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7. MONITORING AND EVALUATION

7.1 Evaluation

In accordance with general provisions in Articles 45 and 46 of the General Regulation, the evaluations covered under this Operational Programme will aim to improve the quality, effectiveness and consistency of the assistance provided under the Programme.

Our approach to evaluation activity builds on the lessons learned from the European Structural Funds Evaluation Strategy of 2000-06 and the refreshed Strategy covering the years 2004-06. Underpinning the activity in the Operational Programme requires an overall evaluation approach to ensure:

• We are definite on what our overall aims are for the Programme.
• We anticipate how these will be achieved within the Programme.
• We know what outputs and results we expect from the Programme.
• We have a clear vision of how the outputs and results relate to the Lisbon Agenda aims and domestic policy objectives.
• We have an understanding of how we measure the wider impacts the Programme's results have made.

Evaluations will be carried out by experts or bodies, internal or external, functionally independent of the Scottish Certifying and Audit authorities and will be financed from Technical Assistance. The following sets out the expected evaluation activity to be covered in the lifetime of the 2007-13 Programme.

• Ex-ante evaluation - the evaluation cycle is required to start with an ex-ante evaluation of the Programme, an iterative process ongoing in relation to this Operational Programme.
• Mid-term evaluation - in applying the lessons from the 2000-06 programmes it is important to recognise the need to review how the programmes are performing at a point suitable to an actual halfway stage of the Programme. The experiences of the previous Programme evaluations - the mid-term Evaluation (2003) and the mid-term evaluation update (2005) - show the key is to measure programmes when they have been under actual operation for a time period which is not too early to report on results or, conversely, too late to affect any important change of direction to the Programme. A decision on the optimum time to undertake a mid-term evaluation would therefore be taken at the appropriate time after the Programme is fully underway, in consultation with the Programme Monitoring Committee and the European Commission.
• Project evaluation - with a reduced amount of Structural Funds from the previous period, a key element to our evaluation approach in the Programme is to gain a better understanding of the impact of Structural Funds at a project level. For a certain number of projects, within an appropriate capacity level, it is our intention to provide an amount to be spent as an eligible cost for a dedicated project evaluation to be undertaken. This takes in lessons learned from the EQUAL Programme evaluation approach in the 2000-06 Programme and allows for evaluation to tackle some of the areas that are not possible to capture in wider level evaluations or through monitoring systems. This approach should create more meaningful and qualitative feedback on how projects can best perform. Guidance will be provided on the areas and structure to be covered within these evaluations, but one important focus will be for projects to analyse their own sustainability over a longer term period.
• Ex-post evaluation - it will be the Commission's responsibility to carry out an ex-post evaluation, in line with Article 47 of the Council Regulation, to be completed by 31 December 2015.

7.2 Monitoring

Monitoring will be the joint responsibility of the Managing Authority, the Monitoring Committee and partners in the Programme Management Executive and co-financing organisations, in accordance with Article 65 of the General Regulation.

This monitoring will ensure the quality and effectiveness of implementation through assessment of progress towards achievement of the indicators defined in the Operational Programme. In drawing up indicators, account has been taken of the indicative methodology and practical guidance in the Commission Working Paper Indicators and Evaluation: A Practical Guide including the main messages of that paper concerning:

• creating an evolutionary approach from existing indicators
• concentrating on better focused and a less complex set of activity measuring
• making clear links to priorities within EC policies, and
• adopting a broader approach to the concept of core EU indicators.

Monitoring data also aims to be consistent with approaches across other areas of the United Kingdom, where practical to do so. Indicators will feature in both annual reporting of programmes and in evaluation work to be undertaken in the lifetime of the Programme.

7.3 Reporting

Reporting will also be the joint responsibility of the Managing Authority, the Monitoring Committee and partners in the Programme Management Executive and co-financing organisations, in accordance with Article 66 of the General Regulation.

An annual report for the Programme shall be provided for the first time in 2008 and by 30 June each year and thereafter for the length of the Programme period. The first report will be due by 30 June 2008. The report will be examined and approved by the Monitoring Committee before being sent to the Commission. The Managing Authority and Programme partners are however setting a voluntary target date of prior submission to the European Commission of 30 April each year.

The Annual Report shall include the information set out in detail under Article 62(2) of the General Regulation, which includes:

• progress made in implementing the Programme;
• an update on the financial implementation of the Programme;
• an indicative breakdown of the allocation of the Funds by category;
• steps taken by the Managing Authority, partners and Monitoring Committee to ensure the quality and effectiveness of implementation;
• measures taken to provide information on and publicise the Programme;
• information about significant problems in terms of compliance with community law;
• progress and financing of major projects;
• use of assistance made following financial corrections, in accordance with Article 99(2); and
• cases of modification, in accordance with Article 56.

The Commission shall inform the Programme of its opinion on the admissibility of report within 10 days of days of its receipt and offer its opinion on the content within 2 months. Following consideration by the Commission, the Managing Authority and partners, the Monitoring Committee will adopt the AIR and agreed adjustments to the Operational Programme.

An annual review between the Commission, the Managing Authority and partners shall also take place, in accordance with Article 67. The review shall examine progress made in the proper functioning of the operational Programme, the principal results achieved, the financial implementation and other factors, with a view to improved delivery.

A final report on the implementation of the Operation Programme shall also be provided, as outlined by Article 66, by 31 March 2017. The same content and procedure (submission to the Commission by the Managing Authority after examination and approval by the Monitoring Committee) for annual reports apply to the final report.

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