Results of task 2

AuthorNaldini, Andrea; Pompili, Marco; Peruccacci, Eleonora
Pages49-70
49
Section 4.Results of Task2
This section presents the findings and the evidence that have emerged from the
analyses carried out in Task 2. This t ask focu sed o n ap proa ches and processes use d by
MSs to im plement the evaluations requested by the current EU rules. 48 aid schem es
def inedin the 2014-2019 period and subjected to evaluation in 15 MSs were
investigated. An analysis of the evaluation plans of these aid schemes and a survey
distr ibut ed to the authorities responsible for their evaluations provided the direct
information sources;in addition, the nat ional expert s interviewed som e of the officials
involved in the evaluat ions and provided a general pict ure of t he evaluation pr ocesses.
4.1.The analy sis of t he eva lua tion pla ns
The an alysi s of the evaluat ion pl ans (EPs) no tif ied and ap proved bet wee n 2015 and t he
end of 2019 had the objective of examining how the national authorities outlined the
process of implementingthe aid scheme evaluation. In total, 48 EPs have been
reviewed, of w hich 45 hav e been implement ed, while the r emaini ng t hree wer e not16.
The minimum contents and structure of the EPs are set out in the Commission Staff
Working DocumentCommon methodology for State aidEva lua ti on” 17and a
supplementary information sheet for the notification of an evaluation plan18has to be
sub mit tedby Member States within the first 20 working days following the entry into
force of t he schem e.
Thus, the main elements of the EPs have been analysed against the prescriptions set
out in the Commission’s Staff Working Document, with the aim to identify the main
choices of the Member States in methodological terms (objectives, evaluation
questions, methods, data)and in relation to the timeline and the most relevant
milestones of the evaluation, the identification and selection of the evaluator, the
en visa ged ch oices in m ak ing t he re sult s ava ilab le and in e xpl oit in g t he m to de sign f ut ur e
policies.
I t is i mp ort ant t o p oin t out t hat r espe ctin g wha t is en vi saged in t he EPs is a f un dam ent al
element: in all the EPs ap proved, the Commission underlined that t he Member St ate’s
commitment to carrying out the evaluation according to the plansubmittedwas an
essent ial elem ent for app roval.
Table 15b elowsumm arises t he ma in cont ents of t he analysis of EPs.
16SA. 4 034 8 ( ES), SA. 4440 0 ( FR), SA. 462 85 ( LT).
17SW D(20 14) 179 fin al.
18https://ec.europa.eu/competition/state_aid/overview/transparency_and_evaluation.html.
50
Ta ble 15M ain elem en ts of th e a nalysis of th e Eva lua tion Plan s
Con ten t of EP s
Ma in the me s of an aly sis
Ob ject ive s of
th e a id sche me
Expe cted imp acts of t he a id sch eme and the pote nti al neg ativ e ef fects
Eva lua ti on
questions
Whet her all thr ee ev aluat ion quest ions (con cernin g t he d irect eff ects, the
ind irect eff ects and the prop ort ional ity and appr opri atene ss of the aid schem e)
are env isaged and clear ly d escrib ed
Re sult
indicators
Selection of more common results indicators, both for the direct and indirect
eff ects, and th eir rela tion to th e sug gest ed i ndicat ors in Annex I I o f t he Com m on
me thod ology for Sta te a idevaluation
Methods
Whi ch qu anti tat ive met hods a re g oing tob e used mo re19
How and fo r w hic h p urp osesaret he q uali tat iv e m eth ods used, if t hey ar e ap plie d
Da ta coll ect ion
Sour ces of inf orm atio n and th eir conte nts
Whether specific techniques to collect data have been envisaged since the
app rov al of aid schem e
Accessi bilit y of dat a
Role of p rim ary data colle cted for the evalu atio n
Ti me line of th e
evaluation
Id ent ificat ion of t he t ime line and m ilest ones of t he evalu ation
Poten tial risk s ide ntif ied b y MSs in t he EPs a ffect ing the evalu atio n pr ocess
Th e b ody
con duc tin g t he
evaluation
If the evaluator s had alr eady been select ed from the beginning (when noti fying
th e EP) o r i n a late r ph ase
Whe ther th e eva luat or p arti cipat ed in th e pr epara tion of t he EP
Mecha nism to guar ant ee t he in depen dence of t he evalu ator
Whe ther th e ex perie nce an d sk ills of t he ev aluat or are indic ated
Fina ncial reso urces dedi cated to th e ev aluat ion
Pu blic ity of th e
evaluation
Descr ipt ion o f t he st rat egy t o m ake the find ings of t he e valua tion pub lic
Type and intensity of the involvement of stakeholders in the discussion of the
res ults of t he e valua tion
How the results will be used to review the State aidscheme or set up new
schemes
Sou rce: I smer i Eur opa
The evaluation plans have been analysed in qualitative terms and for each com ponent
ofthe EPs a classification system and coded information has been extracted, to m ake
the compar ison bet ween EPs st raig htfor war d. When possible, in for mat ion der ivi ng from
the plans has been complemented by evidence emerging from the questionnaires
sub mit ted under task 2.
In the following sections we present the most relevant evidence emerging from the
analysis of the EPs.
4.1.1.Distr ibution of t he EPs by count ry and type of scheme
48 ev aluation plans fr om 15 Member States20w ere reviewed in the analysis. Figure11
shows the countries which notified the highestnumber of EPs: Germany (8 plans),
France (9 plans), Poland (7 plans), United Kingdom (6 plans) and Italy (4 plans). In
m ost cases 21, th ese c ount ri es a lso h ave a n at iona l le gal obl igat ion t o ev alu ate Sta te aid,
19Previous analyses on a sample of EPs found that among the methods suggested by the European
Commission, the Differences-in-differences is the most frequently mentioned in the EPs. SeeHan s
Friederiszick, Ela Głowicka, Linda Gratz, Simone Lünenbürger, Andr eas Rose nfeld , 2 018, Ex Post Sta te a id
Evalu atio n in Envir onm enta l Aid , in Euro pean Stat e ai dLaw Quart erly , v olum e 17 (4 ), Page s 509 524.
20Austria, Czech Republic, Germany, Greece, Spa in, Finland, France, Hungary, Ireland, Italy, Lithuanian,
Poland, Portugal, Sweden, Unite d Kin gdom .
21Ge rma ny, Franceand Unit ed Kingdom.

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