52000PC0796

Amended Proposal for a DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a programme of Community action to encourage cooperation between Member States to combat social exclusion

(presented by the Commission pursuant to Article 250 (2) of the EC-Treaty)

EXPLANATORY MEMORANDUM

I. INTRODUCTION

On 16 June 2000 the Commission adopted a proposal for a Decision of the European Parliament and the Council to establish a programme of Community action to encourage cooperation between Member States to combat social exclusion (2001 - 2005). Article 137 TEC (paragraph 2, subparagraphs 2 and 3) provides the legal basis for the Decision. The Committee of the Regions adopted its opinion on 23 October 2000 and the Economic and Social Committee on 19 October 2000. Following the adoption of the European Parliament of its opinion on 16 November 2000, the Commission has now modified its original proposal in accordance with Article 250 TEC.

II. AMENDMENTS

The link with the Lisbon European Council conclusions on combating social exclusion have been reinforced. A stronger emphasis has been put on improvement of indicators and assessment criteria, and the development of comparable parametres to support cooperation between Member States in the context of the open method of coordination (Recital 12; Articles 3, 4 and Annex). In line with the Lisbon conclusions further references to poverty have been incorporated where possible (Recitals 6, 9; Articles 2, 3, 5 and Annex). The role of the Social Protection Committee has been underlined in particular in Recital 18 and Article 8 and it is also proposed to reflect progress achieved under the programme in the Commission's Annual Synthesis Report to the Spring European Council (Article 11).

The reference to Article 2 of the TEC has been broadened (Recital 1) and Recital 22 has been improved editorially.

Specific references have been made to the revised Social Charter of the Council of Europe (Recital 3), to Council Recommendations 92/441/EEC and 92/442/EEC as well as to the Council conclusions of 17 December 1999 (Recital 4).

The involvement of all relevant actors at all levels (local, regional, national and European) and the importance of reflecting experience on the ground as well as of people affected by poverty and social exclusion has been stressed while making clear that the programme of Community action will focus on transnational cooperation and support networking at EU level only (Recital 15; Article 3 and Annex).

Provisions with regard to consistency and complementarity with other Community policies, instruments and actions have been strengthened (Recital 17 and Article 9).

A reference has been made to Article 274 in the provisions referring to the role of the Committee established for the programme (Recital 16 and Article 7).

In the annex, specific attention has been drawn:

- Under the analysis strand: to the multiple dimensions of social exclusion, the territorial dimension as well as to the variety of social groups at risk of exclusion, including child poverty and, as already indicated, to reflecting experience on the ground.

- Under the exchange strand: to the possibility of the programme to support transnational exchangees between national observatories or similar recognised bodies as well as to field visits and exchange of staff.

- Under the participation and networking strand: to consultation of all relevant actors in preparing the EU Round Table Conference as well as to the possibility of funding exceptionally up to 90% of the running costs of European networks when justified by their financial situation.

2000/0157 (COD)

Amended Proposal for a DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL establishing a programme of Community action to encourage cooperation between Member States to combat social exclusion

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 137, paragraph 2, subparagraphs 2 and 3 thereof,

Having regard to the proposal from the Commission [1],

[1] OJ C , , p. .

Having regard to the opinion of the Economic and Social Committee [2],

[2] OJ C , , p. .

Having regard to the opinion of the Committee of the Regions [3],

[3] OJ C , , p. .

Acting in accordance with the procedure laid down in Article 251 of the Treaty [4],

[4] OJ C , , p. .

Whereas:

(1) Pursuant to Article 2 of the Treaty, the Community shall have as its tasks, inter alia, to promote throughout the Community a high level of employment and of social protection and the raising of the standard of living and quality of life.

(2) Pursuant to Article 136 of the Treaty, the Community and the Member States, having in mind fundamental social rights such as those set out in the European Social Charter signed at Turin on 18 October 1961 and in the 1989 Community Charter of the Fundamental Social Rights of Workers, shall have as an objective the combating of exclusion.

(3) Having in mind the revised Social Charter of the Council of Europe (1996), and in particular Article 30 thereof on 'the right to protection against poverty and social exclusion'.

(4) In the Recommendation 92/441/EEC of 24 June 1992 the Council recommends Member States to recognise the basic right of a person to sufficient resources and social assistance to live in a manner compatible with human dignity; in the Recommendation 92/442/EEC of 27 July 1992 the Council recommends Member States to guarantee a level of resources in keeping with human dignity; in the conclusions of 17 December 1999 the Council endorsed promoting social inclusion as one of the objectives of modernising and improving social protection.

(5) The European Parliament, the Economic and Social Committee and the Committee of the Regions have all urged the Community to strengthen its contribution to efforts in Member States to prevent and to combat social exclusion.

(6) The Commission Communication of 1 March 2000, "Building an inclusive Europe" [5], described the challenge of poverty and social exclusion and the existing policy responses in Member States and at Community level, and proposed on this basis to give a new impetus to the EU cooperation in this field .

[5] COM (2000) 79 final

(7) The Lisbon European Council of 23 and 24 March 2000 incorporated the promotion of social inclusion as intrinsic to the overall strategy of the Union to achieve its strategic goal for the next decade of becoming the most competitive and dynamic knowledge-based economy in the world, capable of sustainable economic growth, with more and better jobs and greater social cohesion.

(8) The Lisbon European Council further acknowledged that the new knowledge-based society offers both the potential for reducing social exclusion by creating the economic conditions for greater prosperity through higher levels of growth and employment and by opening up new ways of participating in society and the risk of an ever-widening gap between those who have access to the new knowledge, and those who are excluded - and that policies should be directed towards avoiding this risk and maximising this new potential.

(9) The Lisbon European Council stated that the number of people living below the poverty line and in social exclusion in the Union is unacceptable and that steps must be taken to make a decisive impact on the eradication of poverty by setting adequate targets agreed by the Council.

(10) The European Council further agreed that policies for combating social exclusion should be based on an open method of coordination combining national action plans and a Commission initiative for cooperation.

(11) This Commission initiative which consists in a proposal for a multiannual action programme designed to encourage co-operation between Member States should aim at improving knowledge, developing exchanges of information and best practices, and evaluating experiences in order to enhance the effectiveness and efficiency of policies to combat exclusion.

(12) The drawing-up of harmonised surveys and studies and the establishment of common qualitative and quantitative indicators will provide a basis for the development of the open method of coordination.

(13) Combating poverty and social exclusion requires facilitating participation in quality employment and access by all to resources, rights, goods and services.

(14) Measures to combat social exclusion should aim at enabling everyone to support him/herself (through gainful employment or otherwise) and integrate into society.

(15) Many non-governmental organisations at various levels (local, regional, national and European) have experience and expertise in fighting social exclusion, as well as acting as the advocates of people who are exposed to social exclusion; local and regional authorities as well have experience and knowledge in this field; non-governmental organisations and local and regional authorities can therefore make an important contribution at European level to understanding the diverse forms and effects of social exclusion and to ensuring that the design, implementation and follow-up of the programme take account of the experience of people exposed to social exclusion.

(16) In compliance with Article 2 of Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission [6], measures for the implementation of the present Decision should be adopted by use of the advisory procedure provided for in Article 3 of that Decision without prejudice of the powers granted to the Commission by article 274 of the Treaty.

[6] OJ L 184, 17.7.1999, p. 23

(17) It is necessary, in order to reinforce the added value of Community action, that the Commission, in cooperation with the Member States, should ensure, at all levels, the coherence and complementarity of actions implemented in the framework of this Decision and all other relevant Community policies, instruments and actions, in particular those under the European Structural Funds .

(18) The Social Protection Committee, set up by the Council Decision of 29 June 2000 [7] to strengthen cooperation between the Member States on social protection policies, contributes to the development and systematic monitoring of actions designed to modernise and improve social protection and to promote social inclusion in accordance with the Presidency conclusions of the Lisbon European Council of 23 and 24 March 2000 and those of the Feira European Council of 19 and 20 June 2000.

[7] Council Decision 2000/436/EC, OJ L 172 of 12.07.2000

(19) The Agreement on the European Economic Area (EEA Agreement) provides for greater cooperation in the social field between the European Community and its Member States, on the one hand, and the countries of the European Free Trade Association participating in the European Economic Area (EFTA/EEA), on the other; provision should be made to open up this programme to participation by the candidate countries of Central and Eastern Europe, in accordance with the conditions established in the Europe Agreements, in their additional protocols and in the decisions of the respective Association Councils, to Cyprus and Malta, funded by additional appropriations in accordance with the procedures to be agreed with those countries, as well as to Turkey, funded by additional appropriations in accordance with the procedures to be agreed with that country.

(20) A financial reference amount, within the meaning of point 33 of the Interinstitutional Agreement of 6 May 1999 between the European Parliament, the Council and the Commission is included in this decision.

(21) This reference amount is compatible with the current financial framework.

(22) Gender is a crucial cross-cutting issue which impacts to an important extent on the effects as well as on the causes of poverty and exclusion. Moreover, in accordance with articles 2 and 3 of the Treaty, promoting equality between men and women and eliminating inequalities is part of the task of the Community and must be fixed as an objective in all its activities.

(23) It is essential to monitor and evaluate the implementation of the programme to ensure that it achieve its objectives.

(24) In accordance with the principles of subsidiarity and proportionality as defined in Article 5 of the Treaty, the objectives of the proposed action concerning the contribution of the Community to combating social exclusion cannot be sufficiently achieved by the Member States for reasons including the need for multilateral partnerships, the transnational exchange of information and the Community-wide dissemination of good practice; this Decision does not go beyond what is necessary to achieve those objectives,

HAVE DECIDED AS FOLLOWS:

Article 1

Establishment of the programme

A programme of Community action to encourage cooperation between Member States in order to combat social exclusion, hereinafter referred to as 'the programme', is adopted for the period 1 January 2001 to 31 December 2005.

Article 2

Principles

1. This programme shall be part of an open method of co-ordination between Member States designed to give a decisive impetus to the elimination of poverty and social exclusion by setting appropriate objectives at Community level and implementing national action plans.

2. The programme and the national action plans shall contribute to a better understanding of social exclusion, the mainstreaming of the combating of exclusion in Member States and Community policies and measures, and the development of priority actions chosen by Member States in accordance with their particular situation.

3. In designing, implementing and following up the activities under the programme account will be taken of the experience in the Member States at all relevant levels and of people exposed to poverty and social exclusion, as well as of social partners, non-governmental and voluntary organisations and other actors of the society involved in the fight against poverty and social exclusion.

Article 3

Objectives

The programme shall support cooperation which enables the Union and the Member States to enhance the effectiveness and efficiency of policies to combat social exclusion by:

- improving the understanding of social exclusion and poverty;

- organising exchanges on policies which are implemented and mutual learning on the basis of comparable parameters and in the context of the national action plans; and,

- developing the capacity of actors to address poverty and social exclusion effectively, in particular through networking at EU level and promoting a dialogue with all stakeholders.

Article 4

Community actions

1. With a view to achieving the objectives set out in Article 3, the following actions may be implemented within a transnational framework:

- analysis of characteristics, causes, processes and trends in social exclusion, including the collection of comparable statistics, the drawing-up of quantitative and qualitative indicators, the development of common methodologies and thematic studies;

- policy cooperation and exchange of information and best practices on the basis of the development of quantitative and qualitative indicators assessment criteria and benchmarks and through periodic monitoring, evaluation and peer review;

- promotion of dialogue involving the various stakeholders and support to relevant networks at European level of non-governmental organisations active in the fight against poverty and social exclusion.

2. Arrangements for the implementation of the Community actions described in paragraph 1 are set out in annex.

Article 5

Implementation

1. The Commission shall:

- ensure the implementation of the Community actions covered by this programme;

- have a regular exchange of views with representatives of non-governmental organisations and the social partners at European level on the design, implementation and follow-up of the programme and on related policy orientations. The Commission shall inform the Committee established under Article 7 of their opinions;

- promote active partnership and dialogue between all the partners involved in the programme to encourage an integrated and co-ordinated approach to the fight against poverty and social exclusion.

2. The Commission, in cooperation with the Member States, shall take the necessary steps to:

- promote the involvement in the programme of all the parties concerned;

- ensure the dissemination of the results of the actions undertaken within the framework of this programme;

- provide appropriate information, publicity and follow-up with regard to actions supported by this programme.

Article 6

Financing

1. The financial reference amount for implementing the programme for the period referred to in Article 1 shall be EUR 70 million.

2. The annual appropriations shall be authorised by the budgetary authority within the limits of the financial perspective.

Article 7

Committee

1. Without prejudice of the powers granted to the Commission by article 274 of the Treaty, the Commission shall be assisted by an advisory committee composed of the representatives of the Member States and chaired by the representative of the Commission (hereinafter referred to as "the Committee").

2. Where reference is made to this paragraph, the advisory procedure laid down in Article 3 of Council Decision 1999/468/EC shall apply, in respect of article 7, paragraph 3 and article 9.

3. The representative of the Commission shall in particular consult the Committee on:

- the general guidelines for the implementation of the programme;

- the annual budgets and the distribution of funding between measures;

- the annual plan of work for the implementation of the programme's actions, and the Commission proposals for selection criteria for financial support;

4. To ensure the consistency and complementarity of this programme with other measures referred to in Article 9, the Commission shall keep the Committee regularly informed about other Community action contributing to combating social exclusion. Where appropriate, the Commission shall establish regular and structured co-operation between this Committee and the monitoring committees established for other relevant policies, instruments and actions.

Article 8

The Commission shall establish the necessary links with the Social Protection Committee within the framework of the activities referred to in this Decision.

Article 9

Consistency and complementarity

1. The Commission shall, in co-operation with the Member States, ensure overall consistency with other Community policies, instruments and actions, in particular by establishing appropriate mechanisms to co-ordinate the activities of this programme with relevant activities relating to research, employment, economic, industrial and enterprise policies, non-discrimination, immigration, equality between women and men, social protection, education, training and youth policy, health and in the field of the Community's external relations.

2. The Member States shall make all possible efforts to ensure consistency and complementarity between activities under this programme and those carried out at national, regional and local levels.

3. The Commission and the Member States shall ensure consistency and complementarity between action undertaken under this programme and Community action under the structural funds, in particular the Community initiative EQUAL.

Article 10

Participation of the EFTA/EEA countries, the associated countries of Central and Eastern Europe, Cyprus, Malta and Turkey

This programme shall be open to the participation of:

- the EFTA/EEA countries in accordance with the conditions established in the EEA Agreement;

- the associated central and eastern European countries in accordance with the conditions established in the Europe Agreements, in their additional protocols and in the decisions of the respective Association Councils;

- Cyprus, Malta and Turkey, funded by additional appropriations in accordance with procedures to be agreed with each country.

Article 11

Monitoring and evaluation

1. The Commission shall regularly monitor this programme in cooperation with the Member States in accordance with the procedure set out in Article 7.

(2) The Commission shall reflect progress achieved under the programme in its Annual Synthesis Report to the Spring European Council.

3. The programme shall be evaluated by the Commission by the end of the third year and at the end of the programme with the assistance of independent experts. This evaluation will assess the relevance and effectiveness of actions implemented with regard to the objectives referred to in Article 3. It will also examine the impact of the programme as a whole. The evaluation will also examine the complementarity between action under this programme and that pursued under other relevant Community policies, instruments and actions.

4. The Commission shall submit to the European Parliament, the Council, the Economic and Social Committee and the Committee of the Regions a final report on the implementation of the programme by 31 December 2006.

Article 12

Entry into force

This Decision shall enter into force on the day of its publication in the Official Journal of the European Communities.

Done at Brussels,

For the European Parliament For the Council

The President The President

ANNEX

Indications for the implementation of the programme

1. Action strands

With a view to achieving the objectives set out in Article 3 and implement the Community actions set out in Article 4 the following measures may be implemented within a transnational framework:

Strand 1: Analysis of characteristics, processes, causes and trends in social exclusion

The importance of this strand is linked to the conclusion of the Lisbon European Council to develop national action plans and a new open method of co-ordination to combat social exclusion and the need in this context to identify appropriate quantitative and qualitative indicators and benchmarks which will make it possible to promote periodic monitoring, evaluation and peer review. This requires special cooperation efforts to improve statistics, methodologies and understanding of social exclusion as well as of policies which can help to prevent and combat exclusion. Particular effort is proposed with regard to statistical work in cooperation with national statistical offices.

It is important to reflect experience on the ground of people experiencing poverty and social exclusion, and to make use of all relevant information sources on poverty and social exclusion, including from non-governmental organisations.

When analysing social exclusion and poverty, particular attention will go to its multiple dimensions, and to the variety of situations of social groups, including child poverty, as well as of territories which are exposed to risks of social exclusion.

In order to promote this, the following measures may be supported:

1.1. Studies and meetings on the development of common methodologies to measure and understand poverty and social exclusion, their extent, characteristics, processes, causes and trends, and on the establishment of indicators;

1.2. The collection and dissemination of comparable statistics in Member States and at Community level. This measure should support cooperation between national statistical offices and the Commission and improve the statistical reference sources at Community level and their contribution to the analysis of poverty and social exclusion;

1.3. The development of thematic studies to contribute to the understanding of social exclusion, to address common issues in connection with policy developments in Member States, including emerging issues in relation to the knowledge based society.

Strand 2 : Policy cooperation and exchange of information and best practices

In order to promote policy cooperation and mutual learning in the context of the national action plan, the following transnational activities may be supported:

2.1 Transnational exchange actions aimed at transferring information and good practices and developing peer review in the context of the national action plans, by means of policy meetings/workshops/seminars on benchmarks or on policies and practices, or other forms of exchange such as joint development of strategies, common dissemination of information, field visits and exchange of staff etc., organised at the initiative of European organisations, of Member States and/or of other key actors with the active involvement of Member States. Transnational exchange between national observatories or similar recognised bodies may be supported under this strand.

2.2 Expert work and specific studies in connection with the development of indicators and benchmarks, including in relation to the knowledge based society.

2.3 Annual EU Report on social exclusion, which would present the state of play on the different national action plans as well as actions conducted at European level in the main policies and fields where the fight against poverty and social exclusion is at stake.

Keeping in mind that social exclusion is a multidimensional phenomenon, particular attention shall be paid to relevant policy developments on social protection, employment, education and training, health and housing policies.

Strand 3: Participation of the various stakeholders and support to networking at EU level

In order to actively involve public authorities as well as the social partners and the civil society, the following measures may be supported:

3.1 Core funding for relevant European networks involved in the fight against poverty and social exclusion.

3.2 An annual EU Round Table Conference on social exclusion. The conference would be organised in close collaboration with the EU Presidency and prepared in consultation with all relevant actors.

2. General considerations

The programme shall take into account the results of preparatory actions and activities under other Community policies, instruments and actions.

In designing, implementing, following up and evaluating the activities under the programme account will be taken of the experience of people exposed to poverty and social exclusion, as well as social partners, non-governmental organisations and other actors of the society involved in the fight against poverty and social exclusion. In all its activities, the programme will respect the principle of gender mainstreaming. The programme activities can be adapted or supplemented in accordance with the procedure established under Article 7, on the basis of an annual review.

The implementation of the programme may require technical and administrative assistance to the mutual benefit of the Commission and of the beneficiaries and/or support expenditure.

3. Method of presenting applications for support

Strand 1: This strand will be mainly implemented through calls for tenders. For cooperation with national statistical offices the EUROSTAT procedures will apply.

Strand 2: Actions 2.1 will be mainly implemented in response to annual calls for proposals (some policy meetings/seminars might be organised directly by the Commission). Proposals will have to involve actors from at least 4 Member States and may be submitted to the Commission by European organisations and by Member States (or by organisations with the involvement of Member States). Actions 2.2 and 2.3 will require specific call for tenders.

Strand 3: Under action 3.1 support may be provided to European networks satisfying criteria established by the Commission in consultation with the Committee in accordance with Article 7. Action 3.2 may be supported in response to requests for subsidies from Member States.

4. Carrying out the actions

The actions to be taken may be funded by service contracts following calls for tender or by subsidies for joint financing with other sources. In the latter case, the level of financial assistance by the Commission may not exceed, as a general rule, 80% of the expenditure actually incurred by the recipient. However, core funding for European networks under Strand 3.1 may exceptionally, when justified by their financial situation, amount to 90% of their running costs.

In carrying out the programme, the Commission may require additional resources, including recourse to experts. These requirements will be decided in the context of the Commission's ongoing assessment of resource allocation.

In carrying out the programme the Commission may have recourse to technical and/or administrative assistance, to the mutual benefit of the Commission and of the beneficiaries, related to identification, preparation, management, monitoring, audit and control.

The Commission may also undertake information, publication and dissemination actions. It may also undertake evaluation studies and organise seminars, colloquia or other meetings of experts.

The Commission will prepare annual work plans setting out the priorities and actions to be undertaken. Moreover, it will also specify the arrangements and criteria to be applied in selecting and financing actions under this programme. In so doing, it will seek the opinion of the Committee mentioned in Article 7.

Actions undertaken will fully respect the principles of data protection.

FINANCIAL STATEMENT

1. Title of operation

Programme of Community action to encourage cooperation between Member States in order to combat social exclusion.

2. Budget headings involved

- B3-4105 preparatory measures to combat and prevent social;

- B3-4105A exclusion;

- A-70 global envelope.

3. Legal basis

Article 137, paragraph 2, subparagraphs 2 and 3 of the Treaty establishing the European Community.

Proposal for a decision of the European Parliament and of the Council establishing a programme of Community action to encourage cooperation between Member States to combat social exclusion.

4. Description of operation

4.1 General objective

The programme shall support cooperation which enables the Union and the Member States to enhance the effectiveness and efficiency of policies to combat social exclusion by:

- Improving the understanding of social exclusion and poverty;

- Organising exchanges on policies which are implemented and mutual learning on the basis of comparable parameters and in the context of the national action plans;

- Developing the capacity of actors to address poverty and social exclusion effectively, in particular through networking at EU level and promoting a dialogue with all stakeholders;

4.2 Period covered and arrangements for renewal

From 1 January 2001 to 31 December 2005.

5. Classification of expenditure or revenue

5.1 Non-compulsory expenditure

5.2 Differentiated appropriations

5.3 Type of revenue involved: none

6. Type of expenditure or revenue

6.1. Contracts for studies and provision of services, meetings of experts and the organisation of conferences and seminars, as well as for publication and dissemination expenditure agreed on the basis of an initiative from the Commission.

6.2. Subsidies generally below 80% of total eligible costs to cover costs strictly related to transnational cooperation and exchange of experience (Strands 2.1, 3.2); exceptionally and when justified by their financial situation, grants to cover the general running costs of organisations operating at European level may amount to 90%(strand 3.1) .7. Financial impact

Estimates have been made on the basis of past experience and in particular the costs of the activities supported under the above mentioned budget lines in previous years. The breakdown is given for guidance and covers only the measures to be attributed directly to the programme budget headings. Particular attention will be paid in Year 1 to stock taking of past preparatory actions to ensure capitalisation and avoid duplication of existing work and set up most appropriate arrangements for close cooperation with relevant stakeholders. The annual budget of the programme will be progressively increased from 11 MEUR(Year 1) to 13 MEUR (Year 2) , 15.5 MEUR (Years 3 and 4) and 15 MEUR (Year 5)

7.1 Method of calculating total cost of operation (relation between individual and total costs)

M EUROS

Year 1

Strand 1 - Analysis of social exclusion

Action 1.1 : development of common methodologies

This will include studies and related meetings with independent as well as governmental experts to discuss progress and proposals. Studies will be implemented through a call for tender,

(4-6 projects with an average cost of 100-200.000/Year) 0.7MEUR

Related meetings costs (4-6 meetings 40-60 participants). 0.2MEUR

Sub-total action 1.1 0.9MEUR

Action 1.2 : Collection and dissemination of comparable statistics

The EUROSTAT procedures will apply to the two envisaged measures under 1.2 to which more than 60% of the budget of strand 1 is earmarked:

- support to cooperation between nations statistical offices and the Commission with an annual allowance of EUR 500/700 000 for meetings, expert inputs, in-service training, development of data base linkages, etc 0.5MEUR

- co-financing of the European Community Household Panel (ECHP) and its exploitations and support to the improvement of other surveys for poverty and social exclusion analysis (eg. with adaptation of questionnaires, samples, specific modules etc.); 2MEUR

Sub-total action 1.2 2.5MEUR

Action 1.3 : thematic studies

Action 1.3 will be implemented through calls for tenders with an estimated budget for Year 1 of 4- projects (average EUR 150000/year). 0.6MEUR

Stocktaking or feasibility studies will have a duration of 6-12 months financed under B3-4105A 0.2MEUR

Sub-total action 1.3 0.8MEUR

Studies under 1.1 and 1.3 will be transnational and might have a duration of 2-3 years, with successive annual contracts; apart from stocktaking or feasibility studies financed under B3-4105A which will have a duration of 6-12 months.

OVERALL TOTAL STRAND 1 (YEAR 1) 4.2MEUR

Strand 2 - Policy cooperation and exchange of good practice

action 2.1 : transnational exchange actions

It will be mainly implemented in response to annual calls for proposals from European organisation and Member States (or organisations with the active involvement of Member States).

The estimated budget is based on 20-30 operations of about EUR 100-150 000

(Year 1; the number of operations will be increased to 30-40 in subsequent years, the envisaged operations are eg. transnational policy meetings/seminars, events or other forms of exchange concerning at least 4 Member States including exchanges between national observatories or similar recognised bodies) 3.1MEUR

Sub-total action 2.1 3.1MEUR

action 2.2 : expert work and specific studies

It will be implemented in response to annual calls for tenders. Action 2.2 estimated budget is based on the estimated cost of a group of independent experts (0,400) and an average of 5-8 specific studies of 50 to 100.000 EUR; the cost of the external evaluation of the programme are included in the total amount of this strand.(Year 1 pm) 0.7MEUR

Sub-total action 2.2 0.7MEUR

action 2.3 : Annual social exclusion report

It will also require calls for tender or the use of standard provision of services contracts. Under action 2.3 about EUR 150 000 should cover preparatory meetings with Member States and relevant stakeholders. 0.3MEUR

The rest will be used for tendering editorial, translation and dissemination services as well as for covering the costs of complementary publications or communication activities relating to the results of the programme.

B3-4105A 0.2MEUR Sub-total action 2.3 0.5MEUR

OVERALL TOTAL STRAND 2 (Year 1) 4.3MEUR

Strand 3 - Participation of stakeholders and EU networking

action 3.1 : core funding for EU networks

Support will go to a limited number of European level networks/platforms of NGOs with experience of the fight against social exclusion and acting as advocates of people exposed to social exclusion. The criteria for determining the organisations to be supported shall be established in consultation with the Programme Committee. Annual subventions could range from EUR 0.5 to 0.8 million on the basis of detailed workplans and budgets, approved by the Commission. 2.3MEUR

action 3.2 :

The Annual Round Table Conference on Social Exclusion, would build on the annual Social Exclusion Report and bring together representatives from all the key stakeholders.

Annual subvention of +/- EUR 200.000 to the EU Presidency who would be in charge of organising the event jointly with the Commission. 0.2MEUR

OVERALL TOTAL STRAND 3 (Year 1) 2.5MEUR

7.2 Itemised breakdown of cost

Commitment appropriations in EUR million (at current prices)

SUMMARY

>TABLE POSITION>

DETAILED

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7.3 Technical and administrative assistance and support expenditure (B3-4105A)

Commitment appropriations EUR million (at current prices)

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7.4 Schedule of commitment and payment appropriations

EUR million

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8. Fraud prevention measures

All the measures funded are subject to ex ante, in itinere and ex post analysis by the responsible departments as regards content quality and cost effectiveness. The grant applications forms will require information on the identity and nature of potential beneficiaries so that their reliability can be assessed in advance. Fraud prevention measures (checks, reports) are included in the agreements or contracts between the Commission and beneficiaries. The Commission will check reports and ensure that work has been properly carried out before intermediate and/or final payments are made. Special attention will be made in order to avoid double funding. In addition, controls by the Commission or the Court of Auditors of the European Communities may be carried out on the basis of documents or on the spot.

9. Elements of cost-effectiveness analysis

Given the limited financial resources, the actions to be promoted under these provisions will involve both the application of the principles of cost-effectiveness analysis, and the rigorous selection of activities in order to induce a significant multiplier effect and a strong value-added.

As the main objective of the programme is to encourage cooperation on combating social exclusion between Member States in the context an open method of coordination, all activities will be focussed on ensuring the active involvement of Member States in the implementation of the programme and on improving policies to combat social exclusion.

Cooperation activities and outputs - be they in the form of indicators, statistics, studies, methodologies, publications, meetings or other forms of exchange - shall therefore be supported by the programme in function of their relevance and feasibility for more inclusive policy-making in fields and/or for issues which are included as a priority in national action plans to combat social exclusion.

9.1 Specific objectives

Preventing and combating social exclusion is first and foremost the responsibility of the Member States and their national, regional and local authorities. In accordance with Article 137 of the Treaty, the Community can contribute to their efforts.

In its conclusions, the European Lisbon Council agreed to promote social inclusion within the framework of an open method of coordination. To this end, it has invited the Commission to present by June 2000 an initiative for cooperation in this field which should be combined with national action plans.

Building on the national action plans to be established by Member States, the programme will focus on transnational cooperation as a means of improving understanding and practice, and with Member States it will promote monitoring, evaluation and peer review as mutual learning processes.

The overall aim of the programme is to encourage cooperation which would enable the Union and its Member States to make a decisive impact on the eradication of poverty and social exclusion as measured by targets agreed by the Council.

To enhance the effectiveness and efficiency of Community and Member States policies and actions, three sub-objectives have been identified to which correspond three major strands for action under the programme:

- improving the understanding of social exclusion and poverty (with a particular effort to improve statistics and indicators);

- organising exchanges on policies which are implemented and mutual learning on the basis of comparable parameters and in the context of the national action plans;

- developing the capacity of actors to address poverty and social exclusion effectively, in particular through networking at EU level and promoting a dialogue with all stakeholders.

The programme will work with target actors who have the ability to ensure cross-fertilisation of expertise and to influence developments in policy and practice within the Member States. The strategy is therefore to promote transnational co-operation with and between these actors on a number of themes. The target actors to be involved include, for example, policy makers in national, regional and local administrations, non-governmental organisations, social partners, research institutes, the media, opinion-formers, social service providers.

9.2 Grounds for the operation

Article 137 of the Amsterdam Treaty opens the possibility of Union initiatives to promote co-operation to combat social exclusion.

Preparatory actions and consultations at European level during the period 1998-2000 involving the major stakeholders have confirmed that cooperation at European level in this field will produce added value:

(i) When it helps to promote the principles of an integrated approach, partnership and participation as well as the mainstreaming of combating exclusion in all relevant policies;

(ii) When it enables key stakeholders in Member States, at all levels, to engage in a limited number of high-quality, policy-orientated cooperation initiatives aimed at improving understanding and evaluation of poverty and social exclusion, as well as at stimulating trans-national exchange and innovation to combat social exclusion.

To achieve this the programme comprises three strands which will be mutually supportive and operate as follows:

A first strand will focus on analysis of characteristics, processes, causes and trends in social exclusion. An important tool in this context is to help MS with the development of common methodologies (1.1). These methodologies are needed if Member States want to jointly assess and discuss challenges and trends in this field and to arrive at common understandings and diagnosis as well as at comparable data. These methodologies are also essential for the development of more inclusive approaches, indicators and benchmarks in important areas such as employment, social protection, education and training, health, housing etc. which the programme will support by means of policy oriented thematic studies (1.3). Cooperation between MS in the context of the open method of coordination will also require more comprehensive and comparable statistics and indicators. Preparatory work involving representatives from statistical offices in MS as well as EUROSTAT during the last 2 years has confirmed that better statistics are needed and that a cost effective approach is to build on and strengthen existing data sources in MS and at Community level. An approach which the programme has adopted by encouraging specific cooperation on social exclusion between national statistical offices and EUROSTAT as well as by investing in a better exploitation of key Community data sources such as the ECHP (1.2).

A second strand will focus more directly on promoting policy cooperation and exchange of information and best practices between MS. This strand puts in place three strategic tools at Community level which are to enable MS, in a transparent and mutually productive manner, to benchmark actions and developments in the context of their national action plans to combat social exclusion, i.e. to compare and exchange best practices, to monitor progress and evaluate impact, to undertake peer reviews. A first tool focuses on transnational exchange - it is vital if the programme is to allow Member States and other key stakeholders to meet, to discuss, to exchange information in a transnational framework; it will also make it possible to disseminate knowledge and information emerging from national action plan activities in other ways (2.1). A second tool consists of supporting trans-national expert work and studies on issues related to the development and implementation of national action plans (and therefore to the issues to be also addressed in transnational exchange under 2.1 and the annual review under 2.3). (2.2)A third tool makes it possible to produce an annual review and assessment of the state of play of the action plans as well as of the progress achieved in meeting the targets at EU level on reducing poverty and social exclusion (2.3). This will also contribute to the preparation of the special European Council in the Spring of each year as laid down in the Lisbon conclusions. Linking the three tools to policy cooperation in the context of the national action plans and the open method of coordination is to ensure that support from the programme will go to a limited number of high-quality, co-ordinated actions.

A third strand is to promote the participation of the various stakeholders and to support networking at EU level.

This strand includes support to a limited number of major EU networks of NGOs active in the field of social exclusion and poverty (3.1). Dialogue with the civil society organisations is a key component of the process to mobilise all actors to combat social exclusion. The programme therefore proposes to support this dialogue through EU co-ordination networks which have proved their capacity to bring together a very wide range of NGOs and to act as advocates of those exposed to exclusion. Supporting the running costs of a limited number of the basis on the basis of clear commitments and work programmes is preferable to supporting a large number of competing bodies and groups only acting as lobbies for their particular interests.

A final measure under this strand is to organise once a year, either in the run-up to the special annual European Council in the Spring, or as a follow-up to it, a high-profile round table conference on social exclusion (3.2). It would create an annual opportunity for representatives from major stakeholders in MS and at Community level to meet and discuss a key theme/issue in relation to social exclusion. Organising the event in collaboration with the Presidency and preparing it in consultation with all relevant stakeholders is to ensure political visibility and impact, and will help to place the event in the context of the open method of co-ordination. The annual social exclusion review should help to identify themes/issues which are a political priority.

9.3 Monitoring and evaluation of the operation

The programme is designed to facilitate and support more effective and efficient policy responses by Member States to combating social exclusion in the context of national action plans and an open method of co-ordination. The functions of monitoring and evaluation therefore naturally form part of the activities implemented by the programme, in such a way as to derive maximum benefit from them. As the programme is designed to impact on policies by the improvement of understanding and the identification/dissemination of good practice, particular attention will be paid to assess the incorporation of transnational exchange and studies outcome into policy development.

Monitoring and evaluation (M&E) of the programme will be a continuous task. It will look in particular at the effectiveness, efficiency, relevance and utility of the actions of the programme. Monitoring and evaluation will be adapted to the different actions and strands, and will include quality control, date collection, responsibility and reporting. Data collection on the activities implemented under the programme will be part of this continuous task, and all the promoters of these activities will have an obligation to report on their work and outcome. The Programme Committee will receive progress reports prepared by the Commission services on a regular basis. This will make it possible to fine tune specific measures and strands and or adjust the programme in function of needs/developments.

In addition, the programme will be subject to a mid-term evaluation (by 30 June 2004) and a final evaluation (by 30 September 2006). Both these evaluations will be undertaken with the assistance of external evaluators and a specific steering group will be set up. The results of the final evaluation will be fed into an implementation report to the other Community institutions by 31 December 2006.

Monitoring and evaluation including data collection are to be financed by the budget of the programme and, taking into account the SEM 2000 recommendations on M&E, it is proposed to reserve an indicative amount of 0.5 million EUR for evaluation and 0.35 million EUR for monitoring. External evaluation teams will be selected on the basis of a call for tender.

Evaluation work will start as from Year 1. The corresponding costs are included under the strand 2.2.

10. Administrative expenditure (Section III, Part A of the budget)

The mobilisation of administrative and human resources necessary shall be covered by the resources already allocated to the managing service.

10.1 Effect on the number of posts

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10.2 Overall financial impact of additional human resources

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10.3 Increase in other administrative expenditure as a result of the operation

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The amounts given must correspond to total expenditure arising from the operation if its duration is predetermined or expenditure for 12 months if it is indefinite. Expenditure within Title A7 in point 10.3 above is to be covered within the global envelope of DG EMPL.

ANNEX 1

ANNEX TO THE FINANCIAL STATEMENT: EFFECT ON THE NUMBER OF POSTS

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