increasing skills thematic evaluation report
TRANSCRIPT
Thematic Evaluations Contract Number: C-32/2011/12
Increasing SkillsFinal Report
30 Queen Square Bristol BS1 4ND T. 0117 927 3401 F. 0117 929 4189 E. [email protected]
W. www.ers.org.uk
Commercial in Confidence
Contents
EXECUTIVE SUMMARY ............................................................................................ 2
1. INTRODUCTION............................................................................................. 5
2. DELIVERY CONTEXT .................................................................................... 9
3. COHERENCE OF PROJECTS WITH POLICY GOALS............................... 17
4. PERFORMANCE TO DATE AND ANTICIPATED OUTTURN..................... 22
5. THEMATIC AREA SPECIFIC ANALYSIS.................................................... 38
6. CONCLUSIONS AND RECOMMENDATIONS ............................................ 57
APPENDIX 1: CONSULTEE LIST............................................................................ 62
Thematic Evaluations Increasing Skills Final Report
EXECUTIVE SUMMARY
In September 2011 the Welsh European Funding Office (WEFO)
commissioned thematic evaluations of the 2007-13 EU Structural Funds
Programmes to assess alignment with Operational Programme (OP)
objectives and progress of funded activity. The following report addresses the
Increasing Skills thematic area.
The thematic area comprises two Priorities: Convergence ESF Priority 3 and
Competitiveness ESF Priority 2. An allocation of £301.1 million ESF funding is
made for Convergence ESF Priority 3 across three Themes: raising the level
of skills in the workforce, supporting the provision of skills for the knowledge
economy and promoting gender equality in employment. Competitiveness
ESF Priority 2 is much smaller with £28.1 million allocated ESF funding. The
OP is complemented by four strategic frameworks.
Coherence of Projects with Policy Goals To date 35 projects have been approved, 27 under Convergence and eight
under Competitiveness. In absolute terms, there is good fit between the scope
of projects approved and the policy goals within the OP for Convergence ESF
Priority 3. However, some gaps have been identified in respect of specific
activities targeted to disabled participants, migrant workers and some issues
of gender balance in the workforce. There are more substantive gaps in
respect of Competitiveness ESF Priority 2 including a lack of research into
skills needs and systems for matching learning to employer demand as well
as activity focused at a number of target groups. For both Priorities there is
very little evidence of any duplication. There is some evidence of imbalance
between approved project activities and OP aims when considering the
financial commitments made to date within Convergence ESF Priority 3, as
this includes over commitment on Theme 2 addressing higher level skills.
There is limited evidence on which to assess the balance of approved
activities in terms of profiled indicators against targets for participant mix and
skill levels. However, there is some suggestion that the mix of approved
activity is lacking the focus on basic skills that is detailed within the OP.
Performance to Date and Anticipated Outturn
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Across the two Priorities 91% of EU funds have been committed and 32% of
funds have been spent (70% of forecast expenditure to date). Confidence
was expressed at Programme and project level that funds will be fully spent
by the end of the Programming period.
Delivery performance against output and result indicators is variable. There is
very strong performance in terms of the number of participants and
participants gaining qualifications with sound expectation that OP targets will
be exceeded. However, when looking beneath the headline level, there are
some concerns in terms of the ability to achieve the target profile of participant
type and activity by skill level as set out within the OP.
There is uncertainty in respect of indicators relating to employers assisted or
financially supported under Convergence ESF Priority 3, despite over-
commitment of outputs across approved projects. The equivalent indicator for
Competitiveness ESF Priority 2 is expected to be achieved. The target for
employers adopting or improving equality and diversity strategies and
monitoring systems is unlikely to be achieved on the basis of current
evidence. The target for projects delivering specialist training in sustainable
development should be met.
The specific reasons for variance in the delivery of indicators compared to
forecast profiles vary across projects. Common issues include delays in
commencement of project delivery following receipt of project approval.
These delays included over optimistic lead in times within project business
plans, delays caused by the procurement process and in some cases
procedural issues delaying the final sign off of project approval. There is also
some evidence of over optimistic profiling of indicators at the business
planning stage, this in part highlights the risks inherent with forecasting as
well as the change in economic climate.
Thematic Area Specific Analysis The level of collaboration engendered by the Structural Funds Programmes
was cited as a positive outcome by a broad range of consultees. This was
particularly driven by the commitment to fewer, larger projects. This has
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brought together
Institutions, Further Education Institutions, Local Authorities and social
partners in collaborations that would have been unlikely without the
Programmes. A particular success is that of Sector and Provider Advocates,
which have strengthened communication between employers and their
representatives and the education and training sector.
Whilst there is very limited transnational activity or use of cross fund flexibility
tools, there is evidence of innovation within approved projects. There is also
evidence that projects are adding value through enabling the delivery of much
larger projects than would otherwise be the case, by broadening the scope of
activity which can take place and through testing innovative projects which in
some cases have already been adopted within the mainstream activities of
the skills sector. The evidence shows projects have responded well to
delivering demand led provision, particularly through Sector Skills Councils
(SSCs). However, changes to SSC arrangements pose a potential risk to the
remainder of the programme period.
Recommendations On the basis of the evidence recommendations to be considered by WEFO
within the current Programming round include:
Welsh Government departments, Higher Education
� Managing the balance of activity between Themes when committing
remaining funds;
� Careful monitoring of indicators over the next 12 months to ensure the
back-loading of indicators continues to remain feasible;
� Improved monitoring and management of indicators below the headline
participant level. In particular this needs to focus upon target groups and
activity and achievement by level of qualification;
� Increasing awareness of the role mainstream projects can play in
proactively engaging target groups; and
� Raising the profile of the availability and purpose of cross fund flexibility
tools.
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1. INTRODUCTION
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1.1. Background
In September 2011 the Welsh European Funding Office (WEFO)
commissioned evaluations of the 2007-13 EU Structural Funds Programmes
in Wales: Convergence ERDF, Convergence ESF, Competitiveness ERDF
and Competitiveness ESF. The four Programmes were subdivided into eight
thematic areas. One report has been prepared for each thematic area, with a
further overarching report. This is one of the eight thematic reports focusing
on the Increasing Skills thematic area comprising Convergence ESF Priority 3
and Competitiveness ESF Priority 2. Formatted: Indent: Left: -0.01 cm, Hanging: 0.76 cm, Outline numbered + Level: 2 + Numbering Style: 1, 2, 3, … + Start at: 1 + Alignment: Left + Aligned at: 0.63 cm + Tab after: 0 cm + Indent at: 1.4 cm
1.2. Purpose of Report
The purpose of this report is to assess a) whether the right types of activities
are being delivered through Convergence and Competitiveness ESF
Programmes to meet the Increasing Skills objectives and b) whether enough
progress is being made in the delivery of these activities.
In more detail the objectives are to:
� Establish the financial and physical progress the Programmes are making
towards achieving their objectives as set out in the Operational
Programme(s) (OP);
� Establish the coherence of projects approved with the policy goals as set
out in the OP(s);
� Measure performance to date at Priority level and project level (where
appropriate) in terms of projects approved, financial commitment, spend,
and output and result indicators compared to project and programme
targets and to assess the likelihood of achieving targets by the end of the
Programmes;
� Uncover reasons for any apparent slippage or underperformance or over
performance to date and the potential to rectify this as projects continue;
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� Assess the extent to which:
o projects are working together with other projects within the Priorities;
o Priorities are suited to undertaking transnational activities and to
maximising links to other EU Community Initiatives;
o the cross fund flexibility tool designed to encourage cross financing
(ESF and ERDF) is being utilised (and, if so, whether this is
successful);
o projects within the Priorities are conducting innovative activities as
stipulated in the Strategy section of the OP;
o investments made within the Priorities are adding value to national
policies; and
� Report conclusions and recommendations in terms of the likely outturn on
current trends for the Priorities compared with targets and the level of
resourcing for the Priorities.
In addition, for the Increasing Skills thematic area there are the following
specific questions:
� Has the Priority been sufficiently focused on improving the levels of basic
literacy and numeracy alongside development of other generic and
vocational skills? (Competitiveness only)
� Have the projects within the Priority responded well to delivering demand
led provision of qualifications at level 3 and beyond? (Convergence only)
� Has the Priority succeeded in achieving the right balance between lower,
intermediate and higher level skills?
� Has the Priority been sufficiently focused on challenging the traditionally
gender dominated cultures, environments and attitudes within the
workplace e.g. men in teaching and nursing, women in construction and
scientific professions?
� Is the Priority contributing to the European Employment Strategy (EES)?
Are projects approved consistent with the priorities set out in the EES?
� To what extent are social partners (employers and trade unions) engaged
in the Priority? What is the nature of the engagement?
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1.3. Methodology
The method adopted for the work underpinning this report was: to review the
relevant background documentation (e.g. the Operational Programmes,
Strategic Frameworks, summary project business plans and other documents;
to analyse monitoring data relating to expenditure commitments and spend
and associated outputs and results; consultations with WEFO staff, members
of the Programme Monitoring Committee, Strategic Framework Coordinators;
and to carry out case studies interviews of up to ten projects1 within the
thematic area. The case studies were projects which had been operating for a
minimum period of six months and included two or three projects with the
largest financial allocations within the thematic area. In addition they were
selected to reflect:
� The range of thematic area activities;
� The balance of expenditure between the Convergence and
Competitiveness Programmes;
� A variety of types of project sponsors;
� A variety of localities; and
� The balance of performance to date.
Case studies included reviews of background documentation including project
business plans and evaluations where available, analysis of monitoring data
and consultations with project managers. Please note that not all projects
within the theme were interviewed.
The documentary review and fieldwork for the evaluation took place in late
2011. The analysis of monitoring data was initially undertaken in late 2011
using data for mid September 2011. The analysis was later updated using
data for end September 2012.
Within the Increasing Skills thematic area 16 approved projects were consulted. In all
instances of pan-Wales projects interviewees indicated that the issues discussed were
identical across both Convergence and Competitiveness projects.
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1
1.4. Programme Overview
The Convergence Programmes for West Wales and the Valleys comprise
funding from the European Regional Development Fund (ERDF) of around £1
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billion and the European Social Fund (ESF) of around £690 million. The
ERDF Programme aims to transform Wales into a sustainable and
competitive economy by investing in the knowledge economy and helping
new and existing businesses to grow. It also seeks to regenerate Wales’
most deprived communities, tackle climate change and improve transport.
The ESF Programme aims to tackle economic inactivity, increase skills and
boost employment. The Convergence Programmes cover 15 local authority
areas in West Wales and the Valleys and, together with match funding, are
expected to be worth around £3.5 billion.
The Regional Competitiveness and Employment (Competitiveness)
Programmes cover East Wales and also comprise funding from ERDF
(around £60 million) and ESF (around £50 million). The ERDF Programme
seeks to help new and existing businesses to grow and move up the value
chain, and increase the ‘value added’ per job, as well as regenerate Wales’
most deprived communities and tackle climate change. The ESF Programme
aims to tackle economic inactivity, increase skills and boost employment. The
Competitiveness Programmes cover seven local authority areas in East
Wales and, together with match funding, are expected to be worth around
£280 million.
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2. DELIVERY CONTEXT
2.1. Background
The Increasing Skills thematic area comprises two Priorities:
Convergence ESF Priority 3 - Improving Skills Levels and Adaptability of the
Workforce – to support productivity and progression in employment by raising
skills levels at the levels of basic skills, intermediate and higher level skills, to
tackle skills gaps and shortages, and to promote gender equality in
employment. Within this Priority there are three Themes as outlined below:
Convergence ESF Priority 3 Theme 1
Theme 1 aims to improve levels of basic literacy and numeracy skills, also
ICT skills, other generic skills and occupational skills within the workforce and
support progression to Level 2, with demand-led progression up to, and
including Level 3.
This will be achieved by:
� Raising levels of basic literacy and numeracy in the workforce;
� Supporting the acquisition of ICT, generic and occupational skills in the
workforce;
� Supporting progression in employment through flexible training and
learning provision; and
� Helping low skilled workers to gain the additional skills and
qualifications needed to sustain their employment, improve productivity
and increase earnings via career progression.
Convergence ESF Priority 3 Theme 2
Theme 2 aims to support the provision of higher level skills, including
graduate and post graduate, to support the knowledge economy, to improve
systems to identify skills needs, to help employers identify their skill needs,
anticipate potential gaps or shortages, and to help people adapt to changing
economic pressures impacting on businesses and organisations.
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This will be achieved by:
� Supporting the knowledge economy, including the development of
higher level and graduate and post graduate skills;
� Improving research into skills needs and systems for matching learning
supply to demand from employers and individuals;
� Support employers in identifying and addressing the skills needs of
their sectors at all levels, including management, technical and craft
skills;
� Matching and improving learning provision so that it better meets
labour market needs, thereby reducing skills gaps and shortages; and
� Helping workers and enterprises adapt to new forms of work
organisation and new technologies.
Convergence ESF Priority 3 Theme 3
Theme 3 aims to promote gender equality in employment and career
advancement, in particular tackling the causes of the gender pay-gap.
This will be achieved by:
� Raising awareness amongst employers and elsewhere of gender
disadvantage in the workforce; and
� Raising participation levels in occupations and sectors where men and
women are currently under-represented.
Competitiveness ESF Priority 2 - Improving Skills Levels and Adaptability of
the Workforce – to support productivity, adaptability and progression in
employment by tackling low skills, raising skill levels amongst managers and
workers in small enterprises, and improving systems for anticipating and
responding to skill needs. The aims and objectives as set out within the OP
are as follows:
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Competitiveness ESF Priority 2
To improve the basic skill levels within the workforce, increase the leadership
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and management skills of managers and workers in small enterprises, and
support systems for anticipating and responding to skill needs.
This will be achieved by:
� Improving basic skills provision in numeracy and literacy, problem
solving and customer handling through targeted interventions working
with employees and employers;
� Support for leadership and management skills acquisition (at all levels)
for managers and employees in small enterprises; and
� Improving research into skills needs and systems for matching learning
to employer demand.
2.1.1. Strategic Frameworks
There are four Strategic Frameworks relating to each of the Priorities/Themes
outlined above. They reflect key economic and skills policy, the principles laid
down in the OP and also take into account spatial dimensions. The aims and
objectives of the Strategic Frameworks mirror those outlined in the
Operational Programme set out above. In addition they detail the types of
interventions through which the Strategic Objectives will be delivered. All four
strategic frameworks stress the need for engagement with social partners and
the need to build innovation and environmental sustainability into projects.
The four frameworks are:
� Convergence ESF Priority 3 Theme 1: Raising the Skills Base of the
Workforce
� Convergence ESF Priority 3 Theme 2: Skills for the Knowledge Economy:
Workforce Development and Learning
� Convergence ESF Priority 3 Theme 3: Promoting Gender Equality in
Employment
� Competitiveness ESF Priority 2: Improving Skill Levels and the
Adaptability of the Workforce
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2.1.2. Financial Allocations and Targets
An allocation of £301.1 million ESF is made for Convergence ESF Priority 3,
this is split across three Themes, with Theme 1 identified to take the majority
of the funding. Competitiveness ESF Priority 2 is much smaller with £28.1
million allocated ESF.
Table 1 details the output and result indicators and targets for the Priorities.
The output indicators include two Programme Level Indicators: Total
Participants (Employed) and Female Participants. In addition a range of
targets detailing the intended mix and balance of indicators across specific
groups and skill levels are included. All of the results indicators with the
exception of ‘employers adopting or improving equality and diversity
strategies and monitoring systems’ are also identified as Programme Level
Indicators.
The OP sets out a number of impact indicators, however, no targets were
detailed and these indicators not subject to assessment within this evaluation.
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Table 1: Indicators and Targets
Convergence Priority 3
Competitiveness Priority 2
Total
Outputs Total participants (Employed) 90,000 12,600 102,600 Female participants 66% 55% n/a Key intervention groups:
Older participants 30% 30% n/a BME participants - - n/a Participants with work-limiting health condition or disability 13% 15% n/a Participants accessing basic skills qualifications 45% 55% n/a Participants accessing Level 2 training 30% 25% n/a Participants accessing Level 3 training 15% 10% n/a Participants accessing Level 4 and above training 10% 10% n/a Female participants who work part time 29% 25% n/a
Employers assisted (or financially supported)2 15,000 2,100 17,100 Research studies - - n/a Learning and development strategies - - n/a Projects delivering specialist training in sustainable development 10% 10% n/a Results Participants gaining qualifications (Employed) 37,530 5,450 42,980
Basic Skills 54% 63% n/a At Level 2 29% 24% n/a At Level 3 11% 7% n/a Level 4 and above 6% 6% n/a
Participants entering further learning - - n/a
Slightly different indicators between the Convergence and Competitiveness Programmes. In the Convergence Programme the indicator is employers assisted or financially supported. In the Competitiveness Programme it is employers assisted.
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2
Convergence Priority 3
Competitiveness Priority 2
Total
Progression schemes for women (Convergence only) - - n/a Employers adopting or improving equality and diversity strategies and monitoring 50% 50% n/a systems
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2.2. Policy and Operational Context
The Convergence and Competitiveness Programmes contain a number of
high level ‘tracking indicators’ which provide the overall context for assessing
economic progress. The targets for the Programmes, and the basis on which
projects were approved, were predicated on a continuation of favourable
national and international economic conditions. Project and Programme
design was based on the aim of achieving structural change in order to close
the gap between Welsh and national/EU averages in respect of a selection of
key indicators. In the event, the Convergence and Competitiveness
Programmes have had to pursue this aim in the face of a deep recession in
the UK followed by a very slow recovery.
Whilst there has been a considerable change in the economic situation it is
not possible to apply either a generic discount or series of specific discounts
to the targets to which the Programmes are working as these have been
agreed with the European Commission. Indeed, the achievement of some
targets may have been aided by recession, such as the numbers of people
assisted with learning and/or employment opportunities. In some instances it
also led to the formulation of specific projects. For example, within the
Increasing Skills thematic area the onset of recession led to the creation of
the ProAct project, which emerged directly from a series of Economic
Summits in the autumn of 2008 that brought together government, businesses
and other stakeholders from across the Welsh economy. Nevertheless, more
widely, the recession created challenges for many projects looking to train
employees. Consultations have indicated that many employers have been
operating in survival mode, struggling to retain staff let alone invest in their
training and development. As a result, projects which have been looking to
trial increased employer contributions for training have indicated difficulties in
recruiting participants in some instances.
Since the Strategic Frameworks were drafted there have been no substantive
policy shifts which have been reported by consultees to have impacted upon
the design and delivery of projects within this thematic area to date, although
Economic Renewal: A New Direction has had an indirect impact, particularly
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through its shift to a sectoral approach. The change in government within the
National Assembly for Wales and the publication of the Programme for
Government 2011-16 will influence the policy environment in which the
Structural Funds Programmes are delivered over the remainder of the
Programme period. This includes alignment of skills activity to the low carbon
agenda and sector priorities as well as building on a number of project
elements within the Increasing Skills thematic area including improved labour
market intelligence and apprenticeships.
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3. COHERENCE OF PROJECTS WITH POLICY GOALS
3.1. Gauging Coherence of Projects with Policy Goals
As at 30 September 2012 35 projects have been approved within the
Increasing Skills thematic area, 27 within Convergence ESF Priority 3 and
eight within Competitiveness ESF Priority 2.
In assessing the coherence of approved projects with OP policy goals three
lines of enquiry have been explored:
� Mapping approved projects to strategic objectives, indicative activities and
target groups to identify any gaps and/or duplication in provision;
� Assessing the alignment of committed funds to the planned profile of
expenditure across activities within the OPs; and
� Assessing the alignment of forecast outputs from approved projects with
the balance of targets set out within the OPs.
3.2. Mapping Projects to Strategic Objectives
The mapping exercise has been undertaken based upon the review of
business plan executive summaries for each approved project, project level
interviews with a sample of projects and interviews with a range of wider
stakeholders, including Strategic Framework Coordinators, WEFO staff and
PMC members.
Current approved activity covers the vast majority of OP aims and objectives
within Convergence ESF Priority 3. Major activity areas are covered through
large scale Welsh Government sponsored projects, with smaller scale
projects targeted at more specialised areas. However, the evidence suggests
there are some target groups that are potentially under-served in the
committed activity.
Areas where the potential for gaps have been identified include:
� P3T1 – lack of focus on disabled participants. Whilst this target group is
noted within the business plans of a number of projects, there is no
specifically targeted project to address the needs of this group. Data
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presented in Chapter 4 of this report shows levels of activity with disabled
participants is behind target.
� P3T1 – validating skills of migrant workers. Whilst a number of projects
have supported migrant workers this has not included any activity to
validate existing skills. One project, Minorities are Wales Resources,
refers to this activity within its business plan. However, consultations did
not provide any evidence of validation activity taking place or plans in
place to move this activity forward.
� P3T2 – lack of focused activity supporting women to secure higher level
skills in non-traditional areas. Whilst many projects are looking for women
to make up a substantial proportion of participants there is no clear
evidence from summary business plans or consultations of projects
explicitly supporting women to secure higher level skills in non-traditional
areas.
� P3T3 – lack of focus on challenging traditionally female dominated
occupations. Whilst there are two projects supporting women, the OP
makes explicit provision for tackling female “dominated cultures,
environments and attitudes e.g. men in teaching and nursing”. Activity to
address this has not been identified.
The mapping exercise identified very little evidence of potential for duplication
within committed activity. Two areas where possible duplication was
identified were:
� P3T1 – basic skills provision – with a large Welsh Government sponsored
project (Essential Skills in the Workplace) and regional FE sponsored
projects (e.g. Regional Essential Skills) which include some basic skills
elements. Consultees reported inter-project dialogue in order to clarify
roles and areas of focus to mitigate duplication.
� P3T2 – leadership and management – with a large Welsh Government
sponsored project (ELMS) and a regional HE sponsored project (LEAD).
Both projects target owner managers in SMEs to deliver leadership and
management training, albeit through slightly different approaches. Both
projects are currently running behind profile in terms of participant
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numbers. The reasons for this are likely to be complex, but over capacity
as a result of two similar approved projects cannot be dismissed.
One consultee queried whether it was possible to avoid duplication with the
scale of projects in the current Programmes, particularly where there are
substantial amounts of detailed planning and implementation post-approval:
“I am not convinced WEFO processes avoid duplication. When a large
project is approved it doesn’t know who is going to deliver where” (Project
Sponsor)
When considering Competitiveness ESF Priority 2 a slightly different picture
emerges. Two of the three strategic objectives within the OP are well served.
However, the mapping exercise suggests a number of gaps in activity when
compared with the list of indicative activities set out within the OP. In
particular these gaps relate to:
� Improving research into skills needs and systems for matching learning to
employer demand. Whilst this activity is taking place within projects under
the Convergence Programme no evidence has been found of this type of
activity taking place under Competitiveness ESF Priority 2.
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� Focused activities on target groups. Whilst some projects are intending to
deliver interventions to participants within the target groups there is little
evidence of bespoke activity to meet the particular needs of target groups
either within broader projects or through specific niche projects.
Specifically:
o Activity to train, mentor and support men and women in occupations
or sectors where their gender is under represented. Whilst there is
approved activity to deliver generic leadership and management
development there is no evidence of targeted activity to meet this
ambition.
o Activity to enable migrant workers to validate the qualifications
obtained in their own country. There is no approved project setting
out to deliver against this activity.
Thematic Evaluations Increasing Skills Theme Draft Report 19
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o Activity to develop new ways of supporting engagement of older
workers in learning. No project has been approved to address this
area.
The mapping exercise identified very little evidence of potential for duplication
within committed activity. One area where possible duplication was identified
was:
� Leadership and management – with a large Welsh Government sponsored
project (ELMS) and a regional HE sponsored project (20 Twenty
Leadership) offering almost identical support activities including leadership
and management workshops as well as coaching and mentoring.
However, project level interviews have not found evidence of this impacting at
an operational level. It was reported that “duplication is not cropping up as an
issue with clients” (Project Sponsor).
3.3. 3.3 Profiling Committed Funds to the Operational Programme
The Convergence ESF Operational Programme sets out an indicative split of
funds across the three Themes within Priority 3. Table 2 assesses the profile
of committed funds to date against the OP ambition. This shows a marked
variation between actual and target activity across Themes 1 and 2. Theme 2
was anticipated to account for around 35% of grant. To date this Theme
accounts for 44% of grant, well ahead of the expected share. There is no
thematic split of Competitiveness ESF Priority 2.
Table 2: Balance of Committed Funds
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Deleted: Table 2
Thematic Evaluations Increasing Skills Theme Draft Report 20
OP Indicative
Share Current
Share
Commitment Against
Total OP Value
Remaining Funds
(£m)
Theme 1 60% 52% 77% 41.0
Theme 2 35% 44% 112% -12.5
Theme 3 5% 5% 77% 3.5
In order to account for the fact that not all funds have yet been committed the
third and fourth columns in Table 2 profile committed against the balance of
total grant within the Priority. This shows Theme 2 is running at 112% of
expected value in comparison to Theme 1 and Theme 3, both at 77%.
Deleted: Table 2
3.4. Profiling Forecast Indicators to the Operational Programme
Within the OP a clear target mix of participants and activity is set out. This is
set out within Table 1 in this report. This includes reference to female, older,
disabled and BME participants, as well as the mix of training accessed and
qualifications achieved by level (basic, Level 2, Level 3 and Level 4 and
above). The target profiles by level of qualification are particularly pertinent
as they reflect the wider aims of the OP as set out in the supporting text. For
example, “The main focus of the priority will be to raise skill levels of those
with skill levels below level 2, especially employees without basic numeracy,
literacy and ICT skills, to bring them to level 2 and above”.
However, whilst targets for this mix of activity are set out within the OP, no
data on the forecast3 indicator profile of committed projects against this mix is
available for review. As a result, it is not possible to assess whether the mix of
committed activity is coherent with the goals of the OP in this regard. WEFO
should consider collating data from projects in order to assess the coherence
of committed activity and to enable a detailed assessment of likelihood of
achieving OP targets by the end of the Programme period.
Some data are available on delivered activities and considered in later sections of this
report.
Thematic Evaluations Increasing Skills Theme Draft Report 21
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3
4. PERFORMANCE TO DATE AND ANTICIPATED OUTTURN
4.1. Financial Progress
Funds are committed to projects at approval sign-off. The data relating to
commitment of funds to projects are set out within section 4.1.1. Each project
then profiles how funds are expected to be drawn down throughout the life of
the project. Section 4.1.2 presents data and analysis in respect of actual
project expenditure against profile to date.
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4.1.1. Commitment of Funds WEFO records indicate that 91% of allocated EU funds have been committed
to projects. There is a difference between the Priorities with Competitiveness
ESF Priority 2 having committed 104% of funds, compared to 89% for
Convergence ESF Priority 3.
All WEFO consultees with relevant knowledge of this area of the Programme
indicated a clear confidence that all funds would be committed via new
projects and the active management of budgets for existing approved
projects.
Table 3: Committed Funds £ Millions
Programme and Priority Allocated Committed Not committed
Percentage Committed
Convergence ESF P3 301.1 269.1 32.0 89%
Competitiveness ESF P2 28.1 29.1 -1.0 104%
Total 329.1 298.1 31.0 91%
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Source: WEFO, 30/09/2012
1 Note that the exchange rate is a planning rate of £1:€1.25
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4.1.2. Expenditure Error! Reference source not found. illustrates Increasing Skills expenditure
as a percentage of profiled spend to 30th September 2012. Both Priorities
have failed to meet their profiled target, largely as a result of project delays as
Thematic Evaluations Increasing Skills Theme Draft Report 22
Deleted: Figure 1
discussed in more detail at section 4.4. Overall, the Increasing Skills thematic
area has spent 70% of profile. Looking at individual Priorities,
Competitiveness ESF Priority 2 is slightly further ahead at 74% with
Convergence ESF Priority 3 at 69%.
Figure 1: Spend Against Profile
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
Convergence ESF P3 Competitiveness ESF P2 Total
Programme / Priority
Just under two-thirds, 64%, of total committed funds remain to be spent within
the Increasing Skills thematic area (63% for Convergence ESF Priority 3 and
63% for Competitiveness ESF Priority 2). When including monies yet to be
committed the remaining expenditure rises to 68% of total allocated funds.
Therefore 32% (£106.5 million) of allocated funds have been spent in the first
57 months of the Programme period at a rate of £1.9 million per month.
Looking forward 68% (£222.6 million) needs to be spent in the remaining 39
months at a rate in excess of £5.7 million per month.
However, no substantive concern has been raised through project level
interviews about the ability of projects to spend approved funds within the
Programme period. There was at least one example of a project front-loading
expenditure with match funding, resulting in substantial back-loading of ESF
monies. There are also numerous projects which will claim expenditure upon
Thematic Evaluations Increasing Skills Theme Draft Report 23
qualification achievement, which leads to back-loading of expenditure profiles.
Consultations with WEFO staff demonstrate confidence in the ability to
commit and spend remaining funds in this thematic area. No evidence to
dispute this has been found.
4.2. Indicator Progress
Set out in the following pages is a review of progress against profile and
target for a range of programme monitoring indicators (output and result). This
is coupled with qualitative evidence captured from consultations with projects
and stakeholders to provide an assessment of likely outturn at the end of the
Programme period. The summary position is presented in Tables 4 and 5
with further detail including output and profile charts and related data tables
set out in Appendix 4.
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4.2.1. Participants Data on participants show over-commitment against OP targets. Current
output profiles show that Competitiveness ESF Priority 2 is anticipated to
deliver 343% of target, and for Convergence ESF Priority 3 over-commitment
is profiled at 184%. Performance against expected profile to-date is very
good for Competitiveness ESF Priority 2 at 76% and good for Convergence
ESF Priority 3 at 73%. As a result of the over-commitment, the
Competitiveness ESF Priority 2 target has already been met and
Convergence ESF Priority 3 is running at 80%.
Whilst two projects consulted as part of the evaluation that have substantial
participant forecasts cast some doubt on their ability to achieve current profile,
when considering the output data alongside the full range of views of
consultees from the sampled projects there is every reason to expect final
output levels to be well in excess of OP target for both priorities, particularly
with a number of pipeline projects expected to be committed which will
increase output commitment even further.
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4.2.2. Participants Gaining Qualifications In common with the headline participant output indicator, the gaining
qualifications result indicator is similarly over-committed (351% in
Thematic Evaluations Increasing Skills Theme Draft Report 24
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Competitiveness Priority 2 and 248% in Convergence Priority 3).
Performance against expected profile is good at 78% in Convergence ESF
Priority 3 and 96% in Competitiveness ESF Priority 2. As a result of the over-
commitment, when compared with OP target, Competitiveness ESF Priority 2
is running at 169% and Convergence ESF Priority 3 at 102% at roughly the
mid-point of the Programme period4.
Consultees raised no substantive concerns relating to achieving profiled
levels that would suggest a failure to achieve OP target. In fact, considering
the result and profile data alongside the views of consultees from the sampled
projects there is every reason to expect final levels to be well in excess of OP
target for both Priorities. This is particularly the case given indications
through consultations that a number of pipeline projects and project
extensions are expected to be committed, which will increase result
commitment.
4.2.3 Participants Entering Further Learning There is no formal OP target for this indicator presented for the relevant
Priorities despite this indicator being listed as a Programme Level Indicator in
both Convergence ESF and Competitiveness ESF OPs. Recorded output
data are only available for Convergence ESF Priority 3, with no data for
Competitiveness ESF Priority 2.
This indicator has been subject to substantial performance revision and re-
profiling. Notwithstanding, performance to date is well behind expected
profile.
The total forecast profile of 13,350 equates to 8% of profiled participants.
However, evidence from the 2010 ESF Leavers Survey indicates higher levels
of participation in further learning, at 28% of respondents. This conflict is in
keeping with views reported by three project managers which suggested
some challenges with collecting accurate data for this indicator, which are
4 As project delivery can take place up to end 2015.
Thematic Evaluations Increasing Skills Theme Draft Report 25
likely
challenges relate to the follow-up of participants. In some instances this
follow-up is lacking (i.e. consultees indicated that there is no established
mechanism in place to capture this data) and in other instances it occurs a
relatively short time after intervention completion (generally within a period to
a maximum of three months). For employed persons (the target group of this
thematic area), progression onto further learning may not be immediate,
particularly after lengthy training courses. One consultee cited an example
where a person may have undertaken learning to achieve an Apprenticeship
in the construction industry over a period of three years. Following completion
there may not be a need to undertake further learning immediately (i.e. within
three months), albeit this could be required after a year or more in order to
develop further skills. As a result the indicator, and the processes to capture
data against it lack the subtlety required.
On the basis of these reporting issues and the results achieved to date it will
be challenging to achieve reported results in line with the current end of
Programme forecast. Particularly as the Modern Apprenticeship World Class
Skills For A Knowledge Economy project is now completed and has achieved
only 40% of forecast.
to lead to under-measurement and reporting. In particular these
4.2.3. Employers Assisted (Competitiveness Priority 2) The employers assisted output indicator is substantially over-committed at
346%. Whilst performance against expected profile is poor at 46%, largely as
a result of a number of projects being slow to start for various reasons, more
than two thirds of total OP target has already been achieved.
Project level interviews suggest there will be some slippage against this
indicator. For example, there is heavy reliance upon the ELMS project which
is behind profile. However, as a result of the current over-profiling this should
not be to an extent that will threaten achievement of OP target. If
performance against expected profile continued at 46% the OP target would
be comfortably exceeded, and there is evidence from consultations to suggest
a degree of catch up against forecast profile will take place for a number of
projects.
Thematic Evaluations Increasing Skills Theme Draft Report 26
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The heavy reliance upon two projects5 to achieve target profile suggests a
need for careful monitoring of these projects.
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4.2.4. Employers Assisted or Financially Supported (Convergence Priority 3)
This indicator is effectively the equivalent to Employers Assisted within the
Competitiveness ESF Priority 2 discussed above and is subject to broadly
similar issues. However, the level of over-profiling of outputs is lower at
140%. Performance against expected profile is just above 50%. Whilst three
projects are ahead of profile, the majority are behind and four have yet to
record any outputs against this indicator. Project interviews indicated a
number of projects, particularly those with substantial profiles against this
indicator (including Essential Skills in the Workplace), being slow to start for a
range of reasons (see section 4.4). When one consultee was questioned
about potentially missing current profiled targets they indicated that:
“WEFO want quality rather than quantity” (Project Sponsor)
This indicates an interpretation by at least one project that achieving profile is
not mission critical.
Project level interviews suggest there will be some slippage against this
indicator and some re-profiling of projects may be required. For example, the
ELMS project in Convergence Priority 3 has indicated it is unlikely to achieve
current forecast against this indicator. The full extent of any re-profiling is
uncertain, but the evidence suggests that the current degree of comfort as a
result of over-commitment does not give any cause for complacency.
4.2.5. Employers Adopting or Improving Equality and Diversity Strategies and Monitoring Systems
The OP target for this indicator will be measured as a percentage (50%) of
employers assisted. The ultimate target is therefore reliant on delivery of this
5 Enhancing Leadership and Management Skills and Essential Skills in the Workplace
Thematic Evaluations Increasing Skills Theme Draft Report 27
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indicator and the final output level of another indicator (both numerator and
denominator within the equation). In addition, given uncertainties relating to
the employers assisted (or financially supported) indicators, discussed above,
there is a need for care when interpreting the following analysis.
Based on current profiles for all the relevant indicators, there is evidence of
under-profiling for this indicator. Within Competitiveness ESF Priority 2 total
Programme forecasts for employers adopting or improving equality and
diversity strategies run at 13% of profiled employer assists. In Convergence
ESF Priority 3 the figure increases to 20%. Both are well behind the 50%
target.
Current achievement as a percentage of employer assists is very low (2%
Competitiveness, 7% Convergence).
Project level interviews raised serious doubts about achieving current profile:
Considering the available data in conjunction with the evidence collected from
project level interviews there is substantial risk associated with achieving OP
targets for this indicator.
4.2.6. Projects Delivering Specialist Training in Sustainable Development
The OP target for this indicator has a moving target, based on the percentage
of approved projects. Based on current levels of project approvals there are
high levels of over-commitment in both Convergence Priority 3 and
Competitiveness Priority 2 and actual achievement already exceeding OP
target levels. Even if additional projects are approved it is unlikely that activity
levels will drop below OP targets.
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4.2.7. Learning and Development Strategies There is no target stated for this indicator within the OP. The expected profile
has changed substantially and to date the indicator is ahead of profile at
175% (138% Competitiveness and 197% Convergence).
Thematic Evaluations Increasing Skills Theme Draft Report 28
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Project level interviews suggested there is on-going discussion between at
least one project and WEFO over interpretation of this indicator which will
substantially influence final achievement. In the instance cited each business
supported by the project has a detailed training plan put in place. However,
there is a need for clarity about whether these can be classified as ‘learning
and development strategies’.
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4.2.8. Research Studies Whilst not a quantified OP target, there are output data relating to the number
of research studies completed within the thematic area. To date, around 50%
of the profile has been achieved,I, 100% for Competitiveness, where the
current final forecast has been met, and 47% for Convergence, where 31% of
the current final forecast has been met. Some slippage is due to delayed
project commencement. Nevertheless, on the basis of project interviews
there is evidence to suggest this indicator will achieve, or potentially exceed
the forecast. Those projects reporting against this indicator were confident of
achieving forecasts, with progress already in hand. In addition, the Sector
Priorities Fund Pilots project indicated it will exceed the number of research
studies currently profiled.
4.2.9. Progression Schemes for Women (Convergence only)
There is no OP target for this Convergence only indicator, for which only one
project, Women Adding Value to the Economy (WAVE), is forecasting
achievement. In line with profile, there has been no progress to date against
this indicator but ten progression schemes for women are focussed to be
delivered by the end of the programming period.
Thematic Evaluations Increasing Skills Theme Draft Report 29
4.2.10 Participant Mix
Targets for the participation by target groups6 are expressed as percentages
of the total participants indicator. Current completed activity shows a shortfall
in achievement against each target group relative to the OP target. Current
levels of activity with female participants, older participants, participants with a
work limiting health condition or disability, and female participants who work
part time are below target. As noted at section 3.2 there is evidence of a lack
of focus on disabled participants within Convergence ESF Priority 3 and a
lack of focus on older participants and other target groups in Competitiveness
ESF Priority 2 relative to the OP. This is reflected in the output data.
No forecast profiles for these indicators are available on which to assess likely
outturn. On the basis of activity to date there are substantial risks in respect of
achieving the OP targets for these indicators.
4.2.11 Participation and Qualifications by Level The available data show that activity to date has been dominated by Level 2
training and qualifications which are running well ahead of the target
proportion. Level 3 is also well ahead of target. The strong progress of the
Apprenticeships projects in both the Convergence and Competitiveness areas
are the primary driver of this. These projects were funded to deliver high
activity and output volumes in the period August 2007 to August 2011 and are
now complete. As these projects were delivering additional capacity to
existing structures there were no project implementation delays. The
indicators for these projects therefore dominate the landscape of participation
and achievement at this stage in the Programme period, particularly as other
projects are scheduled to run for many more years. Due to the way these
data are calculated (as a percentage of total participation/qualifications
achieved) the over-representation of one or two categories leads directly to
other categories showing an under-representation.
6 Female participants, older participants, participants with a work-limiting health condition or
disability, and female participants who work part time.
Thematic Evaluations Increasing Skills Theme Draft Report 30
Basic Skills is well behind the target mix. The delay in implementing the
Essential Skills in the Workplace project (see case study at section 4.4) is the
primary reason for the low levels of activity and achievement. Level 4 and
above outputs are running a little behind the target mix in Convergence and a
little above in Competitiveness. Project interviews indicated that the longer
nature of some higher level courses, delays in commencement of some
projects and challenges recruiting to higher level learning were all partly
responsible for this mixed performance. However, the statistical anomaly as a
result of the very high rates of activity and achievement at Level 2 and 3 is
also an important factor.
Assessing outturn at the end of the Programme period is very challenging.
No forecast profile data for qualification mix exists. Due to the way these data
are calculated an increase in any one category will result in a decline in
others. It is not therefore possible to assume that current performance ahead
of target will continue. Indeed, with the Apprenticeship based projects
complete the balance between skills levels will undoubtedly adjust through the
remainder of the Programme period.
4.3. Indicator Summary
In summary, for the Increasing Skills thematic area,
� Three Convergence indicators and four Competitiveness indicators are
likely to meet or exceed the OP targets; and
� Two Convergence indicators (Employers assisted or financially supported
and Employers adopting or improving equality and diversity strategies and
monitoring systems) and one Competitiveness indicator (Employers
adopting or improving equality and diversity strategies and monitoring
systems) are likely to fail to meet the OP targets.
In terms of the targets for the particular target groups and levels of
qualification achieved, the Programmes are unlikely to achieve the participant
and qualification mix originally set out in the OP.
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Thematic Evaluations Increasing Skills Theme Draft Report 31
In terms of progress against those indicators without OP targets, progress is
strong against Learning and Development Strategies in both Programmes and
acceptable against Research Studies in the Competitiveness Programme.
Participants entering further learning in both Programmes and Research
Studies in the Convergence Programme are behind profile to date.
4.4. Reasons for Under- or Over-Performance
The financial and output/result performance data presented in the preceding
sections show variation in progress across different indicators. However,
whilst there are differences in the scale of variation, for the majority of
indicators, performance is below expected profile to-date, suggesting an
element of slippage. When coupled with the evidence collected from
stakeholder and project level consultations a number of potential reasons for
this emerge.
Delays in commencement of delivery post project approval have affected
projects to varying degrees. For the majority7 of projects there has been at
least some delay that was not fully accounted for within the original business
planning and indicator profiling process. Whilst this has been accounted for
through re-profiling for some projects, others are still in the process of, or are
about to embark on the process of re-profiling. In the main these re-profiling
exercises relate to the timeline for achieving indicators and expenditure,
rather than overall scale. Nevertheless, there are examples of projects (six out
of the sixteen interviewed) that are likely to re-profile in terms of scale of
output achievement. WEFO should continue to monitor achievement against
profile closely to assess whether re-profiled outputs and results continue to be
achievable or whether there will be further slippage leading to under-delivery
of output and result indicators.
Of the 16 projects covered by consultations (including those with mirror projects in both
Convergence and Competitiveness Programmes), only four (Apprenticeship projects and
ProAct, both operating in Convergence and Competitiveness) did not experience delays in
commencement of activity.
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Thematic Evaluations Increasing Skills Theme Draft Report 32
7
The reasons for delays vary on a project-by-project basis. The most
commonly cited reason was procurement (six of sixteen projects
interviewed), a finding common with the Evaluation of the Effectiveness of
Programme Implementation8 (WEFO, 2011). This led to particularly long
delays for project sponsors that had little or no previous experience of
procuring services. In the main these are projects with sponsors outside the
Welsh Government. There is also some evidence that the lack of clear
guidance on procurement has led to projects taking quite different approaches
and applying different levels of rigour that may have created further
unnecessary delays for some projects. For example, one project is using the
procurement route for every variation in activity “you cannot do anything
without going out to quote”, whereas a second is adopting a far more flexible
approach to the use of contracts post procurement “we had to make a
decision on how to procure and hope it will be ok at audit”.
The other reason cited by three of sixteen projects related to procedural issues in completing the project approval sign off process with WEFO.
One project noted a substantial delay after approval created as a result of
waiting for “financial sign-off” and stated “there is no over-sight during the
period from approval to project functioning.” The interviewee indicated a
perception that following approval there was a lack of joined-up action within
WEFO to ensure the project was fully able to proceed.
These issues do not give reason for specific rectifying intervention, as for
approved projects the moments of difficulty have passed, although the
impacts through delays to delivery are still being felt. However, there are
lessons to be learned for future programmes and any pipeline projects which
may be approved. In particular these include ensuring appropriate guidance
to ensure project set-up post approval is effective and efficient and to ensure
continued close and active over-sight of projects where approval is still
subject to detailed sign-off.
8 Found at
http://wefo.wales.gov.uk/publications/monitoringevaluation/researchreports/programmeimple
mentation/?lang=en
Thematic Evaluations Increasing Skills Theme Draft Report 33
One major example of slippage in delivery against profile identified within the
project level interviews was within the Essential Skills in the Workplace project. This is the flagship Welsh Government sponsored project to tackle
basic skills and is critical to the achievement of OP targets. The project had
an official start date of October 2010 and the first participants were due to be
recorded by the end of 2010. Versions of the project operate in both the
Convergence ESF and Competitiveness ESF Programme areas.
However, there have been delays to project start for a number of reasons.
Firstly, there has been a loss of staff with expertise in the management of
basic skills projects as a result of internal reorganisation and restructuring
within Welsh Government. Secondly, the project has undergone a total
redesign since approval, which has included integrating the project with Rural
IT Wales and a shift to a totally different delivery model for basic skills
training. Whilst this redesign is intended to deliver much improved value-for-
money, it has taken time to put new delivery arrangements in place and
undertake soft market testing. The project manager highlighted that it was
vital that a working operational model was in place before a re-launch of the
project.
Furthermore, the initial profile of indicators was incorrect as a result of a
desire to enter an activity profile into the WEFO system.
A slightly wider issue than the detailed sign-off for projects, is the lengthy process from project idea to project approval, which has been
experienced by four of sixteen interviewed projects. One particular impact of
this lengthy process cited by three of these four projects was the loss of staff
with experience and expertise in the period between the closure of one
funding round and the commencement of a new round. In a number of cases
this led to slower start-up of activity whilst new staff were recruited. The full
extent of the impact upon the quality of delivery as a result of this loss of
expertise cannot be quantified within this evaluation. One project also cited
Thematic Evaluations Increasing Skills Theme Draft Report 34
an experience where they perceived a lack of over-sight and joined-up activity
in WEFO to resolve an issue causing a delay. This was a very similar
perception to that indicated above which occurred post approval.
The over-optimistic profiling at business planning stage was cited by
seven of sixteen projects. The influence of the optimism impacted upon both
the timing of indicators, with little or no allowance for project set-up by several
projects, anticipating delivery from day one post approval, and upon the
overall scale of indicators to be achieved. Six of the seven projects citing this
situation could not explain in detail why such over-optimism had occurred as
the project manager had changed during the lifetime of the project. However,
various reasons were put forward by consultees for the optimism, with the
recession the most common, with forecast profiles prepared in a very different
economic environment. In particular, the recession has impacted in terms of
reduced funds to pay for training and through reduced staffing levels which
limit the ability of businesses to release staff for training. In support of the
finding related to available finance, one project, which does not incorporate a
charge to the business for training, indicated this was now a very positive
factor in recruiting to the project in the wake of the recession.
A further related issue is where there is no directly comparable historic
experience on which to base profile estimates. In some cases, whilst project
sponsors had previously delivered a similar project, the parameters within
their current project had changed e.g. transition from offering training which is
free at the point of delivery to introducing a charge. As a result, forecasting
was estimated. There is no direct rectifying action which can easily be taken
in this instance, but again, there may be cause for more detailed interrogation
of proposed indicator profiles within the project approval process.
A further issue in slippage against expected profile relates to indicator definition and monitoring. Project interviews identified indicator related
issues in respect of Employers assisted, Learning and Development
Strategies and Participants gaining qualifications. In some instances project
sponsors did not understand why particular indicators were present within the
profile for their particular project and as such there were challenges in
Thematic Evaluations Increasing Skills Theme Draft Report 35
delivering profiled outputs. One particular example related to the Employers
assisted indicator, where the project was specifically focused on the individual
participant and not the employer. A further issue with this indicator occurs
where other organisations are to be supported or receive benefit, although not
in relation to their role as employers (for example, other learning received by
the organisation through participation in the project). Due to a lack of an
appropriate indicator to capture this activity it was noted that WEFO requested
the ‘employers assisted’ target be increased as a proxy. This may create
further issues for downstream targets which are based on a percentage of the
employers assisted indicator.
In other instances indicator definitions appear to have been misinterpreted at
business plan stage and now in the delivery phase it is evident that the
profiled indicators are deemed unrealistic by current project managers or are
subject to further clarification between the project sponsor and WEFO. The
outcome of these discussions will impact upon final indicator levels for a
number of projects. The Participants gaining qualifications indicator has an
associated OP target and is of particular importance in this regard. There is
evidence to suggest that one of the interviewed projects included ‘units of
learning’ or ‘modules completed’ as a proxy for qualifications. There are also
examples of projects that had believed certain qualification types to be eligible
to be counted as qualifications, but which have subsequently been deemed
outside the official definition (for example Prince 2). This may lead to a
downward revision against indicators at final outturn. There is no direct
rectifying action which can easily be taken in this instance, but again, there
may be cause for more detailed interrogation of indicator selection and
proposed indicator profiles within the project approval process.
Under-reporting of indicators is also a potential issue for two interviewed
projects. One interviewed project had not completed the relevant claims
procedure at the time of fieldwork and a second was undertaking activity for
which full compliance work was still outstanding and therefore had not been
registered on WEFO systems. As a result, there are some indicators which
may not have been claimed by the cut-off date for analysis within this
evaluation, but have been delivered and will be claimed in due course.
Thematic Evaluations Increasing Skills Theme Draft Report 36
There is also evidence of a lack of ownership and commitment to Cross
Cutting Theme related targets. Project level interviews suggest monitoring of
participant profiles is undertaken, but this is passive i.e. recording the details
of those supported, rather than a proactive pursuit of achieving the participant
profiles indicated within the OP and many project business plans. There is
already evidence of this within the available data on the proportion of
participants from target groups. The project level interviews made clear that
the focus of projects is upon headline output and result indicators.
The purpose of the Participants entering further learning indicator is to
capture progression beyond the initial intervention and track whether
participants are engaging in on-going learning. This relates to strategic
aspirations to institute a culture of lifelong learning within the economy and
among the labour force.
Whilst the nature of this indicator is entirely valid, there are practical issues
relating to the accurate capture of data from a number of projects interviewed
as part of this evaluation. In particular, the concerns relate to the fact that in
many instances participants may have just completed a period of learning
which could have extended to three or four years in length. Whilst they may
well continue in further learning at an appropriate juncture, the participant may
choose to take a break from learning. Typically any monitoring for this
indicator is undertaken at a point three months post completion of the
intervention received. If the participant has not yet entered further learning
they are not counted and are unlikely to be picked up at a later date if they do
enter further learning.
As a result of challenges with accurate data collection five projects intimated
that they are not monitoring this indicator and others believe reported levels of
achievement to potentially be below actual levels of progression.
Thematic Evaluations Increasing Skills Theme Draft Report 37
5. THEMATIC AREA SPECIFIC ANALYSIS
This chapter sets out answers to a range of further evaluation questions
posed within the study brief.
5.1. Project Integration and Collaboration
Stakeholder and project level interviews undertaken as part of this evaluation
have generally identified very positive experiences in terms of collaboration
and joint working within the Increasing Skills thematic area under this round of
Structural Funds Programmes.
The primary feature of collaboration has been stakeholders working together
within projects, particularly through the project formulation and design
process. There is evidence that the move to fewer, larger projects within this
round of Structural Funds Programmes in Wales has, as a minimum, speeded
up the process of collaboration within the skills sector. Examples were cited
of collaboration within Welsh Government departments (DFES), across Welsh
Government departments (DFES and BETS), between Higher Education
Institutions (HEIs), Further Education Institutions (FEIs) and between Higher
and Further Education Institutions as well as with Local Authorities, Sector
Skills Councils, private sector training providers, Job Centre Plus, employers,
third sector bodies and others. The consultations suggest that this has added
substantial value in terms of the design of projects, the value for money that
can be achieved and the contribution to wider policy and strategy agendas.
For example, within the Work Based Learning project eight HEIs are operating
together under a single brand. A further example was cited in reference to the
Modern Apprenticeship projects where NIACE is a core sponsor. It was
indicated that the process of collaboration has not just improved quality for the
ESF elements of the project but in the wider pan-Wales activities as well.
Positive examples of the Specialist European Teams (SETs) were cited by
project sponsors in bringing together projects to ensure duplication was
avoided and synergies maximised. This included examples of regional based
projects being encouraged to share knowledge and best practice at an early
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Thematic Evaluations Increasing Skills Theme Draft Report 38
stage. This experience is in line with the evaluation9 of SETs which found
positive experiences in the Increasing Skills10 thematic area.
Some evidence was found of working across Priorities, with linkages between
ESF Convergence Priority 2 and ESF Convergence Priority 3 as well as within
the Priority. These were cases where a single project sponsor was
responsible for projects delivering similar activities11 within the two Priorities
such as a single team within the Department for Education and Skills (DfES)
within the Welsh Government. Combined, these show potential linkages of
projects supporting participants before they enter the workforce to projects for
participants once they enter the workforce and then through the different
levels of learning.
The most prominent example of inter-project collaboration cited by numerous
interviewees is that of the Sector and Provider Advocates. Further details of
this are set out below.
A further example of post-approval collaboration is the merging of two
projects, Essential Skills in the Workplace and IT for Rural Enterprises. Whilst
this has brought about delivery challenges in the short-term, the flexibility to
see where synergies exist and respond is anticipated to ultimately enhance
the quality of project delivery.
One element of the Sector Priorities Fund Pilots (SPFP) project was to fund
sector and provider advocates to improve communication between Sector
Skills Councils (representing employers) and training providers. In particular,
this activity was targeted at enabling SSCs and providers to clearly articulate,
understand and develop effective responses to employer demand for training.
9 Spatial European Teams Evaluation, WEFO, November 2010. Found at
http://wefo.wales.gov.uk/publications/monitoringevaluation/researchreports/setsevaluation/?la
ng=en (accessed 5th December 2011). The SETs were renamed Specialist European Teams
following this evaluation.10 As covered by references to ESF and DfES focused SET activity.11 Two interviewees felt it was sometimes a hindrance to have the activity split by participant
type across ESF Convergence Priorities 1-3, rather than by the nature of activity.
Thematic Evaluations Increasing Skills Theme Draft Report 39
Seven sector advocates were supported, aligned around established SSC
clustering, and four provider advocates were supported, aligned to the four
geographic regions in Wales.
The primary focus of the advocates as outlined within the project business
plan was to support communication in respect of other piloted activities within
the SPFP project. However, the project level interviews found very positive
evidence of the work of these advocates outside the SPFP project with other
activities within Convergence ESF Priority 3, with the advocates mentioned by
numerous project level and stakeholder consultees in a range of organisations
(including Welsh Government, third sector organisations and Higher
Education Institutions). This highlights the added value generated through this
innovation which was possible as a result of ESF funding, including a fit with
the wider agendas for collaboration and transformation.
The advocates have enabled the SSC network and provider network to come
much closer together, enabling better developed projects focused on demand-
led skills development. This included the transfer of training expertise in the
energy sector in Pembrokeshire into the Anglesey Energy Island activity. In
another example:
“Asset Skills identified demand outstripping supply for facilities management
skills. This information has been fed through the advocates into college led
projects, therefore encouraging training providers to get close to the SSC”
Examples were also cited of how the independence of the advocates enabled
them to undertake activities which may be treated with deep suspicion if
driven by Welsh Government. As a result there has been progress made in
identifying duplication of activity and in delivering innovative curriculum
development.
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Thematic Evaluations Increasing Skills Theme Draft Report 40
5.2. Transnational Activities
This evaluation has identified limited transnational activity within the
Increasing Skills thematic area. Of the 16 projects covered by consultations
only two expressed clear intention to undertake transnational activity to
exchange knowledge. Neither project had yet commenced work in this area
and indicated some challenges in progressing this including the lack of ring-
fenced funding and process issues which can lead to difficulties identifying
and securing international partners. One project sponsor said:
“You cannot do too much until you receive WEFO approval. WEFO want a
business case with identified partners, but you cannot identify partners if you
don’t know what you are proposing, as you have not yet received approval. It
is difficult to do transnational work at the best of times.”
“Under EQUAL, transnational activity worked well, although it was difficult.
You knew you had to and there was a ring-fenced budget.”
The two projects keen to undertake transnational activity are:
� Minorities are Wales’ Resources; and
� Agile Nation
Both projects are heavily focused in the Equality and Diversity arena, and
both have sponsors operating in the third sector. This may indicate a
difference in suitability to particular topic areas within the Priority, or
potentially a difference in attitude in some organisations.
One other project did indicate that transnational activity had been considered,
but was decided against. This was also a project with a sponsor outside
Welsh Government. They indicated that there “…was no resource available
within WEFO to support transnational activity and no common framework
across countries to make it possible…….it is not the role of Convergence to
do transnational, there is enough to do to get the core Programme working.”
There was no mention of any consideration of transnational activity from the
Welsh Government sponsored projects.
Thematic Evaluations Increasing Skills Theme Draft Report 41
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5.3. Use of Cross Fund Flexibility Tools
Within the Increasing Skills thematic area project data indicate one project
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that has expressed an intention to use the cross fund flexibility to create or
refurbish premises. However, this project was not part of the sample
interviewed.
Across the projects consulted as part of this evaluation none indicated any
intention to use the cross fund flexibility tool. In fact, some sponsors were
uncertain as to its role or function. For example, one interviewee referred to
the mix of match and ESF funding within the project.
Overall the evidence suggests the cross fund flexibility tool is not being widely
utilised within this thematic area. The limited level of understanding across
consulted projects would suggest a higher profile needs to be given to the
availability of the cross fund flexibility tools.
5.4. Innovation
Project sponsors are readily able to signpost elements of all projects which
demonstrate innovation, particularly in terms of changes from previous modes
of delivery across the thematic area. As would be expected, in some
instances the level of innovation is substantial, in others incremental.
The level of collaboration taking place within the thematic area has already
been discussed, and is one example of innovation and added value that has
been kick started by this round of Structural Funds Programmes in Wales.
The OP and Strategic Frameworks identify a number of ‘possible areas’ for
specific innovative actions, set out below. The research has identified projects
addressing three of the four areas identified as a focus for innovation, shown
in parenthesis. No specific project activity supporting the retention of older
workers in employment has been identified.
1. Promoting the integration of migrant workers within the workforce (e.g.
Minorities are Wales Resources);
2. Supporting the retention of older workers in employment (no project
identified);
Thematic Evaluations Increasing Skills Theme Draft Report 42
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3. Innovative learning delivery approaches and methodologies for identifying
and addressing skills needs (e.g. Sector Priorities Fund Pilots and Work
Based Learning Strategies); and
4. New ways of helping employers and employees adapt to job and
organisation change (e.g. Shaping the Future and ProAct).
The project examples which follow set out further examples of projects which
are delivering innovation.
Thematic Evaluations Increasing Skills Theme Draft Report 43
The Shaping the Future project in North West Wales aims to create
economic opportunity by mitigating the decommissioning of nuclear power
stations at Wylfa and Trawsfynydd. The project supports workers whose
nuclear site employment is at risk as a consequence of decommissioning,
through proactive engagement and providing skills training to supplement
transferable skills, particularly focused at growth sectors. The intention is to
retain the highly skilled workforce in the region, thereby attracting new
employers and avoiding any further substantial loss of economic activity from
the region.
The proactive approach to engagement is totally new in respect of nuclear
decommissioning. Whilst there have been challenges in delivery, the Nuclear
Decommissioning Authority has taken valuable learning from the project and
has worked with partners to establish a similar project for the Dounreay area,
with support from the Shaping the Future project manager.
The Sector Priorities Fund Pilots (SPFP) project has innovation in delivery
at its heart. At the time of conception it was intended that a Sector Priorities
Fund would be established in line with Skills that Work for Wales. This fund
would ensure more responsive delivery and better align post 16 skills
provision to the needs of employers in Wales.
The SPFP project includes four primary activities:
� Testing innovative training solutions
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� Facilitating partnerships between SSCs and providers
� Raising the skill levels of participants in the pilot projects; and
� Supporting the implementation of the Cross Cutting Themes
Within the project 14 pilots are being tested. As with any innovative project,
there is an element of risk. Within SPFP all pilots are either testing brand new
delivery innovations or new innovations for Wales. The range of pilot
activities is varied and includes the establishment of sector and provider
advocates as referenced in an earlier case study.
Through the course of the SPFP project the decision was taken that the
Sector Priorities Fund would no longer be established, but the innovation in
delivery has already led to mainstreaming of new activity in a number of
areas. In particular, two apprenticeship pilot projects are now to be adopted
within mainstream work based learning provision in Wales. For many of the
other pilots it is too early to assess whether activity will be mainstreamed,
however, early indications are that 12 of the 14 pilots have been a success to
some degree.
The ProAct project was established as part of the Welsh Government’s
response to the recession. The project concept emerged from a series of
‘Economic Summits’ held in various locations around Wales in the autumn of
2008. The project specifically enabled employers facing difficulties retaining
staff as a result of the recession to both part-finance their retention and fund
training to enable the business to prepare for the upturn.
The coupling of a wage subsidy and 100% training funding within ProAct was
viewed as highly innovative, with no other similar scheme elsewhere in
England and Wales. The scheme was also designed with substantial
flexibility to be fully responsive to employer needs, although eligibility criteria
were strict in respect of evidencing clear risk of redundancy or short time
working for staff.
The scheme benefited from a swift approval process enabling it to respond to
the challenges presented to employers by the recession at the appropriate
Thematic Evaluations Increasing Skills Theme Draft Report 44
time. A lag in approval would have led to a failure to deliver the intended
benefits (Impact evaluation of ProAct, SRD, 2011).
“It is testament to the skills and hard work of the core and delivery teams that
the rapid introduction of the programme has never been cited as a reason for
delay and the delivery of the programme has itself demonstrated real
innovation in its approach that deserve wider consideration” (SRD, 2011).
It was reported that the project has also delivered added value through the
close working of DCELLS (now DFES) and DE&T (now BETS) as well as
collaboration with other delivery organisations. However, there were
concerns some of this added value has been lost due to the reorganisation of
BETS and the changing roles of individuals.
The positive response of businesses to the training element of the scheme
has led to the creation of a follow on scheme Skills Growth Wales which does
not include the wage subsidy, but allows firms with clearly identifiable growth
prospects to train in priority areas.
5.5. Added Value
The project level interviews confirmed that projects were directly and indirectly
adding value to national policies. As a minimum, supported activities should
be ‘additional’ (i.e. the activity would not take place in the absence of ESF
funding). Whilst some degree of deadweight and displacement may be
expected (and the assessment of this is outside the scope of this evaluation),
at a conceptual level there should be a clear rationale for supporting each
project.
Table 4 classifies each sampled project into one of four types of added value
that have been used as part of this evaluation. This shows a spread across
all four categories.
Within the volume category, these projects are delivering substantial levels of
activity over and above that which would be funded without ESF. They are
not seeking to deliver marginal uplifts in the scale of activity. For example the
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Deleted: Table 6
Thematic Evaluations Increasing Skills Theme Draft Report 45
Modern Apprenticeship World Class Skills for a Knowledge Economy is
supporting an additional 18,000 participants, a 54% increase on the 15,000
participants that could have been supported over the same period without
ESF support.
Within the scope category there is a range of projects delivering in different
ways or to groups that would not otherwise be supported. As featured in the
case studies within section 5.4 on innovation, there are projects delivering
new forms of activity that widens participation. In addition, organisations such
as Chwarae Teg have experience of supporting women in a range of settings,
but would not have the resources to undertake any of the activities within the
Agile Nation project without ESF support.
Within the role category there are a number of projects that are delivering
particular innovations that either have or will become mainstreamed as a
result of pilot testing within the ESF project. As indicated within the project
example at section 5.4, some elements of the SPFP project have already
been mainstreamed. Furthermore, consultations indicated four elements
within the Modern Apprenticeship project that have been mainstreamed: a
shared apprenticeship model (allowing one apprentice to be supported by
more than one employer), flexible learning (ensuring a much more tailored
approach to employer needs), an apprenticeship matching service (in
partnership with Careers Wales to match potential apprentices with
employers) and an apprenticeship marketing pilot.
Table 4: Added Value Categorisation Deleted: 6
Type Definition Projects
Volume Project ‘adds’ to existing
action, either by supporting
national action in general
(‘mirroring’) or specific areas of
national policy (‘boosting’).
Modern Apprenticeships, Basic
Skills in the Workplace/IT for
Rural Enterprises, ELMS.
Thematic Evaluations Increasing Skills Theme Draft Report 46
Type Definition Projects
Scope Project ‘broadens’ existing
action by supporting groups or
policy areas that would not
otherwise receive support.
Shaping the Future, SPFP, Work
Based Learning, ELMS, ProAct,
Agile Nation, MAWR, Business
ICT for SME Principals.
Role Project supports local/regional
innovations that are taken up
at national level or national
innovative actions that are
then ‘mainstreamed’.
SPFP, Modern Apprenticeships,
Work Based Learning, ELMS.
Process Project influences Member
States administrations and
organisations involved in the
Programmes.
ProAct, SPFP.
In addition to the core classification of projects there are other examples of
added value which have been achieved as a result of this round of ESF
funding. In particular:
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� Procurement – whilst there are mixed views among project sponsors as to
the costs and benefits of procurement, there are examples cited where the
use of procurement within the project has delivered improved outcomes
that would not have occurred without the spur to institute a procurement
based approach. This includes improved value-for-money as well as
better quality inputs, which in turn are anticipated to deliver better quality
outputs. For example, within the Modern Apprenticeship project the
procurement exercise was cited as a primary driver in improving the
quality of provision, with a number of providers that had previously been
contracted failing to secure contracts under the new process. However,
there are other examples where the procurement process may have led to
less favourable outcomes, particularly where established working
relationships were in place. For example, one project, which had existing
relationships with suppliers, tendered for the supply of the same services
Thematic Evaluations Increasing Skills Theme Draft Report 47
leading to higher prices. The interviewee stated that “cheaper rates could
have been negotiated if we had not procured.”
� Collaboration – this round of funding has led to a substantial level of
collaboration that would not otherwise have taken place. This is dealt with
in detail under a separate heading.
5.6. Basic Skills Focus in Competitiveness ESF Priority 2
Has the Priority been sufficiently focused on improving the levels of
basic literacy and numeracy alongside development of other generic
and vocational skills? (Competitiveness Only)
There is limited available evidence on which to base an answer to this
question. Within the OP the focus upon basic literacy and numeracy is
evident in the targets for Participants accessing basic skills training, 55% of
participants, and Participants gaining qualifications - basic skills, 63% of
participants gaining qualifications. These targets reflect the emphasis upon
basic skills within the supporting OP text.
In response, a large scale Welsh Government sponsored project Essential
Skills in the Workplace has been approved. Whilst some other projects are
delivering some basic skills activity, Basic Skills in the Workplace is critical to
achieving the OP aims. As no data are available on forecast profiles by skill
level the Essential Skills in the Workplace project is used a proxy for all basic
skills activity in the following analysis.
Based on OP target levels of participants (12,600) and participants gaining
qualifications (5,450) current approved forecasts for Essential Skills in the
Workplace exceed the notional targets when applying the percentage based
targets for activity and achievement at the basic skills level.
However, this analysis tells only part of the story. As the targets are
percentage based, a more sound analysis would consider the mix of activity
compared with total profiled participants, rather than measuring against the
participant levels within the OP. Essential Skills in the Workplace is profiled to
deliver 26% of all forecast participants and 28% of forecast participants
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Thematic Evaluations Increasing Skills Theme Draft Report 48
gaining qualifications. This compares with OP targets of 55% and 63%
respectively for basic skills. On this basis, the mix of approved activity is
lacking the focus on basic skills that is detailed within the OP.
In addition, there have been substantial delivery delays and project
restructuring within the Essential Skills in the Workplace project across both
Convergence and Competitiveness areas with the project being behind profile
to date.
When considering expenditure, around 9% of the Competitiveness ESF
Priority 2 budget has been committed to the Essential Skills in the Workplace
project. This compares to 25% of funding allocated to the two leadership and
management projects, 41% to Skills Growth Wales and 17% to World Class
Apprenticeships in East Wales. Whilst no indicative financial breakdown is
provided in the OP, and training at different levels will require different levels
of financial support, the degree of imbalance in the financial commitment is
broadly in keeping with the under commitment of indicators for basic skills
relative to the OP.
5.7. Delivering Demand Led Qualifications
Have the projects within the Priority responded well to delivering
demand led provision of qualifications at level 3 and beyond?
(Convergence Only)
Six of the sampled projects are relevant to this question, and in addition
stakeholders with a wider remit were asked to comment upon this issue. In
general the evidence suggests that projects have responded well to delivering
demand led provision of qualifications at level 3 and beyond.
There is evidence of substantial consideration of priority areas for demand,
primarily through the use of labour market intelligence (LMI) and engagement
with Sector Skills Councils (SSCs). Indeed, there are projects, including
SPFP, Skills for the Digital Economy and Agile Nation, which are actively
looking to improve the quality of LMI specific to Wales, through research
activities, in order to support the achievement of these aims.
Thematic Evaluations Increasing Skills Theme Draft Report 49
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The Sector Advocates which are highlighted in a case study, at section 5.1 of
this report, highlight the importance of linkages between the SSCs/employers
and providers. Whilst the modus operandi of these advocates varies from
region to region, there is anecdotal evidence of positive impact to date in a
number of situations which is improving the quality and nature of provision.
A risk to the remainder of the Programme period is the potential restructuring
of SSCs. Whilst details are not yet confirmed, there is anticipation of
substantial structural changes to the make-up of the SSC arena which could
have an important bearing on provider/employer interaction in the future.
In addition to interaction between providers and SSCs there is further
evidence of much more detailed demand led activity, tailored very specifically
to the business. This is apparent in the design of Modern Apprenticeship
learning frameworks as well as through projects such as Enhancing
Leadership and Management Skills and ProAct, where highly tailored
solutions are provided to individual businesses.
5.8. Balance between Skill Levels
Has the Priority succeeded in achieving the right balance between lower, intermediate and higher level skills?
The clearest measure of the intended balance between skill levels are the OP
targets for participants accessing training and participants achieving
qualifications by the four levels (basic, Level 2, Level 3 and Level 4 and
above). However, the available data does not allow comment on the balance
of committed activity against target.
Partial data on activity to date is presented at section 4.2 of this report. This
indicated the current balance of activity is strongly weighted towards Level 2
and Level 3, with a substantive under performance at the basic skills level
relative to the OP target. This is largely driven by the strong delivery of the
Modern Apprenticeship projects and the substantial implementation delays for
the Essential Skills in the Workplace projects. The issues around basic skills
delivery are also discussed in more detail at the case study at section 4.4 and
section 5.6, which although focused on Competitiveness ESF Priority 2,
Thematic Evaluations Increasing Skills Theme Draft Report 50
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identifies underlying messages that consultees indicated are equally true in
Convergence ESF Priority 3.
As many projects are delivering indicators across the differing skill levels it is
not possible to make even a crude analysis on the basis of allocating projects
to a level. However, rather than looking across the four level categories in the
OP, or the three levels within the evaluation question, a simpler analysis can
look at the balance between Convergence ESF Priority 3 Theme 1 and
Theme 2. Theme 1 is largely focused at basic and lower skills and Theme 2
largely at intermediate and higher skills. This demarcation is not absolute, but
may be helpful to consider balance. When looking at committed funds across
these two themes, at section 3.3, it was commented that Theme 2 had
received a greater funding commitment than was identified within the OP,
largely at the expense of Theme 1.
Although the data available are not perfect, the analysis presented above
gives some indication of an imbalance of activity across skills levels to that
intended at the time of drafting the OP, with an under-representation of
activity at the basic/lower level to date.
5.9. Challenging Traditional Gender Dominated Cultures
Has the Priority been sufficiently focused on challenging the
traditionally gender dominated cultures, environments and attitudes
within the workplace e.g. men in teaching and nursing, women in
construction and scientific professions?
Within Convergence ESF Priority 3 there are two themes that mention
activities related to tackling traditional gender roles. Within Theme 2 one of
the listed indicative activities in the OP states “positive action measures which
support women to secure higher level skills in non-traditional areas such as
science and engineering, construction and ICT”. Theme 3 is specifically
targeted at promoting gender equality in employment and includes two related
indicative activities: “support employers, learning providers and others to
promote diversity and challenge traditionally gender dominated cultures,
environments and attitudes e.g. men in teaching and nursing, women in
Thematic Evaluations Increasing Skills Theme Draft Report 51
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construction and scientific professions” and “develop actions with Sector Skills
Councils and partners to tackle gender stereotyping in work-based learning,
vocational training and apprenticeship programmes”.
In respect of Theme 2 the review of project documentation and project level
interviews has found no clear evidence of projects taking a proactive role in
tackling gender dominated cultures. A frequent response from interviewees
was that Convergence ESF Priority 3 was dealing with employed persons and
therefore there was little that could be done through the limited training activity
the projects were focused on. This response highlights three issues:
� Projects were focused upon the core activity within their business plans.
As has been shown previously in this report, there is some evidence of a
lack of proactivity towards pursuing targets and activities related to Cross
Cutting Themes and target groups, with the exception of projects
specifically targeted at one of the identified groups.
� Many projects are targeting activity at the individual and felt that they had
limited influence over the business culture. This is also a factor in the risks
around achievement of the employers assisted indicators.
� There is a limited understanding of the issues around gender dominated
cultures. The issue is not restricted to ‘access’ e.g. whether men or
women are able to enter a sector or occupation, but also includes
‘progression’ e.g. movement along a career path towards more senior
roles within a sector or occupation. Within Theme 2 it is the ‘progression’
issue in respect of women that is particularly highlighted and no evidence
was found of any specific activity to tackle this issue. However, due to the
sampling of projects it is not possible to definitively say that no activity of
this nature is taking place.
In respect of Theme 3, a single project, Agile Nation, has been commissioned
which is tackling the full remit of activities identified within the OP.12 As
Since the fieldwork for this evaluation took place, a further project has been approved:
Women Adding Vale to the Economy (WAVE)
Thematic Evaluations Increasing Skills Theme Draft Report 52
12
identified at section 3.2 there is the potential for gaps around specific work
addressing the participation of men in female gender dominated cultures and
environments.
Whilst the Agile Nation project has been approved and activity is underway, it
is still too early to assess the impact that it is having in terms of challenging
traditionally gender dominated cultures, environments and attitudes. This will
be an issue for testing within later stage project and programme level
evaluation.
5.10. Contribution to the European Employment Strategy
Is the Priority contributing to the European Employment Strategy (EES);
Are projects approved consistent with the priorities set out in the EES?
The EES is a mechanism designed to coordinate the employment policies of
the EU member states. It therefore sets a broad framework, within which
national governments are responsible for shaping and implementing detailed
policy. The scope of the EES is much wider than the Priorities within the
Increasing Skills thematic area as it addresses wider labour market issues
such as inclusion and participation which are considered within different
thematic areas of the 2007-13 Structural Funds Programmes in Wales as well
as areas outside the scope of the Structural Funds Programmes, such as
employment law. However, the Priorities within the Increasing Skills thematic
area sit entirely within the context of the EES.
The EES is clearly referenced within the OPs in respect of the Priorities within
the Increasing Skills thematic area. Since the OPs were drafted there has
been some further development of the EES through the adoption of the
Employment Policy Guidelines (2008-2010)13. Of particular relevance to the
Increasing Skills thematic area, the revision to the Employment Guidelines
has strengthened the commitment to policies in the fields of active ageing,
gender equality and lifelong learning.
13 Council Decision 2008/618/EC of 15 July 2008 on guidelines for the employment policies of
the Member States
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In addition, there have been various documents setting out country specific
recommendations in respect of implementation of policies. The
recommendations of 14 October 2004 were explicitly referenced within the
OPs, notably in respect of the prevalence of low skills amongst the workforce,
including basic skills and the presence of one of the widest gender pay gaps
within the EU. The recommendations indicated that, amongst other things,
the UK should give immediate priority to improving literacy and numeracy of
the workforce. Further recommendations in 200714 and 200815 continually
identified a need for the UK to focus on improving performance in the field of
skills development, with basic and intermediate skills specifically referenced.
With specific reference to the relevant elements of Guidelines 18-24, the
committed activity within the Increasing Skills thematic area is clearly
contributing to the aims of the EES. This includes activities ranging from Agile
Nation, focusing on female participation and progression in the workforce and
influencing employer attitudes to gender roles, to labour market intelligence
within projects such as the Sector Priorities Fund Pilots, which looks to better
anticipate skills needs and labour market shortages to Shaping the Future
which is actively managing change as a result of economic restructuring, and
Access to Masters and other projects which are improving access to training
at all levels through innovation in delivery and proactive engagement.
From a delivery perspective there are two potential challenges in the context
of the EES, already noted elsewhere in this report.
� The focus on active ageing and engagement of older workers is
substantially behind target in terms of the current participant profile .
There is no specific project targeting this cohort of workers. For other
target groups there are vertical projects with a specific focus e.g. Agile
Nation (women) and Minorities are Wales Resources (BME and migrant
workers).
14 Council of the European Union document number 7456/07. 15 Council of the European Union document number 8276/08
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� The progress towards basic skills targets is very slow at this stage in the
Programme as a result of challenges with the Essential Skills in the
Workplace project.
� Lifelong learning is a recurrent theme of the EES. There are identified
challenges with the primary indicator within the OPs for tracking this. On
the basis of the data that are available there is evidence of an under
commitment and poor performance in terms of reported progress. A better
measure may be through the ESF Leavers Survey, which suggests a
higher level of further participation. Looking more widely, the work to
make training more accessible with more flexible delivery methods has the
potential to impact lifelong learning well beyond the Programme period
and the cohort of participants directly supported by ESF activity.
5.11. Engagement of Social Partners
To what extent are social partners (employers and trade unions)
engaged in the Priority? What is the nature of the engagement?
There is some degree of social partner engagement in all of the sampled
projects. Across the Increasing Skills thematic area there are a range of
types of engagement of social partners. The most common are:
� Direct interface with employers in receipt of intervention via projects.
All sampled projects have some degree of direct interface with employers.
� Indirect interface with employers through Sector Skills Councils.
In part the discussion at section 5.7 related to delivery of demand led
provision highlights the involvement of SSCs and employers.
� The presence of employer and/or Trade Union representation within
project steering groups or other similar boards or fora.
Specific examples were identified within the ProAct and Agile Nation
projects. One project sponsor stated:
“The Wales TUC representative was brilliant and very supportive,
attending all the panel meetings. They were able to provide useful views
on businesses and the relationship worked well.”
Thematic Evaluations Increasing Skills Theme Draft Report 55
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As highlighted previously, the potential changes to the SSC structure could
create a challenge for the remainder of the programme period given the
number of projects that either are, or are planning to use SSCs as a route to
information or wider employer engagement.
Thematic Evaluations Increasing Skills Theme Draft Report 56
6. CONCLUSIONS AND RECOMMENDATIONS
6.1. Conclusions
The Increasing Skills thematic area comprises Convergence ESF Priority 3
and Competitiveness ESF Priority 2, both titled Improving Skills Levels and
Adaptability of the Workforce. Convergence ESF Priority 3 has an allocation
of £301.1 million split across three Themes. Competitiveness ESF Priority 2
is much smaller with a £28.1 million funding allocation.
To date 35 projects have been approved, 27 under Convergence and eight
under Competitiveness. In absolute terms, there is a good fit between the
scope of projects approved and the policy goals within the Operational
Programme (OP) for Convergence ESF Priority 3. Potential gaps that were
identified relate to disabled participants, supporting women to secure higher
level skills in non-traditional areas, and challenging traditionally female
dominated cultures.
There are more substantive gaps in respect of Competitiveness ESF Priority
2. In particular these include OP ambitions to support focused activities at a
range of target groups including women, older workers and migrant workers.
For both Priorities there is very little duplication of effort. Where these were
identified, specifically relating to activities supporting leadership and
management development, there is evidence that these are effectively
managed at the operational level.
There is some evidence of imbalance between approved project activities and
OP aims when considering the financial commitments made to date, with an
over commitment to Convergence ESF Priority 3, Theme 2 and an under
commitment to Theme 1 focusing on basic and lower skills. Whilst there are
limited data on which to assess the balance of approved activities in terms of
participant mix and skill levels, there is some indication of under commitment
of activity in respect of basic skills which aligns to the financial analysis.
Strengthening of data and monitoring in this regard will be important to track
performance towards OP target for the remainder of the programme period.
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Across the two Priorities 91% of EU funds have been committed.
Competitiveness ESF Priority 2 is over-committed at 104%. Across both
Programmes, 32% of total funds have been spent, this equates to 70% of
profiled expenditure to date, indicating some requirement for catch up.
However, at both Programme and project level there is confidence that
remaining funds will be committed and all existing committed funds will be
spent by the end of the Programming period.
Performance against output and result indicators is variable. There is very
strong performance in terms of the number of participants and participants
gaining qualifications, and, coupled with substantial over commitment of
outputs this provides a sound expectation that OP targets will be exceeded.
However, whilst data are limited, there are some concerns in terms of
achieving the target profile of participant type and activity by skill/qualification
level. Although there are no Priority level targets for participants entering
further learning, there is also a likely shortfall in achievement of project level
forecasts for this indicator.
There is uncertainty in respect of indicators relating to employers assisted or
financially supported, despite substantial over-commitment of outputs across
approved projects. It is likely that there will be de-commitments against some
of these outputs. The target for employers adopting or improving equality and
diversity strategies and monitoring systems is unlikely to be achieved on the
basis of current evidence. However, the target for projects delivering
specialist training in sustainable development is likely to be met.
Strong performance on headline participant indicators is largely driven by over
commitment of outputs across approved projects. More mixed performance
against other indicators has a number of causes including delays to project
commencement post approval, over ambitious delivery profiles, issues
relating to indicator definition and possible under reporting in some instances.
Beneath the headline level data are more limited. However, when considering
the participant mix there is some evidence that mainstream projects, without a
focus on a particular target group, are fairly passive in their approach to
engaging with target groups. This is reflected in the very low proportion of
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disabled and older participants to date, groups for which no dedicated projects
have been commissioned. When considering activity across skill levels there
is some evidence of imbalance relative to the OP targets. In part this reflects
the success of the Modern Apprenticeship projects and substantial delays
related to the implementation of the Essential Skills in the Workplace project,
which is profiled to make a substantial contribution to OP targets for basic
skills. Notwithstanding, there is evidence of under-commitment of basic skills
activity relative to OP aims which is only exacerbated by delivery challenges.
There is positive evidence in respect of collaboration within and between
projects, in large part driven by the desire to approve fewer, larger projects in
this Programming period. This has been cited as a key positive impact of the
Programme, driving forward collaboration which, whilst desirable, would not
have happened so quickly. There is also evidence of social partner
engagement with projects which closely relates to the collaboration which has
taken place.
There is evidence of innovation within projects. In some cases this is
manifest in the form of incremental change, in others there are whole new
approaches to delivery being tested and in some cases mainstreamed. This
innovation has also supported the aim of supporting demand led provision.
However, there is little transnational activity, or use of cross fund flexibility
tools within the thematic area.
The evidence points to projects delivering added value in a number of ways.
In some cases through adding scale to existing activity, others broadening
scope and others through the creation of innovative new approaches.
Overall approved activity is contributing to and consistent with the European
Employment Strategy, but there are some areas where this contribution could
be strengthened. In particular these relate to supporting older workers,
ensuring the delivery of basic skills activities and strengthening the activity
around female participation and progression in projects outside Convergence
ESF Priority 3 Theme 3.
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6.2. Recommendations
On the basis of the evidence found in this evaluation the following
recommendations should be considered by WEFO:
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Committing Outstanding Funds
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� When committing the remaining funds consideration should be made of
the potential for imbalance within current approved activity in order that
Programme outturn is consistent with OP aims.
Project and Programme Monitoring
� Careful monitoring and management of project outputs over next 12
months is required, particularly as a result of planned reprofiling and
backloading of outputs.
� Careful monitoring of the Essential Skills in the Workplace project to
manage risks related to overall OP ambitions regarding basic skills.
� Improved monitoring of indicators below the headline level, specifically
relating to participant mix and level of activity.
Project Liaison
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� Increase awareness of the role mainstream projects can play in proactively
engaging target groups and tackling wider issues such as female
progression in employment through skills development.
� Raising the profile of the availability and purpose of cross fund flexibility
tools to ensure projects are fully aware of the opportunities available to
them.
Future Programmes
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� Consider in more detail the potential future need for vertical projects on
specific issues to avoid important groups and Programme aims being lost.
This can include Cross Cutting Themes and Transnational Activity.
� Seek to avoid big delays between projects and slow approval processes in
next round of Programmes to avoid loss of knowledge and expertise from
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sponsor organisations and the potential loss of strategic added value of
current round of projects.
� Investigate whether initial indicator profiles are tested hard enough for
optimism bias in terms of both total scale and timing, through the project
approval process.
� Ensure improved support following project approval, particularly for non
Welsh Government project sponsors and on issues that are new to the
funding round (such as procurement in the current Programmes)
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APPENDIX 1: CONSULTEE LIST
Project Sponsors:
Naz Malik and Tegwen Malik AWEMA
David Waller and Deborah Lewis WG DFES
Judy Craske Menter Mon
Chris Perrin WG-DFES
Sion Meredith WG-DFES
Andrew Martin WG-DFES
Kate Reed Computeraid
Leanne Jones, Clare Naylor and University of Glamorgan
Martin Jeffries
Nicola Hunter WG-DFES
Hayley Dunne Chwarae Teg
Strategic Framework Co-ordinators:
Phil Tristram WG-DFES
Joanne Snaith WG-DFES
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