1.1. Legal Framework of the Ex-Ante Evaluation and Sea

Annex 1 – Terms of Reference

“External expertise for performing the ex ante evaluation and the strategic environmental assessment of the 2014-2020 programming period of the Cross-border Cooperation Programme Italy – Croatia 2014-2020”.

CIG Code 55307241D4

Index

Art 1 – General context......

1.1. Legal framework of the ex-ante evaluation and sea

Art. 2 - Subject matter of the contract

2.1 Object and purpose

2.2 Expected results

2.3 Content of the assignment

Art. 3 – Duration of contract

Art. 4 - Starting price

Art. 5 – Deadline for the submission of offers

Art. 6 – Participation requirements and methods for submitting tenders

6.a.1 Eligibility requirements

6.a.2 Exclusion criteria applicable for the participation in the procurement procedure

6.a.3 Exclusion criteria applicable during the procurement procedure

6.a.4 Selection criteria of economic/financial, professional and technical capacity

6.a.5 Independency

6.a.6 Documentary proof or statements

6.a.7 Documentary evidence or statement of the financial and economic capacity

6.a.8 Documentation

6.a.9 A completed financial identification form

6.b Envelope B

6.b.2 Specific components......

6.b.3 Location

6.b.4 Human resources

6.b.5 Reporting requirements

6.b.6 Monitoring and evaluation

6.c Envelope C

Art. 7 – Awarding criteria

Art. 8 – Evaluation criteria

Art. 9 - Selection

Art. 10 - Management and coordination

Art. 11 – Bail

Art. 12 – Responsibilities and obligations deriving from work relations of the contractor with third parties

Art. 13 – Memo payments

Art. 14 - Transfer of ownership and copyrights

Art. 15 – No subcontracting and transfer of contract

Art. 16 – Right to withdrawal

Art. 17 – Termination of contract

Art. 18 – Reduction of remuneration

Art. 19 - Jurisdiction

Art. 20 - Referral

Art1–General context

The new rules and legislation governing the next round of EU Cohesion Policy investment for 2014-2020 have been formally endorsed by the Council of the European Union and published in the 'Official Journal of the EU' on 20th December 2013[1]. According to the new regulations, European Territorial Cooperation (ETC) will be continued and even reinforced as separate cohesion goal. For the first time the legislative package for Cohesion Policy comprises an own regulation for ETC to make the provisions more tailor-made for co-operation programmes. The existing strands of cross-border, transnational and interregional cooperation will be maintained.

The legislative package is composed of:

-Regulation (EU) No 1303/2013 of the European Parliament and of the Council of 17 December 2013: a general regulation laying down general provisions on the European Regional Development Fund (ERDF), European Social Fund (ESF), Cohesion Fund, European Agricultural Fund for Rural Development (EAFRD) and the European Fund for Maritime Affairs and fishing (FEAMP) (Common Provisions Regulation – CPR);

-Regulations (EU) No 1301/2013- 1304/2013- 1300/2013 of the European Parliament and of the Council of 17 December 2013: three specific regulations respectively on the ERDF, ESF and Cohesion Fund;

-Regulation (EU) No 1299/2013 of the European Parliament and of the Council of 17 December 2013: a regulations on the European territorial cooperation Goal

-Regulation (EU) No 1302/2013 of the European Parliament and of the Council of 17 December 2013: a regulation amending Regulation (EC) No 1082/2006 on the European Grouping of Territorial Cooperation (EGTC).

Among the main features of the regulatory framework, we find the following:

-Focus funding on a smaller number of priorities more closely linked to Europe 2020;

-Better to combine all Funds (including fisheries and rural development) to give more effect to the action of the Union;

-Give priority to results;

-Monitor progress in achieving agreed objectives;

-Increased use of compliance rules;

-Simplify the implementation.

Special provisions have been adopted in relation to the objective "European Territorial Cooperation" including geographical, financial, investment priorities and concentration, programming, monitoring and review, technical assistance, financial support and eligibility, management, control and certification, financial management. Under the objective "European Territorial Cooperation", the ERDF supports cross-border, transnational and interregional cooperation (Art. 2 and 3[2]).

The discussion on the possible geography of the new generation of Programmes of the ETC Objective is on-going. On 5th June 2012 the European Commission organised a meeting with representatives of EU Member States, Norway, Croatia and the Macro-regional Strategies with the aim of collecting opinions on the future cross-border and transnational Programmes 2014-2020.

One of the results of this meeting was the first discussion about a new CBC programme between Italy and Croatia.

At the end of 2012[3], the European Commission presented a draft decision on ETC 2014-2020 geographical areas (Article 3 ETC Regulation), and included the proposal of a new cross-border programme between Italian and Croatian territories.

During the first kick off meeting that took place in Rome on 8th March 2013, Italian and Croatian Authorities agreed on the establishment of a Task Force for 2014-2020 Italy – Croatia ETC Cross-border Programme, whose mission is to prepare the Italy-Croatia Cross-border Programme to be approved by the European Commission.

As stated in the Rules of Procedure of the Task Force approved on the first meeting, the main tasks of the Task Force are the following:

(a)coordinating all preliminary and drafting activities concerning 2014 – 2020 ETC cross-border Programme Italy-Croatia definition;

(b)defining methods and procedures to develop an evidence-based analysis of the territorial needs and challenges of a future Programme area;

(c)involving the national and regional level of the participating countries in the preparation process;

(d)stimulating and coordinating the dialogue among relevant stakeholders, linking it to the preparation process;

(e)developing the contents of Terms of Reference for subcontracting external experts;

(f)supervising and coordinating the work of the external experts;

(g)coordinating the work of sub-committees / working groups (if any) established.

On the basis of the internal discussion the Task Force has also shared a Timetable, defining in particular which activities are going to be outsourced to external experts, as showed in the following table.

Based on the fact that current ETC Programmes are charged with the task of the preparation of the future 2014-2020 programmes deriving from them, and that IPA Adriatic CBC Programme is no longer envisaged in the Commission’s proposal, the responsible authorities for Italy and Croatia, partially the successors of the IPA Adriatic CBC Programme, formally requested the use of technical assistance resources for the preparation of new cross-border programmes deriving from IPA Adriatic CBC Programme during the 14th JMC meeting, held in L’Aquila (Italy) on 18th and 19th April 2013.

Following the IPA Adriatic CBC Programme JMC decision to finance the preparation of new cross-border programmes deriving from IPA Adriatic CBC Programme,and the JMC formally granted this authorization during the 14th JMC meeting, held in L’Aquila (Italy) on 18th and 19th April 2013 (Item 5).

On 16/10/2013 the Joint Monitoring Committee of the IPA Adriatic CBC Programme has formally authorized the allocation of 180.000,00 EUR from the technical assistance resources for the preparation of the Italy-Croatia ETC CBC Programme 2014-2020 and, consequently, the Task Force of the Italy-Croatia CBC Programme started to launch the two above mentioned tenders for external experts selection.

A new management structure (Managing Authority / Joint Secretariat) will be established for the technical implementation of the Programme to be hosted by one of the Member States. The future Managing Authority will support the work of the Task Force by technical co-ordination and support.

1.1.Legal framework of the ex-ante evaluation and SEA

According to article 55 of the Common Provisions Regulation (hereinafter CPR), an ex-ante evaluation shall be carried out to improve the quality of the design of each programme. The ex-ante evaluation shall be submitted to the European Commission at the same time as the Programme, together with an executive summary.

As general objectives of the evaluation the above-mentioned proposal for a Council Regulation defines the following (article 55):

The ex-ante evaluation shall appraise:

-the contribution to the Union strategy for smart, sustainable and inclusive growth, having regard to the selected thematic objectives and priorities, taking into account national and regional needs and potentials for development as well as lessons drawn from previous programming periods;

-the internal coherence of the proposed programme or activity and its relationship with other relevant instruments;

-the consistency of the allocation of budgetary resources with the objectives of the Programme;

-the consistency of the selected thematic objectives, the priorities and corresponding objectives of the programmes with the Common Strategic Framework, the Partnership Agreement and the country-specific recommendations adopted in accordance with Article 121(2) TFEU and where appropriate at national level, the National Reform Programme;

-the relevance and clarity of the proposed programme indicators, how the expected outputs will contribute to results, whether the quantified target values for indicators are realistic, having regard to the support from the ESI Funds envisaged, the rationale for the form of support proposed;

-the adequacy of human resources and administrative capacity for management of the Programme;

-the suitability of the procedures for monitoring the Programme and for collecting the data necessary to carry out evaluations;

-the suitability of the milestones selected for the performance framework;

-the adequacy of planned measures to promote equal opportunities between men and women and to prevent discrimination, in particular as regards accessibility for persons with disabilities;

-the adequacy of planned measures to promote sustainable development;

-measures planned to reduce the administrative burden on beneficiaries.

The ex-ante evaluation shall incorporate, where appropriate, the requirements for Strategic Environmental Assessment set out in implementation of Directive 2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment.

Cohesion policy for the period 2014-2020 must be strongly oriented towards results in order to contribute to the Union strategy for smart, sustainable and inclusive growth (Europe 2020 strategy). To this end the regulation increases the importance of well-designed programmes taking into account European, national and regional needs, and focused on the results they want to achieve.

The role of the ex-ante evaluation is thus reinforced in the new programming period. It should ensure that the operational programmes clearly articulate their intervention logic and can demonstrate their contribution to the Europe 2020 strategy. It should also help to put in place functioning monitoring systems which meet evaluation requirements. Its recommendations should be clear, based on evidence and adapted to the particular needs of the programmes.

For these reasons EU COM has defined and published a “Guidance document on ex-ante evaluation”[4] that represents the main reference document depicting the requirements of an ex-ante evaluation in the framework of Cohesion Policy 2014-2020 and of the first part of service object of this invitation to submit a non-binding offer. According to the EU COM Guideline, ex-ante evaluation “should accompany the design of the programmes and appraise their different components from the selection of the thematic objectives to the set-up of a functioning monitoring and evaluation system”.

On a more general/methodological level, relevant guidance for the evaluation is available in the Evalsed guide on the evaluation of socio-economic development[5].

With regard to the legal framework for the SEA, the mentioned EU COM Guideline also contains a specific section provided in Annex 1 on the SEA of programmes within the Cohesion Policy, while more in-depth information on the SEA Directive can be found in the guidance on the “Implementation of Directive 2001/42/EC on the assessment of the effects of certain plans and programmes on the environment”[6]. In compliance with the requirements set in Article 3 of the Directive 2001/42/EC, it cannot be excluded that the Italy-Croatia CBC Programme might trigger environmental effects. Accordingly, an environmental assessment is required and forms the second part of the object of this invitation to submit a non-binding offer.

The following relevant documents (and further updates) has to be observed in the presentation of the proposal and in the implementation of the charged activities:

-Common Provisions Regulation (CPR) (Reg. EU No 1301/2013), especially Article 54 (Evaluation-General Provisions), Article 55 (Ex-ante Evaluation);

-European Territorial Cooperation (ETC) Regulation (Reg. EU No. 1299/2013), including Article 8 (Content of the cooperation programmes) and Article 16 (Indicators for the ETC goal);

-European Regional Development Fund (ERFD) Regulation (Reg. EU No. 1301/2013);

-Annex I of the CPR (Common Strategic Framework);

-EC Guidance document on ex-ante evaluation, January 2013;

-Draft template and guidelines for the content of the cooperation programme by EU COM;

-EC Guidance document on monitoring and evaluation of European Cohesion Policy Concepts and Recommendations, January 2014;

-Directive 2001/42/EC of the European Parliament and of the Council of 27 June 2001 on the assessment of the effects of certain plans and programmes on the environment the strategic environmental assessment[7];

-Commission`s Guidance on the implementation of Directive 2001/42/EC[8];

-Evalsed guide on the evaluation of socio-economic development;

-INTERACT Cross-programme evaluation;

-Draft report of the follow-up exercise to the ex-post evaluation of INTERREG III;

-INTERACT Handbook: Practical Handbook for Ongoing Evaluation of Territorial Cooperation Programmes.

Art. 2-Subject matter of the contract

2.1 Object and purpose

The aim of this invitation to submit an offer consists in the execution of the ex-ante evaluation and SEA of the future Italy – Croatia CBC Programme for the perspective 2014-2020 which is currently under preparation.

The purpose of this contract is to select the independent evaluators who will be charged with performing the ex-ante evaluation and the Strategic Environmental Assessment in order to accompany the design of the Programme and to appraise its adequacy to the required elements stated in the EU Cohesion Policy Regulations and in the above mentioned EU Guidelines.

2.2 Expected Results

The results to be achieved through the evaluation process by the Contractor are the following:

-preparation of a final ex-ante evaluation report, bringing together all elements of the evaluation according to Article 55 of CPR and EU Commission’s Guidance Document on Ex Ante Evaluation;

-submission of the ex-ante evaluation Report with the draft operational programme to the European Commission;

-elaboration of the executive summary of the ex-ante evaluation report;

-preparation of the Environmental Report according to Directive 2001/42/EC;

-the integration of environmental considerations into the Operational Programme in order to be in accordance with the sustainable development principle;

-elaboration of all the required information to be submitted to the Commission in relation to the SEA.

2.3 Content of the assignment

General description

All programmes shall be accompanied by the ex-ante evaluation as set out in Article 54[9], that shall incorporate, where appropriate, the requirements for Strategic Environmental Assessment (SEA)[10].

The aim of this invitation to submit a non-binding offer consists in the execution of the ex-ante evaluation and SEA to accompany the design of the Programme which is currently under preparation.

All the activities for the definition and the evaluation of the Programme will be part of an interactive process between experts and the Task Force and other representatives of States participating in the Programme.

The ex-ante evaluation has as overarching objective the improvement and strengthening of the final quality of the programmes.

The ex-ante evaluation should be seen as a useful supporting process and advice from the evaluators should be fully considered. The ex-ante evaluation is a compulsory part of the process of preparing the future Programme. It is completed before the implementation of the new Programme and is the essential basis for leading the future Programme and subsequent assessments and aims to illuminate on the choices to make.

This assessment should address the relevance of the territorial diagnosis and appropriateness of the strategy in relation to the diagnosis, the consistency of the strategy in relation to the financial resources allocated and in line with regional, national and community policies, the quality of indicators used to measure the effects, and the provisions for implementation.

Article 55 (3) of the CPR includes various elements of the operational programmes that must be taken into account by the ex-ante evaluation. The guidance document published by the EU COM outlines the requirements and provides recommendations on how to address them.

The SEA specifically has the objective of integrating environmental considerations into the preparation and adoption of the Italy-Croatia CBC Programme with a view to promoting sustainable development. SEA shall produce all compulsory elements as stipulated in Article 5 and Annex 1 of Directive 2001/42/EC, to be delivered in the “Environmental Report”.

Programmes co-financed by the EU fall under the scope of the SEA Directive (Art. 2). In principle, most programmes co-financed by the ERDF and the CF will require a SEA while in most of the cases, a SEA will not be required for ESF Programmes. The SEA has to be carried out during the preparation of the programmes and to be completed before their adoption.

For ETC Programmes prepared in 2007-2013, the SEA process ran in parallel to the ex-ante evaluations and often main findings were incorporated into ex-ante reports. The need to perform SEA for the 2014 – 2020 programming period remains.

The ex-ante and SEA evaluators shall provide clear recommendations to the bodies involved in the preparation of the Italy-Croatia CBC Programme. Such recommendations must be based on evidence and adapted to the particular requirements of the Programme.

Moreover, the ex-ante evaluation shall incorporate lessons learned from previous analyses or evaluations (e.g. on-going evaluation of the IPA Adriatic CBC Programme 2007-2013, ex post evaluation of the Interreg III Programmes 2000-2006, thematic evaluations or studies undertaken on similar fields of intervention even outside the Structural Funds, etc.). All outputs shall be provided in English.

Art. 3–Duration of contract

The period of implementation of the contract will be from its signature until one month after the approval of the OP by the European Commission.