and training systems [] and
the continual updating of the skills of training personnel
Article 32b focuses exclusively on the Convergence regions mentioning that
the ESF shall support actions in MSs that are strengthening institutional
capacity and the efficiency of public administrations and public services at
national regional and local level Where relevant Article 32b also focuses on
strengthening social partners and non-governmental organisations These
interventions are targeted towards implementing reforms better regulation and
good governance This is especially the case in the economic employment
education social environmental and judicial fields
Article 32b covers SIC interventions as evaluated in the present study The focus on
institutional capacity and efficiency was new in the 2007-2013 programming period
Before 2007 the ESF objectives were defined only in the areas of employment social
inclusion and education
SIC interventions represent one of the additional objectives for so-called Convergence
regions Convergence regions are defined as those regions having per capita gross
domestic product (GDP) less than 75 of the average GDP of the EU-255
The following table summarises the logic behind ESF interventions in the field of
institutional capacity
Table 1 Institutional capacity objectives tree for ESF
Driver Economic growth employment and good governance (Lisbon Strategy)
Global objectives
The ESF shall contribute to the priorities of the Community with regard to
strengthening economic and social cohesion by improving employment
and job opportunities encouraging a high level of employment and a
5 Commission Decision C(2006)3475 of 4th August 2006 and Commission Decision C(2007) 1283 of 26 March 2007 amending Decision 2006595EC as concerns Bulgaria and Romania)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
12
greater number of better jobs It shall achieve this by supporting MSs
policies aiming to achieve full employment ensure quality and
productivity at work promote social inclusion including the access of
disadvantaged people to employment and reduce national regional
and local employment disparities
Specific objectives
Article 32b Within the framework of the Convergence objective ESF shall
support actions in MSs under the priorities listed below
ldquoStrengthening institutional capacity and the efficiency of public
administrations and public services at national regional and local level Where
relevant these policies will also target social partners and non-governmental
organisations with a view to reforms better regulation and good governance
especially in the economic employment education social environmental and
judicial fieldsrdquo
Types
of interventions
(i) Mechanisms to improve good policy and programme design monitoring
and evaluation will be achieved through studies statistics expert advice
support for interdepartmental coordination and dialogue between relevant
public and private bodies
(ii) Capacity building in the delivery of policies and programmes in the
relevant fields including those regarding the enforcement of legislation
especially through continuous managerial and staff training as well as specific
support to key services inspectorates and socio-economic actors this includes
social and environmental partners relevant non-governmental organisations
and representative professional organisations
Source Assessment of administrative and institutional capacity building interventions and future needs in the context of European Social Fund (VC2009066 - 009)
The analytical framework developed for the previous evaluation of administrative
capacity under ESF (Ecorys 2011) summarised the need for capacity building
interventions as follows
poor performance of public administration
weak response to citizensrsquo and firmsrsquo needs
higher well-being of citizens through increased competitiveness and cohesion
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
13
3 Overview of key ESF SIC investment features in the 27 Member States
Key findings
ESF SIC investment is closely linked with SIC-related challenges in the relevant
MS All countries that have programmed a SIC-dedicated OP or PA received CSR
over the 2007-2013 period covering SIC-related themes
SIC-related CSR can take the form of general recommendations such as improving
the overall effectiveness of the public administration of the regulatory capacity of
the public bodies for example or they can relate to specific fields of interventions
such as the judiciary or the business environment
Some 70 of SIC actions at the level between PA and the actual interventions
addressed structures and processes The horizontal approach under SIC
enabled the development of more thematic approaches such as those related to
improving the business environment introducing strategic planning and
management and strengthening quality assurance
An almost equally high share of the actions addressed the development of human
capital This included staff capacity building interventions as well as the
development and implementation of human resources management strategies
ESF SIC also supported the development of tools such as those related to e-
government and the improvement of monitoring and evaluation systems
While most activities seem to target the public sector as a whole some focus on a
specific policy sector such as the judicial system
During the 2007-2013 programming period 14 of EU-27 included Priority Axes
dedicated to SIC interventions in their ESF programming Four of them (BG EL
HU RO) have explicitly dedicated one OP to institutional capacity building The
remaining ten countries (IT LT LV MT PL RO SI SL SK UK) have OPs with one
or more PAs dedicated to SIC In total 21 OPs were dedicated to SIC or had one or
more PA dedicated to this theme In total 34 PAs and 78 actions were targeting
SIC
Within EU-28 a total of euro2419 million was allocated to OPs or PAs that were
dedicated to SIC objectives (EU+national) this constitutes 21 of total allocated
funding under ESF and 4 of the funds available in convergence regions The
highest absolute levels of SIC allocation are found in EL and PL while countries
that allocate the highest share to SIC relative to their overall ESF budgets (over
12) are BG and LT followed by MT and SI
31 Links to the national and EU policy priorities main activities and target groups
311 Links to the national and EU policy directions
ESF SIC investment is closely linked with SIC-related challenges in the relevant MS
All countries that have programmed a SIC-dedicated OP or PA received Country
specific recommendations over the 2007-2013 period covering SIC-related themes
Country Specific Recommendations (CSRs) are issued for each MS
In the context of the European Semester since 2011 the Commission undertakes a
detailed analysis of MS plans for budgetary macroeconomic and structural reforms
and provides them with CSR for the next 12-18 months These recommendations also
contribute to the objectives of the EUs long-term strategy for jobs and growth and the
Europe 2020 strategy
Annex I presents a full overview of how SIC interventions addressed country specific
recommendations
The content of the CSRs varies from country to country and from year to year
Although all MSs have their own CSR proposals there are common themes that arise
This section highlights the common key messages in the fields that are relevant for
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
14
SIC and provides an overview of the types of categoriesmeasures in which the
European Commission issued CSRs over the years from 2007-2013 and indicates how
these relate to specific MSs
Table 2 below shows how these CSRs clustered by typology are lsquodistributedrsquo across
the relevant MS over the 2007-2013 programming period SIC-related CSR can take
the form of general recommendations such as improving the overall effectiveness of
the public administration of the regulatory capacity of the public bodies for example
or they can relate to specific fields of interventions such as the judiciary or the
business environment The table illustrates that the overall improvement of the public
administration is a challenge identified in at least nine out of the 14 MSs Improving
the business environment facilitating entrepreneurship and business start-ups and
increasing the attractiveness of a country as an investment destination has been
identified a challenge in at least 11 MSs Improving the regulatory capacity of public
bodies and supporting simplification (including the aim to improve the business
environment) has been identified as a challenge in at least six MSs The reform and
the support of the judiciary sector has been identified as a specific challenge in at
least three MSs (this does not mean it is not a challenge for other MS with the
judiciary being a part of public administration)
Table 2 SIC-related challenges in MS with a dedicated SIC PA or OP
Type of challenge BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
effectiveness and efficiency
of the public administration x x x x x x x x x
effectiveness of the judiciaryreform x x x x
business environment x x x x x x x x x x x
Anti-corruptionpromotion of rule of law x x x
public procurement x x x
absorption of ESI funds x
e-government x x x x
regulatory systemsimplification administrative burden
x x x x x x
Source own elaboration on the basis of CSR2007-2009 2010-201213
Challenges and related recommendations are also visible in national strategies and
ESF SIC investments constitute an integral part of the national effort to support good
governance and improvements to the public administration in many countries This is
particularly the case in countries that have concentrated a relatively large amount of
ESF resources to this priority or those that have dedicated a full OP to it such as in
the case of BG EL HU and RO
In the case of Bulgaria for example where there is a separate OP devoted to
administrative reform and strengthening institutional capacity ndash OP Administrative
Capacity (OPAC) ndash the ESF plays an important role in supporting reforms and capacity
OPAC financed some of the most important measures in the National Reform
Programme (NRP) and was indeed a key instrument for the administrative reform in
Bulgaria where these reform processes play an important role in the national agenda
also considering its relatively recent accession to the EU and of its political past
ESF 2007-2013 ex-post evaluation synthesis
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15
In Greece a number of reforms have been implemented in the past decade mainly in
the fields of state-citizen relationships the development of e-government human
resource management better regulation and control mechanisms These are fully in
line with the strategic goal of the OP Administrative Reform 2007-2013 which aimed
to improve the quality of governance through enhancing the effectiveness and
efficiency of public organisations whilst also strengthening the accountability and
professionalism through broadening public consultation and the participation of
stakeholders
In Romania the main contribution of the State Reform OP was to support the
accomplishment of the strategy for improving the capacity of the public
administration The main leverage used involved creating more efficient local
administration units and reducing the development gap between local and central
public administrations Increasing the expertise of staff in public institutions through
participation in specialised training (ICT data management systems) helped in
preparing them for the development of e-government services and facilitated the
simplification processes relating to administrative procedures in line with the National
Strategy for the Digital agenda for Romania and the European Digital agenda
During the last few decades public administration reform strategies in Italy have
been focusing on two main areas a) the delivery of (public) services to citizens and
companies b) the management of public (material and immaterial) goods Both areas
have been subject to reforms aimed at improving their levels of effectiveness and
efficiency In more detail the reform strategies focused on service delivery (covering
the national regional and sub-regional level along with relevant policy actors) and
tackling long-standing criticisms such as the overall lack of efficiency in Public
Administrations (especially in terms of the optimisation of governance mechanisms)
They also concentrated in the simplification of administrative rules and regulations and
the efficiency and effectiveness of (mainly civil) justice As for the reforms they
focused on improving the management of public goods the main critical issues that
have been covered relate to the fight against corruption (especially in public tenders
and contracts) the effective spending of public funding (national but also EU) and the
full implementation of relevant infrastructure investments These strategies have been
accompanied by reforms supporting the productivity and assessment of PA employees
and management as well as of the organisations themselves
Table 3 shows the linkage between the CSRs received and whether relevant MSs had
addressed these through ESF SIC investment Only in five MSs (BG CZ EE IT LT)
were the recommendations not fully addressed in some specific years
Table 3 CSR addressed under SIC interventions by MS
Country 2007 2008 2009 2011 2012
BG NA YES partially YES partially YES partially YES partially
CZ YES NO NA YES YES
EE NA YES NA NA YES partially
EL YES YES YES NA NA
HU YES YES YES YES YES
IT NO NO YES YES
LT NA YES partially YES partially YES NA
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
16
Country 2007 2008 2009 2011 2012
LV NA NA NA NA NA
MT YES YES NA NA NA
PL YES YES NA YES YES
RO NA YES YES NA NA
SI NA NA YES NA
SK YES YES YES YES YES
UK NA NA NA NA NA
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
NA means that no recommendations were made
Details of the recommendations are provided in Annex II
In the Czech Republic SIC-related ESF programming addressed all the
recommendations apart from the one aiming to further quicken the ldquoprogress in the
ICT area including through the implementation and monitoring of a fully enabled legal
environment for e-governmentrdquo This implementation began in 2008 although a start
was made in 2007 as was then recommended
Estonia also used ESF funding for SIC interventions to address most of the
recommendations it received although SIC interventions were not explicitly used to
support the merging of municipalities as was recommended in 2012
Italy did not use ESF funds to explicitly address the recommendations it received in
2007 and 2008 These recommendations involved the introduction of an impact
assessment system and the competition in product and service markets The latter
was taken up again by the recommendations in the following years and ESF SIC
interventions were used to improve the situation
Table 4 below provides an overview of the linkages between MSsrsquo policies and ESF
support to SIC
Most MSs that have included PAs on SIC use ESF to obtain additional funding to
support good governance and to improve the delivery systems and methods for
services to citizens and businesses in their country Most countries also use it to test
innovative activities ESF is least commonly used to reach new target groups which is
understandable for SIC interventions
Table 4 Contribution of ESF SIC interventions to MS policies
ESF provided additional funding to
support good governance
ESF was used to test new and innovative
activities
ESF was used to reach new target groups
ESF was used to improve PA service
delivery- systems and methods
BG Y Y N Y
CZ Y Y N Y
EE Y Y Y Y
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
17
ESF provided additional funding to support good governance
ESF was used to test new and innovative activities
ESF was used to reach new target groups
ESF was used to improve PA service delivery- systems and
methods
EL Y Y N Y
HU Y N N Y
IT Y Y N Y
LT Y Y Y Y
LV Y Y Y Y
MT Y Y Y Y
PL Y Y N Y
RO Y N N Y
SI Y Y Y Y
SK Y Y N Y
UK N N N Y
Source overall assessment of country experts based on research carried out by them and
national evaluations conducted in the country
312 Key characteristics of activities and target groups at EU and MS level
An overview of the key characteristics of activities and targets groups that are the
focus of ESF SIC investment is provided below This is based mainly on the analysis of
lsquoactionsrsquo that have been programmed and carried out at MS level By actions we refer
to the unit of analysis below PA level6
Art 32b of the ESF Regulation distinguishes two main groups of interventions those
that relate to design monitoring and evaluation and those related to the delivery of
policies and programmes Only one in 10 actions focuses solely on the first objective
More than one-third of the actions focus on delivery and almost half of the measures
address both (see Table 5 below)
Most of the actions target the national level (70) However substantial numbers
address additionally local (41) andor regional (53) levels Only 4 of actions
have an international character
6 In the 2007-2013 programming period there is no standardised unit below the PA level such
as the measures in the 2000-2006 period However many Member States distinguish a lsquomeasure typersquo level Sometimes these are still called measures although sometimes other names are given In this report they are referred to as lsquoactionsrsquo and some of the analyses are conducted at this level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
18
Public entities were the main beneficiary of SIC actions (85) Social partners and
NGOs were targeted by approximately a quarter of the actions
Table 5 Key characteristics of SIC related actions absolute number of actions
concerned and as of total number of actions addressing a certain category
Characteristic and categories Absolute
no
Objective (ESF Regulation Art 32b i and ii)
Design MampE 8 103
Delivery 28 359
Both 38 487
No information 4 51
Total 78 100
Level of the intervention (multiple answers possible)
Local 33 423
Regional 42 539
National 56 718
International 3 39
No information 8 103
Recipients
Public entities 66 846
Social partners 21 269
NGOs 19 244
Source country templates - assessment by country experts based on review of relevant
literature and Country synthesis reports
In order to carry out a more detailed analysis we reviewed the key characteristics at
MS level Table 6 below shows whether a certain characteristic occurs in one or more
of the actions in each country This analysis is similar to that carried out at an OP
level However in the analysis at OP level the results for Bulgaria (two OPs) and
Italy (seven OPs) would lsquocolourrsquo the results excessively which is the reason why we
opted for a comparison of MSs
Table 6 illustrates the results for the various characteristics Very few MSs have
measures that focus exclusively on the design monitoring and evaluation of policies
and programmes or measures with an international component Few MSs have
measures that focus on e-government under ESF SIC actions Of course these actions
may be specifically targeted under other themes
Some more detailed conclusions emerge when we compare countries by the most
common types of OPs (section 313) dedicated OPs regional OPs and human
resources or sectoral OPs
Objective of the interventions
In Hungary and Bulgaria only (two of the countries with dedicated OPs) can
actions be found that focus solely on design monitoring and evaluation (obj
32bi)
All four countries with dedicated OPs have one or more actions that uniquely
target the second objective (delivery) In the two other groups this is the case
for around half of the countries
The mixed approach can be found in some of the countries in all three groups
Level of the interventions
All Member States have one or more actions at national level
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
19
As expected all regional OPs target the regional level In the two other groups
around half of the countries have PAsactions addressing the regional level
In Bulgaria only do the actions under the administrative capacity OP have an
international dimension
Recipients
In all MSs public institutions benefit from institutional capacity building actions
Social partners and NGOs are often targeted as an explicit (BG EE SK) or
implicit (EL IT SI) target group of human resource development actions They
are also more likely to be amongst the recipients when the objective of actions
is to increase cooperation (BG) to further social dialogue (MT) or to improve
service delivery to citizens or businesses (BG LT) Social partners or NGOs are
also target groups when better regulation (EE) and equal opportunities (EE) are
prioritised
Table 6 Key characteristics of ESF initiatives at MS level (occurrence of a
characteristic in one or more actions within a MS)
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK Tot
ESF objective 32b i and ii
Design MampE 1 1 2
Delivery 1 1 1 1 1 1 1 1 1 9
Both 1 1 1 1 1 1 1 1 8
Level of the intervention (multiple answers possible)
Local 1 1 1 1 1 1 1 1 1 9
Regional 1 1 1 1 1 1 1 1 9
National 1 1 1 1 1 1 1 1 1 1 1 1 12
International 1 1
Recipients (multiple answers possible)
Public entities 1 1 1 1 1 1 1 1 1 1 1 1 1 13
Social
partners 1 1 1 1 1 1 1 1 8
NGOs 1 1 1 1 1 1 1 1 8
Source country templates - assessment by country experts based on review of relevant literature and synthesis country report prepared previously
In Italy OP Sicily action linked to Specific Objective ldquoOrdquo and SK action 42 not implemented
so not included in Hungary no information available on level of interventions and recipients in
Slovakia and Czeck Rep no information on objectives
Target groups
In capacity building interventions the concept of target group needs to be considered
carefully If developing structures processes or tools are the objectives of the
intervention the only target group is the staff involved or (other) users of these
systems Thus the target group of SIC interventions are typically the employees of
the beneficiary institutions
313 Key characteristics of specific dimensions and categories
As mentioned above in order to bring out the variety of interventions implemented
with support from the ESF the actions are taken as the starting point for a more
detailed characterisation of SIC interventions The classification departs from the three
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
20
dimensions distinguished in section 213 structures and processes human resources
systems and tools Categories have been developed that reflect the objectives of ESF
with regard to capacity building on the one hand and the actual objectives and
activities in countries on the other Table 7 below presents the classification as well
as the number of actions to which a dimension or category applies
Table 7 Characteristics of SIC actions
Dimension and categories no of actions
Structures and processes (SampP)
Structures (general) 17
Processes (general or core processes) 5
Structures and processes with a regional or local dimension 36
Processes related to strategic planning and management 12
Structures processes aimed at creating of a business-friendly environment 10
Processes related to quality assurance and quality management systems 6
Human resources (HR)
Human resources management (eg working environment training policies and programmes certification mobility)
17
Staff capacity building 24
Tools
E-governance 14
Monitoring and evaluation systems (MampE) 14
Source information from country templates on objectives and types of activities supported by
ESF
multiple categories possible
The number of actions cannot be added as more than one category may apply to one
action both structures and processes may be addressed in one action as could
human resources systems and staff capacity building Other examples include quality
assurance or e-governance In addition 33 out of the 78 actions (42) could be
classified under more than one dimension
It should be mentioned here that capacity building in the justice system plays an
important role in assuring good governance The activities carried out under these
actions may cover all three of the dimensions identified above
Methodological justification of the classification
The fact that not all actions were classified on all three dimensions is partly due to the nature of
the actions and partly to the fact that this analysis could not be based on a more disaggregated
level of analysis such as the individual interventions The classification was based on a summary description prepared by country experts of the main typologies of interventions or activities that were carried out under the different actions it also includes a global assessment of their characteristics which was also made by country experts The formal titles and the objectives of the relevant OP and PA provided further guidance for the classification These
three sources enabled a detailed classification but cannot capture every single activity and their characteristics carried out in the framework of an action
The three dimensions are discussed in more detail below
314 Structures and processes
Structures (general) 3141
Objectives and activities
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Thematic EU synthesis report Strengthening Institutional Capacity
21
Changing organisational structures is not an aim in itself It is accomplished to create
conditions for other changes that will help realise good governance in the country or
to improve public policies and their implementation directly
In Hungary the ESF SIC investment is aimed at creating lsquothe organisational conditions
for a strategy driven specialised policy approach in the central administrationrsquo This
should contribute to the capacity for self-governance and the quality of legislation
which is targeted under Action 11 of the State Reform OP Under Action 12 support
to the creation and operation of institutional models will help create a simpler and
more transparent organisational structure which in turn will further the development
of more efficient and cost-effective public organisations In Romania revising
developing and optimising the structure of public services (action 21) was undertaken
in order to improve their quality and efficiency
In the majority of actions organisational changes address national as well as local or
regional levels Action 11 of the Bulgarian OP Administrative Capacity aims to create
an effective structure for the State administration by optimising the structures of the
central district and municipal administration ESF SIC support is also used to bring
about and support decentralisation processes Lithuania aims to affect structural
changes at all levels (central regional and local municipality) and identified the need
for support in decentralisation and processes to reduce concentration This is in order
to achieve an optimal distribution of functions among central territorial and local
municipal levels In Romania the main objective of Action 21 in the OP Administrative
Capacity Development is to support structure and process changes resulting from
sectoral decentralisation initiatives The support provided includes training and
technical assistance as well as for the evaluation of pilots for the process of
decentralisation and reducing concentration
Organisational change is sometimes internally driven where it can be aimed at
achieving less fragmentation and duplication of work in Malta for example In other
cases it can be externally driven such as the lsquoone-stop-shoprsquo system developed for
start-ups in Poland (Action 51 OP Human Capital)
The ESF in Poland furthered the development of an important policy design instrument the Social Diagnosis It was a project designed to support the diagnostic work with detailed data
that had been derived from institutional indicators concerning households with a view to investigating the attitudes mind-sets and behaviours of their members It is a diagnosis of Polish conditions and quality of life as they report it Although this research has been ongoing since the 1990s under the ESF programme it has developed and become the main basis for designing policies and providing a source of information for decision makers The scale and impact of the research carried out has been changed considerably thus providing an effective tool for designing policies and strategies7
Beneficiaries and geographical level
All actions address solely public authorities except for the Greek actions that also
target social partners and in one case NGOs Most actions target the national as well
as the regional or local level
Processes (general) 3142
Objectives and activities
7 EEN 2014 Final country report Poland
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
22
The Greek administrative reform OP provides a good example to demonstrate the type
of activities undertaken in the framework of structural reforms It captures a range of
activities and interventions which are all addressing the organisational and
operational re-engineering of public organisations A key aim is the rationalisation of
specific administrative functions such as budgeting and the reduction of
administrative burdens Concrete activities include the
introduction of performance and efficiency systems in the central and regional
public organisations
modernisation and rationalisation of the budgeting
simplification of administrative procedures to reduce the administrative
burdens
reduction of the time needed for the issuance of social and state pensions
enhancement of the E-health program (individual e-papers)
introduction of one stop shops for enterprise licences
The Hungarian actions specifically address the renewal of procedures and work
processes as well as organisational development In Malta renewed processes aim to
support the public sector reform whereas in the Czech Republic renewed processes
seek to increase institutional capacity and efficiency The Bulgarian action focuses on
the judicial sector aiming to make it more transparent and effective
The activities undertaken under this heading can be summarised as simplification and
streamlining They include lsquooptimisation of the workflow and better coordinationrsquo in
the judiciary system (BG) streamlining the activities of public administration
authorities (CZ) simplifying the procedures mostly used by the citizens (HU) and
streamlining management processes within the public sector with a view to facilitating
more rapid decision-making and implementation as well as greater accountability of
results (MT)
Beneficiaries and geographical level
The SIC interventions that aimed to change processes targeted public administration
itself rather than social partners or NGOs the interventions were a mixture of
national regional and local actions although the emphasis was focused at the national
level
Structures and processes with a regional or local dimension 3143
The overarching characteristic of this category of actions is their aim to strengthen
administrative capacity or good governance at the regional or local level These
actions aim to support regional or local authorities in the development and
implementation of policies An element of decentralisation is needed to be present for
actions to be categorised under this heading The classification was performed by
triangulating information from the objectives and description of the OPPA and actions
along with the assessment made by country experts considering the level at which
the actions were foreseen This was the case in regional OPs
Objectives and activities
Theoretically four elements were identified integrated development territorial
reform regional local and municipal governance and decentralisation In the PAs
dedicated to SIC however no regional planning and development activities were
found Neither were actions aimed at territorial reform Support for decentralisation is
provided as has been discussed above but the undertaking of decentralisation itself is
not encountered in the SIC PAs The only clear decentralisation objective is found in
the Romanian administrative capacity development OP The main objective of action
21 is to support structure and process changes resulting from initiatives of sectoral
decentralisation Studies consultancy training evaluation and mutual learning were
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
23
all delivered to structures and staff involved in the planning and coordination of the
decentralisation process The evaluation of pilot projects was supported along with
more general studies on the decentralisation process
The predominant types of action classified under this category are therefore those that
aim to strengthen regional local and municipal governance As the majority of
activities undertaken for these actions are already discussed in other categories no
further description is provided here
Some interesting examples of this type of intervention can be found in Italy Two of the most relevant projects implemented by the National OP Governance (that accounts for the majority of ESF SIC-related investment across all OPs) are lsquoCapacitagrave Sudrsquo aimed at reinforcing the
institutional and administrative capacity of Regions in the field of Structural Funds management and networking and lsquoPerformancersquo PA which aims to supporting the reform and modernisation of public administration mainly involving Municipalities At the level of the regional OPs the implementation of the Institution building programme aimed to strengthen the institutional
capacity of the regional public administrations (development of a favourable administrative environment and public policies) the regional OP of Campania in cooperation with the central government funded this programme The main interventions implemented under this
programme include the following organisational support development of a management control system support to administrative simplification and e-government development of an anti-corruption plan and strengthening local development systems
Beneficiaries and geographical level
Most of the actions solely target public authorities Actions are always carried out at
regional or local level besides the national level
Processes related to strategic planning and management 3144
Six countries have used strategic planning or management tools to enhance their
functioning and performance Estonia Greece Hungary Italy Lithuania and Romania
Objectives and activities
Most of the activities are part of more general SIC interventions However two
countries have established PAs that are dedicated to performance management
Estonia under its human resources OP has formulated a PA for the enhancement of
strategic management in the public sector and NGOs Hungary also under a human
resources OP formulated a PA dedicated to performance-based career pathways
Examples of such tools are management by objectivesresults policy cycle
management performance management and strategic planning lsquoEfficiency and
performancersquo systems were foreseen for Greece and Hungary which may imply a
somewhat heavy focus on staff performance Information on individual interventions
would be required to clarify this
Beneficiaries and geographical level
The beneficiaries are public institutions (all) and NGOs (Greece) The activities target
institutions at national regional and local level
Structures and processes aimed at creating of a business-friendly 3145
environment
Creating a more business-friendly environment is an important feature of the
European 2020 Strategy Actions that address this issue are found in several countries
(including CZ EE EL LT LV MT PL)
Objectives and activities
Improving the regulatory environment for businesses and reducing their
administrative burden is undertaken with a view to improving the performance of
these and the competitiveness of the MSs Many activities under this heading aim to
improve and simplify the regulatory environment thereby creating an attractive
environment for enterprises and for domestic and foreign investors (CZ EE EL LT
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
24
MT PL) They also include the development of ex-ante impact assessments or
evaluation systems for calculating the administrative burden for enterprises (EE LT
LV) as well as the introduction of one-stop-shop systems (EL LT PL) Other
activities such as quality assurance and management (discussed below) will also help
to improve the environment in which businesses operate
Beneficiaries and geographical level
The end recipients of these actions are businesses but the final beneficiaries are
public authorities at all geographical levels though somewhat more often at national
level
Processes related to quality assurance and quality management 3146
systems
Seven countries focused on quality assurance or quality management as a tool
Bulgaria Hungary Lithuania Latvia Malta Slovenia and Slovakia However the
Slovak action did not end up being implemented
Objectives and activities
Quality Assurance (QA) and Quality Management (QM) systems can and do support
virtually all objectives foreseen for SIC interventions Slovenia for example used the
European common assessment framework (CAF) and the European Foundation for
Quality Management (EFQM) framework Bulgaria Lithuania and Latvia introduced QM
systems with the aim of enhancing the quality of administrative service delivery
These systems are also introduced as part of an overall administrative reform (HU
MT) The introduction of minimum quality standards is part of quality management
although this is not considered to belong in this category if occurring in isolation As
the introduction of quality management systems was usually one of many activities
undertaken in the framework of an individual action more detailed information is not
available on the activities carried out to introduce these systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector on the national level
315 Human resources
In this section we provide an overview of the actions related to human resources
development as they have been programmed and implemented across the 14 MSs
These actions can be divided into two broad categories Human Resources
Management and Capacity building of staff Capacity building of staff usually takes the
form of training activities and programmes although it should be mentioned that
training takes place also outside of HR focused actions In this case training is not a
capacity building objective in itself but aims to improve the strategic management of
an organisation or the implementation an e-government programme
Human resource management 3151
Objectives and activities
Developing human resource management (HRM) under SIC ESF investment covers
various human resource management areas such as recruitment staff motivation
internships systems of accrediting public servants internal mobility gender
mainstreaming and mutual learning While most activities seem to target the public
sector at large some focus on a specific policy sector such as the judicial system
The Bulgarian Administrative capacity OP has one PA targeting human resource
management in public administration This is further articulated into five actions
Action 21 Modern human resources management in the state (improving recruitment
and human resources management systems including motivation internship
opportunities certification of public servantsrsquo skills and mechanisms for mobility)
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Thematic EU synthesis report Strengthening Institutional Capacity
25
Action 22 Competent and effective state administration (training programmes and
training for public servants of the central district and municipal administration)
Action 23 Strengthening the capacity of civil society organisations in policymaking
(training for organisational development strategic planning etc)
Action 24 Competent judicial system and effective human resource management
(introducing new human resources management systems and the provision of training
to magistrates and administrative staff)
Action 25 Transnational and interregional cooperation (projects for exchange of good
practices in the field of human resources management)
In Greece the OP for Administrative Reform seeks to improve modernise and reform
the operational capacity of Human Resources Departments in central administrative
units The objective is to improve the quality design and implementation of vocational
education programmes in public administration thereby upgrading the skills
qualifications and knowledge of the personnel in the public administration Concrete
activities include the development of tools for the improvement of the Human
Resources departments and the development of strategic and operational plans for
vocational education institutions Other Greek PAs under the HRD OP focus on gender
mainstreaming in the public sector This is to be attained by a variety of activities
which include improving the legislative framework for gender mainstreaming
increasing the participation of women in decision making evaluating the impact of
public policies in gender mainstreaming enhancing the integration of gender
mainstreaming in public policy enhancing actions targeting the prevention and
combating of violence against women and supporting NGOs that help further female
participation
The Hungarian OP State Reform addressed the need to increase the participation of
women through Human resources improvement strategies through PA 2 (Increasing
the quality of Human Resources) Action 22 which focuses on performance-based
career pathways This PA aims to modernise the instruments for human resources
management focusing in particular on the elaboration and scheduled introduction of
the life path-career management system Aside from the activities such as the
establishment of a government human resource centre which is responsible for the
application of the new HR policy other actions include the elaboration of an
international government officersrsquo and civil servantsrsquo exchange programme along with
the introduction of individual performance assessments that link outcomes to the
remuneration system The PA supports activities that help staff to reconcile obligations
from family and work life
In Lithuania one of the actions under the OP for the development of human resources
targets HRM It aims to improve the management of human resources and strengthen
the administrative capabilities in the public sector Modernising the management of
human resources is undertaken in order to further a more productive use of
knowledge capabilities and skills in the public administration It includes activities
that promote the own initiative of public employees and improving the system of
encouragement
The human resources development OP in Slovenia has an action dedicated to efficient
and effective public administration which includes activities for developing public
management This is done through enforcing the use of modern management
techniques and developing active management of human resources and knowledge
The action also included a system for strategic planning as well as for monitoring the
status of results related to objectives of the priority
In Estonia the OP for human resource development has an action aiming to train and
develop State employees as well as those of local authorities and NGOs It covers
various areas including human resources management Interventions are mostly
implemented in the form of different training studies analyses and development
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
26
activities Interventions are also to a certain extent enacted through the
development of methodological materials practicing and information activities
Beneficiaries and geographical level
All PAs target public authorities The Greek and Estonian PAs also target social
partners NGOs are potential beneficiaries in some Bulgarian Greek and the Estonian
PAs
Staff capacity building 3152
Objectives and activities
Sometimes activities under HRM and staff capacity building are strongly intertwined
such as in Poland and the United Kingdom The PA dealing with staff capacity building
under the human capital OP in Poland includes an action advancing the modernisation
of management in public administration and justice administration It used a variety of
activities to achieve this aim revision of all legal acts related to public finance
management improvement of budgetary and strategic planning developing the
system of public tasks evaluation based on indicators strengthening the divisions of
self-government units responsible for monitoring and evaluation improvement of
cooperation mechanisms between public administration units new methods of
management increasing the quality of services implementation of the altered
remuneration system in the public administration development of competence
standards for self-government administration employees and ethical standards
development
Similarly in the United Kingdom the action to build the capacity of public service
sectors includes a more strategic approach to the management of human resources
The aim of staff capacity building in the UK PA is to deliver higher quality services
This entails developing the skills and capacity of the public sector workforce and of the
organisations they are engaged in deliver and sustain the reform agenda It also
included helping leaders and managers build their capacity to lead the workforce
through change securing a more strategic approach to the management of human
resources and addressing specific skills gaps
Specific staff capacity building is undertaken through different types of activities The
main activity is training A variety of possible training subjects are covered by the
Bulgarian example organisational development strategic planning policy making
monitoring of policies business planning and financial management and effective
negotiation and partnership Additional types of training actions are covered by other
MSs such as raising managerial capacity (HU) strategic planning (LV) implementation
of policies and programmes (IT) and negotiation capacities for public private
partnerships (IT)
Other types of activities are found in Malta for example Under the OP that aims to
empower people to seek out new jobs and a better quality of life one of the actions
establishes and elaborates the principle of lifelong learning for the public sector
Activities identified under this intervention area in the OP include training in areas
such as financial regulation and basic skills related to financial management public
procurement project management national environmental and planning legislation
and Community policies which include competition policy Other associated activities
include analyses of training needs scholarships and internships accreditation of
trainers and academic development of the trainers and the introduction of stronger
linkages between training and career development particularly at the boundary
between middle and senior management levels
Greece introduced systems for job profiles and job descriptions programmes for
enhancing the mobility of staff a training needs analysis and a standardisation of
Educational Plans in public administration and certification systems
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
27
The Estonian OP for human resource development has one action supporting country-
level support structures Interventions include different training counselling
practicing (study tours) and mentoring activities
Beneficiaries and geographical level
Most actions aimed at beneficiaries in the public sector Some of the PAs in Greece
Lithuania and Malta also target social partners NGOs are amongst the potential
beneficiaries in Bulgaria Estonia Latvia Malta and Slovakia
Capacity building usually targets the public sector as a whole A clear exception is
found in the Bulgarian lsquoHuman resources developmentrsquo OP The PA dealing with SIC
has two actions with each action concentrating on specific policy sectors
development and modernisation of the labour market system and strengthening the
capacity of institutions for social inclusion and the provision of health services
The target groups do not always remain the same over time however
In Slovakia most of the calls focused on public bodies There was only one call (in two
rounds) designed for NGOs After the experience with the implementation and
administration of projects at NGO level the managing authority took the decision to
focus on the public sector Most of the actions focused on training the employees in
the sector or in some of its institutions (eg building analytical capacities in the
Ministry of Finance capacity building of the Constitutional Court of the Slovak
Republic preparation for EU Presidency and human resource capacity building of
some institutions)
In Latvia the objective was the administrative capacity building of all parties involved
in the design and implementation of action policies This was undertaken in order to
ensure the active participation and representation of all interest groups in
policymaking processes and to improve the quality of decisions made At first the
activities were targeted at the administrative capacity building of social partners
(Latvian Employersrsquo Confederation and Free Trade Union Confederation of Latvia) and
to strengthen social dialogue at the regional level This activity resulted in the
establishment of regional structures of the Latvian Employersrsquo Confederation and Free
Trade Union Confederation of Latvia which contributed to the formation of non-
governmental organisations and a significant increase in their activities Another
branch of capacity building activities was targeted at non-governmental organisations
and local governments mainly to promote their participation in decision-making and
the efficient planning and management of EU projects
316 Tools
E-governance 3161
The introduction of some type of e-governance is a horizontal element to many SIC
investments under the ESF In at least six countries support of e-governance was a
key component of capacity building efforts under SIC dedicated OPsPAs (this does not
mean that e-governance support did not also take place in other MSs as part of their
overall SIC strategy) These countries are Bulgaria Greece Italy Lithuania Malta and
Slovenia Some of the actions in this field take place in specific policy sectors justice
(eg BG IT) health (eg EL) and employment (eg IT SI) In some instances such
as in Italy e-governance support was used to implement and improve ESF monitoring
systems Other countries support e-governance across policy sectors (eg BG SI)
The Bulgarian administrative reform OP also supports the introduction of an integrated
information system of the state administration
Objectives and activities
The support for e-governance was provided with a view to making public
administrations more effective (BG IT) modernise them (EL) and improve the
service delivery to citizens and businesses (BG)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
28
In the case of policy sector initiatives some examples of the objectives included the
creation of a transparent and effective judicial system (BG) and the improvement of
the service delivery provided by the bodies of the judiciary The information available
typically mentions the introduction of e-government e-health etc In Slovenia some
more detailed information is available on the type of activities carried out in this
framework Slovenia supported e-government as part of its efforts to achieve an
efficient and effective public administration The support for e-government consisted
of two parts an e-portal and e-administration Within the framework of the e-portal
development further progress of e-government was achieved The objectives were to
secure permanent availability support e-democracy in cooperation with the
interested public in making decisions on the abolition of obstacles in the
administration and further develop e-services E-administration was designed for
legal persons and based on a single access point The activities focused on providing a
permanent single access point for legal personnel and businesses This online
resource harnesses the interaction between the state and businesses Examples of
possible services include the registration of employees data transfer and requesting
confirmation
Beneficiaries and geographical level
The beneficiaries always include public sector institutions The actions also target
social partners and NGOs but it is unclear as to whether these concern the e-
governance related or other activities carried out in the framework of these actions
Similarly actions target all geographical levels but it is entirely possible that this is
due to the governance structure in the country or the presence of non e-government
activities within the actions identified here
Monitoring and evaluation systems 3162
Monitoring and evaluation (MampE) systems are an important tool for measuring
progress towards the objectives that governments set themselves in capacity building
interventions They are also important in measuring performance as a supplier of
services to citizens and businesses and in achieving objectives related to these such
as the reduction of the administrative burden The seven countries that included
monitoring and evaluation in their actions are Bulgaria Estonia Italy Malta Poland
Romania and Slovenia
Objectives and activities
Monitoring and evaluation was used to measure internal and external performance as
well as for capacity building good governance policies and policy sector policies
Consequently MampE systems were developed to measure the needs of target groups
such as marginalised groups labour markets or working conditions (BG IT)
progress in achieving good governance (BG PL) or cooperation (PL) better
application of specific capacity building policies including better regulation or reducing
the administrative burden (BG EE) and sector policies like employment policies (IT
MT RO)
No further information is available on the concrete activities undertaken to introduce
or improve MampE systems
Beneficiaries and geographical level
The actions undertaken here focus primarily on the public sector They often address
the national level but also the local or regional level if these levels were targeted by
the actions under which MampE is promoted
32 The overall strategy for ESF SIC investment
As has already been stated during the 2007-2013 programming period 14 out of the
EU-27 MSs included specific SIC interventions in their programming and 21 OPs were
dedicated to SIC or had one or more Priority Axes dedicated to this theme Seven of
these OPs were Italian In total 34 PAs and 78 actions have been identified as
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
29
dedicated to SIC Four out of the 14 MSs that have integrated SIC into their planning
have explicitly dedicated one Operational Programme to institutional capacity building
These countries are Bulgaria Greece Hungary and Romania The remaining ten
countries have OPs with one or more PAs dedicated to SIC
Figure 1 SIC in OPs and PAs
OPs with SIC dedicated PAs typically aim to develop human resources In Italy (five
out of seven) and in the United Kingdom there are regional programmes In Slovakia
it is the OP Employment and Social Inclusion that has a SIC related PA
The PAs typically apply a horizontal approach Only Bulgaria has focused one of its SIC
PAs on labour market institutions and on social and healthcare services corresponding
with the two sectors to which the OP was dedicated Slovakia originally foresaw both a
horizontal and a vertical PA (Establishing quality management systems in public
administration and NGOs in the field of employment and social policy) but the latter
was never implemented It should be noted though that below the level of PAs
individual actions sometimes do focus again at specific sectors This is further
discussed in the following section
Other MSs have developed interventions that aim to reinforce institutional capacity
under PAs that are dealing with other themes such as access to employment or
reform of the educational system which are covered by the other thematic
evaluations This becomes apparent when looking at Categories of Expenditure (CoE)
where expenditure category 81 Mechanisms for improving good policy and
programme design monitoring and evaluation at national regional and local level
capacity building in the delivery of policies and programmes shows the planned or
actual Union contribution to SIC interventions independent of PAs Furthermore it
should be noted that some capacity building interventions take place under other CoE
Important examples are the modernisation and strengthening of labour market
institutions (or expenditure category 65) the design introduction and implementation
of reforms in education and training systems (or category 72) as well as promoting
partnerships (category 80) SIC is sometimes supported as a crosscutting theme
across all Priority Axes without specific references in programming or reporting
Table 8 below shows that 14 MSs programmed SIC in OPs or PAs Two more countries
(Cyprus and Spain) did not programme SIC but did foresee expenditure on this theme
under category 81
Dedicated OP(s)
Dedicated PA(s)AT
BG
HU
IT
NL
FR
EL
ROLT
UK
CZ EE
SI
SK
LV
MT PL
BE CY
DEDK
ES
FI
IRLUPT
SE
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
30
Table 8 Countries covered in programming and expenditure based analyses
Country SIC in
programming (OPPA)
With an OP dedicated to
SIC
With expenditure in Cat 81
Yes No
Austria X
Belgium X
Bulgaria X X X
Cyprus X
Czech R X X
Germany X
Denmark X
Estonia X X
Spain X
Finland X
France X
Greece X X X
Hungary X X X
Ireland X
Italy X X
Lithuania X X
Luxembourg X
Latvia X X
Malta X X
Netherlands X
Poland X X
Portugal X
Romania X X X
Sweden X
Slovenia X X
Slovakia X X
UK X X
TOTAL 14 4 16 11
Source Own elaborations on the basis of SFC data and information from Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
31
Table 9 Overview of SIC dedicated OPs and PAs by MS
MS OP TITLE SIC PA DESCRIPTION
BG OP Human Resources Development PA 6 Improving the effectiveness of labour market institutions and of social and healthcare services
BG OP Administrative Capacity PA 12
and 3
Good governance Human resources management Quality administrative service delivery and e-
Governance development
CZ OP Human Resources Development PA 4 Public administration and public services
EE OP for Human Resource Development PA 5 Enhancing administrative capacity
EL OP Administrative Reform PA1 - 9
Improving national public policies modernisation of the public administration Development of
the human capital in the public administration strengthening policies aiming at ensuring equal
opportunities for all in the whole range of the public administration
HU State Reform OP PA 1 2
and 3
Renewal of processes and organisation development Improving the quality of human resources
Developments to be attained in the Central Hungarian Region
IT Regional OP Campania PA 7 Institutional capacity
IT Regional OP Calabria PA 7 Institutional capacity
IT Regional OP Sicily PA 7 Institutional capacity
IT Regional OP Basilicata PA 7 Institutional capacity
IT Regional OP Apulia PA 7 Institutional capacity
IT OP Governance and System Actions (Ministry of
Labour) PA E5 Institutional capacity
IT OP Competences for Development (Ministry of
Education) PA 2 Institutional capacity
LT OP for the Development of Human Resources PA 4 Fostering Administrative Competences and Increasing Efficiency of Public Administrationrdquo
LV OP Human Resources and Employment PA 5 Administrative Capacity Building
MT OP II - Empowering people for more jobs and a
better quality of life PA 4 Strengthening of institutional and administrative capacity
PL OP Human Capital PA 5 Good governance
RO OP Administrative Capacity Development PA 1 2 Improving structure and processes of public policies cycle management Improving quality and
efficiency of public services with a focus on decentralisation
SI OP Development of human resources for the
period 2007-2013 PA 5 Institutional and administrative capacity
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
32
MS OP TITLE SIC PA DESCRIPTION
SK OP Employment and Social Inclusion PA 4 Capacity building and enhancement of the quality of public administration
UK OP West Wales and the Valleys PA 4 Modernising and improving the quality of public services
Annex I contains a complete overview of OPs PAs and actions dedicated to SIC
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
33
33 The impact of the economic crisis on ESF SIC priorities actions and funding (EU-27)
There is a number of reasons why the economic crisis can be expected to have an
impact on the allocation of ESF funds to SIC interventions The main reason is that
high unemployment rates will exert high pressure on political decision makers to
provide measures that directly address the problems resulting from this and can be
expected to yield results in the short term Capacity building interventions can be
expected to contribute to better functioning social protection and labour market
reintegration systems thereby improving social inclusion and employment rates
However they do so indirectly and effects take time to materialise With this in mind
it could be expected that MSs would redirect resources from SIC to other objectives in
response to the crisis
This was not the case for Bulgaria where reallocations were limited and unrelated to
the crisis They were caused by delays in numerous tender procedures resulting from
the insufficient capacity of beneficiaries As such implementation delays may signal
the emergence of the so-called ldquocapacity traprdquo effect where beneficiaries are unable
to use funds for improvement of administrative capacity due to the low initial capacity
Similarly in the United Kingdom funds were switched to other priorities because of
insufficient take-up The transfer of funds was unrelated to the crisis This has also
been the case in several other countries
In other countries some of the resources were reallocated Greece diverted SIC
resources towards employment (OP Human Resources Development) Two Italian
regions reduced their SIC budgets This was the case for the OPs for Sicily and
Campania No reductions were found for the other regions or the two OPs at the
national level The most likely destinations of these funds are the Access to
Employment and Human Capital themes Furthermore in response to the crisis Latvia
diverted resources from SIC to other objectives mainly to promote employability In
Slovakia in 2012 substantial reallocations took place taking away resources from SIC
to spend on other priorities It is not clear if this diversion was caused by the crisis
but according to the reallocation to PA 1 focused on employment it can be assumed
that the crisis was at least one of the reasons
Planned allocations for SIC were not implemented at all in Spain In the Autonomous
Community Castilla-La Mancha there were no certified expenditures on SIC due to a
restructuring of funds to face the economic and financial crisis in order to alleviate
problems related to unemployment reinforcing active employment policies and
supporting the most disadvantaged groups or territories This was a rsquoremedialrsquo action
carried out by several Spanish Autonomous Communities in order to finally dedicate
1687 of the ESF expenditure planned for the 2007-2013 financing period in order to
reduce the national unemployment rate (262 in 2013 compared to 83 in 2007)
which was one of the highest unemployment rates in the European Union
A reallocation of resources was not the only impact that the crisis had on SIC
interventions It also made the implementation of SIC interventions more difficult As
a result of the economic crisis and the Memorandum of Understanding Greece had to
implement downsizing and cuts in the wages and social security benefits of civil
servants Amidst this climate civil servants were bound to become demoralised and
the introduction of reforms was bound to face additional difficulties Italy saw a
general slowdown of its physical and financial implementation especially in ROPs
(other priorities emerged) It increased the role of the national OP from the Ministry of
Labour as it supported cross-territorial interventions The crisis also induced a growing
emphasis on the importance of having effective and efficient Public Administrations
that are more able to cope with crisis effects This applied especially to policy fields
like employment social inclusion education and local development The
aforementioned effect also occurred in Latvia the additional pressure was felt
especially by those implementing activities on the ground who had to use the
available resources as efficiently as possible This side effect of economic crisis
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
34
manifested itself in a positive way by encouraging political activities and decision
making capacity
Finally the crisis had a negative impact on the results of SIC interventions According
to the evaluation of the effectiveness and the impact of PA 5 lsquoRaising Estonian
administrative capacityrsquo the financial crisis was one of the main external factors that
had a negative impact on the achievement of the results of the PA 5 The
consequences of the crisis were not anticipated during the planning of the objectives
and activities of the programming period One outcome was that the budget cuts
diminished the share of top managers that were participating in the development
activities In addition the reduction of staff levels as a result of the economic
recession increased their workload and thereby reduced their possibilities to engage
in development activities However various activities might not have been carried out
at all if it had not been for the PA mainly due to the severe effects of the financial
crisis on public sector expenditure in general
In Lithuania the number of civil servants and public institutions were reduced in
response to the economic crisis As a consequence the effectiveness of investments in
the quality of public services and improvement of organisational capacities suffered a
number civil servants of beneficiaries lost their jobs and a number of beneficiary
organisations were simply abolished On the other hand the economic crisis also
increased the relevance of ESF support in the area of SIC to some extent The
evidence shows that as a result of the economic crisis the national funds focused on
training civil servants were replaced by ESF funds Thus because of the cuts in
national funds in the area of ISC ESF funds became more important in Lithuania
According to the capacity building OP evaluation in Romania the economic and
financial crisis influenced the public administration sector which also affected the
implementation of this OP The reduction of tax revenues resulting from the
decreased income from private businesses and taxpayers along with the reduction of
state budget allocations towards public administrations units (main OP beneficiaries)
lead to the impossibility of insuring appropriate co-financing for running projects and
consequently affected the achievement of projectsrsquo programme indicators At the
same time the restructuring measures taken to counter the economic crisis effects
implied reduction of PA unitsrsquo personnel which affected the target groups involved in
the projects and the underachievement of programme indicators
34 The ESF expenditure in the area of SIC
341 Overall funding levels
In total EU-28 MSs allocated euro2418710066 to OPs or PAs that were dedicated to
SIC objectives equating to 21 of total ESF funding (see Table 10 below) This
includes funding from national (public and private) sources as well as the amount of
co-funding foreseen from the EU Most funding is allocated to national Operational
Programmes with only IT and UK having regional OPs In Italy however the majority
of the SIC funding goes to the National OP Governance (20 of total ESF SIC
investment) This sum includes Croatia whose interventions do not fall under the
scope of the present study due to the late start of ESF activities upon accession to EU
The highest absolute amounts allocated to SIC are found in Greece and Poland
followed by Italy and Romania Expenditure on SIC does not always correlate with
overall ESF expenditure In other words MSs consciously choose to prioritise SIC or
not In fact percentages of SIC allocation to overall ESF investment vary considerably
across countries with BG and LT allocating 15 of their ESF budget to SIC followed
by Malta and Slovenia (131 and 128 respectively) Greece invests 81 while
the other countries with high absolute amounts of SIC investments such as PL and IT
allocate a relatively small percentage of their ESF resources to SIC (39 and 18
respectively)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
35
Figure 2 Total allocated funding (EU plus national) on SIC PAs per MS ( of
funds allocated to SIC-related Priority Axes over total ESF budget)
Source SFC2007 latest version OPs
Table 10 ESF SIC investment and over total ESF (total funding)
allocation to SIC-dedicated PAs (euro)
over total ESF
BG 209654707 151
CZ 186595775 43
EE 24465675 53
EL 418273566 81
HU 166276830 39
IT 252539187 18
LT 181629418 150
LV 24271094 35
MT 17199118 131
PL 455967699 39
RO 234920609 54
SI 114178243 128
SK 67615059 39
UK 55726379 06
Total SIC EU27 2409313359
HR 9396707 50
Total SIC EU28 2418710066
TOTAL ESF 115596750390 21
Source SFC2007 Operational Programmes as of 31-12-2014
HR interventions are excluded from this evaluation due to the late start of ESF activities upon accession to EU
0
2
4
6
8
10
12
14
16
BG LT MT SI EL RO EE CZ HU PL SK LV EU27 IT UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
36
The total amount of certified eligible expenditure paid by beneficiaries by the end 2014
(or actual expenditure) was euro1669 million The difference between planned and actual
expenditure is discussed in section 411
342 Programmed expenditure on Category of Expenditure 81
In this section we provide an overview of the allocation of Category of Expenditure
81 relating to Mechanisms for improving good policy and programme design
monitoring and evaluation at national regional and local level capacity building in the
delivery of policies and programmes and it involves comparing it with the funding on
SIC-dedicated PAs
The budget foreseen by the EU for Category of Expenditure 81 relating to
Mechanisms for improving good policy and programme design monitoring and
evaluation at national regional and local level capacity building in the delivery of
policies and programmes amounted to euro14 billion ie 19 of the total budget
provided by community funding was allocated to SIC
With regard to the spending foreseen on SIC according to CoE 81 three distinct
groups of countries emerge
Countries with relatively high or fairly high programmed expenditure on SIC
are Bulgaria Estonia Hungary Lithuania Latvia Malta and Romania with
12 5 4 7 4 8 and 5 of their co-funding respectively
Countries with medium scores on SIC Cyprus Czech Republic Poland (3-
4) Italy and Slovenia (2-25) Greece and Slovakia (1-15)
The third group of countries has allocated very small parts of their budget
typically zero or at least less than 1 for SIC Austria Belgium Germany
Denmark Spain Finland France Ireland Luxembourg The Netherlands
Portugal Sweden and the United Kingdom
Figure 3 Budget allocated to expenditure category 81 per MS
Source SFC 2007-2013 latest version OPs community amounts
It is worth noting that capacity building under the ESF is not limited to expenditures
under category 81 only presented above Nor is it limited to SIC-dedicated OPsPAs
-
50 000 000
100 000 000
150 000 000
200 000 000
250 000 000
300 000 000
350 000 000
400 000 000
450 000 000
AT BE BG CY CZ DE DK EE ES FI FR GR HU IE IT LT LU LV MT NL PL PT RO SE SI SK UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
37
In total some euro12 billion out of the euro77 billion8 budgeted for co-funding from ESF
were reserved for the three main other expenditure categories that are likely to
include capacity building actions or activities Modernisation of labour market
institutions (CoE 65) Reforming education and training systems (CoE 72) and
Partnerships Networks and initiatives (CoE 80) Altogether these four categories
constitute 157 of the total community funding budgeted for the 2007-2013
programming period These figures are provided just for completeness of information
as SIC spending (and investment) for the purposes of this report only relates to SIC-
dedicated PAs (ie those PAs which focused exclusively or for a large part on SIC as
per Article 32b of the ESF Regulation
The first group that was identified in the previous section which is comprised of
countries that earmark high shares of their ESF budget to SIC can be expected to
dedicate one or more OPsPAs or actions to SIC This is indeed the case as can be
seen from the table below
Nonetheless one third of the countries that place a medium emphasis on SIC -three
out of nine ndash also included SIC in their programming Czech Republic Italy and
Poland
Even amongst the group with relatively small budgets for SIC one country is found
with dedicated OPs or PAs to SIC the United Kingdom Of course a small share may
still total several millions of euros The United Kingdom earmarked only 1 of its
budget for SIC but this still amounts to euro25 million
Countries devoting neither financial nor material attention to SIC are Austria Belgium
Germany Denmark Finland Ireland Luxembourg the Netherlands and Sweden
The programming of SIC in ESF is discussed in more detail in the following section
Table 11 Allocations for community funding to CoE 81 and OPPAActions
programming in MS
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
AT 00 -
BE 00 -
BG 122 143988501 2 4 17
CY 39 4615273
CZ 35 127571573 1 1 1
DE 00 -
DK 00 -
EE 51 20126546 1 1 4
ES 01 6564559
FI 00 -
FR 00 2599325
EL 11 47010448 1 9 9
HU 41 147490451 1 3 6
IR 00 -
8 Source SFC 2007-2013 section on programming ndash operational programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
38
MS of total
budget
CoE 81
Community
funding (euro)
No of
dedicated
OPs
No of
dedicated
PAs
No of
dedicated
actions
IT 25 171426165 7 7 16
LT 68 69552049 1 1 3
LU 00 -
LV 42 24275976 1 1 3
MT 78 8752517 1 1 4
NL 00 -
PL 38 381835672 1 1 5
PT 01 9888970
RO 54 199682518 1 2 5
SE 00 -
SI 21 15861756 1 1 2
SK 13 19308570 1 1 2
UK 05 24585962 1 1 1
EU27 19 1425136831 21 34 78
Envisaged community funding programmed for category 81 SFC 2007-2013 latest version OPs
Dedicated OPs in this table also includes OPs with one or more SIC dedicated PAs
PA 4 of the OP for Guiana covered both Promoting partnerships and SIC and is discussed
under the thematic review of the former
As explained in section 341 the money allocated for OPs and PAs which has been
specifically dedicated to SIC amounts to euro2409 million However this amount
includes national funding which therefore cannot be compared to the allocated
community funding for category 81 expenditure
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
39
4 The effectiveness efficiency sustainability gender sensitivity community added value and the socio-economic
impact of ESF SIC investment in the 27 member States
Key findings
The total amount of certified eligible expenditure by the end 2014 was euro167
million This constitutes 69 of SIC allocated funding at EU level versus 793
for total ESF Implementation rates differ considerably among countries and PAs
In total almost 14 million participations were registered in SIC-related
interventions covering mostly staff from public institutions social partners and
NGOs receiving training This results in a set of characteristics which is very
different from other ESF priorities
In terms of outputs during the 2007-2013 programming period 17000 training
programmes and 4000 studies were undertaken campaigns public consultations
reviews (laws procedures) reports etc were implemented Some 95000
organisationsinstitutions were involved in SIC-related interventions at least
1500 projects or activities launched some 250 guides and guidelines produced
and 150 new structures established
The results achieved through ESF SIC funding during the 2007-2013 period are
varied Approximately 512000 individuals gained a qualification 87000 reported
other positive results some 2000 entities or organisations were established and
more than 1700 productssystemstools were developed
Activities aimed at strengthening of the judiciary resulted in a reduction of the
duration of judicial procedures in a number of countries Strategic planning and
management was improved by increasing the number or the share of public
administration offices that implemented management systems and quality
assurance processes Increasing the number of services available to citizens
online businesses and training of public administration staff to use them correctly
were a means to achieve MS ambitions in the field of e-government Improving
the environment for businesses was achieved by shortening the time needed for
setting up or registering a business and decreasing administrative costs Other
achievements include the simplification of administrative procedures and
implementation of the lsquoone-stop-shoprsquo system related to start up business
The political and institutional environment is flagged up as a crucial factor for
successful SIC interventions under ESF by a number of MS
The sustainability of SIC interventions is particularly dependent on the context in
which they are implemented and which they aim to support
Gender equality is seldom targeted directly by SIC interventions through positive
actions However in some countries SIC interventions were designed in such a
way that in their implementation at least women and womenrsquos interests are
taken into account or possibly furthered SIC interventions typically have more
female than male participants
The main Community added value of ESF SIC investment is a volume effect
ESF has also added value by broadening the scope of the interventions
undertaken in MS or by putting administrative capacity on the agenda SIC
funding played a relevant role in supporting the introduction and testing of
innovative tools or systems such as the introduction of e-government
The data presented in this chapter were gathered from the EC Structural Funds
database (SFC) They reflect the situation as available in December 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
40
41 The effectiveness of ESF SIC interventions
The effectiveness of the selected interventions was assessed through
Analysis of financial implementation comparing the actual spending reported
with the allocated funds However as many projects in the interventions are
still ongoing the current analysis at the end of 2014 is only indicative of the
final financial implementation of the interventions
Analysis of the different participant groups addressed in the selected
interventions
Analysis of the intervention outputs and results comparing the targets for
outputs and results with those achieved However this analysis needs to be
treated with caution as it was not possible to systematically assess whether
the initial targets were set in a comparable and appropriate way across the OPs
(eg were the set targets challenging comfortable or realistic) In OPs the
targets have also been adjusted over time further complicating these like-for-
like comparisons
Additional evidence and information derived from national evaluations and
other relevant documents
It was not possible to conduct a systematic comparison with the results of similar non-
ESF sponsored interventions in the national regional contexts due to the lack of
sufficiently similar non-ESF sponsored interventions
411 Progress in the financial implementation of ESF SIC
At EU level euro1670 million or 693 of SIC allocated funding was spent as at
311220149 On average less SIC funds have been spent in relation to the overall ESF
funding with an implementation rate of 793 (See Table 12 below)
Table 12 SIC and overall ESF implementation rate () by MS (31 December
2014)
MS certified expenditure (euro) total allocation (euro)
SIC impl rate ()
total
ESF impl rate ()
BG 137491170 209654707 656 758
CZ 94381124 186595775 506 734
EE 21210585 24465675 867 835
EL 381930601 418273566 913 792
HU 122203794 166276830 735 703
IT 131069031 252539187 519 769
9 Figure does not include Croatia
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
41
MS certified expenditure (euro) total allocation (euro)
SIC impl
rate ()
total ESF impl rate ()
LT 143977869 181629418 793 827
LV 20683459 24271094 852 973
MT 7687444 17199118 447 674
PL 315293255 455967699 691 844
RO 159318804 234920609 678 441
SI 89112721 114178243 780 838
SK 31545122 67615059 467 649
UK 13331326 55726379 239 770
Total 1669537980 2409313359 693 793
Source SFC 2007 The implementation rate corresponds to the percentage of certified expenditure over the total funding of the PA
HR not included
Table 13 below shows considerable differences among PAs Extremely low rates can
be observed for most of the Italian and the UK OPs dedicated to SIC They all spent
less than one-third of their budget for the period by the end of 2014
For Italy low implementation rates were recorded in all (convergence) regional OPs
and in the National OP Competencies for Development which was due in the latter
case to the slow start of activities10 A number of explanations can be offered for the
low implementation rates of regional Italian OPs a) involving public administrations in
reform processes traditionally requires a large amount of time (in Italy) b)
implementation was slow for the regional OPs in general (not only for the SIC PAs) c)
other important public administration reform processes involved MAs and this shifted
its attention from SIC theme implementation d) the theme funding was generally not
so relevant (for regional OPs but also in the case of the Ministry of Education for
national OP for example) e) generally small sized interventions (also for
administrative reasons) have been implemented and the spending speed was
therefore slow f) (probably) an overestimation of funding needs occurred in OPs
Within that context overall allocation to SIC PAs in Italy (EU and national funding)
decreased significantly from the beginning of the programming period due to the
reallocation of resources
10 In fact implementation accelerated significantly in 2015 national data (29022016) account for a commitment rate above 100 and payments around 60
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
42
Most of the Greek PAs on the other hand had extremely high implementation rates
spending more than 90 of the money budgeted The extremely high implementation
rate of PA 3 in the Greek OP Administrative Reform is due to the fact that this PA
underwent several revisions and eventually financed a major intervention lsquoFemale
entrepreneurship 24-64rsquo (implemented by OAED-Ministry of Labour) Concurrently co-
financing rates were also revised
Other high implementation rates (over 80) can be noted for the Bulgarian
administrative reform OP as well as for the Estonian OP the Latvian OP the Italian
Basilicata region and the Italian national governance OP (the most relevant OP in
terms of SIC investment in Italy) the Lithuanian OP the Czech Republic OP the
Slovenian OP the Hungarian reform OP and one of Romanias PAs
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
43
Table 13 Share of the budget spent per SIC relevant PA
MS OP - PA
Total
funding
(euro)
Impl rate
()
IT OP Competencies for Development ndash PA2 29740000 1488
UK OP West Wales and the Valleys- A4 55726379 2392
IT OP ESF Calabria ndash PA7 23803512 3109
IT OP ESF Sicily ndash PA7 14350000 3135
IT OP ESF Campania ndash PA7 40000000 3374
IT OP Apulia ESF ndash PA7 31340400 3474
MT Empowering people for more jobs and better quality PA4 17199118 4470
BG OP Human Resources Development ndash PA6 42559453 4569
SK OP Employment and Social Inclusion ndash PA4 67615059 4670
CZ OP Human Resources Development ndash PA44a 178020742 4923
RO OP Administrative Capacity Development 97883587 6282
BG OP Administrative Capacity ndash PA2 62440507 6290
HU State Reform OP ndash PA1 84742365 6750
BG OP Administrative Capacity ndash PA3 65819495 6774
PL OP Human Capital ndash PA5 455967699 6915
EL Administrative Reform ndash PA4 40905059 7046
RO OP Administrative Capacity Development ndash PA1 137037022 7139
HU State Reform OP ndash PA2 33738453 7580
SI OP Development of human resources ndash PA5 114178243 7810
CZ OP Human Resources Development ndash PA44b 8575033 7862
LT OP for the Development of Human Resources - PA4 181629418 7930
IT Governance and System Actions ndash PA5 103634307 7935
HU State Reform OP ndash PA3 47796012 8260
IT ESF Basilicata ndash PA7 9670968 8407
EL Administrative Reform ndash PA6 4047043 8465
LV Human Resources and Employment 24271094 8520
EE OP Human Resource Development ndashPA5 24465675 8670
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
44
MS OP - PA
Total
funding
(euro)
Impl rate
()
EL Administrative Reform ndash PA1 132496530 8758
BG Administrative Capacity ndash PA1 38835252 8803
EL Administrative Reform ndash PA5 50938324 8815
EL Administrative Reform ndash PA7 48235348 9022
EL Administrative Reform ndash PA8 41147810 9262
EL Administrative Reform ndash PA9 11062398 9707
EL Administrative Reform ndash PA2 87045034 10203
EL Administrative Reform ndash PA3 2396020 31574
Source SFC 2007-2013 Country Synthesis Reports
412 Types of output and result indicators selected by the OPs
A variety of outputs have been generated by SIC interventions Countries have
developed several types of indicators to monitor them
Important outputs relate to the participation of individuals in ESF activities This
category is made up of the traditional indicators to monitor progress with regard to
participants in events which are usually training events Human resources however
also include interventions other than training for which indicators can also be found
Examples of these indicators refer to number of persons participating in training or
persons achieving a qualification at the end of the intervention
Other outputs relate to the institutions that benefitted or those that were the object of
certain activities As SIC events also address structures and processes a whole series
of indicators have been used that in essence measure the number of supported
organisations This includes the number of supported organisations (eg supported
NGOs) also more specific output indicators have often been formulated to take the
object or content of the intervention into account Example of these are as follows
number of judiciary that have introduced court case management systems
administrations that have introduced systems for in-house electronic exchange
of documents
number of local governments whose employees have completed training
civil society structures that have trained their staff
functional reviews carried out for improving organisation and HR management
A further series of indicators measure the production of tools andor deliverables such
as the number of guides and other methodological documents prepared information
campaigns carried out and e-government services developedintroduced
The results are less easy to cluster and the indicators used raise some questions A
discussion of these issues has been used as a framework to show the types of results
that MSs aim for and achieve with SIC interventions that have been co-financed by
ESF
The first thing that stands out when examining the results indicators used for SIC
interventions is that a number of them are quite similar to the output indicators
discussed above This does not necessarily mean that these are not the correct
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
45
indicators for the results of the intervention This entirely depends on the type of
intervention and the intervention logic behind it Results indicators build upon the
indicators defined for outputs If these are defined as lsquothe number of trainingsrsquo for
example the results can be measured as the lsquonumber of successfully trained staffrsquo
However if the outputs were measured by lsquothe number of trained staffrsquo the result
should assess the next step in the objectives tree (eg the number of trained staff
that have obtained a qualification or have mastered specific skills) If new
organisations have been set up and this was used as a measure of outputs this could
be accompanied by an indicator for results that measures the use of such a structure
for example the number of visitors or number of services provided Occasionally it can
also be a point of discussion on where to draw the line between output and result
level
Result indicators that could also be found as output indicators are listed below
number of participants gaining a qualificationcertification
share of persons successfully completing a training programme
number of successful course graduates
newly created structures
public administration units supported in improving management standards
number of NGOs per year who have received advice
proportion of civil servants with individualised performance ratings
A second observation concerns the quality of the indicators The results indicators in
some cases appear to be less specific than the output indicators It may be the case
though that the SFC database only mentions the measure used (eg lsquopersonnel
turnoverrsquo or lsquothe average administrative costs associated with starting a business
activityrsquo) while the details (decrease how much by when) are specified elsewhere
The number of countries not specifying targets for results is also somewhat higher
than for outputs Six MSs did not set targets for part of the results of SIC
interventions whereas this only occurs in four countries for outputs
Indicators that are good examples of being specific measurable and relevant are
Administrations that have undertaken the optimisation of procedures as a
result of a functional review
Ratio of persons becoming civil servants within the central administration
system in the current year in relation to those previously employed The hiring
of these new staff members must be the result of an open call for applications
The second example also includes the time element required for SMART indicators
Several indicators refer to the introduction of systems or tools resulting from the
intervention It is clear that certain activities and outputs are required for these results
to be achieved such as training awareness raising promotion or even new legislative
requirements These are examples of indicators that clearly measure results rather
than outputs
legislative drafts accompanied by an impact assessment
administrations using the Single HRM Information System
bodies of the judiciary that have introduced a HRM system
normative acts adopted after consultation with stakeholders
the percentage of local governments that have implemented management
systems involving customer satisfaction measurement
administrations that observe the time standard for service provision
public sectors that have elaborated specific public private partnership rules
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
46
administrations that have introduced rules of procedure for the monitoring of
policy implementation
number of laws amended as a result of the programme
The more lsquostrategic naturersquo called for in the ESF Regulation is visible in a limited
number of results indicators Examples include
shortening the length of judicial proceedings
reducing the time for servicing clients
increasing the share of persons from target groups receiving services
providing compliance with the Maastricht criteria
Requirements for indicators and targets in the framework of ESF assistance
In its preamble (26) to the General Regulation ((EC) No 10832006) the Council states that ldquoit
is appropriate to set measurable targetsrdquo and that it is necessary to identify appropriate ways to measure and report the attainment of those targets Article 93 specifies the share of the budget to be devoted to activities that further the Unionrsquos objectives regarding competitiveness and job creation including the objectives of the Integrated Guidelines for Growth and Jobs (2005 to 2008) The targets set by MSs should reflect this Article 36c stipulates that targets
shall be quantified ldquousing a limited number of indicators for output and results taking into account the proportionality principlerdquo The ESF Regulation ((EC) No 10812006) specifies for programmes co-financed by ESF that the indicators shall be rdquostrategic in nature and limited in numberrdquo They must also rdquoreflect those used in the implementation of the European Employment Strategy and in the context of the relevant Community objectives in the fields of social inclusion and education and trainingrdquo
413 Overall achievements
In this section we provide an overview of the main achievements in terms of the
values of output and results indicators
In terms of outputs recorded during the 2007-2013 programming period 17000
training programmes were developed and 4000 studies undertaken campaigns
public consultations reviews (laws procedures) and reports have been implemented
Some 95000 organisationsinstitutions were involved under SIC-related interventions
The organisations that the ESF supported besides the obvious beneficiaries include
bodies of the judiciary government offices at county level boards of public benefit
activities at regional level and municipalities At least 1500 projects or activities were
launched Other achievements include the production of some 250 guides and
guidelines as well as the establishment of around 150 new structures including client
centres or regional offices
Most of the individuals that participated in a SIC-funded projectinitiative received
support in the form of training Examples of other achievements for individual persons
include lsquoattracting new specialistsrsquo and lsquoemployers assisting or financially supporting
These achievements were monitored through output indicators These figures probably
underestimate the number of outputs as countries have not necessarily included both
the number of organisations involved in training and the number of staff trained as
output indicators Sometimes the development of training plans was a distinct activity
however for many training programmes plans may exist without being monitored
through output indicators
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
47
The results achieved through ESF during the 2007-2013 programming period are
varied too
In order to illustrate them we first present the aggregate of realised values of result
indicators for SIC based on a limited set of key ESF results common to all ESF
priorities as reported in the EU Synthesis Report of the present service 11
as such
these values can be aggregated and compared with those of other ESF priorities
During the 2007-2013 programming period under the SIC priority approximately
512000 individuals gained a qualification and 87100 reported other positive results
Some 2000 entities or organisations were established or they recorded other positive
results and more than 1700 productssystemstools were developed It should be
mentioned however that due to data limitations it was not possible to aggregate all
results as reported in the AIR of ESF programmes and as a consequence this leads to
systematic under-reporting of the results of ESF12
In addition we provide a more detailed overview of the main types of results
customised to SIC interventions while section 414 provides a more in-depth analysis
of some of these indicators per typology of intervention
However it should be highlighted that several limitations mainly in the quality and
availability of monitoring data and heterogeneity of national evaluations coupled with
a broad range of intervention logics hamper the formulation of a concise and clear cut
assessment of achievements causality and extent to which results have been
achieved at EU level Furthermore as it will be mentioned below in more detail
typically information from national evaluations is of a more qualitative nature with
fewer evidence-based findings and is thus not conducive to drawing hard conclusions
ESF-supported interventions helped in reducing the administrative burden for citizens
and businesses The processing time was shortened for documents servicing clients
obtaining the necessary paperwork for starting a business and judicial procedures
(BG CZ PL) administrative costs were also reduced (EL RO PL)
Services were made more accessible through the introduction of on-line service
delivery at various administrative levels (BG CZ PL)
SIC interventions also contributed to the production of better quality policies and
legislation through the introduction of monitoring and evaluation procedures in
administrative bodies (BG RO) the increase in impact studies conducted before
introducing new legislation (BG CZ) the development of quality management in
public institutions (LV) and laws that were amended to better serve the community
(HU)
Management systems and practices were changed to incorporate modern human
resource management and planning techniques (EE PL LV) performance ratings used
for staff assessment (HU) and new staff that were attracted to join government
11 these are People in employment directly or sometime after the intervention People receiving a qualificationcertificate People reporting positive results other than employment or qualification such as for example improving skills competences or successfully completing the
ESF supported intervention (or reporting a combination of employment qualification and other positive result aggregating combined indicators) People in self-employment Entities being established or obtaining other positive results and Productssystemstools developed
12 For a more detailed analysis of data limitations in calculating ESF results see the EU Synthesis Report Chapter 41
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
48
institutions (HU) Cooperation with other actors was furthered through the preparation
of rules for public-private partnerships in public administrations (BG) and the inclusion
of NGOs in activities (LV) SIC interventions of course also led to many reforms in
public institutions (RO)
The support to institutional capacity also contributed to achievements in specific policy
areas equal opportunities through the increased number of public bodies of the
central government that promote the integration of gender policy (EL) environmental
policies through the development of territory plans in municipalities (LT) and
environmental management systems in companies (UK) and the social dialogue
through the increased number of employees that are covered by collective agreements
(LV)
The above overview of achievements is based on the indicators that MSs formulated to
measure results From the information provided in chapter 3 it is obvious that this
captures only some of the achievements
414 Achievements in specific fields of activity
In this section we provide a more in-depth analysis of achievements obtained through
the implementation of SIC-related interventions in some specific sectors according to
a classification of indicators per field of activity By looking at these different fields of
activity some interesting findings at country level emerge
Capacity building related to judiciary reforms
Relevant output indicators have been identified in this field in three countries (BG PL
and EL) Five of output indicators (BG and PL) relate to the training of individuals
such as magistrates or employees of judiciary offices and one to the number of
training modules developed (BG) In Greece the selected indicator refers to the
number of implemented upgrading actions of courtsrsquo administrative capacity One
more indicator in Bulgaria refers to the number of judicial bodies that have introduced
court case management systems
Of the twelve result indicators selected by four MSs (BG CZ PL and SI) seven
measure the decrease in the duration of proceedings of judicial cases (CZ PL and SI)
In Slovenia the average duration time for judicial procedures (in months) was reduced
from 95 to 39 thus surpassing the target (6) In the Czech Republic the length of
judicial proceedings was down to 497 (days) by the end of 2014 from an initial
baseline of 1057 (versus a target of 846) The remaining indicators refer to the
increased effectiveness of judiciary bodies and offices in terms of management and
quality assurance HR and provision of services
Results for BG and PL were less positive In Poland although the share of cases
handled by the courts for longer than 12 months decreased to 14 (target 1330
baseline 167) the indicators related to the average duration of proceedings in
commercial cases did not show a progress towards the set target In Bulgaria the
intervention on the web platform for e-justice failed due to lack of interest
Processes related to strategic planning and management
Eight output indicators have been selected by four MSs in the field of Strategic
planning and management (EL LT LV and PL) They refer to the number or the share
of public administration offices that implemented management systems and quality
assurance processes including the training of employees on these subjects
Eight result indicators for this field have been selected by five MS (EE LV LT PL and
RO) which measure the number of units or offices that have changed their
management system or introduced quality standards or management systems
E-government
Six output indicators have been selected in the field of e-government One indicator in
Slovenia refers to the number of online administration services available It is
interesting to note that in the case of Slovenia the target was overachieved by 249
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
49
(805 services online versus 323 targeted starting from an initial baseline of 308) In
Bulgaria the indicator refers to the number of administration units having introduced
systems for the in-house electronic exchange of documents (in total 108 although no
initial target was set) In Poland the selected indicator refers to the number of
employees who received training for the provision of online services (this indicator
shows a relevant underachievement as only 23 of the foreseen 800 workers received
the training)
By the end of 2014 in Slovenia the availability of e-government services has
increased from an initial baseline of 87 to 95 (initial target over achieved) usage
of ICT services by medical personnel has increased to 65 from an initial baseline of
60 while use by patients has risen to 25 from an initial 22 Usage of e-services
by the unemployed has increased from an initial baseline of 7 to 27
(implementation rate of 163) In Bulgaria 436 services have been made available
online (1000 were foreseen) In the Czech Republic achieved results relate to the
increased use of e-government public administration
Promoting a business-friendly administration
Five MSs selected result indicators relating to the promotion of a business-friendly
administration these mostly relate to shortening the time needed for setting up or
registering a business or in the rebate of administrative costs for business
In Slovenia the number of days required for setting up a corporate entity decreased
from 61 to 29 days (versus a target value of 7) In Poland the OP selected a
relatively high number of indicators to measure the goal of having a more conducive
administrative environment for companies the decrease in the number of days for
registration of an economic activity (for companies and individuals) and of the
administrative costs for setting up a business In all instances the indicators show that
initial targets have been achieved or over-achieved Lithuania also focuses on the
reduction of the time required to set up a business over the 2007-2014 period this
has decreased from 26 to 3 days
In Poland significant results in the area of administrative capacity connected with
diminishing burdens on economic activity have been found Diminishing burdens on
starting-up businesses are connected with a friendlier law and organisational setup ndash
simplifications were made of 92 legal acts which were most relevant in terms of
conducting economic activity (target 40) The average number of days required for the
registration of economic activity (starting up business) dropped to 005 (target 1
baseline 7) for individuals and 348h (target 24h baseline 168h) for companies The
empowerment of citizens was achieved through the results connected with access to
free legal consultations Other successful programmes include the implementation of
the lsquoone-stop-shoprsquo system for start-ups the simplification of administrative
procedures related to start up business increasing the quality of services rendered by
tax administration and equipping judiciary staff with necessary competences relevant
to dealing with economic cases (PA 512)
415 Effectiveness
Effectiveness can be measured by comparing achievements with initially set targets
As targets for outputs and results are defined in different ways a composite indicator
has been constructed which counts the number of targets that have been met and the
number of those that have not been reached for each ESF theme
Outputs
The table below shows the share of output targets achieved and not achieved for SIC
interventions and for ESF interventions as a whole It should be noted that no targets
were set for a number of outputs in Bulgaria the Czech Republic Greece Italy Latvia
and the United Kingdom The share of outputs without targets for these countries
amounted to 5 65 2 65 30 and 24 respectively
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50
It is to be recalled that targets were set for the end of the programming period with
the 2007-2013 expenditure being eligible until 31122015 Therefore tables and
figures below underestimate the attainment of targets as data on results refer to
2014 only
For the ESF as a whole only slightly more than half of the output targets were set
Where targets were set for outputs a majority of them were achieved (63) Targets
were more often set in countries that had allocated resources to SIC-related
interventions In those countries targets were set for 61 of the outputs defined
These targets were achieved to roughly the same degree as the other types of
interventions (see table below) For the SIC interventions themselves a relatively
large number of targets was set However only half of these targets were met which
is considerably less than for ESF interventions as a whole and this has not been
explained by the MS Obviously the fact that targets were set for a larger share of the
PAs did increase the chances of failing to meet targets this is because targets were
also set when this was more complicated to achieve (See Table 14)
Table 14 Target setting and achievement for outputs SIC and ESF
Targets set Targets achieved if set
ESF as a whole 54 63
MS with SIC related interventions 61 61
SIC related interventions 78 52
Source SFC 2007-2013Draft Country Synthesis Reports
Achieved or over-performed
In eight of the 14 countries SIC interventions performed better than interventions in
general These countries show the same or higher achievement rates for SIC
interventions than for all ESF interventions the Czech Republic Estonia Hungary
Latvia Romania Slovenia Slovakia and the United Kingdom With the exception of
Slovakia in particular these countries also performed considerably better than the
other countries (See Table 15)
Table 15 Achievement of output targets for SIC and all ESF interventions
ESF
SIC
Below target Above or = target Below target Above or = target
BG 73 27 94 6
CZ 27 73 0 100
EE 16 84 0 100
EL 63 38 74 26
HU 35 65 14 86
IT 37 63 77 23
LT 28 72 47 53
LV 16 84 0 100
MT 50 50 67 33
PL 33 67 42 58
RO 52 48 40 60
SI 35 65 14 86
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51
ESF
SIC
Below target Above or = target Below target Above or = target
SK 63 37 63 38
UK 30 70 25 75
BG Incl PA4 TA
CZ No data for PA 44b
Source SFC 2007-2013Draft CS Reports
Results
Tables 16 and 17 below provide a consolidated overview of the degree to which set
targets for results were met
Table 16 Target setting and achievement for results SIC and ESF
Targets set Targets achieved if set
ESF as a whole 63 39
MS with SIC related interventions 57 41
SIC related interventions 81 43
Source SFC 2007-2013Draft CS Reports
Achieved or over-performed
Result targets were considerably more often set for SIC related interventions rather
than for ESF interventions in general (81 compared to 63) Only four out of ten
SIC PAs achieved their targets In this they are comparable to other types of
interventions under ESF
Only four countries have performed equally or better in terms of achieving their
results targets for SIC compared with their performance regarding ESF interventions
as a whole Estonia Hungary Italy and Latvia (see table below)
In general countries set targets for results more often than they do for outputs (63
compared with 54) However the difference is negligible for SIC interventions On
the other hand the targets set for results were achieved much less often than those
for outputs For ESF as a whole 39 of the targets set for results were achieved
compared to 63 for the output targets Only 43 of the SIC interventions met their
targeted results compared with 52 of the output targets As this is the first period
for which targets had to be developed for SIC interventions it could be that these
targets were set at levels which were too ambitious It is conceivable that assessing
the chances of outputs being achieved would be easier than assessing likely results
ESF 2007-2013 ex-post evaluation synthesis
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52
Table 17 Achievement of results targets for SIC and all ESF interventions
ESF SIC
Below target Above or = target Below target Above or = target
BG 76 24 87 13
CZ 31 69 56 44
EE 34 66 0 100
EL 78 22 100 0
HU 0 100 0 100
IT 78 22 56 44
LT 27 73 50 50
LV 36 64 29 71
MT 36 64 50 50
PL 47 53 52 48
RO 61 39 78 22
SI 52 48 75 25
SK 86 14 100 0
UK 29 71 86 14
BG Incl PA4 TA
CZ No data for PA 44b
For SI PP and SIC data are combined and this table therefore includes the PP interventions too
Source SFC
Of course target achievement is only one way of assessing results and national
evaluations in a number of cases more detailed analyses at the level of PAs have
provided more positive or more nuanced statements about the results (eg EL MT
PL RO SI) One reason is that these evaluations provide more information than is
available in the database or that they make a more detailed comparison between the
effectiveness of PAs or actions related to SIC However the assessment of the results
is also influenced by expectations and previous experience as well as by the use of
other criteria
The PA for lsquoModernising and improving the quality of public services for West Wales
and the Valleysrsquo met only 14 of the results targets according to the SFC database
However it can still be assessed positively when looking at national sources bearing in
mind that most targets were met or exceeded (AIR 2014) Also the projects within this
thematic area had a clear focus on seeking to instigate a positive change with a view
to creating long-standing service improvements This thematic area provided impetus
in moving some agendas and pilot ideas into practice due to the additional funding
provided13
13 Thematic Evaluations presentations PWC dated October 2014 and May 2015 available at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx
ESF 2007-2013 ex-post evaluation synthesis
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53
416 Reaching the different target groups
In total over 14 million participations were reported in SIC-related interventions
Participants in SIC interventions are above all staff from public institutions social
partners and NGOs receiving training
The fact that the target groups of SIC interventions are usually the staff of the
institutions concerned is reflected in the participantsrsquo characteristics These differ
considerably from the average ESF population
Almost all participants are as logic suggests employees The only exception is
Slovenia where lsquoonlyrsquo 865 of the participants are employed For the ESF as a
whole only one third of the participants are employed as many interventions focus on
promoting the labour market participation of unemployed and inactive people
The majority of the participants are well educated (ISCED 5 and 6) With 57 of the
participants in this category the educational level of participants is much higher in SIC
interventions than it is for ESF as whole where only 17 fall into this category
Conversely participation of people with lower educational levels especially ISCED 1
and 2 is much higher for ESF participants as a whole The highest educational levels
are found amongst participants in Lithuania Romania and Slovenia the lowest in the
Czech Republic Hungary and Italy
Participants in SIC interventions are older than ESF participants on average The vast
majority of the participants in SIC interventions are 25-54 years of age (86) while
this number amounts to only 63 for ESF as a whole They also belong to the older
age group of 55-65 years of age somewhat more often 11 versus 6 of the
population for ESF as a whole Young people (15-24) on the other hand are strongly
under-represented (4 for SIC interventions versus 31 for ESF as a whole)
Although in some countries young people are better represented (LT LV SI) but with
still far lower shares than for ESF as a whole Countries with the lowest share of young
people in SIC interventions are the Czech Republic Greece and Italy
The majority are women (64) For the ESF as a whole only 52 of the participants
are women This over-representation of women might be due to the fact that they are
usually over-represented in public administration which represents the most
important target of SIC interventions The share of women in SIC interventions is
somewhat lower in Italy and the United Kingdom (50-59) and considerably lower in
Malta and Slovakia (40-49) Women are over-represented in all sub-groups The
difference is however considerably less pronounced amongst the higher educated
This is caused by the fact that for ESF as a whole the share of women amongst
higher educated participants is relatively high (63) while for SIC interventions the
share of women remains in line with SIC interventions as a whole If we assume that
for SIC interventions higher education is accompanied by higher positions in the
organisations concerned this could reflect a lower representation of women at higher
levels in such positions
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
54
Table 18 Annex XXIII Participations of SIC interventions and ESF (31st Dec 2014)
Source SFC 2007 Country Synthesis Reports
Values BG CZ EE EL HU IT LT LV MT PL RO SI SK UK TOTAL SIC
over
total W TOTAL ESF
over
total W
Total
participants252126 140810 43434 130340 210547 13878 92410 49538 20264 367776 70249 927 42725 822 1436920 64 98658829 52
Employed 241728 140810 43434 126685 205701 13878 87180 46318 20182 352000 70249 802 42151 822 1392409 969 64 33041257 335 53
of which self-
employed8799 - - - 1009 - 3323 1304 792 3619 - 97 170 - 19134 54 2437321 25 45
Unemployed 4531 - - 3655 1653 - 481 599 22 4004 - 78 46 - 15525 72 30039410 304 53
of which LTU 2062 - - - 482 - 166 330 4 935 - 7 11 - 4201 62 8996113 91 52
Inactive 5867 - - - 3193 - 4749 2621 60 11772 - 47 528 - 28986 64 35578162 361 50
of which in
educationtr
aining
1484 - - - 395 - 3967 2621 38 3898 - 41 76 - 12598 63 25207563 256 50
Young
people (15-
24 years)
13524 1 2512 950 4740 7 8022 4275 1270 16823 3497 98 2188 21 58157 40 61 30063502 305 47
Older people
(55-64
years)
39485 48 6384 15697 11244 995 12806 6508 2248 42046 7266 102 6317 101 151350 105 61 6106942 62 50
Migrants 125 - - 16 214 - 34 12 16 3 - 3 15 12 483 56 5152191 52 50
Minorities 9593 - - 38 1083 - 2150 447 - 40 3317 2 428 27 17309 58 3856947 39 47
Disabled 4737 - - 102 745 - 599 1082 94 948 146 12 357 37 8939 63 5265599 53 46
Others 1968 - - 101 - - 2637 48049 209 - - 6 335 - 53468 71 7017829 71 51
Primary or
lower
secondary
education
6421 - 667 3066 7087 7 3227 1041 3988 3909 - 16 4873 25 34454 24 57 38840296 394 48
Upper
secondary
education
49741 4 6730 31186 17941 780 2716 5347 3657 42521 9289 103 10136 169 180739 126 60 26014203 264 52
Post-
secondary
non tertiary
education
23951 - 5844 2970 5744 134 3720 3278 3460 52931 2214 150 1587 - 106029 74 66 4934362 50 57
Tertiary
education172013 71 30193 93114 38649 1385 82378 32254 9159 268415 58746 658 24057 611 812185 565 66 16297940 165 63
ESF 2007-2013 ex-post evaluation synthesis
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55
Table 19 Annex XXIII Participations of SIC interventions (31st Dec 2014) women participants
Source SFC 2007 Country Synthesis Reports
BG CZ EE EL HU IT LT LV MT PL RO SI SK UK
Total participants 630 633 707 648 601 543 678 725 437 684 606 669 476 564
Employed 631 633 707 638 600 543 684 721 437 685 606 647 476 564
of which self-
employed 574 - - - 640 - 569 712 188 429 - 237 247 -
Unemployed 591 - - 998 600 - 568 791 500 666 - 808 522 -
of which LTU 559 - - - 676 - 512 758 1000 725 - 857 364 -
Inactive 605 - - - 673 - 576 785 450 650 - 809 511 -
of which in
educationtraining 610 - - - 666 - 569 785 526 604 - 829 487 -
Young people (15-
24 years) 603 1000 702 783 536 1000 560 581 521 662 614 571 546 524
Older people (55-
64 years) 586 625 699 579 558 432 705 732 280 634 590 235 512 554
Migrants 448 - - 1000 640 - 529 583 688 667 - 333 67 583
Minorities 561 - - 1000 540 - 610 785 - 675 614 - 614 519
Disabled 621 - - 686 558 - 723 742 202 660 507 417 602 541
Others 615 - - 1000 - - 669 724 282 - - 500 254 -
Primary or lower
secondary
education 556 - 643 698 616 - 553 744 316 607 - 125 591 560
Upper secondary
education 581 750 680 656 554 505 419 732 468 626 571 359 464 556
Post-secondary
non tertiary
education 593 - 702 684 579 500 544 741 464 716 573 320 565 -
Tertiary
education 652 634 716 642 496 453 697 738 467 688 612 465 493 566
ESF 2007-2013 ex-post evaluation synthesis
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56
42 Efficiency
As in other thematic evaluations the lack of information on the costs per result
hinders an assessment of the efficiency of ESF SIC investment It is always possible to
calculate the cost per participant but this is a less relevant and potentially confusing
indicator for SIC interventions The table below illustrates the limitations of this effort
Both Slovenia and the United Kingdom report an extremely small number of
participants and high cost per participant Under the Slovenian PA IT expenditure was
planned which involved substantial budgets for software hardware and expertise
with only a small proportion of the budget reserved for the training of future users
This was not the case for the United Kingdom and this combination of a small number
of participants and high cost per participant may be partly explained by the fact that
the number of trained people fell far below the original target Therefore only by
analysing the interventions undertaken by each country would it be possible to draw
any meaningful conclusions
Table 20 Funding per participation for SIC related OPsPAs
Total participants
Total expenditure (euro)
Cost per participant (euro)
BG 252126 137491170 545
CZ 140810 94381124 670
EE 43434 21210585 488
EL 130340 381930601 2930
HU 210547 122203794 580
IT 13878 131069031 9444
LT 92410 143977869 1558
LV 49538 20683459 418
MT 20264 7687444 379
PL 367776 315293255 857
RO 70249 159318804 2268
SI 927 89112721 96130
SK 42725 31545122 738
UK 822 13331326 16218
Source SFC database
Another indicator for efficiency was used in the ex-post evaluation of the Romanian
capacity development OP This programme was judged to be efficient because with a
similar level of investment it generated more immediate effects than initially
envisaged This is despite the fact that 120 of the selected projects in this country
could not be awarded due to depletion of funds this decreased the efficiency of the
OP somewhat as time was spent on processing and assessing these projects but with
no subsequent activity delivered or results achieved
Another more qualitative dimension of efficiency is assessed by looking at the
implementation process to see if there are features that are impeding or facilitating
the programme Two examples illustrate this In the Czech Republic only 75 of the
financial resources which were committed for the realisation of the selected projects
were fully spent This was caused by mistakes made during the procurement process
that resulted in delays in implementation Hungary showed that reforms could produce
the opposite or mixed effects on efficiency On the one hand state reforms may
increase the activity undertaken and the outputs and results produced On the other
hand the accompanying reorganisation of institutions may have a negative impact on
the efficiency of such interventions as they initially cause inefficiencies where people
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
57
are adjusting to the new situation Sometimes the complexity of procedures also
influences costs indirectly One example of this is when due to the complexity of
project administration huge amounts of money are spent on project management
which is provided by private companies that were established especially and solely for
this purpose (SK)
It can be concluded that the available information does not allow conclusions to be
drawn regarding the efficiency of SIC interventions The assessment of efficiency is
strongly hampered by the fact that the outputs of various activities are objects rather
than people This renders a comparison of costs per participant between PAs or
countries meaningless In addition there is a wide variation in the objects produced
which can range from studies to IT-systems therefore their costs also cannot be
compared without collecting detailed information on outputs and costs at activity level
The current evaluation does not encompass this level of analysis
43 The sustainability of ESF SIC interventions
Sustainability of SIC intervention refers to both the continuation of funded projects
(with or without EU funding) and the achieved results in terms of increased
empowerment and adaptation to new needs as they develop Although no clear-cut
evidence on sustainability has been detected it could be argued that in this respect
interventions are likely to be sustainable to a large extent Such interventions have
set in motion other activities which will continue beyond the lifespan of the original
activity Alternatively the tools developed provide a platform for new initiatives
without time constraints related to the project that introduced them For example
Those that have upgraded or added value to other interventions These are
mainly the training programmes based on needs assessments made through
functional analysis (BG)
E-governance and other tools (BG MT)
Quality management (LV)
A common learning portal for local authorities (UK)
Training or manpower interventions (EE IT MT)
Sustainability can be deliberately ensured by procedures and regulations to this end
In Poland changes in public administration institutions which were introduced as part
of the ESF project will have a permanent nature this is guaranteed by the
introduction of new procedures and regulations This applies to the Better Regulations
2015 adopted by the Council of Ministers on 22 January 2013 and concerning areas
such as legislative actions of simplification (solutions in removing barriers to
entrepreneurship development) impact assessment (an analytical tool that allows to
design regulations which correspond to the real socio-economic problems) and a public
consultation (the consultation facilitating stakeholder participation in the legislative
process - the on-line consultation system) The situation is the opposite for NGOs the
support they that received significantly influenced the development and strengthening
of the third sector but the lack of proven procedures and constant cooperation
between public authorities and NGOs adversely affects the durability of the results (the indicator - number of local government units that have implemented the
standards of cooperation with NGOs - has been achieved at the level of 856 in
Poland)
It should be mentioned however that the sustainability of SIC interventions is also
dependent on the context in which they are implemented and which these same
interventions aim to support Two main obstacles to sustainability have been identified
in this respect These are the lack of financial resources to sustain the action and the
institutional and political environment
Italy and Lithuania both highlight the importance of earmarking ESF funding for similar
interventions under the next programming period In Italy disappointing results of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
58
regional SIC interventions led to the introduction of national thematic objectives
These cover the whole of Italy for the current programming period which the 2014-
2020 regulation now allows14 Between 2014 and 2020 the strategies and actions that
were started during the previous period will be continued and consolidated in a more
structured and defined framework For Lithuania the sustainability of the products
developed and results achieved at the end of the EU funding were identified as
moderate and dependent on the field of intervention and public management
institutions Since the budgets of the state and especially municipal institutions are
limited the continuity of products and results created from the 2007ndash2013 Structural
Funds in the field of public management depend on planned investments during the
2014ndash2020 programming period (this is particularly applicable to the fields of
performance management and e-government) In the case of decentralisation lack of
funding is also more likely to occur and national (or ESF) funding is needed to ensure
that interventions will be sustained (RO) Formalisation through public policies at
national level is required for this
The institutional environment is flagged up as a deterrent to the sustained
effectiveness of interventions in Greece and Slovakia Key institutional factors in this
respect include
a high employee turnover among state employees (SK)
lack of a systematic policy for human capital (SK)
changing management with new elections (EL SK)
an overall administrative culture that is not conducive to change (EL)
44 Gender sensitivity of ESF SIC interventions
SIC may have a direct or indirect impact on gender equality by strengthening and
supporting the gender infrastructure that is an integral part of the institutional set up
of a countryregion The term gender infrastructure refers to the administrative
political and legal mechanisms existing within the public administration which are
aimed at promoting gender equality such as provisions for gender mainstreaming
policies at the central and local level or gender budgeting for example Gender
infrastructure can be targeted directly by SIC interventions through positive actions
(such as training staff on gender issues promoting studies on gender pay gaps or
supporting the creation of gender units) or indirectly by strengthening the overall
capacity of the administration and therefore also implicitly improving awareness on
gender policies whilst also developing their effectiveness
An example of such an approach can be found in Greece which dedicated a PA to
lsquoStrengthening policies aiming at ensuring equal opportunities for all in the whole
range of the public administrationrsquo The PA foresaw measures to enhance the gender
mainstreaming policy in the public administration and increase the participation and
career progress of women in employment Actions included
codification and simplification of law regulations for the enhancement of gender
mainstreaming in all the fields of policy making
evaluation of public policiesrsquo impacts through gender mainstreaming
enhancement of the integration of gender mainstreaming in public policy
14 Institutional capacity being reserved to Convergence areas in the 2007-2013 period
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Thematic EU synthesis report Strengthening Institutional Capacity
59
enhancement of the participation of women in decision making centres
enhancement of actions in prefecture authorities targeting the prevention and
combating of violence against women
support for NGOrsquoS (womens organisations)
From the available evidence it seems that most of the interventions were
implemented as planned The latter intervention encountered difficulties as it coincided
with the restructuring of the public sector which was necessitated by the economic
crisis Very little is known on the impact of these interventions
Other countries did not address the gender infrastructure However SIC interventions
can also be designed in such a way that in their implementation at least women and
their interests are taken into account or even furthered Although SIC interventions do
not specifically target women in Poland the Polish OP can be considered a good
practice of designing an OP in a gender supportive way with several features that
may help ensure that women really benefit from the interventions
Women were the specific target groups of some of the interventions although
not in the case of any of the SIC interventions which has been continued in the
new programming period however there are no OPs or priorities specifically
dedicated to women
An obligatory minimum standard was introduced in projects so that all of the
institutions implementing ESF funds would respect the principle of gender
equality This meant that in all projects (also those implemented within the
SIC area) it had to be shown how the project would contribute to the fight
against inequalities or at least how it would not sustain or strengthen them
The minimum standard has been continued and developed in all ESF
programmes for the 2014-2020 programming period However the assessment
criteria have been tightened in terms of gender sensitivity which means that
project promoters are supposed to describe how they are going to implement
gender equality at all project stages In the 2014-20 programming period
there are also some requirements in terms of gender equality for project
promoters within other funds (ERDF EAFRD EMFF) The manual on gender
equality published by the MA contains recommendations for the MAs on
gender sensitivity in management OP implementation and the setting of
thematic objectives (the PA) amongst other things
Additionally the MA created a strategic vision on the strengthening of equal
rights for men and women which was adopted in the official MA agenda A
group which included the representatives of the intermediary bodies was
formed to control the application of gender equality as a horizontal issue in the
interventions
All institutions that are engaged in the management and implementation of the
ESF in Poland (ie the MA and the IBs) were assessed regarding their own
equality policies The idea behind this was that they would be in a better
position to stand ldquoon guardrdquo and protect gender mainstreaming and gender
equality if they knew of it from their own experience
SIC interventions and staff capacity building in particular can also be assessed in
light of the contribution they make to womenrsquos careers in the organisations that are
being supported by these interventions
SIC interventions typically have more female than male participants For most
countries this reflects the over-representation of women in public institutions As
precise figures are often lacking it is unclear as to whether women are proportionally
represented in interventions Women are also less represented at the higher and
managerial levels in administrations and sometimes in interventionsactions targeted
at managerial positions in public administrations (IT)
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60
Proportional representation provides equal opportunities for women to better their
position It does not level the playing field however as is argued and exemplified in
the Estonia On the other hand more women participated in training than men in
Estonia For example in the central training program 2008-2009 three times more
women were trained than men this was also the case in training for NGOs where the
proportion of women was very high (nearly 75) This training ultimately influenced
the competitiveness of women in the labour market This should in theory help to
reduce the existing gap between women and men However it is not clear whether
the unequal labour market position really results from the differences in knowledge
and it is not likely that the gender pay gap will start to decrease as a result of the
training The effects on such a level are probably rather modest In this respect it is
worth noting that in programmes for top managers in the public sector the ratio
between men and women is very different there are twice as many men as women
Also the competence model and the related methodology for the regular evaluation of
competences which are developed for top managers in the Estonian public service
are gender neutral While this is obviously better than a system implicitly favouring
men this also means that it will not actively pursue a change in the gender balance at
this level
More specific actions would be required to improve the position of women in public
administrations in terms of qualitative criteria such as pay and function levels These
appear to be rare as women are seldom a specific target group in SIC interventions A
number of countries did make equal opportunities a selection criterion for projects
(CZ LT RO) However only two countries include actions that aim to further the
position of women In Greece specific PAs have the objective of enhancing gender
mainstreaming policy in the public administration increasing the participation and
career progression of women in employment and reducing genderndashbased segregation
in the public sector The Hungarian action lsquopromoting performance-based career
pathwaysrsquo includes specific activities to enable staff to better balance domestic and
work obligations which is something that will help women in particular
45 Community added value of ESF SIC interventions
Community added value can be achieved in four different ways volume role scope
and process
In the case of ESF SIC interventions this translates into the following options as
highlighted in Table 4 section 311 above
ESF funding was used to strengthen pre-existing good governance and capacity
building interventions funded by national strategies (volume)
ESF was used to reach new target groups (scope)
ESF was used to test new and innovative activities (role)
ESF was successfully used to improve PA service delivery by improving systems
and methods (process)
For most countries having ESF adds value to what would have been done in the
countries without this support
451 Volume effects
The main CAV dimension detected across the different MSs is the volume effect In
many countries (BG EE LV MT RO IT) interventions have been undertaken on a far
larger scale than would have been possible without the financial backing from ESF
This effect has been even greater than would have otherwise been possible due to the
impact that the financial crisis had on MSsrsquo budgets While this probably holds for
other areas of intervention too SIC interventions are more likely to suffer from budget
reductions as increasing unemployment and poverty rates are likely to be more
pressing concerns especially as administrative reform plans in several of the countries
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
61
concerned receive limited political backing Some examples of this effect can be
identified as follows
In Bulgaria the ESF provides key funding to support good governance on
municipal district and national levels as well as for reforms in important areas
including the judicial system which is one of the main recommendations to the
country and is the focus of the public opinion debate
In Poland ESF funds were used to train a larger share of public administration
employees
In Malta ESF funding complemented the Governmentrsquos efforts towards further
simplification and through building capacity amongst government employees
to assist citizens in accessing and using e-services Management processes
within the Public Service were streamlined with a view to facilitating more rapid
decision-making and implementation and more accountability of results
Support for regulatory reform in order to reduce the regulatory burdens on
businesses was also provided
In Lithuania available evidence confirms that the ESF provided additional
funding to support good governance according to the evaluation of the
lsquoEuropean Union Structural Funds Investments for Human Resource
Developmentrsquo through the interventions of measures under priorities 1 2 and
4 of the HRDOP more than 286 thousand public sector workers successfully
completed the training The increased quality of human capital in the public
sector resulted in the higher quality of work which was appreciated by the
public who expressed greater confidence in state and municipal institutions
and bodies15 In addition to this it should be mentioned that ESF funds were
almost the only source to support certain target groups in the context of the
economic crisis EU funds have become probably the only source of financing
for the employee qualification development initiatives for public institutions of
Lithuania16
In Slovenia an example of additional funding is the project lsquoInteroperability
and e-exchange of datarsquo which established amongst other things multi-
functional mechanisms for the implementation of complex data queries in
administrative records and an internet portal (NIO portal wwwniogovsi)
Today the latter is the central contact point for open data in the public sector
(Source AIR 2014)
452 Scope effects
ESF has also added value by broadening the scope of the interventions undertaken by
MSs The first way by which the scope of interventions changed was in terms of
actors such as NGOs or social partners (MT LV BG EE) In Slovenia new target
groups also included businesses and entrepreneurs through the creation of two online
portals (EUGO and e-VEM) providing information for the set-up registration operation
and closing of a company All processes can be undertaken online EUGO the Slovenia
Business Point is the English counterpart of e-VEM It helps foreign business entities
that want to do business in Slovenia
15 BGI Consulting European Union Structural Funds Investments for Human Resource Development Summary of the final report of evaluation (EN) 2015
16 PWC Evaluation of the quality and efficiency trainings financed by ESF 2011
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
62
SIC interventions also altered the scope of the national PAR (HU) or played a key role
in putting administrative capacity on the agenda (IT SK) Finally SIC helped to
introduce topics such as social inclusion equal opportunities and the reconciliation of
work and family life as policies these did not exist in the political agenda prior to the
ESF (SK)
453 Role effects
ESF SIC funding played a role in supporting the introduction and testing of innovative
tools or systems especially those concerning the introduction of e-government In
Bulgaria for example although with several delays and obstacles the Administrative
Capacity OP has supported the introduction of many e-services on a municipal level
as well as for specific national agencies and bodies including the judicial system In
Slovenia as an element of the modernisation and simplification of courtsrsquo
organisations a smart technology that had already been used successfully in the
medical sector was tested for speeding up the writing of judgments through voice
recognition Fifty judges tested this technology in a pilot project After three months
the software was developed fully and then mainstreamed (Source AIR 2013) In Italy
the ESF supported the digitalisation of ESF management administrative processes in
the Apulia OP
Role effects can be also identified in actions and fields not directly related to e-
governance such as
The introduction of monitoring and evaluation systems for policy
implementation on municipal and national levels which is also connected with
the introduction of the mechanism for public discussion of new policies (MT)
In Poland an impact assessment of regulations (an analytical tool that allows
to design regulations which correspond to the real socio-economic problems)
was introduced and tested along with the on-line public consultation system -
the consultation facilitating stakeholder participation in the legislative process
In Latvia under the action Reduction of administrative burden and improving
the quality of public servicesrdquo the Ministry of Environmental Protection and
Regional Development carried out a feasibility study for the setting up of a
single customer service centre network that brings together a number of
services carried out by public administrations
The support to PES in Campania region (IT)
454 Process effects
Process effects occurred in various countries and they relate to the programmatic and
cyclical nature of policy making monitoring and evaluation of policies and work
processes in general Some examples have been provided below
Improvement in the delivery of PA services is the main contribution of ESF SIC
investment in Bulgaria PA service delivery has been improved through the
training of civil servants the implementation of functional analysis on
municipal district and national levels setting up systems from monitoring and
evaluation of policy implementation the introduction of e-services and one
stop shop services exchange and the introduction of good practices from
other countries
In Italy new purchasing procedures were defined through the Ministry of
Education national OP (and also in the Calabria OP) interventions for
increasing the effectiveness of judiciary officesrsquo activities were introduced
(Campania Sicily Basilicata OPs) as well as projects aimed at improving ESF
programming management and control capacities (Apulia Sicily Ministry of
Labour OPs)
In Lithuania ESF support was used to improve PA service delivery systems and
methods for instance the ESF supported the development of the
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Thematic EU synthesis report Strengthening Institutional Capacity
63
interoperability (interface) system and improved the safety and functionality of
the information systems in public administration institutions Similarly the ESF
also supported the development and implementation of a centralised public
procurement management system Both interventions were included among the
good practice examples in the Strategic Evaluation of the Effectiveness and
Impact of EU Structural Assistance on the Improvement of Public Management
in Lithuania17
In Latvia a specific project devoted to Improving the quality of public services
at national regional and local level was implemented with the funding of 25
projects Within this the State Employment Agency developed a management
method referred to as Management according to the objectivesrdquo in order to
improve its services while the State Land Service developed an e-guide for
customer service
In Slovenia in order to improve the processing of documents an electronic
documentation system was established at the Public Employment Service It
allows for shorter response times and quicker decisions and also lowers costs
The new system was introduced in ten key processes of the PES which
constitute 85 of the administrative activities
46 The socio-economic impact of ESF SIC
461 Impact indicators and evidence from national ESF evaluations
As discussed impact indicators are virtually non-existent for SIC interventions in the
SFC database18 National sources do include information on impacts Typically this
information is of a more qualitative nature and does not permit conclusions to be
drawn on the level of impacts However it is possible to provide an indication of the
type of impacts that are achieved with SIC related interventions
In their strategic reports on programme implementation over the 2007-2013 period
according to the overall report rdquoseveral MSs emphasise the role that the ERDF and
ESF play in fostering national reform efforts particularly in the field of better
regulation reform of education systems the labour market public administration and
structural reforms in the water sector In addition the ESF has fostered capacity
building for the social partnersrdquo (European Commission 2013) In general however
impacts are seldom so clearly defined or evaluated The table below provides an
overview of what can tentatively be called (intermediate) impacts and indicators
Some information on impacts is available for six countries On this basis some
tentative conclusions emerge that could be tested in future evaluations For each of
these the evidence is rated using a three-point scale
Monitoring systems for policies and ex-ante impact assessment of new
regulatory initiatives seem to be effective in increasing the quality of legislation
and monitoring progress in implementation of policies (weak evidence BG)
The impacts of initiatives aimed at furthering institutional cooperation seem too
low after suffering from fragmented or limited implementation (evidence EE
LT)
17 PPMI Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the Improvement of Public Management in Lithuania 2014
18 It is to be noted that they were not required by the Regulation
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
64
The quality of public services shows clear signs of improvement during the
2007-2013 programming period It is likely that SIC interventions played a role
in this but lsquohardrsquo evidence on this is lacking (Strong evidence on changes but weak on causality CZ-regional level LT PL)
Table 21 Examples of tentative impact evaluations
MS ASSESSMENT
BG Based on the main conclusions in the First Report on the evaluation of OP AC
implementation for the period January-December 2014 the main achievements of this OP contributed to the optimisation and of the work of administration resulting in improved monitoring of policy implementation improved quality of the regulatory documents due to the introduction of their impact evaluation improved capacity of servants by training
CZ There is a slight increase of citizensrsquo satisfaction with the performance of the regional
administrations however the satisfaction with the state administration has been continuously declining
EE Although the effectiveness of the SIC investments has been good and the range of activities has been widened compared to previous programming periods the impacts have still stayed rather modest Even though a strategy unit was established in the
Government Office that has immensely contributed to the decrease in the number of strategic plans there is still room for strengthening the coordination between organisations (the ministries implementing agencies local and central governments) responsible for planning and implementing the strategies Also the social dialogue in policy-making has still room for development A number of joint committees (including the representatives of relevant organisations and social partners) have been created to include relevant partners incl social partners and to consequently add transparency
to policy-making At the same time such committees are criticised facilitating
transparency only seemingly and also diffusing responsibility
LT During the 2007-2013 period the key positive achievements of ESF SIC investments in Lithuania was the improvement of the overall quality and accessibility of public sector services in the country This was achieved through several different mechanisms The
ESF support contributed to the development of the HR capacity in public service Also the investments had positive influence on the management of internal activities in the public sector in Lithuania in particular a number of internal processes were digitalised and a number of strategic planning documents were developed In addition the investments are expected to contribute to the development of e-governance in the country and thereby improve the communication between the public authorities and citizens The key under-achievements of ESF SIC investments in Lithuania were the
very low impact on system-level reforms in public sector as well as low impact on institutional cooperation and partnership building Because of the lack or complete absence of necessary preconditions the reforms at system-level were implemented are fragmentary and are unlikely to produce any significant results Similarly because of a
number of negative factors (lack of coordination of different institutional cooperation initiatives lack of support and awareness on the part of political authorities and executive bodies lack of proper methods for involvement of relevant institutions) the
initiatives enhancing cooperation and partnerships between public institutions will most likely result in low or null impacts in these areas
PL Considering the impact of the ESF on improving the regulatory business environment it is worth mentioning the significant advancement of Poland in the World Banks Doing Business rankings 2015 In terms of ease of doing business Poland took 32nd position
(out of 189 countries) and moved up thirteen places in comparison with the previous year The World Bank assessed countries in 10 categories such as among others ease of opening of the company the necessary start-up capital or tax returns
Source overall assessment of country experts based on research carried out by them and national evaluations conducted in the country
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
65
462 Impacts in relation to changes in the quality of administrations
The World Bank publishes a broad range of data on the perceived quality of
governance In particular the Worldwide Governance Indicators cover six broad
dimensions three of which are particularly relevant to this report
government effectiveness
regulatory quality
rule of law
This dataset aggregates the results of many surveys that have been conducted
worldwide It has been doing so since 1996 which means that developments can be
traced throughout the programming period
The charts below present the estimates of the perceived quality for each of the three
dimensions The perception of quality is rated ranging from approximately -25
(weak) to 25 (strong) in order to illustrate governance performance
Better quality services ndash competitiveness of companies 4621
Government effectiveness the first dimension of the Worldwide Governance
Indicators assesses the perception of public service quality the quality of the civil
service and its degree of independence from political pressures the quality of policy
formulation and implementation and the credibility of the governments commitment
to such policies Concerning public attitudes towards government effectiveness in the
case of ten of the fourteen countries citizens businesses and institutions felt that
their government had become more effective between 2007 and 2014 The four
exceptions were Greece Hungary Malta and the United Kingdom
The previous section showed that ESF had contributed to better quality services in the
three countries for which evidence was available (CZ LT PL) For the latter two
countries it is therefore likely that ESF has played a role in improving the regulatory
quality scores for their countries However as section 313 showed nine MSs had
actions aimed specifically at improving their delivery systems and eight MSs had
actions aiming at policy delivery as well as development
Figure 4 Government effectiveness
Source The Worldwide Governance Indicators 2015 Update
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Government effectiveness
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
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66
The dimension of regulatory quality measures the governmentrsquos ability to formulate
and implement sound policies and regulations that permit and promote private sector
development Regulatory quality was receiving slightly higher marks on average in
2007 than government effectiveness However for only five countries this assessment
had improved by 2014 Estonia Latvia Lithuania Poland and Romania Four of these
countries already had relatively high scores in 2007 but so did some of the countries
with decreasing evaluations such as Hungary Slovakia and the United Kingdom
Ten MSs implemented actions that were dedicated to improving the business
environment while 14 MSs had actions aimed at introducing and strengthening the
use of e-services in public administrations (sections 313 and 314) In light of this
the fact that only five MSs were deemed to have improved the quality of their
regulatory process is again a sign that the impact of efforts made under SIC actions is
not or at least not yet noticeable
Figure 5 Regulatory quality
Source The Worldwide Governance Indicators 2015 Update
The overall conclusion is therefore that in the majority of the MSs the impact of
these actions on the governmental performance is not yet evident or if it is it is still
not noticeable to citizens and businesses However with the nature of SIC
interventions it may be a matter of time before these impacts become obvious only
then will a further impact on the performance of businesses and the wellbeing of
citizens be expected to occur
000
020
040
060
080
100
120
140
160
180
200
2007 2008 2009 2010 2011 2012 2013 2014
Regulatory quality
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
67
Better quality justice and rule of law ndash a conducive socio-economic 4622
environment
The 2015 EU Justice scoreboard shows that there is significant divergence in the
effectiveness of judicial systems across MSs According to the 2015 EU
Competitiveness report the functioning of justice systems in several countries
requires further improvements19
Rule of law measures the extent to which agents have confidence in and abide by the
rules of society and more specifically in the quality of contract enforcement property
rights the police and the courts as well as the likelihood of crime and violence The
satisfaction with rule of law increased between 2007 and 2014 for nine countries
which is almost as many as for government effectiveness Greece Hungary Italy and
Malta experienced decreasing evaluations over this period
Of the nine countries with increasing scores for rule of law four countriesrsquo evidence is
available on the results actions undertaken in the justice sector (section 414) These
results were decidedly mixed with SI and CZ showing positive achievements and
Bulgaria and Poland showing under-achievements As the rule of law indicator is a
very general indicator and the evidence on ESF SIC actions in this area are few and
mixed in terms of results the conclusion here is that the necessary evidence on the
impact of ESF SIC actions in this sector is insufficient to draw conclusions
Nonetheless the increased satisfaction with the rule of law is a positive development
Figure 6 Rule of law
Source The Worldwide Governance Indicators 2015 Update
19 European Commission Single Market Integration and Competitiveness in the EU and its Member States Report 2015 October 2015 section 326
-050
000
050
100
150
200
2007 2008 2009 2010 2011 2012 2013 2014
Rule of law
BU CZ EE EL HU IT LV
LT MT PL RO SK SI UK
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
68
4623 Assessment
Improvements in the quality of public administration occurred between 2007 and
2014 especially in the fields of government effectiveness and rule of law The
perception of regulatory quality improved in a smaller number of countries
The best performance could be seen in Romania Poland and the three Baltic States
These countries improved their ratings on each of the three dimensions between 2007
and 2014 On the other end of the scale three countries saw their assessment
decreasing on all three dimensions Greece Hungary and Malta
It is to be expected that ESF would have contributed to positive changes However
this causal relationship can only be established through impact assessments and
evaluations and the evidence available at this point is insufficient to draw conclusions
in this respect
463 Key factors determining success or failure
Overview 4631
Several factors determine whether interventions are successful and can be considered
good practice in achieving their objectives and whether they do so in an efficient
manner Factors for success and failure are complementary For this reason the two
are discussed together here although the national evaluations do distinguish between
them as can be seen from the figure below
The key factors are similar to those identified in earlier evaluations of ESF SIC
interventions Five factors were identified in national evaluations or by the country
experts based on more general sources
Management this factor is typically linked with the lack of administrative
capacity in the Managing Authority or Intermediate Body itself and was
identified as a key factor for the Czech Republic Italy Romania and Slovakia
Strategic approach and intervention logic this factor refers to coherence and
consistency in policies regarding SIC interventions as well as the detailed
development of an intervention logic It was identified as a key factor for Italy
Lithuania and Romania
Motivation and capacities of beneficiaries this factor directly influences the
performance of individual activities and is therefore of obvious importance It
was identified as playing a key role in Bulgaria the Czech Republic Latvia
Lithuania Malta and Slovakia
Cooperation and coordination efficient coordination of various funded activities
and efficient cooperation between different organisations were listed as key
factors for performance in the Czech Republic Estonia and Lithuania
Context factors these factors include national public administration reform
strategies legislation and the political and institutional environment
Contextual factors are the most regularly cited explanatory factor for success
and failure for Bulgaria Greece Hungary Italy Lithuania Malta Poland
Slovenia and Slovakia
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
69
Figure 7 Key factors for success and failure mentioned for MS
The colour of the country abbreviations signifies that the factor was deemed either a success
(blue) or a failure (red) for that country In the case of some countries it turned out to be both
Source country templates based on national evaluations or assessment of country experts based on more general sources
Because of its importance the institutional and political context is discussed in more
detail here It also constitutes a rather specific factor for successful capacity building
interventions Annex III provides a complete overview of the success and risk factors
identified for individual countries
The role of the institutional and political context 4632
This section looks at the role of the institutional and political context as a determinant
for success or failure of ESF interventions that were aimed at strengthening
institutional capacity The information in this section is based upon expert assessment
provided by the country experts where these contextual factors were flagged up as a
success or risk factor to a greater or lesser extent The political and institutional
environment has been flagged up as a crucial factor for successful SIC interventions
under ESF by several countries (BG CZ EL HU IT LT MT RO SK) Rapid changes in
government politicised institutions and lacking political support were all cited as
impediments to the effectiveness of SIC interventions
According to the synthesis evaluation country report for the Czech Republic in all
international comparisons the institutional environment is evaluated as one of the
most significant weaknesses of the Czech Republic When discussing the institutional
environment of the country reference is made to inefficient institutions an excessive
regulatory burden and corruption The performance of the countryrsquos administration
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
70
has been continuously declining since 200620 This is impacting on the performance of
ESF SIC interventions According to the AIR 2014 OP HRE and the evaluation
conducted the realisation of the PA 4 of the OP HRE has been lagging behind the
other priority axes over a long-term period The core problems deal with the
administrative capacity of the Ministry of Interior in its role as an Intermediate Body
as well as the organisational changes of the state institutions in their role as
beneficiaries In addition a high error rate exists in the management of individual
projects which is usually linked to the procurement arrangements and to
irregularities
In Greece the OP Administrative Reform has encountered serious difficulties that
hindered its smooth implementation Besides other factors the institutional
environment plays a key role in this The administrative culture has been criticised for
its absence of strategic action wasteful maladministration of the scarce public
resources organisational overlapping absence of rational planning regarding the
allocation of functions and unsatisfactory services provided to citizens Another
important contextual constraint lies in the absence of an enduring political will and
clientelism accompanied by the politicisation of the senior civil service At least until
very recently these conditions remained unchanged and were reinforced by
widespread corrupt practices Furthermore civil society is only weakly developed in
Greece while consultation structures and practices as part of policy preparation are
also underdeveloped Of particular concern is the on-going politicisation and
subsequent instability at senior levels of the administration
The Hungarian State Reform has gone through essential changes which have had a
substantial impact on the effectiveness and efficiency of the SIC PAs in this country
The direction of the reform was changed and the reform has intensified since 2010
with the election of the new conservative government This has boosted the efforts
made and increased the number of activities and outputs produced under the relevant
PAs This was particularly visible in the number of laws and the activities connected to
their preparation At the same time these political changes seem to have had a
negative impact on the efficiency of the implementation of the PAs This inefficiency
resulted from the fact that new government took time to establish and had partly
different priorities This meant that many changes in the planning and implementation
of interventions had to be made and much adjustment was necessary by those
involved in the implementation
Because of the lack or complete absence of necessary preconditions in Lithuania
the reforms at system-level were implemented in a fragmented manner and are
unlikely to produce any significant results Consequently the key under-achievements
of ESF SIC investments in Lithuania were the very low impact on system-level reforms
in the public sector as well as low impact on institutional cooperation and partnership
building Similarly because of a combination of negative factors the initiatives
enhancing cooperation and partnerships between public institutions will most likely
result in low or no impact in these areas These factors include the lack of coordination
of different institutional cooperation initiatives lack of proper methods for the
involvement of relevant institutions but also the lack of support and awareness on the
part of political authorities and executive bodies
20 Source Supreme Audit Office of the Czech Republic Information from the control action No 1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
71
In Slovakia the institutional environment is politicised in the sense that as a rule
following every general election new management enters the administration
Systematic work with human capital in public administration is largely absent As a
result employee turnover is high among state employees This in turn is potentially
dangerous to the sustainability of the results and impacts achieved with SIC related
interventions
According to a publication of the EUOECD SIGMA initiative five years after accession
political processes and considerations still substantially impacted the effect and
sustainability of EU capacity building interventions in Central and Eastern Europe In
addition the 2015 single market integration and competitiveness report pointed out
that regulatory and political instability are important barriers to economic growth as
they negatively impact on investment decisions especially longer term ones The
2014 competitiveness report draws attention to insufficient political will as a factor
besides the lack of capacity to enforce rules hampering the effect of anti-corruption
policies in several of the convergence countries From the present study it can be
concluded that during the 2007-2013 period several factors in the institutional and
political environment were indeed hampering progress in achieving the objectives
associated with capacity building interventions These factors include a lack of political
awareness or support (LT) rapid changes in government (EL HU SK) often
changing inefficient change-averse or politicised institutions (CZ EL HU LT) and
clientelism (EL)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
72
5 Overview of key lessons learned
Key findings
Based on the findings of the study key lessons were drawn for six areas
Policy choices The findings of this evaluation confirm the need for supporting
more general horizontal capacity building interventions as provided by the
activities under the SIC priority The contribution of ESF SIC to the Europe 2020
Strategy might be further enhanced by specifying the more relevant fields of ESF
SIC support such as e-government or business friendly administration The
institutional and political context remains a key success and risk factor for capacity
building interventions
Target groups These have a specific meaning in the framework of SIC
interventions referring in particular to the staff of the beneficiary organisations
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions
Appropriate programming A comprehensive and strategic approach to capacity
building is required by MSs as well as a well-defined intervention logic This should
go well beyond the specific objectives and into the realm of intermediate and final
impacts Support provided to countries should take into account the five key factors
that influence the success of SIC interventions management strategic approach
and intervention logic motivation and capacities of beneficiaries cooperation and
coordination and context factors New programmes need to make sure that results
and impacts whose sustainability required further funding are indeed continued
Effective implementation Issues concerning the management of the OP or PA
are often linked to a lack of administrative capacity in the Managing Authority or
Intermediate Body both in terms of numbers and qualifications of staff Significant
personnel turnover and frequent changes in staff contributed to mistakes being
made in financial reporting by beneficiaries which was further hampered by
complicated and often-changing rules and errors in the implementation process
Monitoring The following improvements are suggested extend the use of
compulsory indicators to cover an agreed classification of interventions review ex-
ante the output and result indicators proposed by MSs to see if they comply with
SMART criteria apply a categorisation to common output and result indicators in
the SFC database
Evaluation Fields of activities as found in the CSRs for example could provide a
starting point for the development of impact indicators for ex-post evaluation More
systematic guidance on the distinction between indicators for capacity
enhancement performance and impact indicators could help countries formulate
better indicators for monitoring results In addition a benchmark is needed against
which achievements can be measured
51 Key lessons in terms of policy choices
In the 2007-2013 period strengthening the institutional capacity and efficiency of
public administrations and public services became an ESF objective for convergence
regions (section 22) Supporting SIC interventions in a general or horizontal manner
was new to the 2007-2013 period as increasing administrative capacity was deemed
to be vital for delivering on the Europe 2020 Strategy
The budget spent on SIC interventions has been small in comparison to overall
expenditure under ESF and in comparison to vertical capacity building aimed at labour
market and education institutions (section 34) Impacts are slow to emerge and
difficult to detect which is particularly the case for this priority theme (section 46)
Capacity building takes time and the crisis has had a negative influence on the results
of SIC interventions in the 2007-2013 programming period Community added value
of SIC interventions supported under ESF (section 45) confirms the need for SIC
interventions It therefore stands to reason for the EU to continue funding such
activities in future programming periods
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
73
There are specific areas of interest or fields of activity as referred to in this report
(section 412) which are clearly deemed important in the framework of SIC and that
bear a more direct link to the objectives of the Europe 2020 Strategy These are
visible in the country specific recommendations prepared by the European
Commission but also in the topics chosen by the EU funded network that examined
how to make better use of the ESF for public administration reforms21 ESF SIC
interventions have proven to be instrumental in helping countries follow-up on the
recommendations they receive from the Commission (section 31) At the same time
however many actions focus on more general capacity enhancement In order to
emphasise support for the Europe 2020 Strategy it could be considered to adapt and
further specify the relevant provisions in the ESF Regulation (Article 32b) inserting
those fields of activity that best contribute to this Possible examples include
lsquoimproving the environment for businessesrsquo and lsquoincreasing e-government servicesrsquo
The institutional and political context is a key success or risk factor for capacity
building interventions For all countries it is impossible to achieve results without
political backing and support Some of the countries studied here are still dealing with
structural political and cultural features in their environment that will effectively block
SIC interventions if they are not addressed (section 462)
It is therefore important to make the provision of financial support for capacity
building dependent on proven commitment and capacity in the institutional and
political context As a result the Commission can apply as Knott (2007) phrased it
the logic of consequences The logic of consequences assumes that rational actors will
seek to maximise their welfare or utility through strategic actions Depending on how
it is enforced in practice it constitutes a tool with which resources can be directed to
environments where they are likely to be more effective although MSs with less
favourable conditions in which to choose face an obvious choice Knott quoting
others also distinguishes the logic of appropriateness This logic encourages actorsrsquo
motivation by internalising identities values and norms This raises the question of
whether lsquosofterrsquo methods such as those associated with mutual learning could play a
role in this lsquostrategy for changersquo A good starting point to look for answers is the
existing and ongoing mutual learning benchmarking and policy coordination
mechanisms that are practiced by the EU in its employment and social policies A
second place is the strengthening of mutual learning initiatives for regional and local
actors as these are often absent in regular EU employment initiatives
One of the reasons why output targets are not met includes problems related to the
management of projects by MA and IB (section 46) this would suggest the need to
continue interventions aimed at improving the implementation capacity of such bodies
21 From 1 January 2010 to 31 December 2012 an EU funded project lsquoFacing the Challenge ndash How to Effectively Support Public Administration Reforms by ESF Fundsrsquo sought to learn more about making better use of the European Social Fund for public administration reforms The topics chosen were strategic planning e-governance the partnership principle for better regulation and local development business-friendly administration local government reform
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
74
52 Key lessons in terms of target groups
As discussed earlier in this report target groups have a specific meaning in the
framework of SIC interventions For SIC interventions the distinction between
beneficiaries and target groups is somewhat blurred Typically target groups will be
employees of beneficiary institutions
With regard to beneficiaries both their motivation and their capacity are important
factors for the success or failure of SIC interventions Motivation and capacities of
beneficiaries have been cited as a reason why projects are delayed or abandoned
impacting on the degree to which the envisaged outputs and results are achieved ESF
should therefore continue to provide support to beneficiaries However lessons should
also be learned by MSs on the criteria and conditions to be met by potential
beneficiaries before qualifying for support
One reason why output targets are not met (section 41) involves problems related to
the actual implementation by beneficiaries For a number of countries reports exist
about projects that have been abandoned before completion or not even started
Some projects are also poorly implemented with low quality training on offer Some
interventions do not achieve their target Several factors cause this but the interest
and motivation of beneficiaries are a key factor in the success of a programme Higher
involvement of beneficiaries in the preparation of programmes may provide a means
by which to increase such motivation offer concrete support to project managers in
the form of training or provide mutual learning events as a means to increase their
capacity (section 46) However without the right culture in the public sector which
is attentive to human resource management for example this will be insufficient Of
course other factors will also determine the interest of those participating in SIC
interventions such as workload
For several countries the lack of capacity for project management in the target
organisations may itself constitute a barrier to success This applies to those that are
promoting or managing projects This may endanger project implementation but
above all the consolidation of results
Finally with regard to beneficiary institutions it can be observed that national
institutions are the main beneficiary of ESF SIC interventions In the absence of an
objective criterion for the required degree of local and regional authority involvement
it would be good to monitor the satisfaction of these parties in terms of their
involvement in ESF The same applies to NGOs and social partner institutions (section
312)
53 Key lessons in terms of appropriate programming
A number of conclusions can be drawn regarding the strategic approach taken as well
as the intervention logics developed and applied in MSs (section 31)
Strategic approach and intervention logic are related but they are not the same The
strategic approach starts with a call for a unitary coherent and consistent policy
regarding SIC interventions rather than a series of unrelated independent SIC
interventions This can also result in an overall vision or framework for SIC The
strategic approach can also be applied during implementation Selection procedures
for projects based upon calls for project ideas are an example of this Key factors
related to intervention logics include the identification of intervention areas that
respond to a clear need but will also be sufficiently substantial in reaching a critical
mass whilst also fitting the funding possibilities It also concerns the precise
identification and definition of objectives coherence in instruments outputs and
results Target groups need to be well defined but formal delineations should not
prohibit a dedicated search for the actual intended beneficiaries during
implementation
A substantial part of the capacity building interventions takes place under OPs and PAs
that are of a more thematic or sectoral nature (section 34) From the viewpoint of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
75
expenditure categories the SIC interventions are small compared to other sectors
notably more policy sector oriented categories Nevertheless and perhaps because of
this SIC interventions have a specific role to play in the interaction with vertical
capacity building interventions For developing such a role the following questions
could provide some guidance
How does SIC relate to capacity building activities in the framework of other
priorities
How does SIC contribute to the wider objectives of this strategy as well as
national priorities
How and where do SIC interventions interact with other capacity building
interventions How does alignment take place at the strategic level during
implementation
Should SIC support be horizontal as was often the case during the 2007-2013
programming period or be more focused on certain sectors
What are the underlying considerations and criteria for this
A SIC strategic approach towards capacity building under ESF could be strengthened
with questions such as
What are the overall needs and objectives of capacity building in the country
How does ESF capacity building fit into to the overall PAR strategy
How does it contribute to and how is it supported by it
This comprehensive and strategic approach to capacity building should be the starting
point for the development of a well-defined intervention logic that goes well beyond
the specific objectives into the realm of intermediate and final impacts At present
few indicators at impact level exist but the results indicators seem to harbour
distinctive levels amongst them Objectives and indicators could be better delineated
through the use of the general intervention logic for example which was developed in
the interim evaluation (Ecorys 2011) This study used the following sequence as the
basis for the objectives tree underlying the intervention logic better administration
performance leads to more effective governance that in turn will ensure a better
response to citizensrsquo and firmsrsquo needs which will eventually contribute to
competitiveness and growth in the European Union
Nevertheless a word of caution is in order here The ESF plays an important role in
providing support for SIC interventions The efforts made are large but the
performance of these interventions seems lower than desired SIC interventions were
less likely to achieve their output targets than ESF interventions in general (section
41) and evidence on quality improvements in public administrations is mixed (section
46) This lower performance may be partly explained by inexperience in target setting
for this type of activity and it does not prevent progress being made Progress is in
fact being made albeit slower in some countries and faster in others Capacity
building needs time For the newer MSs it has been a process driven largely by the
EU-accession process over a long time The 2007-2013 programming period could
have been the period during which the EU assumptions and objectives regarding the
role of modern public institutions could have become more internalised The crisis
has however been a strong counteracting force in this respect with an immediate
impact on staff and human resources development in public institutions Admittedly it
requires time and a long-term perspective for capacity building to realise its effects
and reach the top level of the objectives tree Support to countries in this process
should take into account the five key factors that influence the success of SIC
interventions management strategic approach and intervention logic motivation and
capacities of beneficiaries cooperation and coordination and context factors
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Thematic EU synthesis report Strengthening Institutional Capacity
76
54 Key lessons in terms of effective implementation
Issues concerning the management of the OP or PA are often linked to the lack of
administrative capacity in the Managing Authority or Intermediate Body itself (see
Annex III) both in quantitative and in qualitative terms Significant personnel outflow
along with complicated rules and errors in the implementation process as well as
often changing rules contributed to mistakes being made in financial reporting by
beneficiaries (section 46) Vice versa an attentive MA closely monitoring and
aligning project and financial considerations will be a contributing factor to a
successful programme implementation
Other lessons concerning the implementation of ESF interventions relate to
coordination and cooperation Efficient coordination of different funded activities and
efficient cooperation between different organisations involved are factors for success
(section 463) the lack of these elements was identified as a reason for the
unsuccessful implementation of programmes Coordination is also required to avoid
overlap in activities especially when targeting NGOs or local governments as there is
a greater risk that they are being approached from multiple directions for similar
interventions Coordination or alignment of training interventions for example can
also help increase the effectiveness and sustainability of the individual interventions
Fragmentation is in turn likely to increase costs and decrease impacts
55 Key lessons in terms of monitoring
With a greater number of improved indicators it will also be possible to improve
monitoring and evaluation so that results and impacts can be better traced during the
new programming period However this is potentially at odds with the intention to
minimise the administrative burden for organisations involved in the implementation
of ESF interventions For this reason the following improvements have been
suggested
A specificity of SIC PAs and actions seems to be that they tend to cover such a
variety of activities that a comparison of financial and participantsrsquo data is
rather meaningless (section 314) The introduction of compulsory types of
indicators per type of intervention according to a classification of interventions
can be beneficial such as the pre-existing one for training the number of
participants would also help in solving this issue
Ex-ante review of output and result indicators which have been proposed by
MSs to see if they comply with SMART criteria as a minimum measurable and
time-bound
Categorisation of indicators in the SFC database with categories such as the
number of persons supported number of organisations supported number of
studies provided etc
The fields of activity mentioned under section 51 represent objectives at various
levels in the intervention logic Sometimes these fields represent expected results
from the capacity building interventions (introduction of e-government systems and
more efficient public administration) sometimes they seem more focused on impacts
directly following from these results (a business-friendly environment and less
corruption) and sometimes they focus on a specific sector (judiciary reform) They
seem to move back and forth between results and intermediate impacts or between
capacity and performance outcomes More systematic guidance on where to situate
these fields could help countries formulate better indicators for monitoring results
In order to draw conclusions it does not suffice to just have good indicators One
must also establish a benchmark against which achievements can be measured
Sometimes other interventions or countries can act as a benchmark However
additional information is sometimes required This is illustrated by the example of
gender A more direct approach would be to develop indicators or targets that include
such a benchmark such as those based on proportional participation (section 44)
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77
56 Key lessons in terms of evaluation
One of the main shortcomings encountered during this evaluation is the lack of
information on achievements (in terms of results) and on impacts
Concerning results several limitations hamper the formulation of a concise and clear-
cut assessment of achievements causality and extent to which results have been
achieved at the level These relate to the quality and availability of monitoring data
and the heterogeneity of national evaluations coupled with a broad range of
intervention logics Furthermore information from national evaluations is typically of a
more qualitative nature with less evidence-based findings and is thus not conducive
to drawing hard conclusions
The formulation of impact indicators is not mandatory and they turn out to be virtually
absent This problem is not compensated for in national evaluations
Any attempt to measure impacts must begin with the formulation of a good
intervention logic as well as an objectives tree Two approaches could be envisaged
Bottom-up measuring the impact of individual activities (actionsPAsOPs)
aggregating the evaluation findings for such individual activities (etc) and
using the indicators developed in the MSs
Formulating one or more lsquoframework intervention logicsrsquo with specific
objectives that are the compulsory final targets of any action of MSsrsquo indicators
Both approaches require further examination with regard to their feasibility The
aggregation of findings from a large number of evaluations may lead to abstract
conclusions that convey little more than a final quantitative score in the most
extreme cases they will only convey whether there has or has not been an impact
This effect can perhaps be mitigated by the agreement of guidelines on the structure
of evaluations carried out at national level With regard to the framework intervention
logic it is important to determine whether this can do justice to the individual and
specific character of the programmes in light of the national contexts This approach
may also imply that the formulation of actions must be aligned with the envisaged
specific objectives of the framework logic The current variety in programming SIC
interventions would need to be reviewed both in terms of the benefits it brings to MSs
in targeting their interventions and the drawbacks it has for evaluation
The distinction between capacity enhancement and performance indicators raised by
the World Bank Institute and their overview of capacity enhancement indicators can
help MSs formulate appropriate (results and) impact indicators
During the analysis of efficiency (section 42) it became apparent that the nature of
SIC activities makes it hard to apply the usual indicators for efficiency based on costs
per participant or institution supported In order to arrive at meaningful indicators
financial data would need to be available at activity level so that they can be linked to
a typology of activities As this seems to be too cumbersome an obligation to be
introduced into the regular monitoring system it is recommended that this should be
addressed in the national ex-ante evaluations so that synthesis evaluations can
expand upon this
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78
References
De Koning et al (2006)
Jaap de Koning Katja Korolkova Emiel Maasland Peter van Nes With the assistance
of Marinka van de Kamp Jan Joost Kessler Evaluation of the ESF support to capacity
building Final report October 2006
Ecorys (2011)
Jan Maarten De Vet Aimar Ferran Guijarro Sacha Koppert Colm McClements
Assessment of administrative and institutional capacity building interventions and
future needs in the context of European Social Fund(VC2009066-009) April 2011
Europan Union (2010)
European Union The European Social Fund and institutional capacity of public bodies
2010
European Commission (2012)
European Commission Quality of public administration European Semester 2012 ndash
Thematic Fiche 2012
European Commission (2013)
Strategic Report 2013 ndash Programme implementation 2007-2013 Factsheet
Institutional Capacity Building Factsheet produced in support of the Commission 2013
Strategic report on cohesion policy programme implementation 2007-2013
European Commission (2013b)
Report from the Commission to the European Parliament the Council the European
Economic and Social Committee and the Committee of the Regions Cohesion policy
Strategic report 2013 on programme implementation 2007-2013 SWD(2013) 129
final
European Commission (2014)
European Commission Directorate-General for Employment Social Affairs and
Inclusion Unit E1 Promoting good governance European Social Fund thematic paper
2014
European Commission (2014b)
European Commission Reindustrialising Europe Member Statesrsquo Competitiveness
Report 2014 Commission staff working document SWD(2014) 278 2014 (chapter 2
Public administration scoreboard)
European Commission (2014c)
Guidance document on indicators Public Administration Capacity building 2014
EIPA (2013)
Guidelines for the verification process of the ex-ante conditionality of the thematic
objective ldquoEnhancing Institutional capacity of public authorities and stakeholders and
efficient public administrationrdquo Guidelines drafted by the European Institute of Public
Administration (EIPA) on behalf of DG Employment Social Affairs and Inclusion of the
European Commission Version 6 - 14 August 2013
EIPA (2014)
Alexander Heichlinger Nick Thijs Julia Bosse From Strengthening Administrative
Capacity Building (ACB) to Public Sector Innovation (PSI) Building Blocks and
Successful lsquoBridgesrsquo EIPA 2014
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
79
Ferry (2013)
Martin Ferry The Achievements of Cohesion Policy Evidence and Methodological
Challenges from an EU 10 Perspective European Policies research Centre University
of Strathclyde May 2013
Panteia (2013)
Panteia Preparatory study for the ex-post evaluation of ESF 2007-2013 Final report
October 2013
Knott (2007)
Julian Knott the impact of the EU accession process on the establishment of
evaluation capacity in Bulgaria and Romania in International Public Policy Review
Vol 3 No 1 ndash June 2007
The Worldwide Governance Indicators 2015 Update Aggregate Governance Indicators
1996-2014 Sept 25 2015
The World Bank (2003)
Yemile Mizrahi Capacity Enhancement Indicators Review of the Literature WBI
Evaluation Studies No EG03-72 World Bank Institute
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
80
Annex I - Overview of OPs PAs and Actions explicitly addressing SIC
MS OP PA A1 A2 A3 A4 A5 A6
BG OP Human Resources Development
PA 6
Improving the effectiveness of labour market
institutions and of social and
healthcare services
61 Development and modernisation of
the labour market system
62 Strengthening the capacity of
institutions for social inclusion
and for provision of health services
BG OP Administrative Capacity
PA 1
Good governance
11 Effective Structure of the State
Administration
12 Transparency and Integrity of
the State
Administration
13 Effective Coordination and Partnership
in Policy-Making
and Implementation of Policies
14 The Administration ndash Partner of the
Business
15 Transparent and Effective
Judicial System
16 Transnational and Inter-
regional
Cooperation
BG OP Administrative
Capacity
PA 2
Human resources
management
21 Modern human resources
management in the state administration
22 Competent and effective
state administration
23 Strengthening
the capacity of the civil society structures
24 Competent judicial system and
effective human resource management
25 Transnational
and interregional cooperation
BG OP Administrative
Capacity
PA 3
Quality administrative
service delivery and e-Governance development
31 Improvement of
the service delivery to the citizens and the business sector including through e-governance
development
32 Standard information and
communication environment and interoperability
33 Improvement of
the service delivery provided by the bodies of the judiciary through development of
information technologies
34 Transnational and interregional
cooperation
CZ Operational Programme
PA 4
Public administration
41 Strengthening of
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Thematic EU synthesis report Strengthening Institutional Capacity
81
MS OP PA A1 A2 A3 A4 A5 A6
Human Resources
Development
and public services
institutional capacity and
efficiency in public administration
EE OP for Human Resource Development
PA 5
Enhancing administrative capacity
Measure ldquoEnhancement of strategic
management of the public sector and NGOsrdquo
Measure ldquoBetter regulationrdquo
Measure ldquoTraining and development of
employees of the State local authorities and NGOsrdquo
Measure ldquoSupporting county-level
support structuresrdquo
EL OP for Human
Resource Development
PA1 ldquoImproving
national public policies
modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA2 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human
Resource Development
PA3 ldquoImproving
national public policies modernisation of the public administrationrdquo
EL OP for Human Resource Development
PA4 ldquoDevelopment of the human capital in the public
administration
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Thematic EU synthesis report Strengthening Institutional Capacity
82
MS OP PA A1 A2 A3 A4 A5 A6
EL OP for Human Resource
Development
PA5 ldquoDevelopment of the human
capital in the public administration
EL OP for Human Resource Development
PA6 ldquoDevelopment of the human capital in the
public administration
EL OP for Human Resource Development
PA7 Strengthening policies aiming at ensuring
equal
opportunities for all in the whole range of the public administration
EL OP for Human Resource Development
PA8 Strengthening policies aiming at ensuring equal opportunities for
all in the whole range of the
public administration
EL OP for Human Resource Development
PA9 Strengthening policies aiming at ensuring
equal opportunities for all in the whole
range of the
ESF 2007-2013 ex-post evaluation synthesis
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83
MS OP PA A1 A2 A3 A4 A5 A6
public administration
HU State Reform OP
PA 1
Renewal of processes and organisation
development
11 Improvement of the capacity for
self-governance and the quality of legislation
12 Renewal of procedures and work processes
as well as organisation development
HU State Reform OP
PA 2
Improving the quality of human resources
21 Establishment of open recruitment and an efficient internal
replacement
22 Performance-based career pathways
HU State Reform OP
PA 3
Developments to be attained in the Central Hungarian Region
31 Renewal of the processes and organisational development
32 The improvement of the quality of human resources
IT Campania ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies programming
monitoring and
evaluation capacities at the National regional and local level with a view to
improving territorial governance
Specific Objective P ndash Strengthen capacity of institutions and
systems for the
implementation of policies and programmes
IT Calabria ROP PA Institutional Specific Specific
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Thematic EU synthesis report Strengthening Institutional Capacity
84
MS OP PA A1 A2 A3 A4 A5 A6
7 capacity Objective P ndash Improving
policies programming monitoring and evaluation
capacities at the National regional and
local level with a view to improving territorial governance
Objective Q ndash Strengthen
capacity of institutions and systems for the implementation
of policies and programmes
IT Sicily ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation
capacities at the National regional and local level with a view to
improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation
of policies and programmes
IT Basilicata ROP PA 7
Institutional capacity
Specific Objective O ndash Improving policies
programming monitoring and
evaluation capacities at the
Specific Objective P ndash Strengthen capacity of
institutions and systems for the
implementation of policies and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
85
MS OP PA A1 A2 A3 A4 A5 A6
National regional and
local level with a view to improving territorial
governance
programmes
IT Apulia ROP PA
7
Institutional
capacity
Specific
Objective O ndash Improving policies programming monitoring and evaluation capacities at the
National regional and local level with a view to improving territorial
governance
Specific
Objective P ndash Strengthen capacity of institutions and systems for the implementation of policies and
programmes
IT Governance and System Actions
(Ministry of Labour)
National OP
PA E5
Institutional capacity
Specific Objective 51 (Increasing
innovation effectiveness
and transparency of public action)
Specific Objective 52 (Improving
inter-institutional negotiation
capacities with specific reference to public-private partnerships)
Specific Objective 53 (Improving
public services standards)
Specific Objective 54 (Defining together with
Regions standards and methodologies
for managing monitoring evaluating and supporting ESF and non-ESF interventions
quality and effectiveness as
well as their reciprocal
Specific Objective 55 (Strengthening
and integrating the
environmental governance system)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
86
MS OP PA A1 A2 A3 A4 A5 A6
complementarity)
IT Competencies for development (Ministry of
Education) National OP
PA 2
Institutional capacity
Specific Objective H (Improving Education
System Governance and Evaluation)
LT OP for the Development of Human Resources 2007-2013
PA 4
Fostering Administrative Competences and Increasing Efficiency of
Public Administrationrdquo
Specific Objective 1 Improving management of human resources
and strengthening
administrative capabilities in public service
Specific Objective 2 Improving management of activities better
implementing EU policies
improving structure of public administration
Specific Objective 3 Improving regulation of economic
activities and providing
services to people and business
LV OP Human Resources and Employment
PA 5
Administrative Capacity Building
51 Better Regulation Policy
52Capacity Building of Human Resources
53 Administrative Capacity and Development Planning Capacity
Building of
Planning Regions and Local Governments
MT OP II -
Empowering people for more jobs and
a better quality of life
PA
4
Strengthening of
institutional and administrative capacity
Supporting
public sector reform
Lifelong learning
for the Public Sector
Strengthening
the quality of employment services
Promoting a more
effective social and civil dialogue in Malta
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
87
MS OP PA A1 A2 A3 A4 A5 A6
PL Human Capital Operational
Programme
PA 5
Good governance
51 Strengthening
potential of government administration
52 Strengthening
potential of local government administration
53 Support for implementation
of the Lisbon Strategy
54 Development of the third
sectorrsquos potential
55 Development
of social dialogue
RO OP ACD ndash Operational Programme
Administrative Capacity Development
PA 1
Improving structure and processes of
public policies cycle management
11 - Improving decision making processes at
administrative and political level
12 ndash Increasing public administration
responsibility
13 - Improving organisational effectiveness
RO OP ACD ndash Operational
Programme
Administrative Capacity Development
PA 2
Improving quality and
efficiency of
public services with a focus on decentralisation
21 ndash Support for sectoral
decentralisation
of services
22 - Improving quality and
efficiency of
public services
SI OP Development
of human resources for the period 2007-2013
PA 5
Institutional and administrative
capacity
51 Efficient and effective public
administration
52 Reform of the institutions
in the labour market
SK Operational Programme
Employment and Social Inclusion
PA 4
Capacity building and
enhancement of the quality of public administration
41 Enhancement of
services quality provided by public administration and NGOs ndash activities focused
on increasing of quality and effectiveness of
the services
42 Establishing of quality
management systems in public administration and NGOs in the field of employment and
social policy ndash improvement of process
management in
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
88
MS OP PA A1 A2 A3 A4 A5 A6
provided by public
administration
public administration
was planned NOTE not implemented
UK West Wales and the Valleys ESF
Convergence programme
PA 4
Modernising and improving the quality of public
services
A = Action see section 312 for clarifications
Source Country experts based on relevant Operational Programmes
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
89
ANNEX II Country specific recommendations in the field of SIC
2007 2008 2009 2011 20122013
BG urgently further strengthen administrative
capacity in particular focusing on key government functions including regulatory authorities and the judiciary
adopt new measures and
rapidly implement adopted measures to
substantially cut red tape and shorten procedural
delays in order to improve the business environment (in particular for SMEs and facilitating start-ups) which will also help in the fight against corruption
tackling undeclared work
by strengthening
institutional capacity to perform inspections and ensure legal enforcement
urgently further strengthen the efficiency and the
effectiveness of the public administration in particular by focusing on key government functions including the competition
supervisory and regulatory authorities and the judiciary and continue taking all measures necessary to ensure effective financial controls and
sound management of structural funds
rapidly adopt and implement
new measures to substantially cut red tape at central and local level and shorten procedural delays in order to improve the business
environment which will also help in the fight against corruption -
(low efficiency of public services quality of staff or key functions e-services)
enhance administrative capacity in key government functions and regulatory authorities in order to make
public services more effective in responding to the needs of citizens and businesses introduce measures to check
public procurement on the basis of risk assessments
strengthen the capacity of the authorities to prevent and sanction irregularities in order to improve quality and value-for-money in the use of public funds
(The use of EU funds remains low )
Complicated administrative procedures
business and regulatory environment
e-government
Step up efforts to enhance
administrative capacity and reforms by reducing red tape
and the cost of tax compliance and collection and further improving the absorption of
EU funds Improve the quality and independence of the judicial system and speed up the introduction of e-government Strengthen public administrative capacity in key transport sectors and
regulatory authorities
Ensure sound implementation
of public procurement legislation Strengthen the prevention of irregularities and effectively apply the sanctions under the Public Procurement
Law and those of the Law on Conflict of Interest
CZ speeding up progress in speeding up progress in (quality of the Czech legal (efficiency of public
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Thematic EU synthesis report Strengthening Institutional Capacity
90
2007 2008 2009 2011 20122013
the ICT area including by implementing and monitoring the development of a fully
enabling legal environment for e-government
meet targets for reducing the administrative burden on enterprises
further developing access
to finance for innovative companies
the ICT area including by implementing and monitoring a fully enabled legal environment for e-
government
and regulatory framework frequent and far-reaching reorganisations of PA impede its efficiency transparency of
public procurement
improve the quality of public services in areas essential for the business environment In this context speed up the
implementation of the anti-corruption strategy in line with the identified targets adopt
the Public Servants Act to promote stability and effectiveness of the public administration and revise the
Commercial Code to abolish anonymous shareholding
administration
e- services
reduction of administrative burden for businesses
Anticorruption
adoption of the new Public Procurement Act)
Adopt and implement as a matter of urgency the Public
Servants Act to promote
stability and effectiveness of the public administration to avoid irregularities
Ensure adequate implementation of the new Public Procurement Act
Address the issue of anonymous share holding
Ensure correct implementation
of EU Funds and step up the fight against corruption
EE - launching the new
immunity and leniency programme and
strengthening competition enforcement
One of the aims within the Priority Axis 5 ldquoEnhancing administrative capacityldquo of OP
for Human Resource Development was to provide more modern and efficient public services From the standpoint of the public
service training and
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
91
2007 2008 2009 2011 20122013
developmental activities it was considered important to assist in the unified formation of the know-how for public
sector workers public servants and NGOs (incl social partners) as regards job skills management cooperation and coordination However the ESF did not
support directly the merging of municipalities)
- (Being limited in size the majority of local governments have difficulties to universally deliver the necessary social
health labour market transport and educational services)
- - Enhance fiscal sustainability of
municipalities while improving
efficiency of local governments
and ensure effective service provision notably through stronger incentives for merger or increased cooperation of municipalities
EL - modernises its public administration by building
up effective regulatory control and enforcement
capacities including
- implement the reform of its public administration
by building up effective regulatory control and
enforcement capacities
- implement reform of the public administration by
building up effective regulatory control and enforcement capacities with
an emphasis on simplifying
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Thematic EU synthesis report Strengthening Institutional Capacity
92
2007 2008 2009 2011 20122013
through upgrading skills so as to also ensure effective use of Structural Funds
by modernising its human resources policy and through effective use of the Structural Funds
- improve further the transposition of internal market legislation
the regulatory environment for business and citizens and reducing red tape
HU - reforms the public administration health
care pension and education systems with a view to ensuring long-term fiscal sustainability and improve economic
efficiency - further reductions of the
administrative burden on enterprises
- continue to reform the public administration
healthcare pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic
efficiency - improving the regulatory
environment through further reducing administrative burden and legislative simplification
- continue to reform the public administration health care
pension and education systems with a view to ensuring long-term fiscal sustainability and improving economic efficiency
- PES administrative capacity - Improve the business
environment by implementing all the measures envisaged for regulatory reform and lowering administrative burdens in the National
Reform Programme
- (transparency and quality of public administration where
progress would also help in improving the stability of the institutional and policy environment)
- capacity of the PES
- Implement measures envisaged to reduce the
administrative burden Ensure that public procurement and the legislative process support market competition and ensure a stable regulatory and business-friendly
environment for financial and nonfinancial enterprises including foreign direct
investors Reduce tax compliance costs
IT - strengthening and fully implementing the system of impact assessment for proposed regulation
- improving the efficiency of regulatory environment
with particular focus on legislative simplification
- support economic activity by advancing implementation of
EU programmes financed by EU structural funds
- (to enhance the performance-orientation and accountability of the public administration
scope for removing regulatory and administrative barriers in product and services markets particularly in professional services)
- Take steps to accelerate
- (deficiencies in terms of administrative capacity continue to hamper absorption
and hence the implementation of the Plan notably in the convergence regions complex and burdensome tax administrative procedures
Although some measures have
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
93
2007 2008 2009 2011 20122013
growth-enhancing expenditure co-financed by cohesion policy funds in order to reduce the persistent disparities between
regions by improving administrative capacity and political governance Respect the commitments made in the national Strategic Reference Framework in terms of the
amount of resources and quality of expenditure
already been adopted to encourage administrative simplification the business environment in Italy remains
complex In particular the judiciary system suffers from a number of inefficiencies in terms of resource utilisation procedures and institutional organisation that are reflected
in the low performance of the Italian civil justice in particular as regards the excessive duration of case-
handling and the amount of backlogs)
- Simplify further the regulatory
framework for businesses and enhance administrative capacity Implement the planned reorganisation of the civil justice system and promote the use of alternative dispute settlement mechanism
LT - improving the efficiency
of regulatory environment with particular focus on legislative simplification
- support economic activity by
advancing implementation of EU programmes financed by EU structural funds
business environment
strengthen business inspectorates increase transparency and reduce the administrative burden on business
LV
(poor transparency complicates evidence-based local decision making)
Take measures to improve
management and efficiency of
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
94
2007 2008 2009 2011 20122013
the judiciary in particular to reduce the backlog and length of procedures Take steps to improve the insolvency regime
and the mediation laws
MT - introducing systematic impact assessment and speeding up progress towards simplification of regulations
- further improving the regulatory environment by continuing simplifying legislation by introducing systematic impact assessments and effective
one-stop-shops for business start-ups
PL - improving human capital and incentives to work
- speeding-up the business
registration process - ensuring timely
implementation of the e-
government programmes - improve the transposition
of internal market legislation
- (quality of the business environment and efficiency of public administration is low)
- Establish a timetable to
simplify legal procedures involved in enforcing contracts revise construction and zoning legislation with a view to streamlining appeal procedures and speeding up administrative procedures
- (business remains high and public administration continues to lack efficiency The main areas of concern
include high compliance costs complex and unstable tax legislation weak contract enforcement lengthy and burdensome licensing Judicial proceedings and other legal actions are lengthy and there
are a relatively high number of cases pending)
RO - urgently strengthen
administrative capacity at both central and local levels of government by building up effective
regulatory control and enforcement capacity
- take rapid measures to
reduce substantially
- strengthen the efficiency effectiveness and independence of the public administration at both central and local level by building up
effective regulatory control and enforcement capacity
- in the context of a coherent
better regulation policy
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
95
2007 2008 2009 2011 20122013
administrative procedures and delays to obtain authorisations as part of a coherent better regulation
policy in order to improve the business environment which will also help in the fight against corruption
urgently implement measures to substantially reduce administrative procedures and delays in obtaining
authorisations in order to improve the business environment which will also help in the fight against corruption
SI - strengthening the enforcement of the legal framework for protecting intellectual property rights
NA NA Streamline regulated
professions and improve the administrative capacity of the Competition Protection Office in order to enhance the
business environment and attract investment
NA
SK - Reduction of
administrative burden is a must
- -Recommendations to improve the evaluation system and to stabilise the administrative
capacities improvements
in the better regulation system
- improve the regulatory
environment notably by implementing a comprehensive better regulation strategy covering both impact assessment and simplification of existing
legislation - full implementation of
one-stop-shops for start-up companies
- implement a comprehensive
better regulation strategy conduct impact assessments and continuously simplify the existing legislation while stepping up the reduction of administrative burdens on businesses particularly SMEs
(quality of the business
environment and efficiency of public administration is low)
- Establish a timetable to simplify legal procedures involved in enforcing contracts revise construction
and zoning legislation with a
view to streamlining appeal procedures and speeding up administrative procedures
(business remains high and
public administration continues to lack efficiency The main areas of concern include high compliance costs complex and unstable tax legislation weak contract
enforcement lengthy and
burdensome licensing Judicial proceedings and other legal actions are lengthy and there are a relatively high number of cases pending)
Strengthen the quality of the
public service including by
improving management of human resources Further
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Thematic EU synthesis report Strengthening Institutional Capacity
96
2007 2008 2009 2011 20122013
shorten the length of judicial proceedings and strengthen the role of the Public Procurement office as an
independent body
UK NA NA
NA NA NA
Sources own analysis of country specific recommendations
Annex III - Factors influencing success and failure of SIC interventions for individual countries per category
Management
The activation of a clear well dimensioned and recognised SIC theme management structure able to assume and carry out the oversight of the various implementing interventions and
equally important of the relations between the different actors and stakeholders (IT)
A ldquoCapacity traprdquo is often at work in weak regions SIC is affected by the same problems that should be solved This reinforces the need for a strong and result oriented governance (IT)
the constant concern of the MA for managing the programme in correlation with the available resources at the level of OP ACD The financial allocation was correlated with the specific objectives of OP ACD for each Priority Axis The financial reallocations between the KAIs of
the same PA show the concern for correlating the available financial allocations with the interest shown by potential beneficiaries and for maintaining the balance between the allocated resources and the result indicators of the programme (RO)
Lack of administrative capacity of the Intermediate Body This was demonstrated for example by a long length of the projectsrsquo evaluation process and by frequent requirements of the IB to get exceptions from the Operational Manual (CZ)
Personal fluctuation and related staffing instability of the IB in projectsrsquo administration (CA)
Finally the SROP projects have extensively involved external experts which proved not to be the guarantee of the success of the SROP projects supposing the lack of familiarity with the local administration (HU)
The low capacity level of MA OP DAC both in terms of headcount and in terms of experience and expertise The significant personnel outflows prevented the development of the OP DAC team in an adequate manner causing faults in communicating with beneficiaries and in effectively managing project implementation from the programme level (RO)
Relevance and quality of the activities for the target groups (eg relevant and high quality
trainings for different categories of civil servants) (LT)
Complicated administration of the projects and often changed rules (SK)
Huge number of mistakes in financial reporting timesheets eligible and non-eligible costs direct and indirect costs (SK)
Non-observance of deadlines by first level financial control (SK)
Strategic approach and intervention logic
Romania The analysis developed in order to support the OP ACD correctly identified the
horizontal issues affecting the Romanian public administration but its lack of focus on types of beneficiaries and target groups led to the elaboration of a programme with objectives which are difficult to quantify with a low level of prioritisation and with an untargeted implementation strategy The lack of depth of the analysis underpinning OP DAC is the weakest point in the logic of intervention of the programmerdquo For some indicators the targets
were not correctly planned due to a lack of analyses and research studies but there were also cases when the targets became unrealistic during the programming period due to the
context changes occurred Finally beneficiaries often lacked a strategic approach particularly in respect of the decentralisation process The question to be answered here is whether these problems were due to contextual factors as described above or had to do with the capacity of institutions and people the very thing the interventions were supposed to address
The approach based on calls for project ideas (for large projects) was one mechanism used
for this strategic approach which proved to be successful This approach resulted in an increased relevance to KAI considering also the contribution to meeting the specific objectives (RO)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
98
SIC requires structural and long-term strategy (IT)
Evaluation of SIC must identify a proper theory of change based on fundamental mechanisms and has to identify the structural changes in the PA (IT)
The definition and implementation of SIC theme as an internally coherent and consistent policy line and not as a sum or juxtaposition of single interventions (IT)
The ex-ante identification of few and relevant areas of interventions to tackle with an adequate funds and resources critical mass (IT)
The Public Administration(s) capacity to identify precise objectives definite implementing actions coherent instruments and coherent responsibilities for results and outputs (IT)
Well-developed intervention logic (it was a positive factor in the case of successful development of HR and a negative factor in the case of system-level reforms under PA 4 in Lithuania) (LT)
The target groups of OP DAC are generally relevant for the programme intervention logic but the lack of individualization coming out of the supporting analysis led to their identification in a rather general manner (RO)
Motivation and capacities of beneficiaries
Proper motivation of target groups (for instance in certain cases lack of motivation was one of the key negative factors affecting the results of trainings funded under PA 4 in Lithuania) (LT)
The willingness of the public sector to engage in training activities and the provision of training which is organised in a manner which caters for the need of the public sector (MT)
The evaluation points to the importance of the support of local government leaders as key issues in the success of the interventionsprojects Without strong support the projects have never been successful (HU)
Projectslsquo beneficiaries that resign from the projects lsquorealisation or cancel their projectslsquo proposals (CZ)
guarantors of the projectslsquo proposals that have not enforced implementation of their projects within their subordinate organisations (CZ)
Leadership and organisational maturity on the part of project implementersmanagers Low organisation maturity was a somewhat negative factor in HR trainings funded by ESF (a large part of trainings was implemented by private companies) At the same time it was a positive factor in the case of initiatives focusing on the improvement of internal management activities within public institutions (LT)
The ability of civil society organisations to consolidate their efforts and participate in actions is an important aspect to be addressed as the success of civil organisations depends on their ability to strengthen their capacity and networking opportunities (MT)
The low capacity of project beneficiaries in project formulation implementation and the lack general project management skills (RO)
Errors in implementation process and huge number of projects that were not completed (SK)
Cooperation and coordination
Efficient coordination of different funded activities and efficient cooperation between different institutions in implementing the changes An incomplete cooperation between institutions was
responsible for only partly successful implementation of e-governance measures (LT)
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
99
inter-ministerial coordination structures that not work continuously (CZ)
Context factors
PAR
The existence before ESF intervention of a clear and explicit capacity building strategy to be integrated and boosted by ESF funding (but able to go beyond ESF support) (IT)
The existence of strategic vision (at statesystem level) in relation to the implemented interventions (LT)
Legislation
Maladjustment of the applicable law to the IT projects In many cases existing regulations require the delivery of documents in paper form Therefore the introduction of electronic services was possible only partially So it is necessary to modify certain provisions as well as
identify such barriers at the stage of diagnosis (PL)
A systemic issue which also causes a significant negative impact on the low efficiency of OP DAC by the end of 2012 is the complex legislation in the area of public procurement and its different interpretation by the institutions involved in certifying and controlling the subsequent procedures (RO)
Huge number of mistakes in public procurement (often changed rules as well) (SK)
Institutional and political
The support and awareness of political authorities and institutions involved on the importance of reformschanges (LT)
Changing political environment (EL SI)
Politicised institutional environment (EL HU)
the support by politicians (SI)
Source Own elaboration on the basis of information provided by Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
100
Annex IV - Evaluations relevant to SIC interventions
The following table provides an overview of Member States evaluations that focus on ESF
SIC interventions and were an important source for the assessments made in this
chapter
Table 22 SIC related evaluations in Member States ESF 2007-2013
MS Relevant evaluations for SIC
BG OPAC Interim Evaluation Report for the period 2007-2013 first Report on the evaluation of OP AC implementation for the period January-
December 2014 May 2015
CZ Supreme Audit Office of the Czech Republic Information from the control action No
1415 The financial expenditures spent on the projects linked with the effective public administration 2015 httpnkuczassetspublikaceeu-report-2015-czpdf
Ministry of Interior (2015) Annual report on Smart Administration strategy for the period 142014 ndash 3132015 Ministerstvo vnitra Ročniacute zpraacuteva o Smart Administration
za obdobiacute od 14 2014 do 313 2015 Informace pro vlaacutedu Českeacute republiky zpracovanou 3042015
Ministry of Labour and Social Affairs (2014) Final report from the internal evaluation of the PA 4 of the OP HRE Ministerstvo praacutece a sociaacutelniacutech věciacute Zaacutevěrečnaacute zpraacuteva z interniacute evaluace provaacuteděniacute PO 4 OP LZZ
EE The evaluation of the effectiveness and the impact of the PA 5 ldquoRaising Estonian
administrative capacityrdquo CPD 2011 in Estonian
httpwwwstruktuurifondideepublicInimressursi_arendamise_rakenduskava_IARKpdf
Executive summary in English httpwwwavalikteenistuseepublicHaldusmeedeEvaluation_Report_Administrative_Capacity_Estonia_2011_-_Executive_Summary_-_Logopdf
EL Logotech-Prooptiki 2007 lsquoEx-ante evaluation of the OP Administrative Reformrsquo March
2007 Athens EEO Group-Eurotec 2013 lsquoInterim evaluation of the OP Administrative Reformrsquo
February 2013 Athens EEO Group-Eurotec 2014 lsquoField research on women non-governmental organisations
active in the fields of equality and human rights protectionrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network of improving the quality of
public services towards enterprisesrsquo Athens EEO Group-Eurotec 2014 lsquoField research on a network supporting consumers in issues
relating to indebtednessrsquo Athens
HU Final evaluation (AAM 2012) Final evaluation report on the State Reform OP 2007-2010
institutional development projects executed (Eacuterteacutekeleacutesi zaacuteroacutejelenteacutes az AacuteROP 2007-2010 koumlzoumltt megvaloacutesiacutetott szervezeti ceacuteluacute fejleszteacuteseiről) AAM Consulting November
2012 httpswwwpalyazatgovhukozigazgatasi_fejlesztesek_ertekelese Executive Summary ndashEx-post evaluation of the organisational development measures
founded by the State Reform OP AAM consulting nov 2012 (Az Aacutellamreform OP szervezetfejleszteacutesi ceacuteluacute fejleszteacuteseinek eacuterteacutekeleacutese)
SROP case DUNAUacuteJVAacuteROS (2014) Study paper on the evaluation and revision results of previous State Reform OP system development project (Tanulmaacuteny a koraacutebbi AacuteROP szervezetfejleszteacutesi projekt eacuterteacutekeleacutesi eacutes feluumllvizsgaacutelati eredmeacutenyeiről -
Eredmeacutenytermeacutekek hasznosulaacutesaacutenak eacutes horizontaacutelis szempontok eacuterveacutenyesuumlleacuteseacutenek vizsgaacutelata) Case project of the local government of DUNAUacuteJVAacuteROS (SROP - 1A5 ndash 2013-2013-0090) 2014 February 28
httpwwwdunaujvaroshusitesallfilesdokumentumokpalyazatokarop1a5dunaujvaros_korabbi_arop_felulvizsgalat_1_tanulmany_v30pdf
IT Annual evaluation reports of the Governance and System Actions OP (4 covering until
now w 2011 2012 2013 2014)
LT Evaluation of the implementation of result indicators in the Human Resources
Development Programmes priority axis 4 measures 2 and 3 2009 Evaluation of the quality and effectiveness of the training financed by the ESF 2011 Interim evaluation of the Human Resources Development Operational Programmes
priority axis 4 Final evaluation report 2013
European Union Structural Funds Investments for Human Resource Development 2015
Strategic Evaluation of the Effectiveness and Impact of EU Structural Assistance on the
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
101
MS Relevant evaluations for SIC
Improvement of Public Management in Lithuania 2014
LV Ongoing evaluation started in 2014 Impact evaluation of 151 Better Regulation
Policy and 152Capacity Building of Human Resources
lsquoImpact evaluation of the activities implemented under the Operational Programme ldquoHuman Resources and Employmentrdquo and Operational Programmersquos Compliment measures 151 ldquoBetter Regulations Policyrdquo and 152 ldquoStrengthening Capacity of Human Resourcesrdquo during the 2007 ndash 2013 programming periodrsquo 2015 httpwwwesfondilvuploadPetijumi_un_izvertejumigala-zin_pec-saskanosanas-sanaksmes_081015pdf
MT Thematic Evaluations presentations PWC dated October 2014 and May 2015 available
at httpseufundsgovmtenOperational20ProgrammesMonitoring20CommitteesPagesOperational-Programme-2-2007-2013aspx The Thematic Evaluation is not published
PL Assessment of the level of achievement the HC OP main and specific objectives as well
as impact of the ESF funds on results accomplished within specific areas of intervention ndash II thematic report (2015) - The main goal of this research was to assess the contribution by ESF funds to the results achieved within specific areas of intervention and their impact on the social and economic changes in Poland (including the level of satisfaction in the population living in the areas receiving support)
Evaluation of the indicator named Gender Index in the institutions participating in the
implementation of the HC OP (2011) ndash Main topics Recruitment releases remuneration promotion training and development work-life balance and prevention of mobbing and sexual harassment - measured in the HC OPrsquos implementing institutions
Evaluation of barriers and legal gaps in the effectiveness of the European Social Fundrsquos support (2013) - legal system of a country and its coherence with ESF requirements
opportunities and provisions Public administration - effective and modern (2011) - achievement of Measures
objectives with regard to capacity of public administration possible strengthening of its potential and modernisation of management system and structure
RO Second interim evaluation OP ACD 2010-2012 - Second evaluation OP ACD 2013 Performance evaluation of OP ACD management and implementation ndash OP ACD
performance evaluation 2015
SI The institutional evaluation of the ESRS (Employment Service of the Republic of
Slovenia) 2012
The institutional evaluation of the ESRS (Employment Service of the Republic of Slovenia) is not considered in this evaluation as it is not related to ESF financing It
evaluates however the effectiveness and efficiency of processes analyses obstacles to effective provision of services and proposes 12 indicators for the monitoring of the processes
SK Possibly relevant evaluations mentioned in EEN-INV_SK but not available on internet
(planned probably not realised) 1) Final Evaluation of Implementation of OP Employment and Social Inclusion (beginning planned in 2014 end planned in 2015 not
available in time for this study) Evaluation of Improvement of Human Resources Quality and Management in Public
Administration and NGOs (end of the evaluation was planned in 2012 not made available in time for this study)
UK Thematic Evaluations of the 2007-2013 Structural Funds Programmes in Wales
including Modernising Public Services (ESF Convergence Priority 4)
Source Country experts
ESF 2007-2013 ex-post evaluation synthesis
Thematic EU synthesis report Strengthening Institutional Capacity
102
HOW TO OBTAIN EU PUBLICATIONS
Free publications
bull one copy
via EU Bookshop (httpbookshopeuropaeu)
bull more than one copy or postersmaps
from the European Unionrsquos representations (httpeceuropaeurepresent_enhtm)
from the delegations in non-EU countries
(httpeeaseuropaeudelegationsindex_enhtm)
by contacting the Europe Direct service (httpeuropaeueuropedirectindex_enhtm)
or calling 00 800 6 7 8 9 10 11 (freephone number from anywhere in the EU) () () The information given is free as are most calls (though some operators phone boxes or hotels may charge you)
Priced publications
bull via EU Bookshop (httpbookshopeuropaeu)
Priced subscriptions
bull via one of the sales agents of the Publications Office of the European Union
(httppublicationseuropaeuothersagentsindex_enhtm)
doi[102767271126]
[KE-0
2-1
6-9
29-E
N-N
]