CPS 2008/65/11/EN 65th MEETING OF THE STATISTICAL PROGRAMME COMMITTEE LUXEMBOURG, 14 FEBRUARY 2008 Item 11 of the Agenda The ESSnet projects: the way forward Theme 6.10.
EXECUTIVE SUMMARY 1. Recommendation for action by the SPC The SPC is invited to: Give its opinion on the proposed implementation of ESSnet projects. Take note that a first ESSnet plan will be presented at the SPC in May 2008. 2. Background and brief history of the proposal The DGINS expressed during the Palermo meeting in September 2002, the need to find synergies, harmonization and dissemination of best practices in the European Statistical System. They proposed to create an adequate instrument: the Centres and Networks of Excellence (Cenex, now ESSnet) projects for putting together expertise distributed throughout the ESS organisations in order to develop specific actions which would benefit the whole system. In February 2005 the SPC opinion favoured the launching of some Cenex pilots and the development of proposals to implement the concept after the pilots were evaluated. At the end of 2005, a first pilot Cenex was launched on Statistical Disclosure Control (SDC). The technical evaluation of this Cenex ("Report of the pilot Cenex and reflection on the continuation of these actions") has been presenting to SPC on the 15/2/2007 (61 st SPC meeting). The positive results proved the potential of the collaborative approach. Two other CENEX on methodology (ISAD: use of administrative and statistical data) and Hedonic Prices have been launched afterwards. The mid-term evaluation of ISAD already confirmed the interesting results of such projects. The present document builds on the previous document presented to SPC in February 2007 and presents the procedures for implementing ESSnets projects into an operational organization. It has been discussed at PG TF3 subgroup II "Cooperation and Standardisation". It is now presented to SPC in order to launch the exercise of ESSnet for 2008. This exercise will pursue with a presentation of the ESSnet plan to the May SPC. 3. Brief factual statement of the policy context for the proposal The idea of an ESSnet project is that a few countries, interested in a specific domain, would actively collaborate its development and disseminate the results to those not participating. The actions supported by the ESSnet shall serve the interests of the whole ESS while in line with the 5 year statistical programme. The definition of ESSnet projects, the criteria for judging their adequacy and their implementation mechanisms are presented in this document. The financial instruments envisaged depend on the duration and the flexibility required for the action to be supported. The framework partnership agreements (FPA) are the proposed solution for Eurostat B-5 2 CPS 2008/65/11 05.12.2007
long term projects of about 4 years, while grants are considered more optimal for shorter duration projects. Eurostat will present to the SPC the yearly ESSnet programme as an opinion item. The SPC will also provide guidance on possible future areas for ESSnet projects and evaluate those projects which are in progress. Afterwards, proposals for ESSnet that achieved sufficient support will be sent by the coordinators to Eurostat for evaluation in line with the Financial Regulation. Eurostat will put in place an internal facilitation function. This function will include a helpdesk to provide support in the preparation and follow-up of the projects. 4. Consequences of the proposal for NSIs - including financial implications NSIs are encouraged to participate actively in setting up ESSnet projects that would exploit and further develop their expertise in various domains. They are welcome to proactively propose collaborative actions. This could be either in sector working groups or at the SPC. ESSnet represents an important opportunity for the development of the ESS partnership by identifying areas in which the expertise of some members can permit to develop solutions to be shared by all. The benefits thus obtained will be in the form of resource savings, sharing expertise, better quality, and more harmonisation. Also, the dissemination commitments of the ESSnet partnership towards the whole ESS should ensure wide adoption of the results. 5. Outstanding problems Once an ESSnet action is completed, the results need to be effectively disseminated, exploited and taken up by the entire ESS. These follow-up activities may also be subject to additional ESSnet actions. It is important that NSIs are actively involved in the preparation phase of ESSnet projects and jointly propose, participate and collaborate to achieve the objectives of the ESSnet actions, for the benefit of the ESS and not only for the partnership created. The ESSnet actions might pose an additional administrative burden to the participating organizations, especially the coordinating partner. 6. Risk assessment (what would happen if the recommendations were not agreed) In the absence of a coordinated networking scheme such as the ESSnet, the efforts within the ESS risk to remain under-exploited and the know-how in the relevant domains remain fragmented. 7. Next steps, assuming the recommendation is agreed. The ESSnet concept will be implemented during the SPC meeting of May 2008. A first plan of ESSnet projects will be presented at that meeting. While discussing this plan, the SPC may also draw main lines of interest for future projects. Eurostat B-5 3 CPS 2008/65/11 05.12.2007
TOWARDS IMPLEMENTATION OF THE ESSNET CONCEPT INTRODUCTION The DGINS expressed during the Palermo meeting in September 2002, the need to find synergies, harmonization and dissemination of best practices in the European Statistical System. They proposed to create an adequate instrument: the Centres and Networks of Excellence (Cenex, now ESSnet) projects for putting together expertise distributed throughout the ESS organisations in order to develop specific actions which would benefit the whole system. The idea is that a few countries, interested in a specific topic, would actively collaborate on this common task and disseminate the results to those not participating. This document has for objectives: to define the scope of the ESSnet concept to describe the procedures to put in place in order to implement the concept 1. MAIN FEATURES OF ESSNET PROJECTS. The February 2007 SPC meeting approved that an ESSnet project is based on: "A network of several ESS organisations aimed at providing results that will be beneficial to the whole ESS". The 7 Criteria for an eligible ESSnet project 1 : 1. Involves several partners and results diffused to non participating NSAs. 2. Focus on issues that answer to a European interest (excludes projects that do not contribute to the quality of ESS statistics). 3. Compatible with the 5 year programme. 4. Cost effective (excludes projects that have not a sufficient financial investment and where there is a duplication with other initiatives in the ESS). 5. Knowledge sharing, innovation and harmonisation. 6. Sustainable (The project should be sustainable beyond its duration; adequate measures should be foreseen at national level). 7. Actions must be carried out by ESS organisations The objective of an ESSnet is to take advantage of the synergies from cooperation of some partners in order to save costs in solving common problems of European interest and allow transfer of results and of knowledge to non participating partners for the benefit of the entire ESS. 1 CPS/2007/61/6 - Report of the pilot Cenex and reflection on the continuation of these actions Eurostat B-5 4 CPS 2008/65/11 05.12.2007
The main contribution by the MS will be in the form of expertise in different statistical domains. Field covered An ESSnet project fits well to cover methodological activities. These should nevertheless be understood in the broad sense including, for instance, the development of tools for a specific phase of statistical production; the drafting of guidelines; and the establishment of standards. ESSnet projects could not be used for the production process as a whole since the. grant policy excludes the regular support of permanent production processes. However, projects to improve data quality or to test new methods of gathering or producing information could qualify provided that they are comprised of substantial methodological and development work (over a limited period of up to 4 years). The option for countries to outsource some specific production processes to only one member would therefore not qualify the project for an ESSnet. 2. STRUCTURE OF AN ESSNET ESSnet projects are structures composed of a multinational team integrated by ESS organisations. These organisations will lead and perform all activities, although they may use external technical assistance to a limited extent. The team will support the developments and may also include an administrative function. The administrative function should stay within the same institution all along the multi-annual ESSnet projects. The administrative work could be an eligible project cost. The work of the administrative function could cover the development of the ESSnet partners' network, the setting up of dissemination channels (web site, conference, etc), the reporting of costs from partners to the Commission and the management of user and steering groups. ESSnet Project oriented In this case, the final output is clearly described and fits into the yearly statistical programme, the scope is defined and the project is limited in its duration: 1 or 2 years. Such a project is suitable to be funded by a Multi-Beneficiary Grant Agreement (see Section 5). Eurostat B-5 5 CPS 2008/65/11 05.12.2007
Objective oriented This type of ESSnet is an extension of the "project oriented" option, where the scope is broader and the work programme has to be redefined when specific steps are completed. Such a project could expand beyond the timeframe of 1 or 2 years and it is necessary to establish a longer term partnership with participating organisations. Each year, the work agenda is revised according to priorities established by the steering group in order to reach the initial objectives established at the beginning. Such a project could be suitably funded under a Framework Partnership Agreement with yearly work programmes (see Section 5). 3. PROGRAMMING, GOVERNING, FACILITATING ESSNETS 3.1 ESSNET AS A PART OF THE PROGRAMMING ACTIVITY AT THE ESS In order to finance ESSnet projects, each of them must be included in the Financing Decision (FD) under its specific domain with a related annual WP objective. The Yearly Statistical Programme should also include the ESSNet projects planned. The specific projects will be included in the corresponding themes of the programme. In addition, in order to give visibility to ESSnet projects, it may be advisable to regroup all of them into a specific section. The list of planned ESSnet projects will be submitted to the SPC in May for discussion. The following could be a timeframe for the preparatory phase of ESSnet projects. until February n-1 collection of proposals from sector groups or working groups May n-1 SPC discussion of Essnet plan for next year and of the report of ongoing projects. May n-1 Introduction in WP for year n. May n-1 Introduction of financial provisions for ESSnet projects in FD for year n. November n-1 Proposals can start to be received and evaluated February n Adoption of FD. Agreements can be signed. November n Report to SPC on progress. First info on new project. For ESSnet projects to be launched in 2007 and 2008, a transitional scheme is needed. Indeed, a follow up ESSnet on SDC is planned to be signed under the 2007 budget before the end of this year. In addition, some projects which are already in an advanced stage of preparation should be launched at the beginning of 2008 in order to have them signed by the middle of the year. Therefore, it is proposed to inform the SPC about the launching of these projects before the discussion that will take place in May 2008 Eurostat B-5 6 CPS 2008/65/11 05.12.2007
3.2 GOVERNANCE Setting up the ESSnet programme The proposed mechanisms for developing an ESSnet programme (see timeframe above) might be the following: In the frame of WG's and sectors groups, proposals of ESSnet projects will be shaped. Eurostat will develop the yearly ESSnet plan. Presentation at the SPC of May of the ESSnet yearly plan and outline longer term topics for ESSnet projects. The SPC expected input on the process would be to get awareness, express support of specific ESSnet, assume the need of future dissemination to non participating NSIs and draw future lines for ESSnet projects Proposals for the ESSnet projects that achieved sufficient support will be sent to Eurostat by the prospective team coordinators. Eurostat would evaluate the proposals, accept, reject or request improvements. Follow up of specific ESSnet projects A steering group should be composed of Eurostat representatives of the interested units, one member of the ESSnet (preferably the coordinator), some external experts might be set up for the continuous monitoring, mid-term and final evaluation of the project and at least one member of the ESS not represented in the ESSnet. A responsible staff in Eurostat (in the unit in charge of the ESSnet) will be designed for follow-up of the project. According to the financial rules, Eurostat and, in particular, the responsible unit will take measures to ensure the good execution of the project and to evaluate the cost incurred. Eurostat B-5 7 CPS 2008/65/11 05.12.2007
3.3 FACILITATION The following table details the tasks of the facilitating function in the different phases of ESSnet development. Note that most of the different reports could be included in a single document. Tasks Phases Information/ awareness raising/ promotion Helpdesk Coordination Reporting Programme ESSnet preparation Promotion in WG, Sector groups Promotional material ESS Website (Insite) Eurostat website (Cybernews) Advice on eligible ESSnet projects Collection of proposals from statistical domains Organising of internal ESSnet group Preparation of ESSnet chapter in YWP Preparation of report to SPC in May n-1 Internal awareness sessions Meetings with internal sectoral responsibles Preparation ESSnet and evaluation of proposals ESSnet manual of procedure Technical and financial helpdesk for proposals Report on proposals finally retained and agreements signed Survey of implementation one year after finalisation of project Execution of ESSnet projects Technical and financial helpdesk Support to the project steering group (see 3.2) Early warning on incidence in execution Evaluation of results Technical and financial helpdesk Discussion at internal ESSnet group Report on ESSnet achievements Disseminatio n of results ESS Website Specific external awareness sessions Provide support for sectoral promotional actions Set up of user groups when needed. Report on dissemination of ESSnet results 4. DISSEMINATION/IMPLEMENTATION IN NON-PARTICIPATING NSIS How to include this objective in the project proposal This should be part of a specific obligatory work package dealing with dissemination. These can be as varied as: establishment of a Website for disseminating results, training sessions to non members, Workshops, Handbooks or manuals for implementation, Development of tools made available, provision of tailored support for implementation, Eurostat B-5 8 CPS 2008/65/11 05.12.2007
Role of Eurostat to promote this implementation In the selection of the proposal, Eurostat could require to have a specific deliverable that would deal with the exploitation and dissemination potentials of the project. This document should present the ideas that the ESSnet will put in place in order to include non-participating MS after the end of the project as well as some proposed actions for sustaining the project once the EU financing is finished. A specific internal web page on Eurostat web site could be dedicated to ESSnet projects. In addition, Eurostat could eventually finance a more limited action for implementation in non participating NSIs (see next paragraph). How to evaluate that the results are implemented beyond the ESSnet lifecycle It could be necessary to establish another evaluation of the project, i.e. one year after the end of the contract, in order to assess if the proposed actions for disseminating the results to other MS have been followed-up. In some cases, it might be adequate to create ESSnet projects that have the sole objective of transferring the created knowledge or tools to additional ESS members. 5. FINANCING ESSNET In the document presented to the SPC in February 2007 2, a decision tree for selection of the funding mechanism has already been presented. The first element to evaluate is the adequacy of the proposals towards the ESSnet eligibility criteria. Finally, if the proposal represents an action clearly defined as a project and with a duration of less than 2 years, the traditional grants mechanisms should apply. If on the contrary, the action allows as an objective whose milestones will have to be defined in the successive execution steps or the duration is longer than 2 years, then the use of a Framework Partnership Agreement would be the appropriate approach to be taken. 2 CPS/2007/61/6 - Report of the pilot Cenex and reflection on the continuation of these actions. Eurostat B-5 9 CPS 2008/65/11 05.12.2007
The ESSnet financial instrument decision tree ACTION Description Collaborative Network? Criteria 1-6 Yes Open Multibeneficiary Grant or FPA No Short duration/ clearly defined ESS restricted? Criterion 7 Yes Long duration/ milestones to be précised during execution ESSnet Multibeneficiary Grant ESSnet FPA Multi-beneficiary A priori, the proposed co-financing is 70% for the Commission, 30% for the partners. This is in line with the grant policy of Eurostat and also with the character of ESSnet projects of producing results beneficial to the natural ESSnet organisations. In very specific cases, and according to Eurostat Grant Policy, the percentage of co-financing can be modified. Eurostat B-5 10 CPS 2008/65/11 05.12.2007