Guidelines for the ex ante evaluation of 2014-2020

192 Pages·2014·2.65 MB·English

:
GETTING THE MOST FROM YOUR RDP

GUIDELINES FOR THE
EX ANTE EVALUATION OF
2014-2020 RDP
S

JUNE 2014

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Copyright notice
© European Communities, 2014
Reproduction is authorised provided the source is acknowledged.

Manuscript June 2014
The contents of this publication do not necessarily reflect the official views of the European Commission.

The European Evaluation Network for Rural Development (abbreviated to “Evaluation Expert Network”) operates under the responsibility
of the European Commission’s Directorate-General for Agriculture and Rural Development, Unit L.4 (Evaluation of measures applicable
to agriculture; studies). The overall aim of the Network is to increase the usefulness of evaluation as a tool for improving the formulation
and implementation of rural development policies by helping to establish good practice and capacity building in the evaluation of Rural
Development Programmes up until 2013.
Additional information about the activities of the Evaluation Expert Network and its Evaluation Helpdesk is available on the Internet
through the Europa server (http://enrd.ec.europa.eu/evaluation/)
:
GETTING THE MOST FROM YOUR RDP

GUIDELINES FOR THE
EX ANTE EVALUATION OF
2014-2020 RDP
S

JUNE 2014

CONTENT
Foreword ............................................................................................................................................ 1
Introduction ........................................................................................................................................ 5
PART I: MAINLY FOR MANAGING AUTHORITIES ................................................. 9
1 Why ex ante evaluation? ...................................................................................................... 10
1.1 Matching the RDP to the needs of the area .................................................................................. 10
1.2 Fitting RDPs into the bigger picture ............................................................................................... 11
1.3 Setting the foundation for showing RDP achievements ................................................................. 13
2 The ex ante evaluation process .......................................................................................... 15
2.1 Financing the ex ante evaluation ................................................................................................... 15
2.2 Which stakeholders shall be considered in the ex ante evaluation and the Strategic Environmental
Assessment? ............................................................................................................................... 15
2.3 What are roles and responsibilities of various stakeholders in the ex ante evaluation and in the
Strategic Environmental Assessment? ........................................................................................ 16
2.4 What are the key steps to be considered in the ex ante evaluation and in the Strategic
Environmental Assessment? ....................................................................................................... 17
2.4.1 Four elements, three key stages .................................................................................................. 17
2.4.2 Description of the main steps of ex ante evaluation, SEA and consultations in the design of the
Rural Development Programme .................................................................................................. 19
2.4.3 Contractual relationships and division of responsibilities ............................................................. 22
2.4.4 Documentation of the ex ante evaluation process and outcomes in the RDP .............................. 23
2.4.5 Specific considerations for stand-alone National Rural Network Programmes ............................ 25
3 Scope of the ex ante evaluation .......................................................................................... 29
PART II: MAINLY FOR EVALUATORS .................................................................. 51
1. SWOT analysis and needs assessment ............................................................................ 54
2. Relevance, internal and external coherence .................................................................... 59
2.1. The contribution to the Europe 2020 Strategy ............................................................................. 60
2.2. Consistency with the CSF, Partnership Agreement, country-specific recommendations and other
relevant instruments .................................................................................................................... 63
2.3. Intervention logic .......................................................................................................................... 68
2.4. The proposed forms of support .................................................................................................... 72
2.5. The contribution of expected outputs to results ........................................................................... 77
2.6. The consistency of the budgetary allocation with the objectives .................................................. 81
3. Measuring progress and outcomes ................................................................................... 85
3.1. The programme indicators ........................................................................................................... 85
3.2. The quantified target values for indicators ................................................................................... 90
3.3. The suitability of milestones selected for the performance framework ......................................... 92
4. Governance arrangements, programme management and monitoring ........................ 96
4.1. The adequacy of human resources and administrative capacity for programme management ... 97
4.2. The procedures for monitoring, data collection and the Evaluation Plan ................................... 103
5. Horizontal and specific themes ........................................................................................ 110
5.1. Equal opportunities between men and women and non-discrimination ..................................... 110
5.2. Sustainable development ........................................................................................................... 113
5.3. Community-led local development (LEADER) ........................................................................... 116
5.4. National Rural Networks ............................................................................................................ 120
5.5. Thematic sub-programmes ........................................................................................................ 125
6. Strategic Environmental Assessment ............................................................................. 128
6.1. The SEA Directive requirements ................................................................................................ 128
6.2. Relations between the RD programming process, SEA, the ex ante evaluation and stakeholder
consultations .............................................................................................................................. 128
6.3. National Rural Network Programmes and the Strategic Environmental Assessment ................ 130
6.4. Key SEA Phases and Process ................................................................................................... 131
6.5. The Content of the SEA Environmental Report ......................................................................... 137
6.6. Relation with other EU environmental policies and legislations ................................................. 138
6.7. How to improve the RDP as a result of the SEA ........................................................................ 138
6.8. Further Information on SEA ....................................................................................................... 139
PART III: TOOLBOX .............................................................................................. 140
1. Glossary.............................................................................................................................. 141
2. Template ToR for ex ante evaluations ............................................................................. 150
3. Indicative Terms of Reference for SEA ........................................................................... 156
4. Indicative number of man-days for ex ante and SEA .................................................... 164
5. Suggested evaluation questions ..................................................................................... 170
6. Proposed table of content for the ex ante evaluation report ........................................ 183
7. Draft list of context indicators .......................................................................................... 186
8. Legal texts .......................................................................................................................... 188
Guidelines for the ex ante evaluation of 2014-2020 RDPs

FOREWORD
Dear Reader,
Evaluation plays an increasingly important role in the development, implementation and design of EU
policies. Against the background of the ongoing financial crisis, the assessment of the effectiveness,
efficiency and relevance of allocated resources is emphasized even more in overall EU governance.
In times when the concern about the use of public finances is growing, evaluation represents a key
instrument to inform evidence-based decisions about effective spending on policy measures.
These ex ante guidelines are targeted mainly at Managing Authorities and evaluators of Rural
Development Programmes. They are intended to accompany them during the process of planning
and conducting the ex ante evaluation of the 2014-2020 Rural Development Programmes. A broader
spectrum of stakeholders (European Commission and socio-economic partners) involved in
programme development and consultation may also find these guidelines useful.
The guidelines have been drafted by a team of evaluation experts in close collaboration with the
relevant services of the European Commission and the Evaluation Expert Committee for Rural
Development. Selected experts (Robert Lukesch, Roberto Cagliero, John Grieve, Judit Habuda,
Morten Kvistgaard, Enrique Martínez-Cantero, Angelos Sanopoulos, Dirk Schubert, João Pedro Silva)
have contributed their wealth of evaluation experience to the text. Members of the Evaluation Expert
Committee acted as a sounding board to check whether successive drafts of the text were adapted to
the needs of the target audience. Representatives of DG Agriculture and Rural Development, DG
Environment, DG REGIO and DG MARE have ensured the coherence of the guidelines within the EU
policy framework. The Helpdesk of the European Evaluation Network for Rural Development
coordinated and facilitated the drafting process.
The rural development ex ante guidelines are non-binding in nature and complement related legal
acts. The present document has been drawn up on the basis of the Regulations published in the
Official Journal of the European Union on 20 December of 2013, namely the Regulation (EU) No
1303/ 20131 and the Regulation (EU) No 1305/20132. It does not prejudge the final content of any
delegated or implementing acts that may be prepared by the Commission.
Brussels, June 2014

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Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013 laying down common provisions on
the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural
Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development
Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC)

No 1083/2006
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Regulation (EU) No 1305/2013 of the European Parliament and of the Council of 17 December 2013 on support for rural development by
the European Agricultural Fund for Rural Development (EAFRD) and repealing Council Regulation (EC) No 1698/2005
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Guidelines for the ex ante evaluation of 2014-2020 RDPs

ACRONYMS
AIR Annual Implementation Report
CAP Common Agricultural Policy
CEP Country Environmental Profile
CIA Cross Impact Analysis
CLLD Community-Led Local Development
CF Cohesion Fund
CSF Common Strategic Framework
DG AGRI Directorate-General for Agriculture and Rural
Development
DG BUDGET Directorate-General for Budget
DG EMPL Directorate-General for Employment Social
Affairs and Inclusion
DG ENV Directorate-General for the Environment
DG MARE Directorate-General for Maritime Affairs and
Fisheries
DG REGIO Directorate-General for Regional Policy
EAE Ex ante evaluation
EAFRD European Agricultural Fund for Rural
Development
EAGF European Agricultural Guarantee Fund
EC European Commission
EIA Environmental Impact Assessment
EIP European Innovation Partnership
EMFF European Maritime and Fisheries Fund
ENRD European Network for Rural Development
ERDF European Regional Development Fund
ESI Funds European Structural and Investment Funds
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Guidelines for the ex ante evaluation of 2014-2020 RDPs

ESF European Social Fund
ETC European Territorial Cooperation
EU European Union
LAG Local Action Group
LDS Local Development Strategy
MA Managing Authority
NRN National Rural Network
RDP Rural Development Programme
SEA Strategic Environmental Assessment
SPF Strategic Policy Framework
SWOT Strengths, Weaknesses, Opportunities, Threats
TA Technical Assistance
ToR Terms of Reference

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Guidelines for the ex ante evaluation of 2014-2020 RDPs

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