Intervention logic
Explaining the result orientation
of 2014-2020
Training to Managing Authorities, summer 2014, Brussels
Trainer: Marie-Jose Zondag, Ecorys Netherlands
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
Content
1. Result orientation
2. Specific objectives
3. Defining indicators, baselines and targets
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
2
What is result oriented approach
Example:
To increase competitiveness and the business
environment
What do you think? Is this a specific objective with
a result oriented approach?
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
3
Effectiveness is overall principle
Art.4 CPR (1303/2013): Commission and Member States shall ensure
the effectiveness of the European Structural Investment Funds, in
particular through monitoring, reporting and evaluation.
Four building blocks for result orientation:
1. Result orientation of programmes
2. Monitoring through indicators
3. Performance framework, review and reserve
4. Evaluation and Reporting
Objective is the same but some technical details vary by Fund – due
to the scope of the Funds.
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
4
Structure of
Operational
Programme
EU2020, policies, Partnership Agreement
Analysis
Strategy – Thematic objectives
Priority Axis
Investment priority 1
Specific
objective 1
indicators
Investment priority 2
Specific
objective 2
Specific
objective 1
Specific
objective 2
indicators
indicators
indicators
Operations
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
5
Intervention logic
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
6
A tool for result orientation
Problem tree
Objective tree
High
unemployment
Lower
unemployment
Weak SME
sector
Strengthened
SME sector
Lack of
business
services
.. Is caused by..
Lack of
entrepreneurs
Poor
entrepreneurial
skills
Increase in
business
services
More start ups
entreprises
Better skilled
entrepreneurs
.. Will lead to...
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
7
Intervention logic for each priority axis
Specific objectives:
Investment
priorities
what the MS wants to
achieve, taking into
account national and
regional challenges,
needs and potentials
Result
indicators
Actions:
needed to achieve the
specific objectives
Categories of intervention
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
Output
Indicators
8
Output and result indicators
Output
indicator
•Linked to activities of operations
•Common & programme specific indicators (Included in
annexes to the fund specific Regulations and Definitions in
Guidance Documents, developed in consultation with the
Member States over last 3 years)
Result
indicator
•Relates to specific objectives
•Captures the expected change
•For ESF also common & programme specific result indicators
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
9
Result Indicators for ERDF/ESF/CF
focus on change
ERDF/CF
ESF
• Result indicator reflects specific
objective and policy
• Result indicator shows change
in and benefit to the region or
target group
• ERDF/CF does not have
common result indicators
• Baseline defined on basis of
situation before the
programme
• Evaluation to disentangle the
contribution of the policy to
change from the influence of
other factors (impact);
• Result indicator reflects
supported actions
• Result indicator shows change
to beneficiaries (directly
supported people or entities
• ESF has common result
indicators
• Baseline defined on basis of
previous experience
• Evaluation to assess net result
(impact) or to assess broader
effects e.g. on employment rate
of a certain target group.
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only and
do not represent the EC's official position
10
Examples of result indicators
Specific objective:
• Improve the
accessibility of
a region,
• Increase the
employment of
young people.
Example of result
indicator:
• Reduction in
travelling time;
• Young people
in employment
6 months after
training
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
11
Intervention logic in OP – Section 1
Table 2 in OP: Overview of investment strategy
Prior
ity
Axis
Fund
Union
support
in €
Proportio
n of total
Union
support
for the OP
Thematic
objective
Investment
priority
Specific
objective
related to IP
(Common and)
programme-specific
result indicators for
which a target has
been set
PA1
ERDF
50,000,
000
25%
TO1
SME
Development
To increase
number of
start-ups in
high tech
sector
Number of start-ups in
the defined target group.
% of such start-ups
surviving after 2 years.
etc
Source: http://ec.europa.eu/regional_policy/sources/docgener/informat/2014/guidance_op_140314.pdf
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
12
Intervention logic in OP – Section 2A5 - Results
ID
IP1
Specific objective
To increase the number of start-ups in high tech sector
Expected results
Increased number of start-ups in high tech sector
Table 3 Programme specific result indicators
ID
Result indicator
Measur
ement
unit
Category
of region
Baselin
e value
Baselin
e year
Target
value
Source
of data
Frequency
of
reporting
IP1
Number of startups in the
defined target
group.
number
Less
developed
region
150 000
2013
160 000
Statistics
Once a year
IP1
% of such startups surviving
after 2 years.
%
Less
developed
region
50%
2012
60%
Statistics
Once a year
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
13
Intervention logic in OP – Section 2A5 - Results
ID
IP1
Specific objective
Increase employment and employability especially of long-term, low-skilled, older
and disabled unemployed
Expected results
1.1 Increased employment of long-term, low-skilled, older and disabled unemployed
1.2 Increased qualification of long-term, low-skilled, older and disabled unemployed
Table 4 (Common and) programme specific result indicators
ID
Result indicator
Category
of region
Measurem
ent unit
Common output
indicator as
basis for target
Baseli
ne
value
Base
line
year
Target
value
Source
of data
Repo
rting
IP1
C3d. Participants in
employment, incl. selfemployment, upon leaving
Less
developed
regions
Number of
participants
C1a.
Unemployed, incl.
long-term
unemployed
35.000
2013
38.000
Monitorin
g reports
Quart
erly
IP1
Sxy. Long-term unemployed
in employment, incl. selfemployment, upon leaving
Less
developed
regions
Number of
participants
N/A
20.000
2013
26.000
Monitorin
g reports
Quart
erly
IP1
C3c. Participants gaining a
qualification upon leaving
Less
developed
regions
Number of
participants
C1a.
Unemployed, incl.
long-term
unemployed
55.500
2013
56.000
Monitorin
g reports
Quart
erly
Table 4a YEI result indicators and programme specific result indicators (only YEI)
14
Output indicators for ERDF/ESF/CF
linked to activities
• Output indicators capture what the resources are spent on
• Common output indicators relate to most frequently
implemented actions
• Output indicators provide aggregate information for
analysis & communication purposes
• Annex of fund regulation contains common output
indicators
• No baselines, targets are cumulative
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
15
Intervention logic in OP – Section 2A6 - Outputs
Section 2A61 Description of type of actions
Table 5 Common and programme specific output
D
Output indicator
Measur Fund Category of
Target
Source
Frequency
indicators
ement
region
value
of data
of
unit
reporting
IP1
Number of
enterprises
receiving support
Number
ERDF
Less developed
region
160 000
Progress
reports
Once a year
IP2
Number of people
trained
Number
ESF
Not applicable
100 000
Progress
reports
Once a year
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
16
Categories of intervention ERDF/ESF/CF
Annex Implementing regulation 215/2014
In
1.
2.
3.
4.
5.
6.
7.
8.
OP Section 2A9:
• Used for calculating
support to climate
Intervention field
change objectives
Form of finance
• Used for statistics of EU
Territory type
Territorial delivery mechanism Table 7-11
Dimension
Fund
Thematic objective
Category of region
Secondary theme (ESF)
Economic activity
Priority Axis
Code
Amount
(euro)
Location
PA1
e.g.102 e.g.100 000
PA1
etc
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
17
Example of intervention logic overview
Priority Axis 1 / Thematic objective 1: Research and innovation
Investment Priority: Improve development of high-tech sector
Specific
objective
Expected
result
Result
indicator
Possible activities
Common
output
indicator
Type of
beneficia
ries
To increase
the number
of start-ups
in hightech
Increased
number of
start-ups
in hightech
Number of
start-ups in
target
group
established
Business incubation
(including technology
and know-how
transfer centres)
Business support
services (mentoring,
counselling, vouchers
for start-ups, etc)
CO01
Number
enterprises
receiving
support of
which:
CO03 …
CO04 …
CO05 …
Business
support
organisati
ons
SMEs
etc
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
18
Calculating targets: tool from experts
Indicators
Euro per
unit
CO01: Number of enterprises receiving support
% of PA Target
budget
100%
350
CO03: Number SMEs receiving grants
100 000
50%
50
CO04: Number SMEs receiving non-financial
support
15 000
30%
200
CO05: Number of new enterprises supported
20 000
20%
100
Budget of Priority Axis 10 million Euro
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
19
ESF: Joint Action Plan (JAP)
art. 104-109 CPR
• JAP a new result-oriented instrument for Cohesion policy
• Possibility to combine resources from 1 or more operational
programmes under the responsibility of a single beneficiary
(public law body)
• Shifts focus from inputs to outputs and results through
strong intervention logic and the use of SCOs
• Payments take the form of unit costs and lump sums and
depend on level of achievement
• JAP SCOs are also applicable to public contracts
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
20
Summary of programme’s intervention logic
Strategy
If we DO…
Result
… then we get
Implementation
Inputs
Actions
Outputs
Change
Policy results
MS, region,
sector, target
group
RESULTS
for supported
entities
Delivery mechanisms
Needs - Context
Mechanisms of change
– Other factors
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only and
do not represent the EC's official position
21
Relevant articles and guidance on
result oriented approach
•
•
•
•
•
•
Article 4 + 96(2) EU Common Provision Regulation 1303/2013
Annex 1 EU Implementing regulation 288/2014 Template OP
Article 19(3) EU regulation 1304/2013 YEI indicators
Annex 1 EU Regulation 1301/2013 Common output indicators ERDF
Annex 1 EU Regulation 1300/2013 Common output indicators CF
Annex 1 EU Regulation 1304/2013 Common output and result
indicators ESF
Guidance documents:
• http://ec.europa.eu/regional_policy/sources/docoffic/2014/working/
wd_2014_en.pdf
• http://ec.europa.eu/regional_policy/information/evaluations/guidan
ce_en.cfm#1
This training has been organised by EIPA-Ecorys-PwC under the Framework Contract
Nr 2013.CE.16 B.AT 044. The opinions expressed are those of the contractor only
and do not represent the EC's official position
22