Regional development planning:
key stages
Daniela Ferrara
Emilia Romagna ERDF 2007-2013
Managing Authority staff
Study Tour on EU Regional Policy
LAF 47800
Bruxelles, March 13° 2012
A definition of regional development policy in EU
cohesion framework
What does “regional policy” concern?
that part of development policy referred to the cohesion,
the socio-economic balance, the territorial competitiveness
characterized by place based approach and financial addition
Regional policy programming differs from
ordinary policy programming for:
Purpose
Source of
resources
•It takes into account differences among territories
•It is meant to increase development, competitiveness
and cohesion for the whole territory
Regional policy uses resources coming from:
•UE budget (resources for the cohesion)
•National budget
•Regional extraordinary resources
Differently from Phare, ISPA, Sapard, STRUCTURAL
FUNDS ARE PROGRAMME DRIVEN.
Programming follows a very strict logic of cascading,
interconnected objectives responding to the weaknesses
and stregths, opportunities and threats of regions
5
Socio-Economic
analysis
EU Strategies,
Policies, Guidelines
Sectorial
Strategies/legislation
Broader, On-Going Policy Context/Cycle (1)
Programme Cycle (2)
Programme Negotiation
Programme Preparation
Project Cycle (3)
Project Identification/Development
Project Completion
Project Evaluation
Programme Evaluation
Financing
Monitoring/Reporting
Programme
Implementation
Management:
Organization
Capacity Building
Programme launch
Tendering procedures
Management/Implementation
Project Selection
Payments
Programme Monitoring
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Key stages of programming according to EU
standards
Context analyisis
SWOT Analysis
Strategy and framework of
objectives (general,
specific, operational)
Activities
Financial plan
Definition and quantification
of a set of indicators (output,
results, impact)
Governance model
Programming Cycle
Turning analysis
into strategy
STRATEGY
Priorities
General
objectives
Operations
/ actions
Specific
Objectives
E
V
A
L
U
A
T
I
O
N
Analysis

Context desciption
 Statistics indicators
 Socio-economic trends

Analysis in terms of potentialities and weaknesses (SWOT Analysis)

Conclusions drawn from analysis

Lessons learnt from previous programming periods

Ex-ante evaluation

Strategic Environmental Analysis
Socio-economic trends
• Socio-economic trends (demography, employment,
economic structure, industrial system, etc.)
• Industrial research and technology transfer system
• Energy and environment
• Information society
SWOT Analysis: from analysis to strategy

SWOT analysis is a strategic planning tool used to assess options
to be taken to reach an objective

SWOT analysis is one of the most diffused methodologies for
defining strategies for territories or for sectors

It is based on the following elements:

Strenghts Positive tangible and intangible attributes, internal to the context.
They are within the organization’s control.


Factors that are within an organization’s control, affecting its
ability to attain the core goal. Which areas might be improved?
Weaknesses
Opportunities External attractive factors that represent the reason for an
organization/context to exist and develop. What opportunities exist in the
environment, which will propel the organization?

Threats External factors, beyond an organization’s control, which could place
the organization’s mission at risk. The organization may benefit by having
contingency plans to address them if they should occur.
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
Starting from a collection of socio-economic data, the analysis
consists in:
 identifying endogenous/internal aspects affecting the
system where the strategy may operate (weaknesses and
strengths)
 describing exogenous/external aspects on which the
strategy may not operate directly but that should be taken
into consideration because they may offer opportunities of
development or they may limit future opportunities
(opportunities and threats)

An effective analysis gives the possibility to have an integrated
vision of the four factors
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SWOT Analysis Structure
Internal factors
(that the Programme may directly influence)
Strenghts
-Resources
-Skills
-Benchmarking
Weaknesses
-Resources
-Skills
-Benchmarking
External factors
( influencing the Programme but not directly influenced by it)
Opportunities
-Micro-environment
-Macro-environment
-Possible developments
Threats
-Micro-environment
-Macro-environment
-Possible developments
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Ex-ante evaluation

It is an interactive process assessing and providing
reccomendations on the programme

Main goal is to improve the quality of the programme in preparation,
through a continuous interaction between programme decision
makers and evaluators
“Ex-ante evaluation shall aim to optimise the allocation of budgetary resources under
operational programmes and improve programming quality. It shall identify and appraise
medium- and long-term needs, the goals to be achieved, the results expected, the
quantified targets, the coherence, if necessary, of the strategy proposed for the region,
the Community value-added, the extent to which the Community’s priorities have been
taken into account, the lessons drawn from previous programming and the quality of the
procedures for implementation, monitoring, evaluation and financial management.”
(Art 46 SF General Regulation)
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Ex-ante evaluation
Why?
To improve the quality of programming
When?
During programming phase
What?
Strategy, objectives, exepected results and
impacts, resources
How?
- Secenarios
- Cost-benefit analysis
- Multicriteria analysis
With whom?
Those in charge of programming,
implementation and management of the
programme
For whom?
Those in charge of programming,
implementation and management of the
programme
Ex-ante evaluation framework
dei
Results Risultati
of previous
programmesprogrammi
and lessons
learnt e indicazioni
anteriori
tratte dall’esperienza
Analysis of
Analisi dei
needs and
bisogni
disparities
Analysis of
potentialities and
perspectives
E delle disparità
IMPATTI
Impacts
STRATEGY
Efficienza dei meccanismi di attuazione
Efficiency of implementation
Obiettivi
Objectives
Ovrall consistency
Resources
RISORSE
Realizzazioni
Outputs
Results
Risultati
AzioniAActivities
Azioni
Effectiveness
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Strategy
STRATEGY
Coherence framework
• Internal coherence of the strategic framework
• External coherence with EU, national and regional
policies
Description of the strategy in terms of set of objectives,
indicators, priorities and activities
Logical framework of indicators
Indicators
Objectives
Programming
Impact
General
Programme
Result
Specific
Priorities
Output
Operational
Activity
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An example
Specific objective
Operational objective
Activity
Strengthening the network of
Developping the regional
I.1.1 Setting up of
industrial research and
High Technology Network and
technopoles for research
technology transfer and
supporting the research capacity and technology transfer
supporting the setting up of
within SMEs
technopoles for
competitiveness
I.1.2 Support to
cooperative research
prohjects between SMEs
and innovation centres
Promoting the development of
innovative companies
I.2.1 Supporting start up
of innovative SMEs
Evaluation
Beyond the ex-ante evaluation the Programme is also evaluated during
the implementation phase (on-going evaluation) in order to assess :
•Outputs and results of the programme measured against the set of
indicators set in the programming phase
•Efficient use of resources
Results of the evaluation are used to revise the programme, whether
necessary.
On-going evaluation are usually carried out by indipendent evaluators i
Evaluations may have :
Strategic nature in order to examine the evolution of a programme or
group of programmes in relation to Community and national priorities
Operational nature in order to support the monitoring of an operational
programme
Key Evaluation Issues
Relevance: To what extent are the programme's objectives
relevant in relation to the evolving needs and priorities at
national and EU level?
Efficiency: How were the resources (inputs) turned into outputs
or results?
Effectiveness: How far has the programme contributed to
achieving its specific and global objectives?
Utility: Did the programme have an impact on the target groups
or populations in relation to their needs?
Sustainability: To what extent can the changes (or benefits) be
expected to last after the programme has been completed?
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Partnership
The objectives of the Funds shall be pursued in the framework of close
cooperation, (hereinafter referred to as partnership), between the Commission
and each Member State. Each Member State shall organise, in accordance
with current national rules and practices, a partnership with authorities and
bodies such as:
• the competent regional, local, urban and other public authorities;
• the economic and social partners;
• any other appropriate body representing civil society, environmental
partners, non-governmental organisations, and bodies responsible for
promoting equality between men and women.
The partnership shall cover the preparation, implementation, monitoring
and evaluation of operational programmes. Member States shall involve each
of the relevant partners, and particularly the regions, in the different stages of
programming.
An instrument of partnership: The Monitoring
Committee
The Member State shall set up a monitoring committee for each operational
programme,
The monitoring committee shall satisfy itself as to the effectiveness and quality
of the implementation of the operational programme, in accordance with the
following provisions:
(a) it shall consider and approve the criteria for selecting the operations
financed;
(b) it shall periodically review progress made towards achieving the on the
basis of documents submitted by the managing authority;
(c) it shall examine the results of implementation, particularly the achievement
of the targets set for each priority axis and the evaluations;
(f) it may propose to the managing authority any revision or examination of the
operational programme likely to make possible the attainment of the Funds‘ or
to improve its management, including its financial management;
General principles of the management and
control systems
The management and control systems of operational programmes set up by
Member States shall provide for:
(a) the definition of the functions of the bodies concerned in management and
control and the allocation of functions within each body;
(b) compliance with the principle of separation of functions between and within
such bodies;
(c) procedures for ensuring the correctness and regularity of expenditure declared
under the operational programme;
(d) reliable accounting, monitoring and financial reporting systems in computerised
form;
(e) a system of reporting and monitoring where the responsible body entrusts the
execution of tasks to another body;
(f) arrangements for auditing the functioning of the systems;
(g) systems and procedures to ensure an adequate audit trail;
(h) reporting and monitoring procedures for irregularities and for the recovery of
amounts unduly paid.
Governance system
For each operational programme the Member State shall designate the
following:
• a managing authority: a national, regional or local public designated by
the Member State to manage the operational programme;
• a certifying authority: a national, regional or local public authority
designated by the Member State to certify statement of expenditure and
applications for payment before they are sent to the Commission;
• an audit authority: a national, regional or local public authority or body,
functionally independent of the managing authority and the certifying
authority, designated by the Member State for each operational programme
and responsible for verifying the effective functioning of the management
.
and control system
AN EXAMPLE OF PROGRAMMING
PROCESS
Programming approach for SF
 At the political level: national framework document on its
development strategy framework for the thematic and
regional programmes (not a management instrument)
 At the operational level: national and regional operational
programmes
 Limited number of funds (ERDF, ESF and Cohesion
Fund)
 One fund per programme
Community Strategic Guidelines 2007-2013
 Commission proposals for 2007-2013: strategic approach more
targeted on growth and jobs
 Strategic Guidelines established at Community level by Council
decision
 Basis for National Strategic Reference Framework to define clear
priorities for MS and regions
 synergies between cohesion policy and the Lisbon strategy
 consistency with the Broad Economic Policy Guidelines and the
European Employment Strategy
 Consistency with other Community policies and priorities would be
enhanced
The Italian national strategic framework
Technical assessments
12 Ministries coordinated by DPS- MEF
Discussion with Social and
Economic Representatives
Preliminary Strategic Document
Each Region
NSF 2007-2013
 A new way of
Strategic Document
approaching the
regional policy
 Perspectives for the
new period, after the
lessons learnt
National process 1/2
The implementation of QSN was articulated into 3 phases:
Phase 1:vision
 Strategic vision defined by the State and the Regions
 Elaboration of a preliminary strategic document from
each Region and from all the Ministries involved
National process 2/2
Phase 2: Strategic discussion State-Regions
The dialogue between the two levels was focused on the
preliminary documents and on horizontal topics (i.e. thematic
tables)
Phase 3: Elaboration of QSN
The elaboration of QSN was based on guidelines adopted
and shared at different levels of government together with a
strong participation of private players
SRF: contents
1. 2007-2013: cohesion and competitiveness objectives
(Which are the priorities for the regional, national, EU policy, in Italy?)
2. Priority of action
(Which public goods and common services could allow to reach the objectives in the
different territorial areas?)
3. Financial and programming integration
(Which are the choices able to assure a better integration among the Funds and a
better coherence between socio-economic programming and territorial planning?)
4. Integration between regional and national policies
(Which coherence exists between sectoral and network policies?)
5. Governance and capacity building
(Which institutional solutions need to be adopted within the administrative context, the
market rules, the institutional relationships towards the socio-economic players?)
Thank you for the attention
If interested in more information, please contact me at:
Daniela Ferrara
Emilia Romagna ERDF 2007-2013
Managing Authority staff
Regione Emilia Romagna
Direzione Generale Attività Produttive
Viale A. Moro, 44
Bologna
ITALY
E-mail: [email protected]