European Social Fund and European Regional Development Fund: monitoring and evaluation strategy

Governance and resources

In accordance with the Common Provision Regulation Article 54 (3) evaluations shall be carried out by experts or bodies (internal or external) that are functionally independent of the implementing, certifying or audit authorities. The roles are set out in section 4.3 of this document. This section focuses on explaining the Scottish Government’s approach to evaluation, outlining the structure of the evaluation elements in the MA.

Scottish Government, as the MA, will draw on internal expertise where possible, in particular using the wider expertise of policy and analytical divisions across the organisation. To maintain impartiality, however, the MA will also determine whether internal or external resources are most appropriate for an evaluation, and consider whether there is any need for separation alongside value for money and quality of output.

Managing Authority

Monitoring and Evaluation functions in the Scottish Government European Structural Funds Division (ESFD) are carried out by the Stakeholder Engagement, Communication and Governance Team (SECG). The SECG Team is responsible for designing and maintaining the monitoring system for the Operational Programmes (OPs). The team is also responsible for co-ordinating and producing reports, including the Annual Implementation Reports (AIRs), various reports for the Programming Monitoring Committee (PMC) and data for external briefings and requests.

The team works closely with the three Growth teams built around the themes Smart, Sustainable and Inclusive, with these providing the necessary specific project information, contacts and expertise. The Growth teams will ensure that routine monitoring data is collected from supported operations, and that this data is available on the management information system EUMIS. This data is then used to inform the PMC and to underpin long-term quantitative evaluations and suggest areas for qualitative evaluation.

The team provides advice and guidance to Lead Partners and project sponsors in relation to their own project-level evaluations and on complying with monitoring obligations. The guidance prepared will include indicator definitions, monitoring data requirements and technical support on evaluation.

The team is also involved in both the DG Employ ESF Partnership meetings and the DG Regio Evaluation Network, which are useful for sharing good practice and forging links with other regions, alongside looking at synergies between all European Instruments (including Horizon 2020 and the European Territorial Co-operation Programmes).

Office of the Chief Economic Adviser

The Office of the Chief Economic Adviser (OCEA), provides high-quality analytical support for Ministers and colleagues across government on all aspects of the Scottish economy, the public finances and the economics of constitutional change and provides analytical support to Directorates across Scottish Government.

OCEA has five key aims:

• to provide economic analysis, statistics and research which are insightful, accurate and timely
• to produce high-quality analysis and statistics which are underpinned by robust models and data, and draw on external expertise as appropriate
• to continuously improve and expand analytical expertise
• ensure work is communicated in a clear and accessible manner which maximises its impact
• work collaboratively with policy, communication and Special Adviser colleagues to embed analysis in the wider policy development process

In addition to the five key aims, OCEA also provide advice on the use of national statistics and provide other, ad hoc statistics as required.

The Office of the Chief Economic Adviser also acts as the office for the Chief Professional Officer for all economists in the Scottish Government, with responsibility for recruitment, training and development, and maintaining links with the UK Government Economic Service.

OCEA statistics and analysis are independent of Scottish Government policy teams and Ministerial decisions and form an impartial basis for government decisions.

The SECG team works alongside multiple teams in OCEA to assist the evaluation process.

Programme Monitoring Committee (PMC)

Scotland has established a PMC for two ESIF Funding programmes; European Social Fund (ESF) and European Regional Development Fund (ERDF). The PMC shall periodically review and examine the quality and the results of implementation of the OPs and, in particular, progress made towards achieving targets linked to the financial and physical indicators of the OP’s. The PMC will meet at least twice a year, generally in spring and autumn where members will be updated on delivery against the OP and will discuss potential solutions or mitigating circumstances regarding performance. Analysis and discussion of progress and routine monitoring reports at the PMC should be one of the key drivers of evaluation, for example in selecting evaluations in addition to those mandated by regulations focusing on particular aspects of Scottish programming which appear to be performing particularly well or particularly poorly.

The PMC and other governance committees have provided input into this plan, which has led to extensive improvements; and further suggestions around evaluation of the impact of the Funds in particular regions, such as the Highlands and Islands or deprived urban settings.

The PMC should also be actively involved in analysis of the evaluation results and recommendations, as well as using them effectively as a contribution to decision- making, particularly where it appears programmes need adjustment in order to deliver against the agreed objectives and targets. The MA will report findings from stakeholder engagement to the PMC.

External expertise

External independent evaluations will play a key role in ensuring appropriate lessons are learnt from the current programmes. The team will ensure that single contracts for specific evaluations are carried out in accordance with the regulatory requirements, in line with this evaluation plan.

Scottish Government will ensure we get the best available consultants for each specific evaluation, potentially drawing upon the skills and knowledge of multiple evaluators.

Good practise mechanisms within the UK

Scotland remains committed to continued cooperation with the other MAs in the UK.

ESFD plays an active role in the UK Partnership Agreement (PA), regulary updating Department for Business, Energy and Industrial Strategy (BEIS) who are the UK co-ordinating body for the PA. In addition to this, the ESFD contributes to the Progress Report and the Annual Review Meeting.

Within this group, there is scope to convene smaller working groups to address specific issues. This would allow Scotland to hone in on best evaluation practice.