Guidance note on transnational cooperation
in the context of ESF 2014-2020
Introduction
1. Scope of the note
Transnational cooperation is a wide concept than can take different forms and be subject to different frameworks. The aim of this note is threefold:
· provide guidance as regards the definition and ways of implementing transnational cooperation within the meaning of Article 10 ESF
· provide an overview of potential synergies and complementarities between transnational cooperation as defined in Article 10 ESF and other EU instruments. In this regard, the note will in particular focus on the synergies and complementarities between transnational cooperation and macro-regional strategies due to their relevance to promote social, economic and territorial cohesion.
· provide answers to specific issues raised by both Member States and ESF geographical desks in relation to the implementation of transnational cooperation in the context of ESF.
2. General remarks – added value of transnational cooperation
Transnational cooperation can take many different forms. Member States and regions have to make some strategic choices on how to integrate transnational cooperation into the operational programmes. This includes considering the policy areas and themes for transnational cooperation which could add most value in their programmes. In accordance with the CSF (Annex I CPR) Member States are to seek to address the policy areas identified in the relevant CSRs in order to maximise mutual learning. A transnational dimension has an important multiplier effect: it strengthens the capacities to innovate, modernise and adapt institutions to new social and economic challenges, it helps identify and assess issues and solutions for reforms in policy and delivery in order to meet the Europe 2020 headline targets, in particular those related to employment, poverty reduction, early school leaving and participation in tertiary education and it improves the quality of governance. Exchange of information, sharing of good practice, and working together towards common solutions in a multicultural environment has proven to be an effective tool that adds value to results.
Transnational cooperation under Article 10 ESF
1. Scope
Article 10 (1) of the ESF Regulation requires Member States to implement transnational cooperation with the aim of promoting mutual learning and thereby increasing the effectiveness of policies supported by the ESF by involving partners from at least two Member States. Contrary to the 2007-2013 programming period, transnational cooperation is now mandatory. However, this obligation is applied at Member State level and is not compulsory for every Operational Programme. Moreover, as stated in Article 10(2) ESF, derogations to the above obligation could be granted to Member States with a single OP supported by the ESF or a single multi-fund OP. In these cases Member States may exceptionally, in duly justified cases and taking account of the principle of proportionality, choose not to support transnational cooperation actions.
In the light of the above, the key criteria of transnational cooperation under Article 10 ESF consist of:
A) Promotion of mutual learning: The purpose of transnational cooperation is to promote mutual learning. Therefore, cooperation activities that do not seek to promote mutual learning cannot be considered as transnational cooperation within the meaning of Article 10 of the ESF Regulation. Mutual learning means exchange of information, sharing, assessing and adapting good practice, but also working together towards common solutions by bringing together people, administrations, social partners, NGOs and organisations in the field of employment, social inclusion, education , training and life-long learning as well as capacity building of administration and other stakeholders. The main purpose of mutual learning is to contribute to the quality and effectiveness of employment and social policies and delivering reforms, essentially through organised learning from experience and good practice in other Member States. It should be noted that lessons drawn by Member States from cooperation activities should be mutual but not necessarily the same. Each partner should be able to identify what they expect from learning from and with others, such as helping to develop and implement effective responses to policy needs as addressed in the Country Specific Recommendations. The purpose is, thus, to allow to tap into a pool of experience and results that can be shared and used as a basis for mutual learning to improve policy approaches and delivery systems, establishing a capacity to bring together complementary skills and resources to tackle emerging issues of European-wide interest.
B) Involvement of partners from at least two Member States: Participation of partners from at least two Member States is mandatory. Participation, however, does not necessary entail that member states will be carrying out the same activities. Participation for the purposes of transnational cooperation means cooperation, in any form, with a view to promote mutual learning through the exchange of experiences and solutions between the parts involved. It may thus entail different forms and degrees of participation from the Member States. What matters is that the participation, irrespective of its form, aims to bring mutual learning. Moreover, the involvement of partners from third countries is also possible in line with the provisions of Article 13(3)[1]. However, it should be noted that the participation of a third country does not preclude the requirement for having at least two Member States involved.
C) Programming of transnational activities at the level of OPs: Transnational cooperation, which is a tool for policy development, is to be programmed, under the most relevant investment priority/priorities of an Operational programme (or under technical assistance when the theme selected for cooperation relates to the implementation and management of the funds[2]) according to the selected themes, in three ways:
· development of a specific OP priority axis dedicated to transnational cooperation for which the ESF contribution may be increased by 10 %-points at the priority axis level ( in this case, the priority axis should identify the investment priorities under which transnational cooperation activities will be supported );
· integration of transnational cooperation , within one or more priority axis (not dedicated to transnational cooperation); and
· combination of the two principle options: a mixed approach combining the opportunity of an increased intervention rate in a dedicated priority axis with the flexibility of implementing transnational cooperation in other priority axes.
2. Selection of themes for transnational cooperation
The ESF Regulation provides two different options for the selection of themes for transnational cooperation. Member States may either (1) select a theme from a list of common themes proposed by the Commission and endorsed by the ESF Committee, or (2) opt for other themes that correspond to their specific needs. Member States may choose any of these options or both. The selection, however, should be made in partnership with the relevant partners (Article 10 (3) ESF).
3. Role of the Commission
The Commission shall facilitate transnational cooperation on the common themes and, as appropriate, on the other themes of the MS's choice through mutual learning and coordinated/joint action. To this end , it shall operate an EU-level platform for setting up of partnerships, exchange of experiences, capacity building , networking and dissemination and valorisation of the relevant outcomes and will also develop a coordinated implementation framework with a view to facilitating transnational cooperation (Article 10 (4) ESF)[3]. This is the so-called "common framework" comprising the synchronised development, launching and administration of calls for projects ( including project selection)by the participating MAs/IBs, such calls being based on the common themes. The EU-level platform shall provide support to the system through, in particular, Thematic Networks established for each common theme as well as tools to facilitate the identification of transnational partners.
Synergies and complementarities between transnational cooperation under article 10 ESF and other EU instruments supporting transnational cooperation
Apart from the cohesion policy instruments, including European Transnational Cooperation (ETC) Programmes which are supported by the European Regional Development Fund (ERDF), there are also other EU instruments supporting transnational cooperation in the areas falling under the thematic scope of ESF, ie employment, social inclusion, education , training and life-long learning, capacity building of administration and other stakeholders . This is the case, for example, of Horizon 2020, EaSI, Erasmus +, EU Health programme. Member States may find it advantageous to create synergies with the above in order to ensure complementarity between ESF funding and other already established ways of cooperation[4].
Similarly, Managing Authorities may find it advantageous to focus transnational cooperation under the ESF on specific regions or Member States by creating synergies with other frameworks, such as the Macro-regional Strategies, with a view to addressing common challenges faced by a defined geographical area . The example of macro-regional strategies below is used to illustrate how synergies and complementarities between transnational cooperation can be fostered.
1. ESF support to macroregional strategies[5] (outside of the scope of transnational cooperation)
Macroregional strategies (MRS) are defined in Article 2(31) CPR as an integrated framework, which endorsed by the European Council, which may be supported by the ESI Funds among other sources of funding, with a view to addressing common challenges faced by a defined geographical area , which thereby benefits from strengthened cooperation. The MRS address challenges which might be handled more satisfactorily in an integrated way. Typically, the MRS focus on a closed set of common challenges or "Priority Areas.
The CPR (Article 15 (2)(a)(ii) and Annex I point 7.3.) calls for MRS to be taken into account in the PAs and OP, where appropriate. This should be done by identifying those national priorities where there is a need to cooperate with other countries, which might include areas also covered by the ESF .
The involvement of the ESF in the implementation of MRS can occur through the ESF OPs (regional and/or national) by financing coordinated projects that relate or contribute to MRS. This is particularly the case of cross-border[6] training programmes or exchange programmes among the regions and Member States taking part in the macro-regional strategies. These types of projects can be financed by the ESF if they are eligible and relate to the ESF thematic objectives and investment priorities. Member States are encouraged to coordinate calls for projects in the Priority Areas of the MRS that match the ESF thematic objectives and the Programme Strategies defined in the OPs. However, in their relations with third countries, Member States should bear in mind the provisions of Article 13(3) ESF that limits the possibility to incur ESF expenditure outside the Union to 3% of the budget of an ESF OP or the ESF part of a multi-fund OP.
2. Differences between MRS and transnational cooperation under Article 10 ESF
In terms of nature, macro-regional strategies consist of a strategic framework which is created on the basis of a political commitment and agreement between Member States and, sometimes, third countries[7]. Transnational cooperation is not a political strategy. It is an instrument that is established in a legislative act (ESF Regulation) which is subject to the scope and requirements set out in that legislative act (Article 10 ESF).
In terms of objective, MRS are designed to address common challenges of a certain region. They have, thus, a regional dimension and will cover only the thematic areas which constitute a common challenge to the geographic area covered by the MRS. On the contrary, transnational cooperation is a tool developed to facilitate the implementation of ESF policies and has, therefore, an eminent thematic dimension which is not linked to a specific territory. TNC are mainly driven by the challenges which are common within a certain thematic area.
In terms of scope, while the use of transnational cooperation is limited to implement one or more of the ESF investment priorities or issues related to management and control of programmes elected by the Member States under their OPs, MRS may cover areas beyond the thematic objectives set out in the CPR.
In what concerns the involvement of the partners: MRS may (and normally do) involve third countries. Involvement of partners from at least two member states is not mandatory, although all current macro-regional strategies involve more than one Member State. As regards transnational cooperation, participation of partners from at least two Member States is mandatory; the involvement of partners from third countries is also possible in line with the provisions of Article 13(3) ESF when it comes to the areas falling under To 8 and TO 10.
On the source of funding, MRS draw support from different sources of funding (not only from ESIF), while transnational cooperation under Article 10 can only be supported by the ESF.
3. Synergies between MRS and transnational cooperation under Article 10 ESF
In spite of these differences, transnational cooperation under ESF OPs can be a tool to enhance the contribution from the ESF for the implementation of existing MRS. This may happen when a MRS covers priority areas corresponding to ESF investment priorities, such as cross-border and transnational job mobility, apprenticeship schemes, education exchange programmes, administrative capacity building, social entrepreneurship, among many others. In this situation, Member States/network of Member States participating in a MRS can use the resources available for transnational cooperation activities under article 10 ESF to enhance implementation of MRS on the ground, for example, by generating ideas for common projects, discussing common challenges, identifying key players on the ground as potential partners and beneficiaries.
By the same token, the Managing Authorities may find it advantageous to focus transnational cooperation on specific regions or Member States by creating synergies with MRS. This happens when these specific regions or Member States are also involved in a MRS that covers common key labour market and social inclusion challenges which also correspond to themes that can be selected for transnational cooperation.
In conclusion, it should be noted that in all cases transnational cooperation must always fulfil the criteria of Article 10 ESF (see point 2.1 above).
Questions raised by Member States with regard to the implementation of transnational cooperation
In this section of the note we intend to provide clarifications to questions raised by Member States with regard to the implementation of transnational cooperation.