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MONITORING SYSTEM OF EU STRUCTURAL FUNDS : P HYSICAL INDICATORS

MONITORING SYSTEM OF EU STRUCTURAL FUNDS : P HYSICAL INDICATORS. The Ministry of Finance of the Republic of Lithuania. International Conference for New Member States February 1-2 , 2012, Vilnius (Lithuania). European Social Fund European Regional Development Fund Cohesion Fund.

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MONITORING SYSTEM OF EU STRUCTURAL FUNDS : P HYSICAL INDICATORS

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  1. MONITORING SYSTEM OF EU STRUCTURAL FUNDS:PHYSICAL INDICATORS The Ministry of Finance of the Republic of Lithuania International Conference for New Member States February 1-2, 2012, Vilnius (Lithuania) European Social Fund European Regional Development Fund Cohesion Fund

  2. Aim and structure of the presentation • Aim is to overview Lithuanian monitoring system of physical indicators, as background for the discussion on experience of other countries • Structure: • Planning process of indicators • Data gathering process • Progress made and problems to be solved • Challenges for the future

  3. Categories of physical indicators • NSRF: context indicators • OP: context, core, result and product indicators • Evaluations: impacts

  4. Planning Process of Indicators (I)Top-down Approach OPERATIONAL PROGRAMMES: OP indicators (priority level) OP COMPLEMENTS: OP and national indicators (measure level) GUIDELINES FOR APPLICANTS: OP and national indicators (calls for proposals) APPLICATIONS ANDCONTRACTS: OP, national and project indicators (project level)

  5. Planning Process of Indicators (II) • 4 OP: HRD, EG, PC, TA. • 16 OP priorities. 195 OP measures. Each OP priority is implemented through approximately 12OP measures. • Each OP priority has approximately 10 OP indicators (5 output and 5 result indicators). • Each OP measure has approximately 1OP indicator and 3national indicators. • Total number of OP indicators: 160 (86 output and 76 result indicators). • Total number of national indicators: 537 (282 output and 255 result indicators).

  6. Methodological Guidelines • Basic principles for the planning, monitoring and calculation of indicators are laid down in the Guidelines adopted by the Managing Authority. • In accordance with these guidelines the general descriptions for the calculation of all indicators have been prepared by the ministries and approved at the committee for OPs management. • Concrete descriptions for the calculation and measurement of indicators of the specific measures are being approved in every guidelines for applicants for a particular OP measure.

  7. Examples of the Descriptions of Indicators

  8. Data Gathering Achievements Targets / baselines OP’s Payment claims IT system OP complements Project reports after project completion Reports Contracts Studies / evaluations

  9. Progress made

  10. In progress… • Amendment of indicators and their targets set in the OP’s. • Unification of the descriptions of the same OP indicators. • Preparation of the methodology for application of financial sanctionsfor beneficiaries. • Creation of risk managements tools for the achievement of indicators and their targets. • Development of an instrument for simulation/ prognosis of likelihood of achieving targets.

  11. Example 1: main principles for application of financial sanctions for beneficiaries • If value of indicator is decreased or not achieved directly due to the decrease or non-fulfillment of scope of project activity, then implementing body should adopt decision to decrease funds allocated to the project or to return part of the disbursed funds proportionatelyaccording to the scope of decreased/non-fulfilled project activity. • If value of indicator is decreased or not achieved because of the influence of external factors which do not depend on (non)activity of beneficiary, then decision to decrease funds allocated to the project or to return part of the disbursed funds is not taken. • If the value of indicator is decreased or not achieved because of the non-effective performance of project activity, then it should be adopted decision to decrease or return part of the funds proportionatelyaccording to the scope of non-effectively performed project activities or decreased/non-achieved part of the indicator in project budget following the methodology prepared in advance by implementing bodies.

  12. Example 2: risk managements tool for the achievement of indicators Risk level is assessed comparing: • Share of targets of physical indicators planned in the OP or its complements with shares of contracted values of physical indicators and allocations. • Share of targets of physical indicators planned in the OP or its complements with shares of achieved values of physical indicators and expenditure paid. • Share of contracted values of physical indicators and allocations with shares of achieved values of physical indicators and expenditure paid.

  13. Example 3: an instrument for annual forecasts of likelihood of achieving targets • The aim of the instrument is to see tendencies of achieving targets from the beginning of the period until the end of the period (2015) and to get forecast of the achievements in each upcoming calendar year. • The basis of forecast is data from contracts: • Targets that should be achieved during the project will be assigned to that calendar year in which the project is supposed to be finished. • Targets that should be achieved after the project completion will be assigned to that calendar year after the project implementation which is attributed to certain indicators. • Weakness: forecasts will be available only for the targets set in the contracts.

  14. Problems to be solved • Annual plans for achievement of physical indicators are not prepared and intermediate targets are not set. • No any formal linkage between physical and financial indicators in planning process (at OP or project levels). • Financialsanctions for the beneficiaries are not applied systematically in case of underachievement of physical indicators.

  15. Challenges for the future • Result-based management: • Setting of mid-term targets for outputs and results in performance framework. • Unit costs for indicators? Integrated financial and physical progress planning and periodic monitoring. • Performance review leading to performance bonus or financial sanctions. Annual plans for the achievement of physical indicators are needed? • New logic for result indicators (in ERDF): • Data collection from projects and external sources.Use of national statistics for result indicators. • Evaluation of EU structural funds’ impact to the changes of result indicators. Contribution of other factors. • Contrafactual evaluations. Can physical indicators provide sufficient information? • …?

  16. Thank You for Your Attention For more questions:e-mail: v.krasauskaite@finmin.lt

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