1. INTRODUKTION Læsevejledning Forkortelser... 3

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2 Evalueringsrapport Side i 1. INTRODUKTION Læsevejledning Forkortelser EXECUTIVE SUMMARY Overall conclusion Programme and strategy The ex ante evaluation Programme relevance Programme and project administration Administration Programme Monitoring Committee (PMC) Application and approval procedures Information The controller function Audit OPUS Programme performance up to now Impact Output and outcome Immediate performance Unexpected effects Cost effectiveness Socio-economic frameworking Additionality Gender mainstreaming Mainstreaming: From calm waters to mainstream Empowerment National and transnational partnership function SAMMENFATNING Samlet konklusion Program og strategi Ex ante-evalueringen Programmets relevans Program- og projektadministration... 27

3 Evalueringsrapport Side ii Administration Programovervågningsudvalget Ansøgnings- og godkendelsesprocedurer Informationsindsats Controllerfunktionen Revisionen OPUS Programmets foreløbige resultater Impact Output og outcome Umiddelbare resultater Uforudsete effekter Omkostningseffektivitet Socioøkonomisk rammesætning Additionalitet Kønsligestilling Mainstreaming: Fra smult vande til hovedstrøm Empowerment Funktionen af de nationale og transnationale partnerskaber TEMATISK OG METODISK FOKUS FOR EVALUERINGEN Tematisk fokus for evalueringen Metodisk fokus for evalueringen Formål med det metodiske fokus Lærende evaluering Dataindsamling Telefoninterview Individuelle interview Fokusgrupper og innovationsværksteder Desk research og data mining Afsluttende aktiviteter PROGRAM OG STRATEGI Ex ante-evalueringens fortsatte gyldighed Programmets relevans Ny lovgivning Flere i arbejde EQUAL og den nye NAP proces EQUAL og NAP-inclusion EQUAL og Lissabonprocesserne Styrkelse af programrelevansen Konklusioner og anbefalinger i forhold til Programstrategien... 59

4 Evalueringsrapport Side iii 6. PROGRAM- OG PROJEKTADMINISTRATION Program- og projektadministrationen Anbefalinger Programovervågningsudvalget (POU) Ansøgnings- og godkendelsesprocedurer Informationsindsats Informationsspredning på forskellige niveauer Det elektroniske ansigt udadtil Let adgang til hurtigt overblik Tryksager og publikationer Hjemmesiden for projekterne Informationer og formidling via pressen Anbefalinger Controllerfunktionen Anbefalinger Revisionen Anbefalinger OPUS Anbefalinger PROGRAMMETS FORELØBIGE RESULTATER Impact Output og outcome Umiddelbare resultater Uforudsete effekter Omkostningseffektivitet Anbefalinger SOCIOØKONOMISK RAMMESÆTNING Additionalitet Forståelse af additionalitet Additionalitetskriterier og forskellen på additionalitet og innovation Additionalitet en vurderingssag Anbefalinger Kønsligestilling Hvilke krav stilles der til kønsligestilling? Forskellige kønsligestillingsaspekter Kønsligestilling i projekterne Barrierer for kønsligestilling Indsatsområder og muligheder Indikatorer for kønsligestilling Anbefalinger... 99

5 Evalueringsrapport Side iv 8.3 Mainstreaming: Fra smult vande til hovedstrøm Operationalisering af begrebet mainstreaming Projektmainstreaming Programmainstreaming Projekternes mainstreamingstrategier Anbefalinger Empowerment Udfoldelse af begrebet Empowerment i projekterne Anbefalinger FUNKTIONEN AF DE NATIONALE OG TRANSNATIONALE PARTNERSKABER Gevinsten ved partnerskaber Mainstreaming via partnerskaber Anbefalinger

6 Evalueringsrapport Side 1 1. INTRODUKTION Denne rapport indeholder resultaterne af EQUAL-midtvejsevalueringen, der er gennemført i perioden fra januar til oktober Evalueringen er gennemført på vegne af Erhvervs- og Boligstyrelsen (tidligere Arbejdsmarkedsstyrelsen) af DMA/Research og NIRAS Konsulenterne i samarbejde med revisionsfirmaet KPMG. Rapporten er dermed et led i den samlede evaluering af Mål 3- programmet og Fællesskabsinitiativet EQUAL under Den Europæiske Socialfond (ESF) i Danmark Der er tale om en programevaluering, hvor det er program- og projektadministrationen samt programmets samlede effekt, som evalueres. Evalueringen fokuserer på det fremadrettede, og rapporten præsenterer således forslag til forbedringer af program- og projektadministrationen. Hensigten er, at Erhvervs- og Boligstyrelsen (EBST) kan indarbejde de forslag, som findes særligt hensigtsmæssige i indeværende programperiode og tage andre op til overvejelse i planlægningen af en eventuel kommende programperiode. Årets evaluering er som nævnt en midtvejsevaluering, og med dette for øje er der lagt op til en ganske omfattende evaluering, der inddrager 12 temaer, hvoraf de 11 første også indgår i den parallelle evaluering af Mål 3-programmet: 1. Programadministration fordeling af midler, planlægning og implementering af programmet 2. Projektadministration ansøgnings- og godkendelsesprocedurer, sagsbehandling, information, monitorering og kontrol 3. Effectiveness foreløbige resultater 4. Efficiency omkostningseffektivitet 5. Programmets relevans behov for reprogrammering herunder relevans af strategi, målgrupper samt forhold til den nationale beskæftigelsesplan (NAP) 6. Opfølgning på ex ante-evaluering om anbefalinger er relevante 7. Eventuelle uforudsete effekter af programmet 8. Additionalitet 9. Kønsligestilling (bl.a. udvikling af indikatorer) 10. Mainstreaming (vurdering af strategi, udvikling af indikatorer) 11. Empowerment (bl.a. udvikling af indikatorer) 12. Funktion af de nationale og transnationale partnerskaber

7 Evalueringsrapport Side 2 Vi vil gerne takke de mange mennesker, der har deltaget i årets evalueringsaktiviteter. Vi har atter haft fornøjelsen af at tale med og interviewe projektledere på samtlige 19 projekter, den nationale projekt- og programadministration, samt repræsentanter fra det nationale programovervågningsudvalg (POU) og det nationale projektgodkendelsesudvalg (PGU). Vi finder, at det er lykkedes at komme frem til konkrete resultater og en række forslag til forbedringer, som forhåbentlig vil blive diskuteret, prioriteret og iværksat i indeværende og en eventuel kommende programperiode. 1.1 Læsevejledning I kapitel 2 præsenteres et engelsk summary. I kapitel 3 præsenteres sammenfatningen, som opsummerer de vigtigste elementer i evalueringens resultater. Herefter rummer kapitel 4 en gennemgang af det tematiske og metodiske fokus for evalueringen. Kapitel 5 behandler program og strategi og tager med udgangspunkt i en vurdering af ex ante-evalueringens fortsatte gyldighed fat på en analyse af programmets relevans og strategiens potentiale. I det efterfølgende kapitel 6 tages hul på en vurdering af program- og projektadministrationen. Kapitlet indeholder en vurdering af de barrierer og muligheder, som det administrative set up indebærer og evaluerer tillige kontrol og revision af projekterne. Programmets rammesætning og de foreløbige resultater er hovedtemaerne for kapitel 7. Her fokuseres der på de langsigtede, de mellemlange og de kortsigtede resultater og effektiviteten i programmet. I kapitel 8 behandles den socioøkonomiske rammesætning og resultater. Her behandles temaerne additionalitet, mainstreaming, kønsligestilling og empowerment. Kapitel 9 beskæftiger sig med funktionen af de nationale og transnationale partnerskaber.

8 Evalueringsrapport Side Forkortelser AF AMS D&T EBST EES ESF ETG FAQ NAP NTG PAE PGU POU SWOT VEU Arbejdsformidlingen Arbejdsmarkedsstyrelsen Deloitte & Touche Erhvervs- og Boligstyrelsen European Employment Strategy (den europæiske beskæftigelsesstrategi) Den Europæiske Socialfond Europæiske Tematiske Grupper Frequently Asked Questions National Action Plan (den nationale handlingsplan for beskæftigelse) Nationale Tematiske Grupper Projektadministrerende enhed Projektgodkendelsesudvalg Programovervågningsudvalg Strengths, weaknesses, opportunities and threats Voksen- og efteruddannelsesområdet

9 Evalueringsrapport Side 4 2. EXECUTIVE SUMMARY On behalf of the National Agency for Enterprise and Housing (Erhvervs- og Boligstyrelsen) (previously the National Labour Market Authority Arbejdsmarkedsstyrelsen), DMA/Research and NIRAS Consultants, in cooperation with the auditing firm KPMG, are evaluating the Objective 3 programme and the EQUAL Community initiative programme under the European Social Fund (ESF) in Denmark This report contains the results of the mid-term evaluation of EQUAL in 2003 and has been carried out during the period January to October The evaluation is a programme evaluation, meaning that the programme and the project administration as well as the actual substance of the programme, rather than the single projects, have been evaluated. It should be noted that this evaluation builds on the initial evaluation of October This chapter presents a summary of the EQUAL mid-term evaluation 2003 which consists of an overall conclusion and a summary of the individual chapters of the evaluation report. The conclusion is drawn from an overall analysis of the 12 general evaluation themes of the year, and the summary states recommendations and the main results of the individual chapters. 2.1 Overall conclusion The 12 EQUAL themes of the mid-term evaluation have been laid down by the National Agency for Enterprise and Housing in the evaluation call for tenders and it is important to view these themes as a whole. The overall analysis shows that the EQUAL programme lives up to its objective of being first of all a test lab for the development of new methods instead of a perhaps successful operation of isolated projects. If the total dissemination of information and experience with the projects and the programme, i.e. mainstreaming, is successful, it can be presumed that the programme will achieve the desired effect. In particular the work on national and transnational partnerships and thematic groups contribute to this. To increase the effect of these activities, the evaluator suggests that the National Agency for Enterprise and Housing and the Programme Monitoring Committee (PMC) take up a number of challenges to the programme. The evaluator suggests:

10 Evalueringsrapport Side 5 That the National Agency for Enterprise and Housing works to achieve an increased coordination with the national strategies. The EQUAL programme can add experience in connection with the drawing up of new reforms and it can test new national strategies. At the same time the co-financing issue could be remedied if the EQUAL programme was linked to the new measures for which the government sets aside funds. This could be in relation to the process initiated by the Danish Ministry of Employment to integrate exposed groups in the labour market That the work of the PMC is strengthened. The PMC should have more insight into initiatives, experience and results across projects and should be able to use this knowledge in working with programme strategies and the connection with the national and European strategies. The work could be carried out in thematic sub-groups That the indicators for framework as well as measurement of project performance are further developed. This and last year s evaluations suggest both fixed and recommended indicators in relation to a practical typology concerning innovation, additionality, involvement of the target group, gender distribution and partnerships That communication and marketing of the programme are strengthened with a view to obtaining the desired project applications in It should be considered making the tender demand-oriented, which seems to be particularly called for with a view to promoting projects concerning the social responsibility and gender mainstreaming of enterprises. The new tender material might focus on inviting projects that work with models for avoiding the deactivation of seniors or exposed groups in the labour market The EQUAL programme can only take up these challenges if the human resources are available in the programme administration. The programme administration uses a relatively large share of its human resources on coordinating the national and transnational networks Denmark being responsible for a relatively large share of transnational networking. Resources are further used on programme mainstreaming; however, external consultancy assistance is provided to facilitate this function. The prioritisation of the resources is relevant when new projects are to be identified, approved, implemented and included in the EQUAL programme in 2004 in addition to the existing projects continuing to be serviced and mainstreamed. 1 Various material, including the report can be downloaded from and the homepage of the evaluation,

11 Evalueringsrapport Side 6 In general the development of programme and project contents in the Social Fund programmes can be hampered by the extensive administration to which the Social Fund administrations as well as the projects are submitted primarily because of the comprehensive gathering and control of the participant financing as a result of the co-financing model chosen in Denmark. Naturally, administration and control will not discontinue, but efforts must be made to make administration and control easier in order to give more room for working with the contents side. 2.2 Programme and strategy This chapter deals with the EQUAL programme at a strategic level with followup on the ex ante evaluation and special focus on the relevance of the programme The ex ante evaluation Viewed from the current evaluation angle, the recommendations given in the ex ante evaluation seem to be relevant and valid, just as the directions and commenced solution models of the evaluation memo are assessed to still be valuable to the programme implementation and administration. There is thus reason to continue the follow-up on these recommendations and solution models. The focus points are briefly rendered below: Challenges to the Danish EQUAL initiatives are in particular related to breaking down the barriers to actual equality and to the development of new methods and experiences of measures set up to fight unequal opportunities and discrimination. Inspired by other countries and the NAP, this theme should preferably receive additional focus in 2004 The need for focus and concentration is still relevant in relation to areas of the labour market where the problems are largest in the form of discrimination and inequalities and where there is the greatest potential for creating results and new experiences. A number of target groups are particularly relevant in this respect: target groups of selected ethnic groups, target groups defined as the gender-divided labour market and groups of socially marginalized persons The ex ante evaluator finds that measurement of effects should to a large extent take place at project level and recommends the use of indicators such as those used in this evaluation report According to the ex ante evaluator the programme s capacity for creating innovation is central for the EQUAL programme. It would thus be natural to implement the indicators for innovation as formulated in the 2002 evaluation

12 Evalueringsrapport Side 7 The ex ante evaluator finds that the transnational cooperation and the preparation phase are important in relation to increasing the quality of the EQUAL projects. This and last year s evaluations show that this is still the case The horizontal and vertical mainstreaming of experience from the programme should, according to the ex ante evaluator, be clarified and targeted. This recommendation is supported by this evaluation s analysis of the mainstreaming activities Programme relevance The themes of the programme are important in a time when social labour market integration is still in focus, but to a less extent in relation to other tendencies in the labour market policy, such as business and competence development. The EQUAL programme is considered by many as the programme which constantly puts special focus on social integration. As in the 2002 evaluation it is, therefore, recommended that focus is maintained on integration so that the EQUAL programme s target groups will not be ignored in the current labour market policy. It is important for the EQUAL programme to be part of the process initiated by the Danish Ministry of Employment in the autumn of 2003 with a view to presenting a strategy for how to create a more inclusive labour market and how to strengthen the social commitment of the enterprises. It is further natural to use the EQUAL programme s test lab to develop and test elements in the reform measures, possibly through co-financing on the part of the government. The evaluation report draws special attention to the efforts towards vulnerable women, pensioners and early retirees, socially marginalized people, disabled, refugees, immigrants and asylum seekers. Through the European thematic meetings there is a chance to assess whether there are methods or organisation forms which could be desirable to test in Denmark and thus to make part of the Social Fund strategy. It is recommended: That the programme relevance is ensured through development of the programme strategies. The connection between the strategic, specific and operational goals is still generally intact and there is no need for major adjustments. An actual reprogramming is thus not relevant That the EQUAL programme is part of the process initiated by the Danish Minister for Employment with a view to designing a strategy to include the

13 Evalueringsrapport Side 8 exposed groups in the labour market. It is important to contribute experience from Danish and European EQUAL projects and to participate in the work on designing strategies for this group, thus indicating measures to be tested in an EQUAL context in the next round of applications That the vertical and programme mainstreaming is developed with a view to fully utilizing the experience with the EQUAL programme. Special focus should be on the initiative of the Danish Minister for Employment concerning the formulation of strategies for integration of exposed groups in the labour market That focus is on the measure concerning the social responsibility of the enterprises vis-à-vis the target groups of the EQUAL programme That, in accordance with the Lisbon strategy, focus is on early retirees and seniors to avoid deactivation of these groups That communication and marketing of the programme are strengthened, possibly by making the tender demand-oriented That the PMC is involved more actively in the strategic development of the programme and participates in pointing out specific focus areas 2.3 Programme and project administration This chapter evaluates the progress of the programme with special focus on programme and project administration. In relation to the programme administration, the distribution of funds and the planning and implementation of the programme are central topics. In relation to the project administration, focus is on application and approval procedures, case administration, information, monitoring and control Administration Since the 2002 evaluation a significant organisational change has been made, as in May 2003 the European Social Fund was transferred from the National Labour Market Authority to the National Agency for Enterprise and Housing. The EQUAL administration is primarily handled by two officers at the National Agency for Enterprise and Housing who, apart from project administration, participate trans-thematically and transnationally in the network and mainstreaming activities of the projects. A major strength of the EQUAL programme is the good personal contact between the individual employees at the National Agency for Enterprise and Housing and the projects, which is possible because of the relatively modest number

14 Evalueringsrapport Side 9 of projects. The projects express satisfaction with the personal contact. However, the projects express a general wonder and frustration that the development of contents in the projects is not submitted to a higher degree of follow-up. Among the EQUAL projects there is a general major dissatisfaction with the administrative burdens of the projects. Thus only 18% are satisfied or predominantly satisfied, whereas 65% are dissatisfied or predominantly dissatisfied with the administrative burden. No matter if there is still dissatisfaction with the scope of the administrative tasks of the projects, a reasonable development can, however, be seen in the central administration of the EQUAL programme. This is a result of the development of a routine for the practical handling of administrative issues at the project administration as well as the projects. Following a somewhat delayed start with some turbulence particularly in relation to the transnational partnerships, the EQUAL projects are now seeing a more positive development. It is recommended: That, in consultation with the PAU and the management of the National Agency for Enterprise and Housing, it is considered how to give higher priority to the programme administration in order to enable the PAU to work more with contents, including the coordinating networking nationally and transnationally That the human resources of the agency are being reconsidered prior to inviting new projects Programme Monitoring Committee (PMC) The purpose of the PMC is to discuss and lay down strategic issues for the EQUAL programme. In October 2003 the PMC held its first meeting in two years. There has thus not been a formal forum for discussion of strategy and implementation rate in the EQUAL programme. It should, therefore, be pointed out that the PMC should be regularly involved in and informed about the former and future initiatives of the programme. It is recommended: That the provisions in executive order no. 132 are continuously complied with, ensuring the handling of the PMC s tasks That a sub-committee or thematic committee under the PMC is set up, whereby PMC members can follow the different measures of the programme in a more differentiated way

15 Evalueringsrapport Side Application and approval procedures The projects are generally satisfied with the application procedures. Criticism is often related to the dissatisfaction with the administrative burdens. However, it is difficult to imagine how the work with a new round of applications can be done with the existing staffing if the ongoing contact with the projects initiated is to function as well. The evaluator finds it inappropriate that, in case of administrative understaffing, the project risks losing the dissemination aspect and in particular the vertical mainstreaming of a number of important experiences from the projects to the representatives of the PMC. It is recommended: That application deadlines are coordinated across EU member states That application forms and instructions are adjusted to make them more user-friendly and less comprehensive That application forms and instructions are adjusted in relation to the development of the programme indicators Information Compared with the Objective 3 programme, EQUAL has comprehensive conference and meeting activities across projects and borders. The strength of the EQUAL programme lies in the partnership and networking activities which add useful knowledge to the individual projects. The next major challenge is to disseminate this knowledge externally as planned in the mainstreaming process. Here, the programme administration plays a central role as stated in the chapter on mainstreaming. It is recommended: That the National Agency for Enterprise and Housing continues working on drawing up a revised information strategy That it is to be a requirement for the projects to use the homepage placed at their disposal for communication of knowledge about their project and experience The controller function Cf. executive order no. 132 the controller function is to draw up an annual control report to the EU Commission. A control report has been drawn up for the EU Commission for The control report contains a description of the

16 Evalueringsrapport Side 11 Danish control effort, including an outline of planning, contents and the result of the control. It is recommended: That with a view to ensuring sufficient controlling of the relevant authorities, resource planning is made to ensure that the controller function conducts more controller visits per year That the PAU is informed immediately following the controller visit with a view to enabling the PAU to quickly contribute to remedying any irregularities, etc Audit The auditors make up an independent and accounting-oriented control and service function which has contributed to increasing the users understanding of bookkeeping and accounting. It is recommended: That the publishing of newsletters from auditors/the National Agency for Enterprise and Housing is considered concerning topical and special bookkeeping and accounting matters of relevance to the projects That the role of FAQs is identified in relation to being of a legally binding or just an advisory nature That an attempt is made to release more resources with the project administration with a view to ensuring a closer dialogue with the projects as well as sufficient resources for participation in project visits together with the auditor That instructions are drawn up by the National Agency for Enterprise and Housing as a contribution to interpreting the executive order to be used for the projects, the PAU and auditors That the PAU receives more education in and knowledge of bookkeeping and accounting and that the possibilities are considered of improving and simplifying OPUS to make it a better management and control tool, possibly by incorporating more analysis features in the system

17 Evalueringsrapport Side 12 That the number of situation reports are reduced from three to two and that the deadline is fixed so that figures from the previous monthly statement can be reasonably incorporated in the situation reports OPUS The OPUS registration system is a central program and project administration tool. The general evaluation is that OPUS has become easier to manage since 2002, even though opinions about the applicability of OPUS differ widely. Thus, one third (35%) of the projects are satisfied or predominantly satisfied with OPUS as a project administration tool, one third of the projects are dissatisfied or predominantly dissatisfied, whereas 29% reply, do not know. It is recommended: That an overall operating system is chosen which can work together with the most common accounting systems and that OPUS is brought to function according to the common accounting principles of municipalities and enterprises That OPUS is revised to make it simpler to register project finances and to measure whether project performance meet the success criteria set up. Such an expansion will make it possible to register the effect of the program That, in order to ensure unambiguous advice, the National Agency for Enterprise and Housing draws up detailed, but user-friendly, instructions for OPUS. These instructions are to be handed out to all projects in connection with their acceptance. The instructions will form the basis of all advise from the PAU, auditors and the electronic FAQ That during the application process the projects are systematically encouraged to set aside a realistic share of the budget for administration to avoid the subsequent consumption of resources coming as a surprise That in OPUS focus is also on the contents side and that the system s facilities for tracking the effects of the project are improved and utilised 2.4 Programme performance up to now This chapter describes the performance of the programme so far in relation to with impact, output and outcome, immediate effects, unexpected effects and cost effectiveness.

18 Evalueringsrapport Side Impact The expected, long-term effect of the EQUAL programme is not an employment effect or a capacity expansion as such. Instead, focus is on the methodological effect in relation to being able to reduce discrimination and inequalities within the four thematic areas. If the overall mainstreaming of the projects and the programme succeed, there is a presumption at present that the programme will achieve the desired effect. The preconditions exist: Danish and transnational thematic networks as well as the projects are working innovatively with state-ofthe-art methods both nationally and transnationally Output and outcome Output and outcome are considered to be the road to, or the precondition for, impact. Output is provided through the immediate performance of the activities. The projects have a total of 1,377 participants of which 454 have concluded a project period, whereas 923 are still in the process. The share of women makes up 60% of all participants in the EQUAL projects. All projects, apart from one, expect to be using the money granted in this programme period. The project implementation is not, however, any guarantee in itself that the objectives of the programme will in fact be met. This is not to decide until the programme outcome is made up. In this respect outcome relates to the conceptual and structural effects of the programme. As is stated in the Community initiative programme (p. 207), it seems, however, to be a partially fruitless exercise to separate these structural factors from innovation and mainstreaming in a programme with the final goal of developing methods rather than creating employment Immediate performance One of the performance indicators for the project initiatives is whether other projects have used parts of the strategy and method of the project. Method transfer can contribute to developing best practice, as the innovative approach to the issue will be tested in different contexts, which again can contribute to qualifying the durability and applicability of the method. It therefore seems promising for outcome as well as impact that the majority of the projects have already experienced that parts of their project have been used elsewhere, whereas the vast majority have reason to believe that it will happen in future. In order to be able to strengthen the immediate as well as the lasting effects it is interesting to map the factors which have promoted and hampered the performance, respectively. Almost all projects emphasize that it is the partnerships and in particular the national partnerships - which have promoted project performance. Several projects indicate that the project administration is a factor hampering the realisation of the overall project goals, such as problems of participant

19 Evalueringsrapport Side 14 registration or co-financing. Furthermore, problems of establishing transnational partnerships have had a hampering effect on several projects. This puts the recommendations for project administration and transnational partnerships into perspective Unexpected effects In general, the number of unexpected effects positive as well as negative has been limited. Among the positive effects are the growth of new and unexpected networks and the breakdown of myths as well as the strengthening of a European consciousness in the form of an awareness of the cultural community in the EU. Among the negative unexpected effects are problems of participant registration and the administrative burden incorporated in the set-up of the EQUAL programme. Strictly speaking, this is not a result of the initiative, however, but must be seen as a limitation of the effect Cost effectiveness In order to ensure lasting effects it is necessary that the experience gained in the programme is incorporated in future legislation and other national initiatives. This also highly affects the cost effectiveness, as the cost per experience gained will drop with the degree of dissemination and with the number of projects benefiting from it. Along the same lines it could be said that the cost per best practice increases with the number of resources spent on project administration, as a large consumption of resources on administration can hamper cost effectiveness because focus is moved from contents to administration. It is recommended: That the National Agency for Enterprise and Housing, in cooperation with the PMC, sets up key indicators and target figures for the three measurement levels output, outcome and impact and that these are combined with data collection methods. Inspiration can be gathered from the ex ante evaluation s appendix 2, the 2002 evaluation s definition of innovation and the operationalisation of mainstreaming from chapter 8 in this report That further information initiatives are made in connection with the next round of applications to ensure that the programme financing plan can be complied with more closely, thus increasing the number of innovative projects That the mainstreaming of the projects and in particular programme mainstreaming is promoted as far as possible, as a successful dissemination of experience is decisive for the effect and cost effectiveness of the programme

20 Evalueringsrapport Side Socio-economic framework This chapter deals with the themes of additionality, gender mainstreaming and empowerment. All themes are central concepts in the European Social Fund. They set the framework for the project types which can apply to the Social Fund, they are guiding during project formulation, they are part of the selection and approval procedures, and ideally they are the controlling body for the processes implemented by the projects. Seen as one, together with the innovation requirement, they can be considered basic values to which all projects must relate, no matter theme or target group Additionality Additionality is an important concept in project selection and approval. Addition means to add. Additionality must therefore be a requirement that the activities have to be something that can be placed on top of the existing activity. Thus, a project cannot replace an effort which could have taken place without Social Fund means. On the contrary, the effort must be supplemented or expanded. The activity has to be in addition to the usual level. The pure form of additionality can be split up in the following three criteria: 1. Administrative and political additionality: The project is supplementary to the ordinary effort or in relation to legislation and the political objectives 2. Financial additionality: The project cannot be implemented to the same extent without the support 3. Additionality in terms of time: The project cannot be implemented at the same time or within the same time frame without the support. In line with the sample survey, the qualitative survey among the EQUAL projects shows that the vast majority of the projects perceive the project initiative to be supplementary to the existing initiative. Only few find that their project replaces or overlaps the existing initiative. Several projects observe that the existing initiative in the area is quite restricted, which naturally contributes to ensuring the additionality. It is recommended: That the EQUAL and Objective 3 administrations work with a common understanding of additionality which provides a better basis for evaluating the additionality of the projects

21 Evalueringsrapport Side 16 That all Objective 3 and EQUAL administrations use a common checklist to be used for project approval That a systematic registration is made of possible lack of additionality of rejected projects as a basis of controlling re-submitted applications. Such a registration can, furthermore, form the basis of a common assessment of additionality. A common registration of the additionality of approved projects will also support a common basis of assessment 2.6 Gender mainstreaming In both an EU and a Danish programme context it is required that the development of project ideas is to consider the aspect of gender mainstreaming. The EQUAL programme focuses on gender mainstreaming by emphasising the theme of dismantling the gender-divided labour market, both as an independent theme and as a general focus which all projects are to have. Going further into the priorities for the gender mainstreaming policy, which are contained in the national action plan (NAP) for 2002, the NAP has a broader approach, i.e. (1) dismantling of the gender-divided labour market, (2) equal opportunities in the workplace, and (3) the coherence between working life and family life. Apart from the projects which have received support under the theme of gender mainstreaming, the gender aspect is incorporated in the majority of the Danish EQUAL projects. In these projects gender is included as a type of background variable which is significant to keep in mind in relation to the target group in question. On the whole, the projects have succeeded in developing a good practice which is gender-specific. In that respect mainstreaming of the equal opportunities aspect seems to be relatively successful in the EQUAL programme. It is possible to compare the distribution of women and men in the projects with the unemployment rate for women and men in the sector in question. It is further possible to set up target completion criteria and indicators at project and participant level for activities aimed at the three above initiatives which are currently on the gender mainstreaming agenda. Through proactively stating in the project invitation and selection phase the number of projects and participants which are considered appropriate in these measures, the programme can be controlled more specifically. It is recommended: That more gender mainstreaming aspects are selected before the next round of applications and possibly that the tender is made more demand-oriented.

22 Evalueringsrapport Side 17 Several of the existing projects do in fact cover more gender mainstreaming areas than provided for in the specific theme on dismantling of the genderdivided labour market. At the same time it can probably remedy the relatively low number of actual gender mainstreaming projects (four out of 19) That more absence is allowed in special project types. It can be difficult to maintain co-financing of projects working with weak groups. Particularly vulnerable mothers have a higher risk of calling in sick with the result that participant financing for projects with this group tends to fail. To solve this problem it is recommended that the target group receives higher priority by requiring a lower self-financing rate for projects with this target group, thus making it possible to implement the project with a higher absence rate than is normally accepted 2.7 Mainstreaming: From calm waters to mainstream Mainstreaming is the designation for the activities aimed at disseminating experience and embedding results. Project mainstreaming can be divided into internal and external mainstreaming. Internal mainstreaming is about disseminating and embedding the experiences in the organisation - organisational mainstreaming - and external mainstreaming is about communicating the results externally. Mainstreaming can further be divided into vertical and horizontal mainstreaming. Vertical mainstreaming is about the effect of project performance at the political and administrative level within and outside the organisation and which is reflected in policy design and other forms of regulation. Horizontal mainstreaming is about the effect of the projects at other levels and the practice of other enterprises and institutions at the same level. Mainstreaming is partly an integrated part of a project, partly a closing activity. Mainstreaming thus takes place before, during and after project implementation. All phases have to do with disseminating and influencing. The below table illustrates the three phases in relation to internal and external project mainstreaming. The overall programme mainstreaming, which is to gather the sub-streams and attempt to lead them into a mainstream, is also included.

23 Evalueringsrapport Side 18 Table 2-1: Activities before, during and after project implementation Before Goal and strategy During Process and performance After Embedding Project mainstreaming Programme mainstreaming Internally Externally Overall (mainstream) Development of project idea Ensuring ownership with steering committee, project management and target group What can we learn? Organisational learning Continuation - organis a- tional embedding External communications strategy Networks (partnerships) What can others learn? Transfer Frameworking and grant allocation Legitimacy Summing up, reflection and possibly (thematic) discussion Synchronisation of practice and legislation It is necessary for the projects to have a realistic level of ambition. A single project can rarely affect the overall national policy, but has to aim at changes within the geographical context of the project. It is therefore typically necessary to have a series of projects within the same policy field or a very-large-scale project in order to be able to move the mainstream. This decisive step in the mainstreaming process is to ensure the societal embedding of experiences and performance in the project; an embedding which affects the project implementers as well as the political levels locally, regionally, nationally and internationally. The final goal is for a series of good project performance to affect the mainstream and to synchronise legislation and practice. A number of PMC members have requested knowledge of the work of the projects. Several PMC members suggest that groups are established in the PMC to focus on different themes in the programme. This will strengthen the vertical mainstreaming through involvement of the PMC and the horizontal mainstreaming through the thematic networks. There is a great diversity in the use of mainstreaming tools which aim broadly - in particular offensive use of media and homepages - and which aim specifically on areas - for example the holding of and participation in conferences. Generally, the strategies seem to be characterised by a high degree of professionalism and creativity in the use of funds. So far the mainstreaming strategies seem to have been fruitful. The majority of the projects state that parts of their projects in the form of specific methods, teaching aids and materials or other project ideas, have been used by other projects, be it within or outside of the project.

24 Evalueringsrapport Side 19 It is recommended: That the programme mainstreaming becomes more coordinating, with a central function systematising, gathering and disseminating experience and performance with a view to horizontal and vertical mainstreaming. It is suggested that the PMC is divided into sub-groups dealing with selected themes That a central mainstreaming activity is still supported with a view to pointing out new development potential in the programme Empowerment The following definition of empowerment is generally used in Europe and in the Danish EQUAL programme. Empowerment is defined as: Strengthening the possibilities of those at a social disadvantage to enable them to participate in normal community life on equal terms with others There must be focus on empowerment in order to emphasise that society not only works for the socially disadvantaged but with the socially disadvantaged. The Danish EQUAL programme uses a broad operationalisation of the empowerment concept where not only the socially disadvantaged, but all target groups and project partners, are in focus. The EQUAL programme further deals with three forms of empowerment: psychological, social and political. Psychological empowerment means activities that increase one s self-esteem and self-confidence; Social empowerment means a strengthening of the social capacity via networking, increased competences and participation in community activities; whereas political empowerment refers to increased political influence. It is possible to work with empowerment at individual as well as group level and at project management and system level. Empowerment implies requirements for monitoring of developments so that an ongoing evaluation which involves the participants can ensure a continuous adjustment and adaptation. 2 The below table shows different levels within which it is possible to work with the building up of the capacity for action and influence: Table 2-2: Building up of the capacity for action and influence 2 Common working document for the European Commission and the member states: Empowerment: Strengthening the possibilities of those at a social disadvantage to enable them to participate in normal community life on equal terms with others

25 Evalueringsrapport Side 20 Psychological Social Political Individual Group Community Self-esteem and selfconfidence Self-esteem and self- Room for self- of the confidence of the esteem and self- project participants group confidence Social capacity of the Social capacity of the Room for social project participants group expansion Political influence of the project participants Political influence of the group Participation on equal terms with others A closer study of the description of contents for the projects indicates that the empowerment concept is predominantly incorporated. Focus is primarily on involving the individual participant and on complying with the ideas of taking the individual as a resourceful person as the starting point. This is in line with the fact that half the projects have declared in the questionnaire study that the target group has been involved in the planning and formulation of the project, whereas all projects seem to involve the target group in the implementation of the project. In relation to the vast majority of the empowerment elements, the course of the projects is planned individually and is affected by the influence of the participants on the project contents, whereas an actual involvement of the primary target group in the planning stage only rarely occurs. In other words, the psychological empowerment is in focus rather than the political and social empowerment. If the national partners are seen as a kind of secondary target group, a high degree of involvement takes place, as all EQUAL projects declare that the national partners are involved in project planning as well as project implementation to a considerable degree. There is thus involvement of representatives of interest groups in various steering committees, debates and information meetings - in the form of formulating requirements and communicating information. The national partnerships thus often play a double role as knowledge persons who contribute to qualifying the contents of the project on the one hand and indirect representatives of the primary target group on the other. Considering the programme s broad approach to empowerment, it seems difficult to comply with all conditions of the empowerment concept. It is difficult to empower all players and participants in such a comprehensive manner as ideally prescribed by the empowerment aspect. Therefore, it can in reality only be expected that the projects involve the target group to a limited extent at different, isolated points of time in the course of project implementation or that the involvement takes place in the form of interest groups. It is recommended:

26 Evalueringsrapport Side 21 That it is made clear that empowerment is a guiding concept to be used as inspiration when considering for which purposes and processes it is possible to apply for funds. It is almost impossible to comply with all elements and phases of empowerment unless pure, long-term empowerment projects with a constant target group are designed That more time is set aside during the preparation phase to involve project participants or representatives of interest groups during the formulation phase That work is continued on a practical and application-oriented typology of the concepts of innovation, additionality, empowerment and gender mainstreaming which the evaluator has examined in 2002 and 2003, to provide indicators that are to a higher degree based on the contents aspects 2.8 National and transnational partnership function Partnerships have a central function in the EQUAL programme and are generally considered to have a high value for project development. On the whole the projects believe that there are great gains to have from the national as well as the transnational partnerships, even though there is a large difference between the function of the two partnerships and thus also between the type of gains. The greatest gain from national partnerships is that they contribute to supplementing the project holder s competence and add new ideas and experience which are ahead of the mainstream in Denmark at the same time as the project is embedded in reality. In that respect the national partnership seems to ensure energy as well as synergy. As regards the transnational partnerships, it is widely perceived that they contribute to influencing the quality of the project - based on a different argumentation than the effect of the national partnership, however. This is primarily because only very few transnational partnerships have involved the partners directly in the development of methods. In other words, exchange of experience does not necessarily lead to parallel development of innovative approaches. However, the actual comparative process contributes to strengthening the awareness of the project holder concerning strengths and weaknesses in the project. Another gain from the transnational cooperation is that it contributes to strengthening the impact of the methods developed by a project when these have been tested in several countries. An obvious weakness of the transnational partnerships is the low degree of harmonisation of the project phases across the EU borders. This means that a number of projects have problems reaching their milestones because their transnational project partner has not got very far in the process or has still not been approved. Another weakness is the fragility of the partnerships, as mentioned in