31/10/11 Open Policy

The map of EU Structural Funds Transparency at regional level – October 2011

According to the current 2007-13 regulation, all regional and national agencies responsible for managing one of the 434 Operational Programmes funded by the 2007-13 Structural Funds must publish on the web a list of businesses or public authorities that have received public funding and the amount of funding received. But the way they do this varies greatly across Europe.

The second output of the evaluation activity of the availability and quality of open data on European Structural Funds is now being published. It’s a benchmarking report (in Italian only, at least for now) that I prepared with the help of my colleague Chiara Ricci for the DG Regional Policy of the Italian Ministry of Economic Development.
I had the chance to present it at the Annual Meeting between the European Commission and the Italian Managing Authorities of the European Regional Development Fund (ERDF), held on October 27-28, 2011 in Rome. It was an extraordinary opportunity to talk about the benefits of open government data in front of a number of high-level representatives of all regional and central institutions involved in the implementation of Regional Policy in Italy (here is my presentation).

The report features brand new data on detail, accessibility, formats, and other characteristics of the datasets on the recipients and the projects funded by European Regional Policy (“lists of beneficiaries”). It’s a new wave of data collected in October 2011, exactly one year after the first web-based survey. A total of 32 characteristics are taken into account in the evaluation process, including the presence of search masks and visualization systems.

The map of Structural Funds transparency reported below shows a core component of this research, that is the format of the data published by each region. The map shows the average score of all the regional and multi-regional programmes that have an impact of that specific territory. A very low score is attributed to PDFs and to HTML reports that split the data into multiple tables or pages (regions in red or orange) . Higher scores are assigned to the XLS format, which is machine-processable (in yellow). The highest scores are attributed to the few regions in Europe that publish data in an open format such as CSV (in green), since no data is currently published in XML or JSON or RDF (see the report for the details about the construction of the index). You can also find the link to the datasets by clicking on each region. The link to the Regional Programme is displayed where there is more than one dataset available.

One year after the first survey, the level of openness has not improved. About two-thirds of EU Operational Programmes still publish their data in PDF, while only 2% use open formats. A radical change is necessary to meet the requirements of new 2014-2020 regulation, as proposed a few weeks ago by the European Commission, which include the use of CSV or XML format.

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10/10/11 Innovation Policy

Ex-ante conditionalities for Regional Innovation Policies

As I reported last week, the European Commission has presented the proposals for the new 2014-2020 EU Regional Policy regulations, and the EU regions are currently discussing the future of the policy at the Open Days 2011. Although these drafts need to be definitively adopted by the end of 2012 by the Council and the European Parliament, this step is going to represent a milestone in a long process. On the one hand, it is the final product of a two-years-long discussion started in the high-level group reflecting on future Cohesion Policy, a support working group composed by representatives of the Commission and the Member States. On the other hand, it represents the beginning of the 2014-2020 programming phase.

A new principle is introduced. Regional Policy will not finance a Member State Programme until a set of ex-ante conditionalities, that is specific conditions and pre-requisites at the national level, are fulfilled. Ex-ante conditionalities were first envisioned by the European Commission in the framework of the debate on the reinforcement of economic governance [pdf]. Then they were reaffirmed in the Fifth Cohesion Report and further developed in a high level group document [pdf] proposed by the Commission in December 2010.

A list of the conditionalities proposed can be found in the general regulation. As for research and innovation (R&I), the conditionality is as follows: “the existence of a national and/or regional innovation strategy for smart specialisation in line with the National Reform Program, to leverage private R&I expenditure, which complies with the features of well-performing national or regional research and innovation systems”.

The focus of the conditionality is in fact only on the strategic level, that is on the existence of policy documents that, based on tools such as the technological forecasting, select a limited number of policy priorities and industry sectors to support. In particular, the proposal of the EU Commission states that Member States must:

  • define an innovation strategy for smart specialisation that is based on a SWOT analysis to concentrate resources on a limited set of R&I priorities, outlines measures to stimulate private RTD investment and contains a monitoring and review system.
  • adopt a framework outlining available budgetary resources for R&D;
  • adopt a multi-annual plan for budgeting and prioritization of investments linked to EU priorities (ESFRI).

The need for a strategic view of regional policies in general and of innovation policies in particular (see for example the much-needed smart specialization approach) is evident. But is such a strategy-focused approach enough to ensure a better policy and a better use of public money?

First, given the essential nature of R&I policy, the answer should be “no”. As stated in one the underlying papers of the Barca Report on the future of Cohesion Policy, “Putting money into a strategic R&D plan may not always lead to a new technology, or even less to the adoption of that technology”. In other words, identifying regional strengths and comparative advantages is correct, but will may not lead to the desired results.

Secondly, a strategic document that is compliant with the Commission’s requests is easy to be obtained for a regional government. For example, the regional strategy could be written by a consultancy and adopted without an active involvement of regional and local agencies, and, even worse, of stakeholders. I don’t mean that this is the usual way to define a regional strategy, but it happens.
Thirdly, a strategy defines policy objectives, priorities, targets, indicators, but does not describe exhaustively how these objectives are going to be reached. And we know that devil is in the details.
So this is why other kinds of ex-ante conditionalities should be taken into account, specifically those related to policy implementation. For example, one conditionality could focus on the specific content and characteristics of the criteria for projects selection included in the Operational Programmes. Since Operational Programmes are generally set up after the definition of the “contract” between the Member State and the European Union, this solution may be more difficult to implement – because Member States should first approve the Operational Programmes and the selection criteria and than wait for the EU money – but will ensure a tremendous improvement in the quality of selected interventions.

For example, a conditionality could be applied to the selection criteria by making sure they incorporate the results of ex-post evaluation of past interventions and learning from policy failures. The conditionality could also be leveraged to systematically introduce a multi-stage approach in funding projects. In this case, a project-level conditionality is applied both on final and intermediate results through in itinere and ex-post evaluations.

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06/10/11 Open Policy

Structural Funds 2014-2020 open up to open data

This is very good news for the open data movement. Earlier today Commissioners Hahn and Andor presented the European Commission proposals for the new Structural Funds regulations for the period 2014-2020. The new general regulation includes an article that force EU countries and regions to open up their data on projects and beneficiaries of Regional Policy. EU Regional Policy (or Cohesion Policy) is worth € 376 billion, more than a third of the entire budget of the Union.
In the last few months, technical and policy recommendations on how to improve the rules of this policy concerning transparency were provided by two studies (one commissioned by the European Parliament and the other by the DG Regional Policy [pdf]) and one independent web-based survey. Plus, organizations such as Transparency International advocated better rules and practices, such as the creation of a centralized website that contains all EU funds beneficiaries and that publishes the data respecting the 8 principles of Open Government Data.

The good news is that most of these recommendations have been incorporated in the drafts of the new regulations. In particular, Art. 105 (Chapter II, Information and Communication) states that EU countries “shall in order to ensure transparency in the support of the Funds maintain a list of operations by operational programme and by Fund in CSV or XML format which shall be accessible through the single website or the single website portal providing a list and summary of all operational programmes in that Member State”. It has been demostrated that the presence of a single website covering all data from the local institutions will likely improve the performance of the country in terms of transparency.

The minimum set of information to be provided – currently limited to three items – has been extended to cover new interesting data such as postcodes of beneficiaries. The data fields that must be included are listed in Annex V:

  • Beneficiary name (only legal entities; no natural persons shall be named);
  • Operation name;
  • Operation summary;
  • Operation start date;
  • Operation end date (expected date for physical completion or full implementation of the operation);
  • Total eligible expenditure allocated to the operation;
  • EU co-financing rate (as per priority axis);
  • Operation postcode;
  • Country;
  • Name of category of intervention for the operation;
  • Date of last update of the list of operations.
  • The headings of the data fields and the names of the operations shall be also provided in at least one other official language of the European Union.

In my opinion, this proposal is probably a good compromise between the need to introduce new, more transparent ways to publish data and the current level of technical and administrative capacity of EU regions. However, a few important features characterizing real open data are still missing. For example the data should be released in a linked-data formats such as the RDF. Plus, a clear indication of the license under which the data are released should be provided. Introducing these features now – even though the RDF format seems now pretty advanced – is particularly important seeing that it is rather difficult to modify a multi-annual regulation once it is approved.

Obviously it will be crucial to monitor the actual implementation of these rules across the European Union. Luckily, official regulations have demonstrated to be a powerful tool, far more persuasive than other initiatives, such as the European Transparency Initiative, undertaken by the Commission after the approval of the official regulations. As already demonstrated, the level of compliance with regulations among EU agencies is extremely high, given that the Commission has the power to stop the flow of money from the EU to the Regions if these rules are broken.

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02/10/11 Digital Government , Research

A holistic view for Public e-Services diffusion and impact: Introducing project T.A.I.P.S.

One of my first posts on the Regional Innovation Policies blog was about “traditional” public e-services – as opposed to Government 2.0 new applications – and their still slow diffusion in many countries in Europe and in the world. My point there was that low take-up of public e-services, which is considered by some the main reason of the digital government failure, was probably simply due to a shortage of… public e-services.

While most critics of EU e-government policy point only to the lack of interest of households and enterprises in expensive and unsustainable digital public services, I think we should also consider that today a significant number of public agencies, especially in the lagging regions of the world – fail to deliver their most useful basic public services on line. Considering e-government services, though most of them were pushed by national governments in the first years of the new millennium and are already available on the web with an acceptable level of sophistication (see for example the list of CapGemini twenty basic public services in latest benchmarking report), the situation is very different at the local level, where small agencies are struggling to provide services with less money and face complex coordination issues with scarce skills.

Moreover, if we zoom out and consider advanced services from other recently-developed domains of digital government such as e-health, e-procurement, e-education, infomobility, “smart” cities, etc, the supply-related issues are manifest.

In other words, measuring the progress of digital government requires a holistic view to include the wide spectrum of public e-services in different policy domains (health, transportation, education, etc.) and the different aspects of service provision (not just e-readiness or web interactivity, but also multi-channel availability and take-up).

Providing this view is the main goal of TAIPS (Technology Adoption and Innovation In Public Services), a research project carried out by the Department of Economics, Society and Politics (DESP), University of Urbino (Italy) and funded by the European Investment Bank (EIB), which aims at exploring the determinants and impact of public e-services diffusion from the point of view of the Economics of Innovation. The project is lead by Professor Antonello Zanfei, an industrial economist whose interests range from innovation diffusion to industrial dynamics and economics of multinational enterprises.

A few weeks ago the first outputs were released. One paper is entitled What do we know from the literature on public e-services? and provides quantitative evidence that ICT research, as it happens in policy making, still considers the various policy domains as separate silos. The next step of TAIPS will be to unify those views. A benchmarking the progress of Italian regions with a joint, e-services pilot methodology is under way. This exercise is to be eventually extended to selected EU Countries.

Plus, TAIPS staff is organizing an International Conference in Urbino, Italy on April 19-20, 2012. Here you can download the outline. The deadline for abstract submission is pretty soon (on Wednesday, October 5), but will probably be extended a little bit. The conference will be interesting since many invited speakers – leading scholars in the field of Economics of Innovation and Information Technology – have already confirmed their participation. I will report again on this in the next few weeks, so please stay tuned!

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