Communication from the Commission to the Council, the European Parliament, the European Economic and Social Committee and the Committee of the Regions establishing the guidelines for the second round of the Community Initiative EQUAL concerning transnational co-operation to promote new means of combating all forms of discrimination and inequalities in connection with the labour market- "Free movement of good ideas"
Date: 2003-12-30
Institutions: European Commission
Subjects: EU Member State, EU initiative, anti-discriminatory measure, cross-border cooperation, equal treatment, labour market

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 30.12.2003
COM(2003) 840 final

COMMUNICATION FROM THE COMMISSION TO THE COUNCIL, THE
EUROPEAN PARLIAMENT, THE EUROPEAN ECONOMIC AND SOCIAL
COMMITTEE AND THE COMMITTEE OF THE REGIONS

establishing the guidelines for the second round of the Community Initiative EQUAL
concerning
transnational co-operation to promote new means of combating all forms of
discrimination and inequalities in connection with the labour market

“Free movement of good ideas”

EN

  EN

1. 

INTRODUCTION

EQUAL  forms  part  of  the  European  Union  strategy  to  create  more  and  better  jobs  and  to
make  sure  that  no  one  is  denied  access  to  these  jobs.  As  the  Community  Initiative  of  the
European Social Fund, EQUAL is the learning platform that finds new ways of achieving the
policy  objectives  of  the  European  Employment  Strategy  and  Social  Inclusion  Process.
EQUAL  differs  from  the  mainstream  European  Social  Fund  programmes  in  that  it  is  a
laboratory  to  develop  new  ways  of  tackling  discrimination  and  inequality  in  the  labour
market. EQUAL presents evidence of good practice for these innovative approaches, with an
emphasis on active co-operation between Member States, thus ensuring that the most positive
results are adopted and shared across Europe.

The final steps for enlargement of the European Union are currently in hand, and all ten future
Member  States  will  participate  in  the  European  Social  Fund  and  EQUAL  from  1st  January
2004. EQUAL  operates  in  two  rounds,  the  second  of  which  will  be  launched  in  2004.  This
means that the second round of EQUAL will encompass the entire territory of the European
Union and will include 271 Programmes.

The European Union has an integrated strategy to combat discrimination based on sex, racial
or ethnic origin, religion or belief, disability, age or sexual orientation. Focusing on the labour
market, EQUAL forms part of that strategy and supports efforts to fight discrimination on all
of these grounds.

2. 

AIM OF THIS COMMUNICATION

i.e.  partnership  with  empowerment,
The  principles  and  architecture  of  EQUAL 
transnationality,  mainstreaming,  innovation  and  thematic  approach,  have  proven  to  be
extremely  effective  in  piloting  holistic  approaches  to  disadvantage  and  discrimination  and
therefore remain valid for the second round. This Communication illustrates some of the early
results of EQUAL, pointing to promising practices which can already contribute new ways of
tackling  discrimination  and  inequality  in  the  labour  market.  It  also  sets  the  scene  for  the
second  round  of  EQUAL,  confirming  the  principles  and  architecture  whilst  simplifying  the
administrative implementation in order to enhance effectiveness.

3. 

PARTNERSHIP AND EMPOWERMENT

At  this  early  stage,  the  most  visible  success  in  EQUAL  is  partnership.  The  objective  of
partnership  in  EQUAL  is  to  bring  together  actors  who  cooperate  in  a  Development
Partnership  to  develop  an  integrated  approach  to  the  multi  dimensional  problems  of
discrimination  by  pooling  their  efforts  and  resources  in  pursuit  of  innovative  solutions  to
jointly defined problems and common goals.

This  necessitates  the  involvement  of  a  wide  range  of  actors;  where  those  involved  in  the
implementation  of  activities  should  also  take  part  in  decision  making;  on  the  basis  of  a
commonly  agreed  (and  written)  work  programme;  which  includes  partners  from  other
Member States.

1 

Belgium and the United Kingdom have established two Community Initiative programmes.

2

 
                                                
EQUAL  partnerships  bring  together  very  disparate  groups,  many  of  whom  have  not
previously collaborated, combining skills and resources among a multiplicity of actors within
society. This is confirmed by the spread of involvement of organisations, and it is particularly
satisfying  that  one  in  three  Development  Partnerships  are  led  by  non  governmental
organisations.

Legal Status of the Development
Partnership managing partner

Legal Status of all partner
organisations

Non-profit private organisation
(including NGOs)

Public organisation

Private organisation

Semi-public organisation

Social Partners
(Trade Union, Confederation)

Without legal status

Co-operative

Total

No. of Development
Partnership

423

422

295

72

40

22

11

%

33

33

23

6

3

2

1

No. of partners

3,831

4,395

3,694

563

880

321

133

%

28

32

27

4

6

2

1

1,285

100 %

13,817

100 %

The  composition  of,  and  the  cooperative  work  within,  the  Development  Partnerships  are
important factors of success, and when combined with active participation by people exposed
to  discrimination  or  disadvantaged  due  to  inequalities,  has  brought  a  new  dynamic  to
partnerships.  Experience  from  the  earlier  Community  Initiatives  showed  that  success
depended heavily on the working relationship between partners. But such a relationship needs
time to develop. Thus in EQUAL the first phase – action 1 – specifically provides time and
resource  for  this  dialogue.  It  has  proven  to  be  of  the  outmost  importance,  allowing  for
reflection  about  prior  experiences  especially  in  other  Member  States,  identification  of  and
agreement with transnational partners, potential contributions from different groups, analysis
of  strengths  and  weaknesses,  assessment  of  relevant  linkages  to  on-going  (local,  regional,
national) change processes and new possibilities for networking. On the basis of the trust and
dialogue  built  between  partners  during  action  1,  objectives  were  clarified  as  well  as  the
different  roles,  responsibilities  and  methods  for  enhancing  participation  of  the  different
partners.

The  experience  gained  in  the  first  round  of  EQUAL  has  shown  how  important  it  is  that
Development Partnership initiators are sufficiently resourced, both in terms of funding, time
and  tools,  to  discuss  and  agree  on  a  common  diagnosis  of  the  problem,  and  on  a  coherent
strategy for developing and testing innovative approaches. Establishing effective partnerships
means  building  trust  with  potential  partners,  especially  transnational  ones  (including
travelling  to  other  Member  States)  and  getting  their  commitment.  It  is  also  clear  that  the
dynamic  generated  by  this  dialogue  and  the  implementation  of  an  agreed  work  programme
should  not  be  suspended  due  to  prolonged  administrative  procedures  in  the  passage  from
action 1 to action 2 (implementation of the work programme). Thus  in the  second round of
EQUAL, the duration of action 1 will be configured to support this essential dialogue and the

3

 
break  in  activity  between  action  1  and  action  2  will  be  avoided  by  the  introduction  of  a
confirmation step for action 2 providing for a continuous flow of activity by the Development
Partnership.

3.1. 

Good governance

Good governance requires  the  active  participation  of  all  interested  stakeholders,  not  only  to
increase  effectiveness  of  policy  development  and  implementation,  but  also  to  enhance  and
improve  governance  of  the  process,  thereby  contributing  to  a  better  mainstreaming  of  the
outputs of EQUAL into policy at national and European level.

The architecture of EQUAL has integrated essential features good governance as it addresses
works  across  and  beyond  institutional  boundaries.  As  an
cross-cutting  policy  issues,  and  
innovative  programme,  EQUAL  questions  established  ways  of  dealing  with  situations  and
encourages new and creative ideas. Learning is based on experience of what works and what
does  not,  through  systematic  evaluation  and  using  sound  evidence  for  assessing  and
implementing policy and delivery alternatives whilst also learning from peers and taking full
account of national and European experience.

In  EQUAL,  many  of  the  bodies  that  can  use  its  outcomes  and  products  are  inside  the
Initiative,  as  was  largely  the  case  in  ADAPT  and  EMPLOYMENT2.  However,  due  to  the
preparatory phase, EQUAL Development Partnerships now include a wider range of partners
and “potential user” bodies such as employers’ organisations, training or public employment
bodies or economic development agencies in their partnerships and their activities. Not only is
the  partnership  wider,  but  all  key  stakeholders,  especially  the  people  and  organisations
directly  or  indirectly  affected  by  discrimination  and  inequality,  are  included  throughout  the
whole development and mainstreaming process.

Nevertheless,  to  ensure  that  innovations  are  implemented  in  a  sustainable  way,  even  after
EQUAL  funding  ceases,  it  is  necessary  that  the  networks  created  continue  to  exist  in  some
way, in order to support the integration of innovation into policies at local, regional, national
and European level. Thus the scope of mainstreaming will be widened in the second round of
EQUAL (see Mainstreaming).

4. 

THEMATIC APPROACH

4.1. 

Support to European Employment Strategy and Social Inclusion Process

In  order  to  contribute  innovative  approaches  to  labour  market  policies,  the  first  round  of
EQUAL operated a number of thematic fields, defined in the context of the four pillars of the
employment  strategy  -  measures  and  priorities  of  the  programmes  respectively.  Since  then,
the European Employment Strategy (EES) has been revised placing emphasis on objectives,
priorities  and  targets  whilst  still  retaining  the  overarching  objective  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.

The promotion of social cohesion is an essential element in this global strategy. In the Social
Inclusion  Process,  applying  the  open  method  of  coordination  to  the  fight  against  social
exclusion  allows  for  both  coherence  and  diversity  of  action  at  national  level.  Policies  in
pursuit of the objective  of fighting social exclusion and poverty vary in  nature,  and  in  their

2

ADAPT and EMPLOYMENT were Community Initiatives operated between 1994 and 1999.

4

 
                                                
implications for Member States and their target groups. EQUAL also contributes to the Social
Inclusion  Process  by  searching  for  new  ways  of  tackling  discrimination  and  inequality  –
major factors of exclusion.

Following  consultation,  Member  States  have  agreed  to  retain  the  themes  of  EQUAL
unchanged for the second round as they continue to support the overarching objectives of full
employment, quality and productivity at work, cohesion and an inclusive labour market, and
therefore continue to support both the Employment Strategy and Social Inclusion Process.

Thus  the  second  round  of  EQUAL  continues  the  thematic  approach  established  in  the  first
round  with  the  objective  of  benefiting  those  subject  to  the  main  forms  of  discrimination
(based on sex, racial or ethnic origin, religion or belief, disability, age or sexual orientation)
and inequality. Each thematic field is fully accessible to all such groups. In accordance with
Article 1 of Regulation (EC) No 1260/19993 the promotion of equality between women  and
men is integral to all thematic fields as well as being targeted through specific actions.

 Themes

(cid:1)  Facilitating access and return to the labour market for those who have difficulty in being

integrated or re integrated into a labour market which must be open to all

(cid:1)  Combating racism and xenophobia in relation to the labour market

(cid:1)  Opening  up  the  business  creation  process  to  all  by  providing  the  tools  required  for
setting up in business and for the identification and exploitation of new possibilities for
creating employment in urban and rural areas

(cid:1)  Strengthening the social economy (the third sector), in particular the services of interest

to the community, with a focus on improving the quality of jobs

(cid:1)  Promoting  lifelong  learning  and  inclusive  work  practices  which  encourage  the
recruitment and retention of those suffering discrimination and inequality in connection
with the labour market

(cid:1)  Supporting the adaptability of firms and employees to structural economic change and

the use of information technology and other new technologies

(cid:1)  Reconciling  family  and  professional  life,  as  well  as  the  re  integration  of  men  and
women  who  have  left  the  labour  market,  by  developing  more  flexible  and  effective
forms of work organisation and support services

(cid:1)  Reducing gender gaps and supporting job desegregation

(cid:1)  Supporting the social and vocational integration of Asylum Seekers.

In accordance with Article 7 (7) of Regulation (EC) No 1260/1999, the ESF contribution to
EQUAL for the period 2004 to 2006 was adjusted at the end of 2003 to take account of the
rate of indexation. For the  existing Member States, Community  Initiative  programmes  were
adopted in 2001, and the selection of themes and associated funding for each Member State

3 

Council  Regulation  (EC)  No  1260/1999  of  21  June  1999  laying  down  general  provisions  on  the
Structural Funds O. J. No. L 161/1 of 26.6.1999.

5

 
                                                
can be found  in the  EQUAL  web  site. The  additional funding  arising from price indexation
will  be  attributed,  pro  rata,  to  these  themes  (measures)  unless  Member  States  propose  an
alternative allocation, with justification.

For Acceding Countries, draft Community Initiative Programmes for EQUAL will be adopted
after  the  1st  May  2004.  However  as  expenses  are  eligible  from  the  1st  January  2004,  the
content of the draft Community Initiative Programmes will be stabilised also in January 2004,
thus  facilitating  full  participation  by  these  countries  in  the  second  round  of  EQUAL.  The
Community  Initiative  Programmes  for  Accession  Countries  will  concentrate  on  a  limited
number  of  selected  themes,  including  at  least  a  minimum  level  of  action  aimed  at  Asylum
Seekers, and ensure complementarity with the European Social Fund programmes, especially
Objective 1. As for the existing Member States, each Community Initiative Programme will
include  a  gender  perspective  in  the  programming,  implementing,  monitoring  and  evaluating
phases of EQUAL.

4.2. 

Asylum Seekers

The preparation of a common policy on Asylum, including common European arrangements
for Asylum  is  a  constituent  part  of  the  European  Union's  objective  of  gradually  creating  an
area of freedom, security and justice open to those who, forced by circumstances, legitimately
seek  protection  in  the  European  Union.  The  integration  of  refugees  into  the  society  of  the
country in which they are established is one of the objectives of the Geneva Convention and,
to  this  end,  the  European  Union  supports  the  actions  by  the  Member  States  intended  to
promote  their  social  and  economic  integration,  in  so  far  as  it  contributes  to  economic  and
social  cohesion.  In  addition  to  the  measures  supported  by  the  Structural  Funds  and  other
Community measures in  the  field  of  education  and vocational training,  a European  Refugee
Fund was established, in 2000, which supports and encourages the efforts made by Member
States in receiving and bearing the consequences of receiving refugees and displaced persons.
With  regard  to  Asylum  Seekers  and  particularly  the  conditions  for  reception  and  access  to
Asylum  procedures,  actions  under  the  ERF  provides  for  infrastructure  or  services  for
accommodation,  supply  of  material  aid,  health  care,  social  assistance  or  help  with
administrative and judicial formalities, including legal assistance.

The inclusion of the Asylum Seekers theme in EQUAL at a time when the EU was moving to
a  common  approach  towards  the  reception  of  Asylum  Seekers  (as  defined  in  the  common
minimum  reception  conditions  Directive4)  has  enabled  a  greater  understanding  of  the
variations between Member States and the way in which the national policies affect the access
of  Asylum  Seekers  to  the  labour  market  and  education  and  training.  The  transnational
dialogue within the partnerships has enhanced learning at the practical and operational levels
because of the similar challenges faced across the EU

Throughout  the  first  round,  the  backdrop  for  the  Asylum  Seekers  activity  has  been
challenging,  with  media  coverage  of  Asylum  Seekers  becoming  increasingly  hostile.
However, at local level the work of the partnerships has demonstrated the benefits of a range
of support options for Asylum Seekers from access to language training, through to education,
vocational  training,  voluntary  work,  to  employment  in  the  open  market.  The  benefits  have
been  clear  and  include  reductions  in  inactivity,  reduced  ‘losses’  of  Asylum  Seekers  to  the
black economy and greater contributions to the local economy.

4 

Directive on Common  minimum conditions  for reception of Asylum Seekers, adopted by the Council
January 2003, implementation no later than 6.2.2005

6

 
                                                
Several countries enable Asylum Seekers a ready access to education, training resources and
the  labour  market,  and  in  the  longer  term  there  will  be  scope  to  compare  the  results  of  the
partnerships operating within these countries, to those operating in countries where access is
more limited. This evidence should help inform policy choices that will be made by Member
States within the framework of the development of the Common European Asylum System.

Another area which is producing  good results is  ‘skills audits’ for Asylum  Seekers.  Several
Development Partnerships are developing, testing and applying new models of assistance for
the  vocational  integration  of  Asylum  Seekers.  These  new  models  take  account  of  informal,
and ‘traditional’ skills, address the issue of accreditation of formal qualifications and identify
detailed training needs. The process of undertaking skills audits has proven to be empowering
for  Asylum  Seekers  and  useful  to  prospective  employers  and  providers  of  training  and
voluntary work.

Even at this early stage, there are a number of useful orientations emerging from the work in
Development Partnerships and other agencies:

(cid:1)  The importance of providing support that is relevant and of value to both integration in
the Member states and reintegration in the country of origin or a third country. Several
Development Partnerships stress this ‘option neutral’ approach.

(cid:1)  Providing support as soon as practicable after an application for Asylum is made.

(cid:1)  Working with employers: Development Partnerships have established various forms of
partnerships  with  employers,  such  as  a  co-operation  agreement  with  a  business  to  get
Asylum Seekers into employment once they have completed their training programme.
The experiences have demonstrated that these partnerships require intensive liaison and
awareness raising to engage the employer, but have good potential and results.

Several EQUAL Development Partnerships have acted as catalysts for new partnerships that
have  improved  the  co-operation  and  flow  of  information  between  organisations  and
practitioners working with Asylum Seekers at local and regional levels.

EQUAL provides  a  good  opportunity  for  the  new  Member  States  to  work  with  the  existing
Member States with a view to identifying good practice in relation to the social and vocational
integration of Asylum Seekers. Whilst for the moment the actual number of Asylum Seekers
in some new Member States is relatively low, the position could well change after accession.
In  the  new  Member,  States  the  Asylum  Seekers  thematic  activity  could  usefully  focus  on
activity which:

(cid:1)  helps  to  develop  the  capacity  of  the  NGO  sector,  and  enable  it  to  work  effectively  in

partnership with the relevant authorities;

(cid:1)  helps to develop networks to share information between the NGO sector;

(cid:1)  improves the social integration of Asylum Seekers.

The work programme for the Asylum Seekers European Thematic Group will be adapted to
ensure that it provides adequate practical support to the new Member States.

The  challenge  for  the  second  round  of  EQUAL  will  be  to  validate  these  early  results  and
provide  a  platform  so  that  the  lessons  learned  have  the  potential  to  reach  a  much  wider

7

 
audience.  EQUAL  benefits  from  the  adoption  of  the  Directives  related  to  the  Common
Asylum  Seekers  Policy  which  allows  greater  focussing  of  activities  on  Asylum  Seekers  as
defined, rather than those benefiting from other forms of protection. This also facilitates the
clarification  of  the  relationship  and  complementarity  between  EQUAL  and  the  European
Refugee Fund at a national level. As both funding sources are likely to work with  the  same
type of organisations and fund quite similar activities for different groups of people, Member
States will need to clarify whether they encourage joint funding of activities, making clear the
practical steps which will be taken to ensure that this can be managed, monitored and audited
at a national level.

5. 

INNOVATION

EQUAL  tests  innovative  approaches  to  policy  delivery.  These  may  be  completely  new
approaches,  or  the  transfer  of  elements  from  elsewhere,  which  increase  the  effectiveness  of
policy  delivery.  The  second  round  of  EQUAL  will  continue  experimenting  with  new  ideas
and  approaches.  However,  it  is  also  important  that  the  innovations  in  the  first  round  of
EQUAL should inform the  second  round  and  should be  built  upon.  In  addition, the specific
needs of the labour market in Member States may not have been fully  addressed in the first
round, and/or good practice may have been developed in another Member State with similar
situations of discrimination. Therefore, in the calls for proposals in the second round, specific
innovation needs addressing relevant or emerging issues of the labour market, and a redesign
of interfaces between institutions or public policies and actions, may be identified by Member
States.  Member  States  should  also  articulate  policy  demand  and  encourage  Development
Partnerships  to  experiment  more  in  areas  of  protection  against  unemployment,  quality  of
employment, and direct job creation.

6. 

PROMISING PRACTICES FROM EQUAL

The Development Partnerships established in EQUAL cover nine thematic areas. Even though
work is on-going, and validated results cannot yet be drawn, the first round of EQUAL which
started in 2001 can already illustrate promising practices of new ways to tackle discrimination
and inequality.

6.1.1.  Disability

EQUAL  is  enhancing  employment  opportunities  for  people  with  disabilities  by  a  combined
delivery  of  several  training  and  consultancy  services  targeted  at  employers  and  designed  to
enable  these  to  hire  a  person  with  a  disability  without  any  attendant  concerns  or
administrative inconveniences. Concrete examples that can be mentioned are the accessibility
services  for  recruitment  and  selection,  disability  awareness  training,  an  environmental
assessment  designed  to  assist  employers  to  ensure  that  the  workplace  is  accessible  in  every
possible  way  as  well  as  an  advice  service  on  the  financial  incentives  that  can  be  obtained
when  hiring  and  retaining  a  person  with  a  disability.  EQUAL  is  also  trying  to  make  the
reintegration  process  "demand-driven"  rather  than  "supply-directed",  which  means  that  the
client, i.e. the individual with a disability should be "empowered" to become the lead actor in
the process through the best possible development of his/her skills and knowledge.

6.1.2.  Retain workers longer in employment

Age  Management  has  become  a  burning  issue  at  national  and  European  level.  EQUAL  is
experimenting  with  two  different  and  complementary  approaches:  a  "reactive  approach"

8

 
addressing immediate and current barriers for older workers - motivation, training, news ways
of  working  -  and  a  "preventative  approach"  like  strategic  planning,  long-term  human
resources  strategies  and  Age  Management  practices.  There  has  been  a  noticeable  impact
already. The greatest source of motivation for older workers is the fact that they are noticed
and  considered  to  be  part  of  the  solution.  A  bottom-up  perspective  is  used  when  "coaching
sessions"  in  the  company  are  being  organised  which  allow  workers  to  give  their  input  to
solutions and to come up with their own ideas. At the same time, the tacit knowledge of older
workers is expressed through these sessions which raise awareness among mature employees
that they are "culture carriers" for employers. The question is not solely one of engaging older
workers in training. There is also an issue of supporting them - and the choices available to
them - to be able to move into new areas of work that fit in with their changing priorities and
maximise their skills and experience.

6.1.3. 

Setting-up of business by unemployed or inactive persons

There is strong evidence that business finance is not getting through to vulnerable groups and
areas. EQUAL partnerships generally concentrate on the human capital side of the equation in
entrepreneurship,  dealing  with  both  barriers  in  supply  of  finance  (private  and  public
financiers)  and  demand  (their  possible  clients).  New  methods  are  under  experiment  for
transforming informal activity, often by ethnic minorities or travellers, into formal businesses,
by  providing  skills,  status,  income  and  autonomy.  EQUAL  is  working  alongside  rotating
funds financed by other sources (European Regional Development Fund or private sources) in
order  to  build  the  financial  capacity  of  community  groups  and  individuals  that  face
discrimination in the labour market.

6.1.4.  The contribution of immigrants to employment and economic growth

Several Development Partnerships stressed the fact that one of the most convincing arguments
for employers to promote diversity action was the experience of fellow employers who could
“testify”  to  the  positive  effects  of  diversity  strategies  on  their  business  (e.g.  with  regard  to
conflict management and stress reduction, fluctuation and  absenteeism, corporate image and
diversification of services). Successful approaches include the formulation of criteria and the
setting  up  of  award  systems  for  “Equal  Opportunity  Employers”,  the  organisation  of
employers’  round  tables  at  local  level  and  the  development  of  local  employer  networks.
Showcasing of role models and the creation of structured opportunities for employers to learn
from  each  other  have  led  to  the  wider  application  of  successful  practice  related  to  the
employment  of  people  from  disadvantaged  groups.  There  is  also  positive  experience  of
transfer of good practice and of the use of role models provided by transnational partners.

6.1.5.  Promoting adaptability in the labour market

Another challenge being tackled by EQUAL is how to promote access to learning "in the real
word" where time and life pressures and a lack of experience  of learning  all  act as barriers,
especially  for  non-traditional  learners.  A  difference  can  be  made  by  using  information  and
communication  technologies  in  innovative  locations,  like  supermarkets,  to  maximise  uptake
alternative learning techniques which transplant the family learning model into the workplace.

6.1.6.  Building blocks for lifelong learning strategies

Barriers  to  entry  and  progression  are  faced  by  individuals  with  low  levels  of  basic  skills
and/or no qualifications and who are not traditional learners. EQUAL is enabling a range of
partners - and new partnerships- to make a difference by working together in new ways in a

9

 
local  context.  A  range  of  municipalities  have  come  together  for  the  first  time  to  deliver  an
intermediate system of education and training services tailored to learners.

6.1.7.  Gender segregation in sectors and occupations

Through  working  with  children  and  youth,  EQUAL  is  addressing  not  only  role  sharing  and
vocational  choices  of  future  generations,  but  also  the  prevailing  attitudinal  patterns  of  the
current  parent  generation.  Innovative  curricula  for  primary  and  secondary  schools  which
challenge  traditional  gender  roles  and  the  subtle  integration  of  the  related  stereotypes  into
science  and  technology  have  been  tested.  These  schemes  use  household  processes  such  as
cooking,  baking  or  ironing  to  explain  certain  phenomena  in  chemistry  and  physics.  The
project  is  succeeding  as  female  pupils  tend  to  get  a  better  grasp  of  subjects  taught  and  to
consider science as a possible career choice.

6.1.8. 

Share of care and household responsibilities

To  highlight  the  importance  of  active  fatherhood,  a  media  campaign  “Men  are  taking  the
lead” has been used to kick-started a debate. Discussions were launched with a bombardment
of media advertisements, supported by press conferences, an Internet site, a talk show (2 x 12
programmes)  and  many  other  events.  The  first  message  communicated  through  the  TV
commercials confronted men with the excuses they tend to make up in order to avoid taking
up more responsibilities at home. After a while, the strategy was fine-tuned and concentrated
on  motivation  and  inspiration  than  on  provocation.  The  second  wave  of  messages  also
addressed the need for women to learn to let go of their “household and care monopoly” and
of their strong beliefs about how things should be done by recognising men’s ways of caring
for children or of managing in the household. In a joint approach with large companies, NGOs
and  with  the  country’s  top  football  team,  EQUAL  is  organising  activities  to  let  fathers
experience the fun and satisfaction they can gain when spending quality time with their kids
and the difference this can make in the lives of their children and female partners.

6.1.9.  Corporate Social Responsibility

Small  enterprises  do  not  have  extensive  human  resource  structures  and  consequently
approaches to diversity that draw on Corporate Social Responsibility tend to be less attractive
and less relevant to them. EQUAL is searching for new ways of motivating them to play an
active  role  in  the  integration  of  disadvantaged  groups.  Other  types  of  action,  such  as
supported employment and assistance from intermediary agents, are being tested and positive
results have been achieved through personal face-to-face contact with employers from small
enterprises and through providing sustainable support and services (e.g. training programmes,
mentoring, case management and job profiling and matching) that enable individual small and
medium sized enterprises to cope with issues or problems related to their situation related to
the employment of people with special needs.

6.1.10.  Re-integration to combat exclusion

The  preventive  and  active  approach  to  the  unemployed  consolidated  with  the  objective  of
minimising entry into long-term unemployment leads to the guiding principle of Making the
right offer to the right person at the right time. EQUAL is working in prisons with the aim of
assessing  and  validating  existing  skills  and  feeding  this  into  the  mainstream  training  and
reintegration practices. Too often ex-prisoners are left on their own once released. With low
self-esteem and often low levels of education, the chances of finding a job are poor with the
consequent  risk  of  a  return  to  illegal  practices.  Discrimination  on  the  labour  market  is  high
with many employers reluctant to hire an ex-prisoner. EQUAL is developing the assessment

10

 
of  the  competencies  of  (ex)  prisoners  and  the  standardisation  of  tools,  training  the  trainers
with  meetings  organised  to  exchange  experiences  (a  guide/vademecum  with  practical
information  and  recommendations  will  be  developed),  and  using  the  existing  channels  of
communication of the public employment services in order to raise awareness of employers.
The partnership  is  wide  including  social  partners,  educational  institutes,  public  employment
services,  Ministries  of  Justice  as  well  as  interest  groups.  Efforts  are  not  limited  to  training
however,  as  the  reintegration  of  ex-prisoners  is  also  essential  by  including  institutions
concerned with the reintegration of ex-prisoners in society in the partnership.

6.1.11.  Social Economy to create more jobs and enhance their quality

EQUAL  is  testing  the  usability  of  franchising  in  the  social  economy.  A  small  social  co-
operative which has operated a hotel for ten years, which is a success not only economically
but also in the way it includes disadvantaged workers and imparts professional skills, has been
taken  as  a  business  model.  EQUAL  is  enabling  the  other  disadvantaged  groups  in  other
Member States to pilot this business idea, and its development process. The approach can also
be extended into new business fields. This work could have a structuring effect in that at the
end  of  the  programme  there  would  be  a  European  franchising  structure  owned  by  social
economy actors.

7. 

RESPONSE TO EMERGING CHALLENGES

Whilst  the  thematic  approach  remains  stable,  EQUAL  will  nonetheless  address  emerging
challenges in the second round.

Enlargement  will  impact  significantly  on  EQUAL.  Not  only  does  it  widen  the  geographic
scope  of  coverage  and  increase  the  number  of  citizens  who  can  benefit,  enlargement  also
increases the number of programmes from 17 to 27. Thus the co-ordination of the programme,
particularly from the perspective of transnationality and mainstreaming becomes all the more
important.

7.1. 

Roma people

Enlargement to 25 countries will include millions more Roma thus making them  the largest
ethnic minority group in the European Union.

The poverty, exclusion and discrimination  faced  by  the Roma people is  a  challenge, and  an
issue of concern, for all Member States. Existing Member States have developed policies and
programmes to support and integrate the Roma people already living in the Union. But with
enlargement, these challenges will confront the Union on a much larger scale.

The  European  Union  has  supported  actions  to  assist  the  Roma  for  more  than  a  decade.
Through  the  pre-accession  PHARE  programme,  Hungary  and  the  Czech  Republic  already
participated in EQUAL in the first round. Some positive results have already been achieved in
the  Development  Partnerships  which  focus  on  the  Roma,  as  the  proportion  of  women  and
young  persons  (18-25  years)  is  higher  than  in  the  case  of  other,  traditionally  organised,
programmes; participants come from small settlements from the countryside; the presence of
participants with multiple disadvantages in the programme is good (e.g. under-educated Roma
women  coming  from  villages).  A  personal  approach  has  been  created  to  ensure  a  sense  of
ownership of the programme. During the training period attention is paid to communication
training, how to find suitable jobs, social support and business studies. The Local Government
of  the  Gipsy  Minority  and  Roma  Civil  Organizations  are  partners  in  Development

11

 
Partnerships  and  encourage  participation  in  the  project  whilst  also  arranging  for  potential
employer  and  employee  to  make  contact,  to  build  together  an  integratived  and  inclusive
approach of employment.

However  the  criteria of  success – as seen  by  the  Roma  people themselves  – may  change in
this  new  dynamic.  Thus  both  Roma  communities  and  other  sections  of  society  will  have  to
play  an  active  role  in  efforts  to  build  a  more  inclusive  Europe.  As  a  source  of  innovation,
EQUAL plays an important role in finding ways to tackle discrimination and inequality, and
is thus relevant for the Roma people.

Therefore in the second round of EQUAL, support for the Roma people will be particularly
sought in all thematic fields.

7.2. 

Victims of trafficking

Up to half a million women and children are being trafficked into Western Europe each year.
The  trade  is  international,  well  organised  and  growing.  One  CIA  report  estimates  that
traffickers  make  up  to  a  quarter  of  a  million  dollars  with  one  woman  trafficked  and
retrafficked.  They  are  often  bought  and  sold  into  forced  prostitution;  to  domestic  labour  as
servants; or forced into sham ‘marriages’ where they are held as prisoners.

Even if victims manage to escape from the trafficker, or report to the authorities, women can
find  themselves  facing  further  trauma.  The  cruel  reality  is  that  trafficked  persons  may  be
treated  as  illegal  migrants  and  criminals.  They  face  arrest,  detention  or  expulsion.  So  the
victims are further victimised.

The  European  Council  has  called  on  Member  States  to  use  the  available  tools  to  support
victims  of  trafficking,  in  particular  EQUAL.  Action  within  the  European  Union  is  being
developed  taking  a  comprehensive  and  multidisciplinary  approach  towards  preventing  and
combating  these  phenomena.  In  terms  of  financial  support,  Community  programmes  are  an
important  tool  for  strengthening  policies,  practices  and  cooperation  in  the  EU  and  between
EU  Member  States  and  accession  countries  in  the  fight  against  human  trafficking.  In
particular  the  Structural  Funds  (ESF  and  ERDF)  can  financially  support  actions  to  provide
assistance  to  victims,  as  well  as  undertaking  prevention  and  facilitating  the  social  and
economic integration of victims of human trafficking.  In particular, the  Council invited5 the
Commission and the Member States to use the financial resources of the Community Initiative
EQUAL to promote, in accordance with national law, the social and vocational integration of
its beneficiaries, to make it possible for them to return safely to their countries of origin or to
receive adequate protection in their host countries.

Therefore  in  the  second  round  of  EQUAL,  support  for  victims  of  trafficking  will  be
particularly sought in all thematic fields.

8. 

TRANSNATIONAL CO OPERATION

Co-operation  across  Member  States  is  a  fundamental  aspect  of  EQUAL  and  the  experience
gained  under  the  previous  programmes  as  well  as  the  first  round  of  EQUAL  shows  that

5 

Council  Resolution  on  initiatives  to  combat  trafficking  in  human  beings,  in  particular  women,  20th
October 2003, 13056/03

12

 
                                                
considerable  policy  innovation  can  be  achieved  through  transnational  collaboration.
Transnational co-operation under EQUAL is working well, and has already delivered

(cid:1)  a  better  insight  into  the  nature  and  forms  of  discrimination,  inequality,  and  labour

market exclusion;

(cid:1)  improved  strategies  and  actions  in  the  light  of  experience  in  other  Member  States  (at

national as well as at Development Partnership level);

(cid:1)  benchmark strategies and actions across several Member States;

(cid:1)  credibility to the work carried out by Development Partnership as far as opinion leaders

and decision-makers are concerned.

In EQUAL, transnational co-operation manifests itself at a number of levels.

8.1. 

Between Development Partnerships

Transnational  co-operation  between  Development  Partnerships 
the
implementation  of  EQUAL  and  binds  together  Development  Partnerships  from  several
Member States though their common work programme. To achieve results, transnational co-
operation  requires  sharing  a  common  approach  to  tackling  specific  problems,  developing
similar  and/or  complementary  strategies,  approaches  and  objectives,  and  agreeing  on
priorities  for  joint  action.  Development  Partnerships  base  their  common  work  on  their
knowledge  and  experience.  The  joint  activities  are  organised  in  such  a  way  as  to  achieve  a
significant added value for the strategies and work plans of each Development Partnership.

intrinsic 

to 

is 

However finding suitable partners in other Member States can be a challenge. The first round
of EQUAL illustrated the  absolute  necessity  of  setting  up  a  ‘transnationality  window’  i.e.  a
commonly  agreed  date  by  which  all  Managing  Authorities  –  having  completed  the  single
selection procedure - would complete the EQUAL Common Data Base (ECDB) with data on
Development Partnerships, in order to give all Development Partnerships an equal chance to
find transnational partners. Member States have agreed that for the second Round of EQUAL
this transnationality window would open on the 1st January 2005.

It  is  expected  that  many  Development  Partnerships  will  quickly  find  partners  once  the
'window'  is  open  and  establish  common  work  programmes  thus  allowing  them  to  move
forward  to  the  first  milestone.  For  Development  Partnerships  where  it  is  more  difficult  to
identify  partners,  the  Commission  will  support  them  through  a  clearing  house  process  in
collaboration with Managing Authority concerned.

As  transnational  co-operation  is  an  integral  part  of  the  activity  of  the  Development
Partnership, the work programme cannot be complete without this element. This is why, in the
first round, the draft Development Partnership Agreement and the Transnational Co-operation
Agreement each had to be submitted at the end of action 1. This imposes a discipline both on
the  Development  Partnerships  and  on  the  Managing  Authorities  of  the  programmes,  as  the
Transnational Co-operation Agreement must be approved by each Managing Authorities.

In  order  to  facilitate  this  process,  an  internet  based  database  ‘EQUAL  transnational  co-
operation internet module’ (ETCIM) has been established which allows all authorities to view
and notify their approval of Transnational Co-operation Agreements through the internet.  In
order to avoid bottle-necks, Member States have agreed to process submissions for the initial

13

 
milestone as and when they are received, and in so far as possible, a confirmation of the initial
selection  of  the  Development  Partnership,  including  the  multi  annual  budget  available  to
implement the work programme (action 2) would normally be given within 8 weeks.

8.2. 

Thematic networks

The process of sharing information and exploiting the results of innovation is at the heart of
EQUAL. To achieve this, networks structured around a thematic focus have been established
in  Member  States  and  at  European  level.  These  networks  bring  Development  Partnerships
together, to discuss and evaluate the most promising practices and outcomes of the work, and
to  prepare  their  dissemination  and  integration  into  policies  and  practice.  Other  actors,  from
outside  the  Initiative,  such  as  political  decision-makers,  researchers,  associations,  social
partners are implicated in these activities also.

European Thematic Groups co-ordinate thematic activities, while Horizontal groups focus on
learning from the processes of EQUAL.

Development  Partnerships  validate,  disseminate  and  share  their  experience  and  results  both
within  the  framework  of  national  thematic  networks  and  at  European  level  through  the
European Thematic Groups. Co-operation at national and European level supports

(cid:1)  thematic reviews of the strategic approaches and the results achieved;

(cid:1)  identification  of  good  practice,  particularly  relevant  to  the  Employment  Strategy  and

Social Inclusion Process;

(cid:1)  dissemination of good practice solutions into Europe-wide discussion fora.

Through  technical  assistance,  both  Managing  Authorities  and  the  European  Commission
support the thematic review process. In particular this includes hosting conferences, seminars,
and  working  groups  in  order  to  advance  the  assessment,  benchmarking,  delivery  and
implementation of good practices  from  EQUAL.  Development  Partnerships,  as  part  of  their
commitment to transnationality and as  an integral part of their  work programme,  participate
and  contribute  to  these  networks  and  events  (for  which  participation  costs,  travel  and
subsistence, are considered as eligible expenses).

Member  States  also  co-operate  in  transnational  dialogue.  In  a  very  visible  way,  they  act  as
‘lead’  Member  State  for  the  thematic  and  horizontal  groups  i.e.  as  member  of  the  Steering
Group which is responsible for development and implementation of the work programme and
activities. They also host EQUAL events, independently or in collaboration with the European
Commission, as well as maintaining direct co-operation between Member States.

9. 

MAINSTREAMING

Mainstreaming i.e. the integration and incorporation of new ideas and approaches into policy
and practice, is challenging. To assist in this process, EQUAL provides structures and tools,
but ultimately it is up to each Development Partnership, each Member State and the European
Commission  to  provide  evidence  for  effective,  efficient  and  relevant  alternatives  in  the
delivery  of  inclusive  labour  market  policies  that  are  transferable  across  Member  States  and
applicable on a larger scale. These activities should not be limited to dissemination of results
which is only one step in the process of mainstreaming.

14

 
EQUAL contributes to effective policy making by finding out, on the ground, what works and
what  does  not,  and  making  sure  that  all  key  stakeholders  can  learn  from  it.  The  results  are
summarised  and  made  public,  and  are  used  to  enrich  the  policy  peer  reviews  set  up  in  the
context  of  the  European  Employment  Strategy,  the  Social  Inclusion  Process,  evaluation
activities  at  Union  level,  and  the  dissemination  and  exchange  activities  of  the  Community
Programmes  under  Articles  13  (fight  against  discrimination)  and  137  (in  favour  of  social
inclusion) of the Treaty.

In order to obtain the maximum impact from EQUAL, results must be analysed, benchmarked
and disseminated in order to have an impact both within Member States and across the Union.
As  with  any  experiment  in  a  laboratory,  the  effects  of  an  experiment  must  be  related  to  a
wider (economic,  political, cultural, organisational)  context to be sustainable. The  results  of
EQUAL  must  become  part  of  the  systematic  approach  to  other  policies  and  programmes,
which are carried out on a local, regional, national and European level. At the time of writing,
most  Development  Partnerships  are  only  mid-way  through  their  activities,  consequently,
many results are still emerging. Nonetheless it is already clear that mainstreaming the results
of  EQUAL  presents  a  challenge,  and  therefore  in  the  second  round,  this  principle  will  be
reinforced.

It is incumbent on Development Partnerships to participate in mainstreaming activities as part
of their work programme. On top of this, given the complexities involved, there is additional
funding  available  in  EQUAL  for  mainstreaming  activities.  This  additional  funding  can  be
used for:

a) Mainstreaming the innovations of  EQUAL  (action 3) – either  from  the first round  or  the
second.  Applications  may  be  submitted 
to  Managing  Authorities  by  Development
Partnerships  acting  either  singly  or  in  groups  or  by  ad  hoc  consortia  of  Development
Partnership  partners,  multipliers  and  experts.  Activities  at  national  or  European  level  may
include

(cid:1)  presenting and promoting the evidence for good practice;

(cid:1)  validation of the innovation;

(cid:1)  benchmarking  innovation  against  existing  approaches  nationally  and  in  other  Member

States;

(cid:1)  dissemination of  the innovation  to  additional  actors concerned with the  discrimination

tackled;

(cid:1)  demonstration and transfer of good practice including mentoring.

b) Managing Authorities may also fund additional mainstreaming activities (action 3) such as
preparation of Guides, good pratices or other tools by Development Partnerships as part of the
collaboration within European thematic groups.

It  is  important  that  policy  makers,  in  particular  those  in  charge  of  preparing  the  national
actions plans for the European Employment Strategy and the Social Inclusion Process, as well
as  those  involved  in  Objective  1,  2  and  3  Structural  Fund  Programmes,  receive  input  from
EQUAL,  and  participate  in  the  mainstreaming  activities.  This  can  best  be  achieved  in  a
structured way, and the Commission therefore recommends that Member States:

15

 
a) provide, at least once a year, a joint forum for the members of the Monitoring Committees
of  the  Structural  Fund  programmes,  particularly  Objective  3,  with  the  members  of  the
Monitoring Committee of EQUAL;

b) consider repeating annually the successful ESF Seminars (held during Autumn 2003);

c)  continue  the  thematic  networks  which  have  been  established  to  mainstream  results  from
EQUAL at local, regional, national and European level;

d) provide specific information in their National Action Plans on employment and on social
inclusion on how the results of EQUAL have been mainstreamed.

For  its  part,  the  Commission's  learning  platform  of  EQUAL  through  the  web  site6  will
continue  to  provide  access  to  good  practice:  on  building  and  maintaining  effective
partnerships; on managing development of, testing and benchmarking of innovative solutions.
The results of EQUAL will also be mainstreamed across all of the Structural Funds and other
policies  of  the  Commission,  particularly  in  the  domain  of  research,  training,  education,
enterprise  policy  and  justice  and  home  affairs.  For  the  remainder  of  the  programme,
mainstreaming will be prioritised, particularly the presentation of the innovations of EQUAL
in a usable form to policy makers, and the utilisation of EQUAL to respond to policy gaps.

10. 

EVALUATION

10.1.  Mid-term Review

Articles  40-43  of  Regulation  (EC)  1260/1999  set  out  the  requirements  for  evaluating  the
Community Initiative programmes. The national mid-term evaluations were launched in 2001
(upon  adoption  of  the  Programme  Decisions)  by  the  Managing  Authorities  to  ensure
continuous  feed-back  for  any  readjustments  necessary  for  successive  calls  for  proposals.  In
parallel, the Commission charged an independent consultant with the tasks of carrying out an
evaluation  at  EU-level,  based  on  the  results  of  the  national  evaluation  reports,  and  on  own
analysis and field work. In defining their national evaluations, Member States were requested
to synchronise delivery dates, to follow a common methodological approach, and to focus on
common issues in order to exploit synergies between national and EU evaluations.  National
mid-term evaluation reports were submitted to the Commission in December 2003, building
on  which  the  European  level  evaluation  was  prepared.  This  evaluation  focuses  on  the
implementation  of  action  1  (selection  procedures,  partnership  development  and  the
transnational  partner  search),  and  early  elements  of  action  2  (implementation  phase)  and
action 3 (dissemination and mainstreaming) as well as other transnational activities.

The EU-wide evaluators of EQUAL do not suggest any changes in the overall architecture for
EQUAL.  However,  on  the  basis  of  the  reports  of  the  national  evaluators,  and  on  their  own
field work and analysis, a number of issues that may limit the effectiveness of EQUAL have
been highlighted, and a set of recommendations to enhance effectiveness are made.

The evaluation notes that the spread of EQUAL funding across priorities is more even than in
ESF  mainstream  programmes,  with  “Adaptability”  and  “Equal  Opportunities”  being
proportionately more important in EQUAL although there seems to have been a low level of
attraction  to  the  latter.  Nonetheless  "Employability”  remains  the  first  priority  for  both

6

http://europa.eu.int/comm/employment_social/equal/

16

 
                                                
EQUAL and ESF. The priorities of EQUAL reinforce the Employment Strategy through focus
on participation in the labour market; inequalities in the labour market and modernisation of
Public  Employment  Services.  However,  EQUAL  is  less  focussed  on  protection  against
unemployment; quality  of employment  and  direct job creation  measures.  These  aspects  will
be addressed in the second call.

The  evaluation  confirms that the partnership  principle  has  proven  to  be  the  main  vehicle  of
innovation  and  added  value  particularly  when  participants  and  disadvantaged  groups  are
involved  in  decision  making.  Participative  approaches  within  the  partnerships  enhance
effectiveness.  There  is  a    great  variety  of  organisations  participating  in  EQUAL  (degree  of
decentralisation)  but  it  is  necessary  to  assess  the  influence  and  impact  of  this  variety
especially  as  empowerment  has  been  understood  in  different  ways  in  different  countries.
Whilst  many  Development  Partnerships  have  partners  with  previous  involvement  in
ADAPT/EMPLOYMENT, there is an important participation of local and regional authorities
as partners in EQUAL. The participation of social partners is variable and participation of non
traditional partners (SME and small NGOs) could be higher.

The evaluation draws attention to the negative impact of different timing/processes between
Member  States  on  the  implementation  of  “transnationality”.  This  is  being  addressed  in  the
second  round  through  the  ‘transnationality  window’.  Transnational  co-operation  is  still
producing  limited  added  value  and  not  contributing  enough  to  innovation.  As  transnational
co-operation  is  a  key  principle  of  EQUAL,  it  needs  to  be  strengthened,  with  more  joint
development encouraged.

The  horizontal  implementation  of  equal  opportunities  and  gender  mainstreaming  are  often
understood in a limited or traditional way. These horizontal issues need to be taken more into
consideration on the second round.

There  are  significant  variances  between  the  national  mainstreaming  strategies,  the
mainstreaming  role  of  Development  Partnerships  as  part  of  their  work  programme,  and  the
mechanisms for allocation additional funding for mainstreaming activities under Action 3 to
Development Partnerships.
 The EU-wide evaluators recommend that the Commission and
Member  States  should  clarify  and  reinforce  the  guidance  for  making  results  of  EQUAL
relevant for policy  development,  and  in  particular  ensure  that  Development  Partnerships  go
beyond  traditional  dissemination  activities  and  really  engage  in  horizontal  and  vertical
mainstreaming.

There is so far a limited impact of EQUAL on European policies and programmes, but there
are  perspectives  for  improvement.  The  mainstreaming  activities  of  the  European  Thematic
Groups  should  be  accelerated,  in  particular  by  promoting  the  involvement  of  non-EQUAL
stakeholders.  Further,  the  structures,  mechanisms  and  procedures  established  to  manage  the
European thematic networks lack coordination, coherent procedures, stakeholder involvement
and  effective  organisational  and  communication  structures.  The  Commission  and  Member
States should therefore rationalise the organisation of European Thematic Groups, by

(cid:1)  paying particular attention to the composition and size of the different groups,

(cid:1)  involving policy-makers and multipliers,

(cid:1)  promoting the participation of policy stakeholders from accession countries,

17

 
(cid:1)  setting  up  clear  and  common  criteria  and  procedures  for  the  selection  of  "good"

practice,

(cid:1)  identifying  and  systematically  developing  strategic  links  between  EQUAL  and

European policies and processes.

The evaluation report has identified a point of concern regarding the selection process used in
EQUAL. As members of the Monitoring Committees of EQUAL may, and indeed sometimes
are,  also  applicants  in  EQUAL,  it  is  essential  that  the  role  of  the  Monitoring  Committee  is
clearly  set out. Whilst the  criteria  for  evaluation and selection  of  Development  Partnerships
may  be  established  by  the  Monitoring  Committees,  Monitoring  Committee  members
representing  organisations  participating  in  a  Development  Partnership  should  not  be
implicated in the selection process in order to avoid any conflict of interest.

10.2.  On-going evaluation

The evaluation of EQUAL needs to reflect its experimental approach and therefore covers not
only  the  classical  evaluation  dimensions  such  as  relevance,  efficiency,  effectiveness,  utility
and  sustainability,  but  also  focuses  on  the  processes,  support  structures  and  policy  delivery
systems.

Following  this  mid-term  evaluation  the  existing  Member  States  will  continue  to  produce
annual interim reports. The 2005 report will meet the requirements of the update of the mid-
term report according to the provisions of Regulation 1260/1999.

Equal is about learning. Guidelines for monitoring and evaluating EQUAL7 give the general
framework  and  are  applicable  all  along  the  programming  period.  In  order  to  effectively
extract the good practice and mainstream it, it is essential to maintain an evaluation function
in  all  actions  of  EQUAL,  and  an  observatory  function  to  integrate  experience  and  evidence
generated  elsewhere.  Member  States  are  therefore  encouraged  to  continue  their  evaluation
activities  beyond  the  formal  requirements  of  the  Regulation,  with  a  focus  on  identifying
factors contributing to the success (or failure) of innovation, the mainstreaming of results, and
sustainability.

With  EQUAL,  new  Member  States  will  be  entering  new  ground  in  terms  of  governance,
policy  issues  and  policy  development.  An  ongoing  evaluation  will  facilitate  learning
processes  amongst  all  stakeholders  involved,  and  contribute  to  capacity  building  within  the
public  sector.  In  an  innovative,  transnational  programme  like  EQUAL  it  is  important  that
future  Member  States  make  use  of  the  2004-2006  period  to  build  and  develop  capacity  to
carry out evaluation of the programmes and to draw lessons for the 2007-2013 programming
period. Therefore it is recommended that these Member States set up an on-going evaluation
which  focuses  on  management  systems,  programme  implementation  dynamics,  monitoring
systems,  selection  procedures  and  implementation  of  Action  1.  A  report  on  these  should  be
foreseen by the end of 2005. The fact that current Member States have already carried out an
evaluation of the first round could provide some useful lessons  for future  Member States to
follow. New Member States are also advised to design and carry out an on-going evaluation
for the whole period, focussing on the lessons learnt for capacity building, networking, gender
mainstreaming, inclusion of minorities, and transnational cooperation.

7

"Guidelines for systems of monitoring and evaluation for the Human Resources Initiative EQUAL  in
the period 2000 – 2006". DG Emplyment and Social affairs, July 2000.

18

 
                                                
On the basis of the evaluation results already available, and no later than three years after the
end  of  the  programming  period,  the  Commission  will  carry  out  the  ex-post  evaluation,  in
collaboration with the Member States and the Managing Authorities. Ex post evaluation will
cover  the  utilisation  of  resources,  the  effectiveness  and  efficiency  of  the  assistance  and  its
impact. It will draw conclusions regarding policy on economic and social cohesion and will
cover  the  factors  contributing  to  the  success  or  failure  of  implementation  and  the
achievements and results, including their sustainability.

11. 

GUIDELINES FOR THE SECOND ROUND OF EQUAL

EQUAL  will  fund  activities  implemented  by  strategic  partnerships  called  Development
Partnerships.  The  second  round  retains  the  principles  and  architecture  of  the  first  round.  In
order to facilitate reading, these guidelines for the second round are presented in their entirety
and  replace  the  provisions  of  the  guidelines  for  the  first  round  of  EQUAL  as  set  out  in
C(2000)8538.

11.1. 

Selection procedure

(1) 

There  will  be  a  single  selection  procedure  for  funding  under  the  second  round  of
EQUAL.  It  will  be  based  upon  an  application  submitted  jointly  by  a  number  of
organisations (Development Partnership initiators). The application should identify:(cid:2)(cid:2)(cid:2)

(cid:1)  the  partners  to  be  involved  in  the  Development  Partnership  at  the  outset;  the
arrangements for ensuring that all relevant stakeholders can become involved during the
life of the partnership including, in particular, appropriate small organisations; and the
arrangements for handling the administrative and financial responsibilities;

(cid:1)  an  outline  of  the  rationale  for  the  partnership,  a  diagnosis  of  the  problem  to  be

addressed, and an outline of the objectives of the partnership;

(cid:1)  an assessment of the relevance of the problem addressed and of the solution to be tested,
an explanation of how discrimination and inequality  will be tackled,  and an outline of
how the results could be disseminated and transferred to policy and practice;

(cid:1)  the expectations from transnational co-operation;

(cid:1)  an outline of the activities foreseen for developing and testing the innovative approach

for the entire period, including an indicative budget (estimate);(cid:2)(cid:2)

(cid:1)  a detailed workplan, methodology and management tools for developing and finalising

the Development Partnership Agreement, including budget(cid:3)

(2) 

The procedures for selecting Development Partnerships fall within the competence of
the  Managing  Authority.  The  Commission  expects  selection  criteria  to  reflect  the

8 

Communication  of  the  Commission  to  the  Member  States,  establishing  the  guidelines  for  the
Community  Initiative  EQUAL  concerning  transnational  co-operation  to  promote  new  means  of
combating all forms of discrimination and inequalities in connection with the labour market, C (2000)
853 of 14.4.2000

19

 
                                                
general principles of EQUAL and that Managing Authorities will ensure that there is
no  conflict  of  interest  in  the  selection  procedure.  Unsuccessful  applicants  should  be
given reasons for their non-selection and be informed of the appeal .

(3) 

Programmes  are  implemented  by  the  designated  Managing  Authority9  who  will  be
responsible for the calls for proposals and selection procedures and the completion of
the EQUAL Common Data Base (ECDB). Data on Development Partnerships will be
entered  into  the  ECDB  before  January  1,  2005,  so  that  when  the  "transnationality
window"  is  opened  all  Development  Partnerships  have  an  equal  chance  to  find
transnational partners and finalise their Development Partnership Agreement.

11.2.  Milestones

(4) 

(5) 

(6) 

(7) 

Once  selected,  expenses  become  eligible  and  Development  Partnerships  will  be
required to achieve ‘milestones’ in the operation of their work programme.

The  initial  milestone  (action  1)  is  the  creation  or  consolidation  of  a  sustainable,
effective  Development  Partnership  and  its  strategy  including  transnational  co-
operation which will have a real added value. The time period available for this will be
determined by the quality and speed at which each Development Partnership achieves
agreement with all partners on the draft Development Partnership Agreement (below).
The  draft  Development  Partnership  Agreement  should  immediately  be  submitted  to
the Managing Authorities.

Development  Partnerships  must  identify  at  least  one  partner  from  another  Member
State.  As  a  general  rule,  co-operation  should  be  established  between  other
Development  Partnerships  in  EQUAL  such  co-operation  may  also  extend  to  similar
projects supported in a non Member State eligible for funding under the Phare, Tacis
Meda or Cards programmes.

The  draft  Development  Partnership  Agreement  documents  the  consensus  of  the
partners and presents their common strategy in a structured, concise and coherent way,
and identifies the main factors for success of the Development Partnership. Therefore
it should contain:

(cid:1)  a  diagnosis  and  an  assessment  of  the  specific  problems  in  relation  to  labour  market

exclusion, discrimination and inequality, to be tackled;

(cid:1)  a  stakeholder  analysis;  identifying  and  discussing  the  interest  and  expectations  of
people, groups, or organisations that may influence or be influenced by the solution to
be developed  and tested, and  a  description  of  the  roles  of  relevant  stakeholders  in  the
work of the Development Partnership;

(cid:1)  objectives  and  the  strategy  to  attain  them,  reflecting  learning  from  the  first  round  of

EQUAL and any other relevant action;

(cid:1)  a description of the assumptions, risks and flexibility requirements;

9 

Details of the programmes, funding, Managing Authorities and other structures are available on the web
site http://europa.eu.int/comm/employment_social/equal/

20

 
                                                
(cid:1)  a  detailed  work  programme  accompanied  by  a  realistic  budget,  both  broken  down  by

national and transnational activities/costs;

(cid:1)  a clear identification of the role of each partner, including the arrangements for steering
and managing the partnership and administering the financial support preferably using a
commonly agreed system;

(cid:1)  a  Transnational  Co-operation  Agreement  specifying  the  common  interests,  the  added
value  of  the  transnational  activities,  and  the  transnational  workplan  and  budget.  The
contributions  and  roles  of  each  transnational  partner,  the  methods  of  decision  making
and the organisational arrangements for implementing the common work programme as
well as the methodologies for monitoring and assessment of joint activities should be set
out. This Transnational Co-operation Agreement must be presented on the basis of the
common format described in the Guide an Transnationality10, and must be entered into
the common database 'EQUAL transnational co-operation internet module' (ETCIM). A
paper  version  of  the  database  entry  should  be  annexed  to  the  draft  Development
Partnership Agreement.

(cid:1)  the  methodology  and  mechanism  for  on-going  assessment  of  activities  and
achievements,  including  a  description  of  verifiable  indicators  which  demonstrate  how
the objectives, outputs and results will be measured and assessed ;

(cid:1)  the corresponding methodology and mechanisms for monitoring and assessment of joint

activities in the transnational co-operation;

(cid:1)  the commitment  of  the Development  Partnership including  their  transnational  partners

to collaborate on mainstreaming activities at national and European levels;

(cid:1)  the strategy and mechanisms for implementing a gender mainstreaming approach.

(8) 

The  draft  Development  Partnership  Agreement  must  also  demonstrate  that  the
Development Partnership fulfils the following conditions:

(cid:1)  Financial viability: the availability of the necessary co-financing.

(cid:1)  Transparency:  Public  access  to  the  results  obtained  (products,  instruments,  methods,

etc.).

(cid:1)  Capacity-building and empowerment: The Development Partnership has the capacity to
mobilise and enable different actors to work together effectively around their common
strategy.  Particular  attention  will  be  given  to  the  arrangements  for  ensuring  that  all
relevant actors, such as: public authorities; the public employment service; NGOs; the
business  sector  (in  particular  small  and  medium  sized  enterprises);  and  the  social
partners,  can  become  involved  during  the  life  of  the  partnership.  The  Development
Partnership  must  show  that  all  partners  have  fully  participated  in  the  planning  and
development of the Development Partnership Agreement.

10 

http://europa.eu.int/comm/employment_social/equal/
index.cfm?file=listdoc.cfm&nav_id_menu=10038&lang_id=6

21

 
                                                
(cid:1)  Learning  spirit:  the  capacity  and  willingness  to  learn  from  others,  and  to  actively  co-
operate in networking, dissemination and mainstreaming activities at both national and
European level.

(9) 

The Development Partnership work programme would normally  operate for a  period
of up to 3 years.

(10)  Managing  Authorities  should  provide  sufficient  support  to  enable  Development
Partnerships to conclude their draft Development Partnership Agreement as quickly as
possible.  Failure  to  submit  a  draft  Development  Partnership  Agreement  will  lead  to
de-selection, after which  expenditure will no longer be eligible.

(11)  Upon receipt of the draft Development Partnership Agreement, Managing Authorities
will  confirm,  normally  within  8  weeks,  the  initial  selection  of  the  Development
Partnership,  including  the  multi  annual  budget  available  to  implement  the  work
programme (action 2).

(12)  Subsequent  milestones  relate  to  a  review  of    the  implementation  of  the  work
programme  as  set  out  in  the  Development  Partnership  Agreement.  Where  there  is  a
financial consequence to the non-performance of activities, Managing Authorities may
realign the budget accordingly. These reviews will be conducted regularly, at least at
12 month intervals.

11.3.  Transnational co operation

(13)  Development Partnerships will participate in transnational co-operation through

(cid:1)  The implementation of the Transnational Co-operation Agreement

(cid:1)  Participation  and  contribution  to  the  national  and  European  thematic  networks,  at

working groups, events, seminars and conferences organised within EQUAL

(cid:1)  Participation costs (travel and subsistence) are considered  as eligible expenses for this

purpose and shall be covered by the Development Partnership budget (action 2).

(14)  Managing Authorities participate in transnational co-operation through

(cid:1)  Acting as lead Member State for thematic groups

(cid:1)  Participating  and  contributing  to  the  national  and  European  thematic  networks,  at

working groups, events, seminars and conferences organised within EQUAL

(15)  Managing  Authorities  should  use  their  own  technical  assistance  budget  to  support
them  as  lead  Member  State,  and  for  the  organisation  of  working  groups,  events,
seminars and conferences organised within EQUAL.

11.4.  Mainstreaming

(16)  Member  States  shall  establish  a  mainstreaming  strategy,  outlining  objectives,
mechanisms and resources, including networks which will facilitate mainstreaming at
local, regional, national and European level. These mechanisms should aim at:(cid:2)

22

 
(cid:1)  identifying  factors  leading  to  inequality  and  discrimination  and  monitoring  and
analysing the impact or potential impact of the Development Partnerships on the policy
priorities  and  on  the  different  grounds  of  discrimination  and  inequality  in  connection
with the labour market;

(cid:1)  identifying  and  assessing  the  factors  leading  to  good  practice  and  benchmark

performance;

(cid:1)  disseminating good practice from Development Partnerships.

(17) 

In  order  to  enhance  mainstreaming  of  innovations  (action  3),  and  upon  receipt  of  a
proposal from Development Partnerships acting  either singly or in  groups,  or  ad  hoc
consortia  of  Development  Partnership  partners,  multipliers  and  experts,  Managing
Authorities may fund additional activities for assessing, presenting and promoting the
evidence for good practice  at national or European level including

(cid:1)  validation of the innovation;

(cid:1)  benchmarking  innovation  against  existing  approaches  nationally  and  in  other  Member

States;

(cid:1)  dissemination of  the innovation  to  additional  actors concerned with the  discrimination

tackled;

(cid:1)  demonstration and transfer of good practice including mentoring;

(cid:1)  and integration of experience and lessons learnt from outside EQUAL.

(18)  Managing Authorities may also fund additional mainstreaming activities (action 3) by
Development  Partnerships  as  part  of  the  collaboration  within  European  thematic
groups.

12. 

FINANCING

12.1.  Eligibility of activities

(19)  The  normal  eligibility  rules  of  the  ESF  apply  (cf.  article  3  of  the  ESF  Regulation4).
However,  in  order  to  achieve  the  maximum  effectiveness  of  activities  EQUAL  may
fund  action  normally  eligible  under  the  ERDF,  EAGGF  Guidance  or  FIFG  rules,
(Article 21(2) of Regulation (EC) No 1260/1999).

(20)  The rates of Community contribution defined in Article 29 of the Regulation (EC) No
1260/1999  will  apply.  In  view  of  the  innovative  nature  of  the  methods  used,  a
systematic application of the ceilings indicated in the Regulation is recommended.

(21)  The  rules  of  eligibility  for  co-financing  by  the  Structural  Funds  are  set  out  in
Regulation  (EC)  No  1685/2000  as  amended  by  Regulation  (EC)  No  1145/200311.  In
accordance with Regulation 1260/1999, under EQUAL, the final beneficiaries are the
Development Partnerships. Attention of Member States and Development Partnerships

11

Commission Regulation (EC) No 1145/2003 of 27 June 2003, O.J. L/160 of 28.6.2003

23

 
                                                
is  therefore  drawn  to  all  the  rules  set  out  in  Regulation  1145/2003,  and  particularly
Rule  No  1  Expenditure  actually  paid  out,  and  Rule  No  12  Eligibility  of  operations
depending on location.

(22)  The Commission would expect that a sufficient amount of resource  is made available
in order to permit the Development Partnership to establish a qualitative national and
transnational co-operation. In this context travel and subsistence costs are considered
eligible expenses.

(23)  Member  States  shall  check  the  activities  of  the  Development  Partnership  for
compatibility  with  the  provisions  of  the  Treaty,  in  particular  rules  for  public
procurement  and  with  the  state  aid  provisions,  and  if  necessary  notify  them  under
Article 88 (3).

12.2.  Technical Assistance

(24)  Technical Assistance is available to support the implementation of EQUAL and may

provide support before the commencement of Development Partnerships activities.

(25)  Technical assistance, up to 5% of the total ESF contribution, is available to support

(cid:1)  expenditure  relating  to  the  preparation,  selection,  appraisal  and  monitoring  of  the
assistance  and  of  operations  (but  excluding  expenditure  on  the  acquisition  and
installation of computerised systems for management, monitoring and evaluation);

(cid:1)  expenditure on meetings of monitoring committees and sub-committees relating to the
implementation  of  assistance.  This  expenditure  may  also  include  the  costs  of  experts
and other participants  in  these  committees,  including  third-country  participants,  where
the  chairperson  of  such  committees  considers  their  presence  essential  to  the  effective
implementation of the assistance;

(cid:1)  expenditure relating to audits and on-the-spot checks of operations.

(26)  Other actions which can be co-financed under technical assistance, and which are not

subject to a maximum contribution of 5%,

(cid:1)  studies,  seminars, information  actions,  the  collection,  editing  and  dissemination  of  the

experience and results;

(cid:1)  support  to  thematic  networking,  dissemination  activities  and  the  setting  up  of

mechanisms for policy impact;

(cid:1)  co-operation  in  European  networking  and  ensuring  the  sharing  of  all  relevant

information with other Member States and the Commission

(cid:1)  evaluation,

(cid:1)  the  acquisition  and  installation  of  computerised  systems  for  management,  monitoring

and evaluation.

(27)  Expenditure  on  the  salaries  of  civil  servants  or  other  public  officials  in  carrying  out
such  actions  is  not  eligible.  The  ESF  rate  of  contribution  in  respect  of  the  technical

24

 
assistance priority will be subject to the ceilings in Article 29 (3) of Regulation (EC)
No 1260/1999.

(28)  The  successful  implementation  of  EQUAL  demands  a  significant  amount  of
collaboration between Member States and the Commission: collecting and processing
information  about  Development  Partnerships,  setting  up  data  bases,  animating  the
thematic  review  process,  organising  seminars,  publicising  results,  etc.  A  certain
number  of  specific  tasks  which  cannot  take  place  without  support  at  European  level
will be assigned to outside service providers, at the initiative and under supervision of
the Commission, on the basis of calls for tender. The execution of these tasks shall be
financed  at a rate of 100% of  the total cost. An indicative  amount  of a maximum of
2% of the total ESF contribution will be reserved to finance activities carried out at the
initiative of the Commission.

(29)  Evaluation of the impact of EQUAL is crucial, and it will be implemented at all three

levels of action:

(cid:1)  All  Development  Partnerships  will  be  required  to  present  verifiable  evidence  of  their

results, in order to generate a basis for benchmarking;

(cid:1)  All Member States will carry out an independent evaluation at national level and present
an  (updated)  mid-term  review  in  2005.  The  evaluation  of  EQUAL  needs  to  reflect  its
experimental  approach  and  will  therefore  not  only  cover  the  classical  evaluation
dimension  as  relevance,  efficiency,  effectiveness,  utility  and  sustainability,  but  will
focus the evaluation activities also on the processes, on support structures and on policy
delivery systems;

(cid:1)  At  Union  level,  the  Commission  will  set  up  an  evaluation  mechanism,  to  assess  the
implications  of  EQUAL  for  the  European  Employment  Strategy,  the  Social  Inclusion
Process, and other Community policies and programmes, building on the contributions
of the Member States in their National Action Plans.

25