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Guidelines for Project Promoters
NWE Joint Technical Secretariat24 Boulevard Carnot
59800 LILLEFrance
Tel: +33 (0)3 20 78 55 00Fax: +33 (0)3 20 55 65 95
E-mail: [email protected]: www.nweurope.org
Version of 22nd January 20033rd Call for Project Proposals
Table of Contents
IntroductionIntroduction 3
Chapter I – Introduction to the INTERREG IIIB North-West Europe ProgrammeChapter I – Introduction to the INTERREG IIIB North-West Europe Programme 4
1.1 What is the INTERREG IIIB North-West Europe Programme? 41.1 The INTERREG III Community Initiative 41.2 Eligible areas under the INTERREG IIIB North-West Europe Programme 51.3 Key Objectives of the INTERREG NWE Programme 61.4 The Programme’s Budget 71.5 What are the main differences between the INTERREG IIC NWMA
Programme and the INTERREG IIIB NWE Programme?7
1.2 How is the INTERREG IIIB NWE Programme Organised? 81.2.1 The Monitoring Committee 81.2.2 The Steering Committee 81.2.3 The Managing Authority 91.2.4 The Paying Authority 91.2.5 The NWE Joint Secretariat 91.2.6 Contact Points in the Member States 9
Chapter II – Project DevelopmentChapter II – Project Development 14
2.1 Developing a Transnational Project Idea 142.1.1 Key references for developing a good project idea 142.1.2 Which types of project can be funded?
Action projects Investment projects Study projects Duration of projects
20
2.1.3 Key issues in the development of an INTERREG IIIB project idea 21(i) Transnationality 21(ii) Tangible and innovative results to the common benefit of all
partners23
2.1.4 Assistance to project promoters in the project idea development process
24
2.2 How to Develop a Transnational Partnership 262.2.1 Setting up a Transnational Partnership: Who can be a Partner? 26
Project Partners 27 Private Partners 28 Observers 28 Swiss Partners from the 15 cantons included in the NWE co-
operation area28
Partners from outside the NWE co-operation area 282.2.2 Structure of the Partnership 29
The Lead Partner and the Lead Partner Principle 29
2.3 Financing and Management 302.3.1 Financial Management at Programme Level 302.3.2 Size of the project budget 312.3.3 Eligibility Rules and Eligible Costs 32
Objective 1 and Non-Objective 1 Regions 32 Public Procurement 33
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Investment 34 Preparation Costs 36 Contributions in Kind 37 Staff Costs 38 Indicative Rates 38 Expenditure incurred outside the NWE area 39 Audit 39 VAT 40 Exchange Rates 40
2.3.4 Models for Financial Management 40
Chapter III – Submission of Applications, Processing and SelectionChapter III – Submission of Applications, Processing and Selection 42
3.1 Submitting an Application 423.1.1 Call for Proposals 423.1.2 Content of a Project Application 423.1.3 Annual Breakdown of Costs 433.1.4 Contracts and Agreements between Partners 433.1.5 Letters of Intent 443.1.6 Communication 443.1.7 Choice of Appropriate Indicators 46
3.2 Processing the Application and the Selection of Projects 463.2.1 The Process and Principles 463.2.2 The Grant Offer Letter 473.2.3 Start of the Project 47
Chapter IV – Implementation of the Project: Reporting and AuditingChapter IV – Implementation of the Project: Reporting and Auditing 49
4.1 The Project Activity Report 49
4.2 The Payment Claim 50
4.3 Auditing 50
4.4 Project Communication and Publicity 514.4.1 Implementing the Communication Plan 514.4.2 Assessing media impact and publicising results 51
4.5 Changes, Delays and Modifications 514.5.1 Informing the Secretariat 514.5.2 Budget Line Modifications 524.5.3 Revised Application Forms 52
4.6 Irregularities 52
4.7 Closure of the Project 53
Chapter V – Useful ReferencesChapter V – Useful References 54
Annex 1: Model of Joint Convention between PartnersAnnex 1: Model of Joint Convention between Partners 60
Annex 2: List of Priority Research Topics for Study ProjectsAnnex 2: List of Priority Research Topics for Study Projects 70
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INTRODUCTION
These Guidelines for Project Promoters under the INTERREG IIIB North West Europe (NWE) Programme are intended to be a useful source of information for the Lead Partner, other partners and all those working within the challenging environment of a transnational INTERREG IIIB project. The Guidelines aim at providing all the necessary tools for project promoters to assist in the development of the highest possible quality projects.
The general outline of the Programme can be found in the Community Initiative Programme (CIP) approved by the European Commission on 22 March 2002. The CIP outlines the strategy of the Programme, the rationale and detailed analysis that form the basis of it, the content of the Programme’s priorities and measures, the administrative arrangements for Programme management and details of the Programme budget at priority level. The Programme Complement provides information on the objectives, possible activities, expected results, outputs and impacts at measure level, the financial plan, the selection criteria, the publicity strategy and other general information regarding the Programme. Please refer to these documents for this information as it is not the purpose of these Guidelines to repeat the information provided elsewhere.
These Guidelines contain four chapters dealing with the following subjects: An introduction to the objectives and main characteristics of the Programme Project development, financing and management Submission of applications, processing and selection Implementation of the Project, reporting and auditing
We would like to stress that this is a “living document” and that we welcome any comments and suggestions which may improve the quality of this document and the information given to future project promoters. Updated versions will be published regularly on the Programme website, http://www.nweurope.org.
We hope these Guidelines are useful to you and wish you good luck with your project!
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Chapter IIntroduction to the INTERREG IIIB
North-West Europe Programme
1.1 What is INTERREG IIIB North-West Europe?
1.1.1 The INTERREG III Community Initiative
The INTERREG III Community Initiative was established on 28 April 2000 following the positive experiences of its predecessors INTERREG I, INTERREG II and REGEN. The objective of the INTERREG III Community Initiative is:
to strengthen economic and social cohesion in the Community by promoting cross-border, transnational and inter-regional co-operation and balanced development of
Community territory
The INTERREG III Community Initiative receives co-financing from the Commission and the Member States. EU financing comes from the European Regional Development Fund (ERDF), one of the four EU Structural Funds, in the form of non-reimbursable grants. In total, INTERREG III has an ERDF budget of €4,875 million at 1999 prices. As a general rule, the ERDF contribution does not exceed 75% of the total eligible costs in Objective 1 regions and 50% elsewhere.
The Legal Framework for the Structural Funds and the INTERREG III Community Initiative is based on the following European regulations:
Council Regulation 1260/1999 of 21 June 1999 laying down general provisions on the Structural Funds;
Commission Regulation 1685/2000 of 28 July 2000 laying down detailed rules as regards the eligibility of expenditure of operations co-financed by the Structural Funds;
Commission Regulation 438/2001 of 2 March 2001 laying down detailed rules as regards the management and control systems for assistance granted under the Structural Funds;
Commission Regulation 448/2001 of 2 March 2001 laying down detailed rules as regards the procedure for making financial corrections to assistance granted under the Structural Funds.
All these regulations can be downloaded from the DG REGIO website (see ‘Useful References and Web Sites’ at the end of this document).
The INTERREG III Community Initiative is divided into three strands:
INTERREG IIIA: Cross-border co-operation (67% of the INTERREG budget) INTERREG IIIB: Transnational co-operation (27% of the INTERREG budget) INTERREG IIIC: Inter-regional co-operation (6% of the INTERREG budget).
The NWE Programme falls within Strand B. INTERREG IIIB fosters transnational co-operation between national, regional and local authorities “to promote a higher degree of territorial integration across large groupings of European regions, with a view to achieving sustainable, harmonious and balanced development in the EU and better territorial integration with candidate and other neighbouring countries”.
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The EU as a whole and its neighbouring regions are eligible for transnational co-operation support under INTERREG IIIB. However thirteen INTERREG IIIB Programme Areas have been set up (including 3 programmes for ultra-peripheral regions): Alpine Area, Archimed (Greece, Sicily, Calabria, Basilicata, and Puglia), Atlantic Area, Baltic Sea Region, CADSES (Centre, Adriatic and Danube), Northern Periphery, North Sea Region, South West Europe, North West Europe, Western Mediterranean and Most Remote Regions (Canaries, Madeira, Azores, Caribbean and Réunion). Maps of the 13 Programme Areas are available from the DG REGIO website:http://europa.eu.int/comm/regional_policy/interreg3/carte/cartes_en.htm
1.1.2 Eligible areas under the INTERREG IIIB North-West Europe Programme
The INTERREG IIIB North-West Europe Programme is a direct follow on from the INTERREG IIC North Western Metropolitan Area Programme. However, the co-operation area has been extended under INTERREG IIIB. The INTERREG IIIB North-West Europe Programme area now covers regions in eight countries and 171 million people.
Belgium: Whole country
Ireland: Whole country
Luxembourg: Whole country
United Kingdom: Whole country
France: 13 Regions - Nord-Pas de Calais, Picardie, Haute-Normandie, Île de France, Basse-Normandie, Centre, Champagne-Ardennes, Lorraine, Bourgogne, Alsace, Franche-Comté, Bretagne, Pays de la Loire
Germany: 6 Länder - Baden-Württemberg, parts of Bayern (Schwaben, Unter-, Mittel- and Oberfranken), Hessen, Nordrhein-Westfalen, Rheinland-Pfalz, Saarland
The Netherlands: 10 Provinces - Overijssel, Gelderland, Flevoland, Utrecht, Noord-Holland, Zuid Holland, Zeeland, Noord-Brabant, Limburg
Switzerland: 15 Cantons - Basel-Stadt, Basel-Landschaft, Aargau, Solothurn, Bern, Jura, Uri, Schwyz, Obwalden, Nidwalden, Luzern, Glarus, Zug, Zürich, Neuchâtel.
Parts of the NWE co-operation area are eligible for Objective 1 or Objective 2 funding under the mainstream Structural Funds Programmes. Under the INTERREG IIIB Programme, partners located in Objective 1 areas can receive up to 75% ERDF funding. In all other regions, partners may receive up to 50% ERDF funding.
Objective 1 Regions in NWE
One of the key objectives of the EU is to “promote harmonious development” and particularly to “narrow the gap between the development levels of the various regions”. This is why more than two thirds of Structural Funds appropriations are allocated to help areas lagging behind in their development (“Objective 1”) where the gross domestic product (GDP) is below 75% of the Community average. All these regions have a number of economic signals/indicators
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which are “in the red”: low level of investment, higher than average unemployment rate, lack of services for businesses and individuals or poor basic infrastructure.
Within the INTERREG IIIB North-West Europe co-operation area, the following regions are Objective 1:
Ireland: Southern and Eastern Region, Border Midlands, Western Region. United Kingdom: South Yorkshire, West Wales and the Valleys, Cornwall and
Isles of Scilly, Merseyside.
Under the new regulations, regions which were eligible for Objective 1 funding during the 1994-1999 period and which have now lost this entitlement will benefit from transitional assistance. The system of degressive support (‘phasing out’) is designed to avoid an abrupt cessation of European funding and to consolidate the achievements of previous structural assistance.
The areas eligible for Objective 1 transitional assistance (Commission Decision 1999/502/EC of 1 July 1999) located within the North-West Europe area are:
Belgium: Hainaut France: Nord-Pas-de-Calais region (arrondissements of Valenciennes, Douai and
Avesnes) Ireland: Southern and Eastern Netherlands: Flevoland United Kingdom: Northern Ireland, Highlands and Islands
1.1.3 Key Objectives of the INTERREG NWE Programme
The INTERREG IIIB NWE Programme has the following objective:
To contribute, through an innovative and integrated approach of transnational co-operation on territorial issues, to a more cohesive, balanced and sustainable
development of the European territory and of the NWE area in particular
This objective has been split into five priorities each addressing a particular policy area. Each Priority is subdivided into two Measures:
PRIORITY 1
An attractive and coherent system of cities, towns and regions
PRIORITY 2
External and internal accessibility
PRIORITY 3
Water resources and the prevention of flood damage
PRIORITY 4
Other natural resources and cultural heritage
PRIORITY 5
Promoting territorial integration across the seas of NWE
Measure 1 More attractive metropolitan areas in the global and European context
Sustainable mobility management
Land use and water systems
Stronger ecological infrastructure, reduced ecological footprint
Promoting co-operation between sea and inland ports
Measure 2 Coherent and poly-centric pattern of complementary cities, towns, rural areas, coastal and peripheral regions
Improved access to the Information Society
The prevention of flood damage
Protection and creative enhancement of the cultural heritage
Facilitating co-operation across and between maritime and inland regions
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Priority 6 concerns Technical Assistance for implementing, managing and monitoring the Programme as a whole.
Further information on each Priority and Measure is available in the Community Initiative Programme (CIP) and the accompanying Programme Complement.
1.1.4 The Programme’s budget
The ERDF budget of the INTERREG IIIB NWE Programme for 2001-2008 is €330 million, a tenfold increase compared with the INTERREG IIC NWMA budget. This represents the largest budget allocated to an INTERREG IIIB programme. Please see Chapter V of the CIP or Chapter 7 of the Programme Complement for further details.
Until 2006, an average of €55 million of project funding will have to be approved and committed per year. The resources for both 2001 and 2002 - over €100 million in total - will have to be committed during the two application rounds in 2002, highlighting the real challenge at Programme level for the development of good project applications.
An important Commission rule applying to the Programme is the “N+2 Rule” of automatic decommitment of unused resources. Annual instalments of the Programme’s ERDF funding budget are automatically committed by the Commission at Programme level as laid down in Council Regulation 1260/1999. If an instalment is not spent by the end of the second year following its commitment, the unspent part is automatically decommitted by the Commission and lost to the Programme. This is intended to avoid a peak of project commitment in the later years of the Programme and ensure a steady flow of commitment throughout the Programme period. This has clear implications at project level, as explained in section 2.3.1 and as a result, the Secretariat will enforce tight control mechanisms in order to manage the spending of the Programme budget. Project applicants will be required to comply with these mechanisms.
1.1.5 What are the main differences between the INTERREG IIC NWMA Programme and the INTERREG IIIB NWE Programme?
The INTERREG IIIB NWE Programme is a direct follow on from the 1994-1999 INTERREG IIC North West Metropolitan Area Programme. However, some key differences between the two Programmes are to be noted:
Under INTERREG IIIB, projects must include partners from a minimum of two countries as opposed to three countries under INTERREG IIC. However the geographic scope of such projects must extend beyond the areas eligible under INTERREG IIIA (cross-border co-operation)
NWE projects are expected to be more focused on implementation than IIC projects and to demonstrate concrete, tangible results to the common benefit of their transnational partnership. They cannot consist of mere exchanges of experience
Under the INTERREG IIIB Programme, investments in small scale infra-structure and in Small and Medium size Enterprises (SMEs) are envisaged
The INTERREG IIC NWMA Programme principally addressed circles of specialist planners, academics and policy makers. A key objective of the IIIB Programme is to
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involve a much wider public, such as transport departments, NGOs, environmentalists and the private sector
Under INTERREG IIC, a separate Programme was set up, focusing on protection against flooding in the Rhine-Meuse area: IRMA (INTERREG Rhine-Meuse Activities). This Programme has not been maintained as such for the 2000-2006 funding period but its objectives have been integrated into the INTERREG IIIB NWE Programme under Priority 3.
1.2 How is the INTERREG IIIB NWE Programme Organised?
A joint management structure has been set up to manage, co-ordinate and monitor the implementation of the INTERREG IIIB NWE Programme. This comprises:
A Monitoring Committee and a Supervisory Group A Steering Committee A Managing Authority A Paying Authority A Joint Technical Secretariat A Network of Contact Points in the Member States.
The diagram on page 11 summarises the Programme’s organisational structure.
1.2.1 The Monitoring Committee
The inaugural meeting of the Programme Monitoring Committee (PMC) was held on 25 April 2002. The Monitoring Committee is made up of representatives of the National and Regional Authorities of the NWE area Member States and the Swiss Confederation. Representatives of the European Commission, the Managing Authority, the Paying Authority, the European Investment Bank and transnational NGOs participate in the work of the Monitoring Committee in an advisory capacity. The PMC is the sovereign body of the Programme and is responsible, among other things, for approving the Programme Complement, approving the project selection procedure including the Selection Criteria, approving the Secretariat’s work plan and re-orienting the project development process in order to ensure that the strategic objectives of the Programme are met. Owing to the expected frequency of PMC meetings (once a year), supervision tasks will be delegated to a Supervisory Group made up of representatives of the Managing Authority in an advisory capacity, of the Presidency and Vice-Presidency of the PMC and of one delegate per Member State. The Supervisory Group will supervise the work of the Secretariat and the implementation of PMC decisions.
1.2.2 The Steering Committee
The Steering Committee is responsible for the joint decision on the selection of projects and the co-ordinated monitoring of project implementation. Projects will be selected in compliance with the selection procedure and criteria set out in Chapter 6 of the Programme Complement. The Steering Committee is made up of representatives of the National and Regional Authorities of the NWE area Member States and the Swiss Confederation. Representatives of the European Commission, the Managing Authority and the Paying Authority will participate in the work of the Steering Committee in an advisory capacity.
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1.2.3 The Managing Authority
The Conseil Régional Nord-Pas de Calais (France) has been appointed Managing Authority and is responsible for the efficient and correct management and implementation of the NWE Programme. This responsibility includes ensuring compliance with Community regulations and the correctness and legality of operational payments including internal controls and corrective measures; implementing the information and publicity actions relating to measures of the CIP and liaising with implementing authorities and the European Commission. The Managing Authority will be assisted by the Secretariat in the implementation of its responsibilities and related tasks. In practice, as indicated in Chapter 10 of the Programme Complement, the NWE Member States have decided to delegate most of the functions of the Managing Authority to the Secretariat.
1.2.4 The Paying Authority
The Caisse des Dépôts et Consignations (France) has been appointed Paying Authority and is responsible for drawing up and submitting ERDF payment applications to the Commission, certifying the accuracy of declarations of expenditure presented to the Commission, receiving ERDF payments from the Commission, making payments to Final Beneficiaries, and ensuring that the Managing Authority exercises its financial responsibilities in a legal and regular way. A joint bank account is held by the Paying Authority to receive and effect all necessary payments.
1.2.5 The NWE Joint Secretariat
The NWE Joint Secretariat assists the Managing Authority, the Monitoring Committee and the Steering Committee in the implementation of their tasks and responsibilities and carries out the functions delegated by the Managing Authority. The Secretariat undertakes the day-to-day implementation of the Programme and is responsible for: implementing and following up all decisions made by the Monitoring and Steering
Committees preparing and providing the information needed by the Paying Authority in meeting its
responsibilities facilitating and initiating the overall development of IIIB projects in a proactive way in
close co-operation with the Contact Points creating application and guidance documents for project partners assisting applicants in the project development process, including guidance on technical
and financial matters assisting Lead Partners, Project Managers, Financial Managers and Project Co-
ordinators during project implementation implementing the publicity strategy approved by the Monitoring Committee.
The Secretariat is based in Lille and can be contacted at any time for queries related to project development, finance, management and the application procedure. A diagram showing the structure of the Secretariat is presented on page 12.
1.2.6 Contact Points in the Member States
Contact Points (CPs) have been established within the Member States and Switzerland to facilitate the implementation of the Programme, to involve the authorities responsible for regional and local development in the generation of relevant INTERREG IIIB NWE projects
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and to act as a network co-operating with the Secretariat in the process of project development.
The Contact Points can advise applicants on the preparation and transnational nature of INTERREG IIIB projects, facilitate the international partner search by capitalising on their specialist knowledge of regional and local conditions, and pro-actively stimulate the project development process. The Contact Points have an advisory status in the development of projects but do not take part in the project assessment and selection process. The Contact Points also contribute to the development and implementation of the publicity strategy of the Programme in their country in partnership with the Secretariat.
Please feel free to ask the Contact Point from your Member State for general advice on project development, as well as those from other countries for queries on searching for project partners. The list of Contact Points is included on page 13.
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OBSERVERSEuropean Commission, European Investment Bank, Non-Governmental Organisations
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PARTICIPATING COUNTRIESBelgium, France, Germany, Ireland, Luxembourg, the Netherlands, Switzerland, the United Kingdom
MONITORING COMMITTEE Sovereign body of the NWE
Programme Responsible for implementation of
the NWE CIP
STEERING COMMITTEE Take decisions on individual
project applications Co-ordinate monitoring of
project implementation
SUPERVISORY GROUP Supervision of Joint
Technical Secretariat and Contact Points on behalf of Monitoring Committee
Delegation of representative in advisory capacity
Assisting the Monitoring Committee and the Steering Committee in the implementation of their tasks and responsibilities
PAYING AUTHORITY
Caisse des Dépôts et Consignations
(Nord-Pas de Calais Regional Office in
Lille)
Responsible for payment of ERDF assistance
MANAGING AUTHORITY
Conseil Régional Nord-Pas de Calais
Responsible for efficient and correct management and implementation of the NWE CIP
JOINT TECHNICAL SECRETARIAT
Lille
Most functions of Managing Authority and specific responsibilities
In charge of day to day management of NWE Programme
CONTACT POINTSin each
participating country
Facilitate project development process and communication strategy
Delegation of representative in advisory capacity
Assisted by the JTS
Transfer of ERDF funds Day to day contact
PROJECT LEAD PARTNER
PROJECT PARTNER
PROJECT PARTNER
PROJECT PARTNER
PROJECT PARTNER
PROJECT PARTNER
The INTERREG IIIB NWE Joint Technical SecretariatThe INTERREG IIIB NWE Joint Technical Secretariat
The working language of the Secretariat is English although the team as a whole is competent in all four languages of the NWE area. Each member of staff is fluent in at least two of the official NWE languages.
Project Development Unit staff are highly qualified and skilled in the fields of spatial planning, territorial (urban and rural) development, transport, environmental planning, urban regeneration and conservation. The Finance team is highly qualified and competent in the fields of EU Structural Funds regulations, project financial design and management.
Members of staff can be contacted by telephone or by e-mail. The main switchboard number is +33 3 20 78 55 00, the fax number is +33 3 20 55 65 95 and the general e-mail address is [email protected].
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Programme Manager Philippe Doucet
+33 3 20 78 55 [email protected]
Project Development
Head of UnitHen Gerritse
+33 3 20 78 55 [email protected]
Head of UnitAngèle Martinez
+33 3 20 78 55 [email protected]
FinanceCommunication
Project Developers
Claire Colomb+33 3 20 78 55 13
Sabine Mühlinghaus+33 3 20 78 55 14
Paul Stephenson+33 3 20 78 55 16
Monica Tanaka+33 3 20 78 55 15
Communication Officers
Robin Fisher+33 3 20 78 55 08
Fatima Benabdelaziz+33 3 20 78 55 07
Finance Officers
Nicola Barrett+33 3 20 78 55 10
Sonja Maurus+33 3 20 78 55 11
Christophe Wacquez+33 3 20 78 55 12
Tobias Witschke+33 3 20 78 55 09
Administrative Support
Office Manager
Isabelle Lecroart+33 3 20 78 55 05
Administrative Assistants
Jacqueline Archer+33 3 20 78 55 00
Josée Laurent+33 3 20 78 55 01
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Contact Points for INTERREG IIIB NWEContact Points for INTERREG IIIB NWEBelgium (Wallonia and Brussels) Belgium (Flanders)
Alain COLARDULB-CP246Bd. du Triomphe1050 BruxellesBelgiumTel: +32 (0) 2 650 5074Fax: +32 (0) 2 650 5092E-mail: [email protected]
Ria SCHOOMANSMinisterie van de Vlaamsche Gemeenschap / Economische ZakenAdministratie Economie / Afdeling Europa EconomieMarkiesstraat 11000 BrusselBelgiumTel: + 32 (0) 2 553 3717Fax: + 32 (0) 2 502 4702E-mail: [email protected]
Germany FranceMirjam WITSCHKEStaatskanzlei Nordrhein-WestfalenStadttor 140219 DüsseldorfGermanyTel: +49 (0) 211 837 1627Fax: +49 (0) 211 837 1577E-mail: [email protected]
Delphine DUFOIXConseil Régional Nord-Pas-de-CalaisDirection EuropeHotel de Région, Centre Rihour59555 Lille Cedex FranceTel: + 33 (0) 3 28 82 52 48Fax: + 33 (0) 3 28 82 52 35E-mail: [email protected]
Ireland LuxembourgRonan GINGLESINTERREG NWE Liaison OfficerSouthern and Eastern Regional AssemblyAssembly HouseO'Connell StreetWaterfordIrelandTel: +353 (0) 51 860711Fax:+353 (0) 51 879887E-mail: [email protected]
Nicole SKIRDE-VURALc/o Sabine STÖLBMinistère de l'Intérieur - Direction de l'Aménagement du Territoire et de l’Urbanisme1, rue du Plébiscite2341 LuxembourgLuxembourgTel: +352 (0) 478 6926Fax: +352 (0) 40 66 95E-mail: [email protected]
Netherlands SwitzerlandFiona WIELAND Ministrie van VROMDG RuimteCluster InternationaalPO Box 30402500 GX Den HaagThe NetherlandsTel: +31 (0) 70 339 2539Fax: +31 (0) 70 339 1180Email: [email protected]
Silvia JOSTBundesamt für RaumentwicklungBundeshaus Nord - Kochergasse 10CH - 3003 BernSwitzerlandTel: +41 (0) 31 322 06 25Fax: +41 (0) 31 322 78 69E-mail: [email protected]
United Kingdom (North) United Kingdom (South)Michael SANDERSGovernment Office for the North-WestCunard BuildingsPier HeadWater StreetLiverpool L3 1QBUnited KingdomTel: +44 (0) 151 224 2914Fax: +44 (0) 151 224 6470E-mail: [email protected]
Stefanie DUHRGovernment Office for the South West2 RivergateTemple QuayBristol BS1 6EDUnited KingdomTel: +44 (0) 117 900 1938Fax: +44 (0)117 900 1917E-mail: [email protected]
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Chapter IIProject Development
2.1 Developing a Transnational Project Idea
2.1.1 Key references for developing a good project idea
A good project idea has to be developed with reference to the Priorities, Eligibility Criteria and Selection Criteria of the INTERREG IIIB NWE Programme. The key reference documents for developing a good and truly transnational project idea are the INTERREG IIIB NWE Community Initiative Programme which establishes the strategic Priorities and Measures of the Programme and the Eligibility Criteria for project proposals, and the Programme Complement which defines the Selection Criteria. Please refer to these two documents at a very early stage of the development of any project ideas.
Project promoters should always keep in mind the Eligibility and Selection Criteria of the Programme when developing their project idea.
The following table provides a useful overview of the Programme’s Eligibility and Selection Criteria:
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Eligibility Criteria
These criteria are minimum requirements which must be met for a project to be eligible and are spelled out in both the NWE CIP (Community Initiative Programme) and Programme Complement.
Selection Criteria
These criteria are additional considerations which will be taken into account to assess the respective merits of eligible projects. All projects will be scored against these criteria. If the total ERDF funding applied for by projects exceeds the amount available, the Steering Committee will give priority to projects that have scored better. The Selection Criteria are presented in the Programme Complement.
A distinction can be made between core eligibility and selection criteria (applying to all projects) and detailed eligibility and selection criteria (applying at Measure level).
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ELIGIBILITY CRITERIA
Implicit Eligibility Criteria0.a The Lead Partner is an organisation within the eligible area.0.b The Lead Partner is NOT a private profit-making organisation.0.c All the partners are from the eligible area (with exception for public partners – see section 2.2.1).0.d All the activities will in principle be carried out in the eligible area (see section 2.3.3).
Core Eligibility Criteria1 The project is transnational. This is defined as follows:
- ‘Action’ or ‘Study’ projects involve co-operating partners from at least two different countries of the NWE area, with each partner contributing to project funding and being active in the implementation of the action plan;
- The same criterion generally applies to ‘Investment’ projects. However, if the project entails investments in infrastructure, the project may exceptionally be implemented in a single Member State, provided that a significant impact in other countries can be demonstrated.
-2 The geographic scope of the project renders it ineligible to INTERREG IIIA
In the specific case of a ‘Study’ project, the scope should be wide enough to deliver a comprehensive contribution to the NWE Spatial Vision on issues addressed.
3 The project will bring about tangible and innovative results to the common benefit of all partners.For ‘Action’ projects, a territorial impact must be demonstrated. This condition will not be considered as fulfilled if the project consists of a mere exchange of experience, a series of seminars/events, or the joint production of a working document (guide of good practice, drawing up of a joint strategy without implementation, etc.).If the Member States decide to further develop the NWE Spatial Vision, Study projects shall provide new perspectives for it and address one or more priority research topics included in the list published by the Steering Committee (see Annex 2).
4 The project represents a positive contribution to sustainable development and to the implementation of at least one policy option of the ESDP; the expected outputs of the project concerning economic, ecological and social effects over time are indicated in the Application Form.
5 The project does not involve the construction of any large-scale heavy infrastructure such as a motorway or a main road.
6 The bidding partnership is consistent, i.e. it brings together the relevant partners with the capacity to deliver and make use of the project results.
7 The project does not receive any other Community support, and applicants have committed themselves not to apply for any such support to finance the activities scheduled in the action plan. However, operations of an ‘Investment’ project may be combined with loans from the European Investment Bank (or any other funding organisation).
8 The solvency of the project ‘Lead Partner’ is demonstrated or covered by a bank guarantee and the mutual financial and legal responsibilities of the project partners have been defined in a joint convention. The solvency of public bodies is assumed to be demonstrated.
9 All sections of the Application Form have been properly and accurately filled in , in particular those relating to the quantified outputs, activity indicators and targets, the management structure and the budget. An original copy of the application signed by a qualified representative of the Lead Partner has been received by the Secretariat.
10 The project will be completed by June 2008.
11 The availability of the project matching funding has been fully demonstrated by a complete set of original letters of intent*.
12 The project complies with EU legislation (in particular those rules applying to the eligibility of expenditure of Structural Fund support, to competition policy, to State aid, and to environmental impact assessment).
13 The project is consistent with national/regional policies.
Detailed Eligibility Criteria at Measure level* For French Partners, if the organisation is a public authority, a ‘Délibération’ of the relevant decision-making body is needed in addition to the ‘Lettre d’Intention’. At the application stage, a ‘Lettre d’Intention’ will suffice but will have to be followed by the ‘Délibération’ before the Grant Offer Letter can be issued.
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14 The project falls within the scope of the relevant Measure (or Sub-Measure, if any).
15 The project clearly contributes to at least one of the outputs foreseen for the relevant Measure (or Sub-Measure, if any).
SELECTION CRITERIA
Core selection criteriaI. TRANSNATIONALITY
1 The project involves a high level of transnational co-operation.Building on the principle set out in point 1 of the core eligibility criteria, projects addressing issues of significant transnational relevance and importance for the NWE area will be given priority. Moreover projects are encouraged to build on the overall strategy of, and contribute to issues addressed in, the NWE Spatial Vision. Projects should deal with issues which by nature cannot satisfactorily be tackled at local, regional or national level without transnational co-operation. Due attention will equally be paid to the level of involvement of every partner in the joint action plan of the project as well as to the extent to which real common benefits can be expected for the partnership as a whole.
II. TERRITORIAL PLANNING2 The project adopts an innovative approach to territorial planning.
INTERREG fosters innovative approaches and territorial planning is the main focus of INTERREG IIIB. Priority will be given to projects that develop and implement creative methods, techniques and ideas in the area of territorial planning and dare question existing planning approaches when appropriate.
3 The project will achieve a high level of cross-sector integration.Cross-sector integration is a critical dimension of modern territorial planning strategies. Priority will be given to project applications that pay due attention to all sector policies and interests relevant to their action plan while promoting an inte-grated approach in line with the sustainability requirement. This also means that a real involvement of the civil society and authorities at all relevant tiers of government will be favoured.
III. EUROPEAN TERRITORIAL DEVELOPMENT4 The project builds on existing transnational planning documents (e.g. the ESDP, the NWE Spatial Vision).
The ESDP, the NWE Spatial Vision and other planning documents developed in the framework of cross-border or transnational co-operation have put forward a number of policy options and priorities. Building on findings and recommendations of such documents will represent an added value for NWE project applications.
5 The project contributes to a more geographically-balanced development of the European territory.Much emphasis has been placed by the ESDP on the need for a balanced territorial development, based on the “polycentricity” paradigm. Projects contributing to the achievement of this key objective at continental level or within the NWE area will be favoured.
6a The project improves the territorial impact of EU Policies [Action and Investment projects only].Several EU policies (addressed in Chapter 2 of the ESDP) impact on the European territory. Though designed and agreed at Community level, these policies are often carried out at national, regional or local level, sometimes with little attention being paid to the quality of territorial development and the policy aims put forward by the ESDP. Preference will be given to projects which consider EU policies relevant to topics addressed in their action plan, and which strive to maximise the positive effects of these policies on territorial development.
6b The project delivers a useful contribution to the further development of the ESDP [Study projects only].It has been acknowledged that the ESDP, adopted in 1999 in Potsdam, would be steadily updated and further elaborated upon. This is the main assignment of the “European Spatial Planning Observatory Network (ESPON)”, the secretariat of which has been established in Luxembourg. Preference will be given to projects contributing to the ongoing development of the ESDP strategy and delivering a significant input to the ESPON work plan.
IV. COMPLEMENTARITY / TRANSFERABILITY / LEVERAGE EFFECT7 The project takes into account experience from earlier EU-funded programmes.
The INTERREG IIC NWMA Programme and other EU-funded programmes have generated significant experience on issues addressed in the current INTERREG IIIB NWE Programme. Preference will be given to projects that complement this experience, i.e. those exploring new grounds on the way paved by earlier programmes, while avoiding any form of duplication.
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8 The project has an effective communication strategy. The results and experience acquired by the project will be transferable and clearly communicated.The experience and knowledge gained from a project should be transferable. An important consideration to assess a project will therefore be the quality and effectiveness of its communication strategy, including the size and diversity of the related target audience.
9 The project provides good prospect for long-lasting activity and leverage for extra investment.Whenever this proves possible, projects should ideally lay the ground for long-lasting (follow-up) activities or investments. In this approach, the project is just regarded as a seedbed and the ERDF support as a fertiliser of more ambitious and increasingly self-sufficient activities, possibly carried out by other bodies than the initial project promoters (the so-called ‘leverage effect’). Projects in line with this approach will be given priority.
V. OVERALL QUALITY10 The project represents good value for money.
The budget of a project should be proportionate to the expected results. Due attention will be paid to cost-effectiveness in the assessment of projects, and therefore to the costing of the project action plan. Large projects may be welcome, but provided that considerable value for money can be demonstrated, particularly in terms of territorial impact in the case of investment projects.
11 The project’s financial and management structure is sound and presents good prospect for a quick start and efficient running.To secure a quick start and efficient running of the project, applicants need to agree at an early stage on appropriate solutions to management issues, which are particularly complex in the case of a wide transnational partnership. A consistent and reliable co-ordination and management structure has to be set up, including a comprehensive audit trail in line with the financial regulations. The higher the quality of this management structure, the better the project application will be assessed.
Detailed selection criteria at measure levelVI. CONTRIBUTION TO THE STRATEGY AT MEASURE LEVEL
12 The project meets the objectives of the relevant Measure to a high degree.
13 The project delivers the outputs of the relevant Measure to a high degree.
14 The project achieves the results of the relevant Measure to a high degree.
Two reference documents provide the background for the spatial planning approach and vision put forward by the INTERREG IIIB Programme: the European Spatial Development Perspective (ESDP) and the Spatial Vision for North West Europe prepared under INTERREG IIC. These documents are outlined briefly on the following pages. The full references of these documents can be found in Chapter V – Useful References.
In addition, project promoters should take into account other EU policies, programmes or legislation influencing the area of their partnership and try to build synergies with other EU programmes into their project. Community policies such as the Trans-European Networks (TENs) and Natura 2000 are particularly relevant. Projects could also try to participate in and complement the implementation of a number of major pieces of EU legislation such as the Water Framework Directive of 2000. Please refer to Chapter V for useful references on EU policies and programmes which are of relevance for territorial development.
In designing their project idea, project promoters should ensure that what they propose has not been done before. In particular, they should look at previous INTERREG IIC projects and strive to complement, not duplicate, what has been done in these projects (see The Compendium of Approved Projects referred to in Chapter V). As described in section 2.1.3, NWE projects are expected to be operational and demonstrate tangible results to the common benefit of their transnational partnerships and not only consist of exchanges of experience.
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The European Spatial Development Perspective (ESDP)
The ESDP is a non-legally binding document agreed at the Informal Council of Ministers responsible for Territorial Planning held in Potsdam on 10 – 11 May 1999. It constitutes a major reference basis for transnational co-operation in spatial development in North West Europe. The ESDP and INTERREG IIIB represent two sides of the same coin: the principles and theoretical background of European territorial development policies are covered by the ESDP, whilst INTERREG IIIB represents the operational side and the testing ground to put ESDP principles into practice. The combination of the two should produce a dynamic synthesis, where theory and practice complement each other through an interactive process of constant self rearticulation.
The ESDP approach favours geographical integration of policies at European wide and transnational level, horizontal co-operation and partnership between sectoral policies, and vertical co-operation and partnership between various tiers of government (and with other economic and social partners).
The three policy objectives promoted by the ESDP are: Balanced and polycentric city system and a new urban-rural relationship Parity of access to infrastructure and knowledge Prudent management and development of the natural and cultural heritage.
For each of these policy aims, a number of specific policy options have been detailed.
The ESDP is available from the EUROPA website at:http://europa.eu.int/comm/regional_policy/sources/docoffic/official/reports/som_en.htm
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The Spatial Vision for North-West Europe
Spatial Vision is the only project to have been funded under all Measures of the INTERREG IIC NWMA Programme and involved all seven NWMA Member States as project partners. The Lead Partner was the National Spatial Planning Agency of the Dutch VROM Ministry (Ministry for Housing, Spatial Planning and the Environment). The project was spearheaded by the ‘Spatial Vision Group’ made up of officials and experts from the seven Member States and the NWMA Secretariat. This group met regularly over two years and a multinational consortium of consultants led by the University of the West of England (UWE) was appointed to draft the Spatial Vision and various other working papers, the raw material of in-depth discussions held by the Spatial Vision Group ‘think tank’.
The objectives of Spatial Vision were: To reach some level of agreement on the long-term territorial strategy of the whole of the
NWMA area To transform the broad objectives of the ESDP into more specific operational objectives To provide a framework and focus for individual projects To provide a framework for national and regional spatial planning in Member States To help guide the creation and implementation of further transnational co-operation
projects under INTERREG IIIB and beyond.
The Spatial Vision consists of four sections:
Section 1, ‘Planning into the 21st Century’ provides the rationale of the Spatial Vision and explains why transnational co-operation on territorial development is needed.
Section 2, ‘North West Europe today’ identifies key issues in the area.
Section 3, ‘A Vision for North West Europe’ outlines the six ‘Vision Principles’ Enhancing the global role of NWE’s metropolitan areas Ensuring more fairness in the distribution of prosperity in NWE Maintaining high levels of access to and from NWE Improving internal access and mobility in a sustainable way Reducing NWE’s global environmental impact Protecting and creatively managing the natural and cultural heritage.This section includes a ‘Spatial Vision Diagram’ in which the key items of the agenda for future transnational co-operation are presented.
Section 4, ‘Actions: implementing the Spatial Vision’ looks at practical ways of carrying forward the Vision.
The Spatial Vision is expected to be further developed in the NWE Programme according to the directions given by the Monitoring Committee.
The Spatial Vision document is available at www.uwe.ac.uk/fbe/vision/start.htm
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2.1.2 Which types of projects can be funded?
Three types of projects will be funded under the NWE Programme: Action, Study and Investment. Rather than establishing strict categories, this project classification highlights the overall emphasis of a particular project, although projects will often consist of various types of activities. A broad distinction can be made between Action and Investment projects on the one hand and Study projects on the other.
Action Projects
Action projects are expected to achieve tangible results and should demonstrate a real impact on the NWE territory beyond the lifetime of INTERREG IIIB. Action projects may require some small scale investment, surveys or preparatory studies but these should only underpin the implementation of an action plan which consists mainly of ‘soft actions’.
Actions such as exchanges of experience, a series of seminars or the production of a good practice guide will not be regarded as sufficiently tangible results for an Action project. The drawing-up of a territorial strategy will not be considered eligible unless the project action plan includes at least a partial implementation stage. Please refer to page 31 (Chapter IV) of the NWE CIP for examples of ‘soft actions’ which will be considered eligible.
Investment Projects
Investment projects bring about the visible hardware for further and lasting activities. Small-scale infrastructure investment demonstrating concrete, visible and innovative results and investments in enterprise can be funded under INTERREG IIIB.
Investment in infrastructure is limited by Article 14 of the INTERREG guidelines, stating that “key areas for infrastructure investments must also be identified. Owing to limited financial resources, only small-scale infrastructure can be taken into consideration. Motorway, main road construction and other similar infrastructure are excluded.”
In the case of problems of water resource management caused by flooding or drought, INTERREG III funding can be used on an exceptional basis for infrastructure investments taking account of the limited financial resources. Such infrastructure investments are foreseen for enlargement of water retention areas and for the improvement of water retention in transnational river catchment areas. In all cases, infrastructure projects must be demonstrated to be environmentally sound and have a significant and demonstrated transnational impact in other countries of NWE.
More information regarding investment projects is given in section 2.3.3, ‘Eligibility Rules and Eligible Costs’. Please also refer to the introduction of Chapter IV of the NWE CIP for a detailed explanation of investment projects and to Council Regulation 1260/1999 and Commission Regulation 1685/2000.
Study Projects
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Study projects are devoted to study or research relating to territorial development in NWE and provide clear added value in various fields of strategic importance to transnational issues. Study projects will have a wide geographic scope, generally the whole NWE area or even further. According to the NWE CIP, study projects will be funded up to a maximum of 5% of the total budget for each Priority. The Steering Committee has agreed a list of priority research topics with which study projects will have to comply and this is included at Annex 2.
Projects which include a study phase, but are mainly Action or Investment projects, do not fall under this category.
Duration of Projects
There is no fixed duration for a project imposed by the Programme, but it seems advisable to avoid exceeding three years in so far as possible. Projects will have to be completed by 30 June 2008.
2.1.3 Key issues in the development of an INTERREG IIIB project idea
(i) Transnationality
The essence of the INTERREG IIIB Programme as opposed to mainstream Structural Funds is transnational co-operation. The issue of transnationality is therefore absolutely crucial in the assessment of a project application by the Steering Committee.
The minimum formal requirement for transnationality under INTERREG IIIB is that a project should involve co-operating partners from at least two different countries of the NWE area with each partner contributing to project funding and being active in the implementation of the action plan (Eligibility Criterion No. 1).
If an investment project entails investments in infrastructure, the project may exceptionally be implemented in a single Member State, provided that a significant impact in other countries can be demonstrated (Eligibility Criterion No. 1). In such a case, project partners will have to clearly demonstrate in their application what the ‘significant impact’ of their project is and what underlying transnational strategy the project is based upon. The Secretariat will request that two independent experts assess the announced ‘significant impact’ and the results of the evaluations will be forwarded to the PSC, the decision-making body for the eligibility and selection of projects.
Beyond the minimum requirement for transnationality, i.e. partners from at least two different countries, projects should involve high levels of transnational co-operation (Selection Criterion No. 1).
A transnational project can potentially address two types of issues:
a. A transnational issue. A transnational issue is an issue affecting a trans-national area across national and regional borders, which cannot be tackled adequately at the local, regional or national level and which requires trans-national co-operation.
For example, it has long been recognised that environmental pollution knows no borders and has to be tackled through transnational or international action. Fighting flooding and improving river water quality depend very much on integrated measures taken at the scale of the whole river basin. Planning infrastructure developments running through several countries requires trans-national or cross-border responses.
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Furthermore, the increasing globalisation of business activity, the completion of the Single European Market and Economic and Monetary Union are creating an entirely new economic and political environment. Increasingly, development activity in one place not only impacts on neighbouring areas but is also felt in distant regions and across the European territory as a whole. European countries and regions are becoming closely inter-dependent both economically and in terms of physical infrastructure. Co-ordinated responses in the field of spatial development planning at transnational level are called for when regions have interests in measures taken outside their territory. For example:
The hinterlands of the ports of Antwerp and Rotterdam extend well beyond Belgium and the Netherlands
Better access for Ireland to the continent depends largely on measures taken on British territory
Water must be retained upstream of the Rhine basin to reduce flooding risks in downstream regions
The promotion of short sea shipping along European coasts can contribute to limiting traffic concentration on the most saturated land routes
European cities could combine their efforts and explore functional complementarities instead of devoting themselves to sterile competition in their urban marketing strategies at world level
Great transnational sections of our European cultural heritage (such as the Roman, Gothic and Celtic heritages, industrial archaeology, Art Nouveau) should be enhanced and promoted in a co-ordinated way
Our green infrastructure and countryside cannot acquire coherence without action at a transnational level (such as the networking of sites of high natural, ecological and cultural value)
Transnational co-operation in spatial development will also maximise the economic potential of the Single Economic Market and Economic and Monetary Union by ensuring that infrastructure gaps, missing links and inconsistencies in spatial development patterns are minimised.
b. A common issue. A common issue is an issue faced by several cities and regions in various locations across the European territory, which could be or has been tackled at the local, regional or national level, but for which transnational co-operation would bring more innovative and efficient solutions.
Cities and regions in different locations across North-West Europe must tackle a number of similar issues in relation to urban decline and regeneration, environmental and heritage protection, economic development, congestion, urban transport and social exclusion. In many cases, transnational co-operation can improve the way we understand and tackle these issues through exchanges of good practice, transfers of knowledge and expertise and common pilot projects/activities. Transnational co-operation can bring added value to the achievements of individual actors through the development of more effective, innovative and integrated solutions. The outcome of projects is expected to be different to that which would be achievable without transnational co-operation.
An INTERREG IIIB project should preferably address a transnational issue, i.e. an issue of significant transnational relevance to NWE which by nature cannot be tackled satisfactorily at the local, regional or national level only.
If a project does not tackle a transnational issue, it should at least address a common issue of interest to the whole partnership. However this common issue should be dealt with in a transnational way. This implies that the actions and investments foreseen throughout the project should be carried out in a transnational manner and yield real benefits to all project partners. This should be demonstrated in the project application.
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What is a transnational investment?
Ideally, a transnational investment:
(i) has a clear, significant spatial impact on another country.
If this cannot be demonstrated, the foreseen investment should:
(ii) have a clear transnational benefit and relevance for the whole partnership, either through:- its innovative character benefiting other partners through cross-fertilisation or transfer of
knowledge at all stages- the joint management or shared use of the final output- its joint design and implementation by several or all partners.
******
Exceptionally an investment project may be implemented in a single Member State, provided that a significant impact in other countries can be demonstrated.
Examples of projects that are NOT transnational include:
A selection of local projects only linked with each other by the need for EU funding, which could have been funded by national, regional or local money without the need for INTERREG support
A series of local investments only related to each other through a vague thematic relationship or a very broad theme mentioned in a transnational document
A series of individual pilots/investments for which there is only an ex-post exchange of experience and no joint implementation or cross-fertilisation.
Project promoters will be required to demonstrate the transnational dimension of their project in the Application Form. In particular, in the Action Plan of the project application, project partners will be required to explain:
How the involvement of all or several partners in all activities will be secured (joint implementation)
How each specific local investment relates to the overall transnational strategy and/or is implemented jointly
How exchanges and cross-fertilisation between local actions/investments will be organised
The extent to which an action/investment implemented by one partner will bring real common benefits can be expected for the partnership as a whole.
(ii) Tangible and innovative results to the common benefit of all partners
A crucial Eligibility Criterion of the INTERREG IIIB NWE Programme is that the project should bring about tangible and innovative results to the common benefit of all partners.
Tangible results
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This is a major difference between INTERREG IIC and INTERREG IIIB. While INTERREG IIC projects consisted mainly of transnational studies, exchanges of experience and good practice, Action and Investment projects under the INTERREG IIIB Programme are required to involve at least some (even if partial) implementation and produce tangible results*, either through soft actions or small-scale investments.
For Action projects, a territorial impact must be demonstrated. This condition will not be considered as fulfilled if the project consists of a mere exchange of experience, or a series of seminars/events, or the joint production of a working document, for example, a guide of good practice or drawing up of a joint strategy without implementation (Eligibility Criterion No. 3).
It is important to note that beyond the mere exchange of experience, cities and regions facing common issues can implement joint, tangible transnational actions and realisations such as joint marketing strategies, networking and sharing of services, databases and strategic information, joint training programmes, joint cultural events, transnational heritage trails, joint awareness-raising campaigns, or joint research and development projects in innovative applications for Information and Communication Technologies.
In the case of investment projects, it could be argued that an investment is by nature always tangible (at local or regional level), but in many cases it may not be innovative, transnational and to the common benefits of all partners.
Innovative results
A project should try to adopt an innovative approach to territorial planning, for example through developing and implementing creative methods, techniques and ideas in the area of territorial planning and questioning existing planning approaches where appropriate (Selection Criterion 2).
Investments with a purely local relevance that could have been funded by regional/national money or mainstream ERDF funding and that do not demonstrate a particularly innovative character CANNOT be funded under the INTERREG IIIB NWE Programme (for example, parking spaces or sanitary facilities).
Results to the common benefit of all partners
An action or an investment within a project should have a clear transnational benefit and relevance for the whole partnership. This can be achieved through a direct spatial impact; an innovative character benefiting other partners through cross-fertilisation or transfer of knowledge at all stages, joint management or shared use of the final output, or joint design and implementation of the action/investment by several or all partners.
2.1.4 Assistance to project applicants in the project idea development process
When developing a project idea and preparing an application, all documents in the NWE Infopack should be consulted and read thoroughly in the first stage. The Infopack can be downloaded from the Programme website, www.nweurope.org.
Potential applicants are also invited to contact the NWE Secretariat in Lille or the Contact Points in the 8 Programme countries for advice and assistance (please see sections 1.2.5 and 1.2.6).
* This point should be particularly underlined for project applications which follow on from projects implemented under INTERREG IIC.
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Secretariat staff are available for assistance and advice during the project development process, both on project content and on technical and financial matters. Project promoters are encouraged to discuss their project ideas and meet with the Secretariat in Lille. The first meeting is usually devoted to discussing the content of the project idea with particular focus on the issues of transnationality, tangible results and innovation. The Secretariat will advise on how best to develop a transnational project and how to improve its content and structure. However, the Secretariat’s advice does NOT constitute a ‘pre-assessment’ of the draft application and does not influence the project’s assessment in any way. A second meeting can be arranged at a later stage if necessary to discuss more detailed issues related to the project’s budget and management structure.
Project promoters are asked to first register their project idea at an early stage by completing the standard Project Idea Pro-Forma. This form is available from the Secretariat and on the NWE Website and must be e-mailed to [email protected] or a member of the Project Development Unit. The idea will be allocated a Project Idea Number which should be quoted in all further correspondence with the Secretariat. This allows the Secretariat to keep a database of project ideas being developed, to inform project promoters of the latest developments concerning the Programme and to enable similar project ideas to get in contact with each other.
In partnership with the Secretariat, the Contact Points can advise applicants on the preparation and transnational nature of INTERREG IIIB projects and facilitate the international partner search by capitalising on their specialist knowledge of regional and local conditions.
Project promoters are encouraged to inform the Contact Point of their country regarding the development of their project and get in touch with the Contact Points from other countries to ask for advice on searching for partners.
In Brief: Assistance provided to Project PromotersIn Brief: Assistance provided to Project Promoters
…by the Secretariat
Information and detailed technical advice on project idea development and project content, partner search, project management and financing
Notification of approval and preparation of the Grant Offer Letter Monitoring of project’s progress through assessment of Payment Claims and Activity
Reports Financial management: advice on contracting, payments, financial control and reporting.
…by the Contact Points in each Member State and Switzerland
General advice on the requirements and criteria of the NWE Programme Assistance in partner search.
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2.2 How to develop a Transnational Partnership
Preparing and implementing a successful INTERREG IIIB project application is no easy matter. It entails overcoming a great number of obstacles including:
The establishment of an international partnership (partners from at least two different countries)
The definition of a credible action plan and project budget The negotiation of a convention to secure efficient co-operation mechanisms and the
solvency of partners … Not to mention the barriers arising from the wide variety of national cultures,
languages and administrative practices within the NWE area.
Most of the tangible obstacles along national borders have been removed, yet many subtle national frontiers still exist. Differently structured and administered states and administrative units with different legal, administrative, economic, social and cultural systems collide at borders. As a result, administrative, economic, social and political difficulties exist for cross-border and transnational spatial planning and co-operation. Transnational co-operation therefore responds to the need to create a shared planning culture and participates in the creation of a wider European culture. It brings Europe closer to organisations not necessarily used to international co-operation and hence has a potentially positive impact on the working practices, innovative capacity and responsiveness of organisations.
Over time, those involved in transnational co-operation have realised that the technical preparation of a project, though a hard nut to crack, is nothing more than the tip of the cross-cultural communication iceberg. Project promoters will soon be aware of the need for effective communication within the partnership, through clear rules accepted by all partners.
2.2.1 Setting up a Transnational Partnership: Who can be a Partner?
Applications may come from any transnational partnership or group with expertise and experience of relevance to the implementation of the strategic objectives of the Programme. All public and private actors are considered as potential beneficiaries (national, regional or local administrations and other public bodies, research bodies, universities, socio-economic actors/organisations) and can apply for funding if they are located within the eligible area *. One of the key objectives of the NWE Programme is to foster the involvement of civil society and promote public-private partnerships. Obtaining convincing results from transnational co-operation involves mobilising a large number of actors, as well as the private sector.
The key sources of assistance and information for partner search are the NWE Secretariat and the Contact Points in the Member States.
There is no set size for an ideal partnership. The size will depend on the theme to be tackled and the co-ordination and management capacities of the Lead Partner and co-ordinator. Too small a partnership might weaken the interest of transnational working and jeopardise the potential for implementation of the project; too large a partnership can pose significant organisational, communication and co-ordination problems. However, it is important that the partnership is consistent in light of the requirements for tangible results and implementation.
* With some exceptions for public partners – see section 2.2.1.
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The key actors involved in one specific field or theme should be involved as far as possible. For example, in the case of a project focusing on links between regional airports, the participation of airport authorities and transport operators seems essential to secure some degree of implementation of the results of transnational working.
A critical ingredient of successful transnational co-operation, often overlooked at the outset, is the will to promote patient mutual understanding between different cultures. Although it is by no means easy, the undertaking is thoroughly stimulating and fulfilling. The Lead Partner is strongly advised to set out, after discussion with the partners, clear objectives for the project, as well as a clear management and communication structure within the partnership.
Project Partners
To be considered a partner in a NWE project, an organisation must be involved in its implementation and contribute to its funding. Each partner is free to resort to subsidies granted by other bodies to complement the match funding of its share of the project budget, but it is its responsibility to make sure that this match funding will be available and to confirm this in a Letter of Intent.
The participation of all partners in the project must be compatible with State Aid and de minimis regulations. These regulations make it difficult for some partners to receive sizeable ERDF grants and may limit the participation of some partners to action or study projects, rather than investment projects.
State Aid is any form of aid that is provided directly by the State or indirectly through State resources, to an undertaking or group of undertakings. State Aid is regarded as incompatible with the Common Market if it distorts, or has the potential to distort, competition within the European Union. Community rules on State Aids limit the support which may be provided from public funding to assist projects in the commercial sector.
State Aid issues are unlikely to arise if the assets being supported by ERDF grant remain in the public sector and where a company is only acting as a sub-contractor and complying with competitive tendering requirements and normal conditions for a sub-contractor (e.g. being paid for work done rather than a share in the profits).
The Commission has granted exemption from State Aid rules to some funding programmes. In particular, Commission Regulations 69/2001 (de minimis exemption) and 70/2001 (SME exemption) are relevant to the NWE Programme.
Under SME regulations, the amount of ERDF funding an organisation can receive is limited to a percentage of its contribution to the project, as long as all the conditions specified in Commission Regulation 70/2001 are met.
Under de minimis regulations, private organisations are not allowed to receive more than €100,000 of State Aid over three years. Such aid must be cumulated with other de minimis aid (from all other local, regional and national resources) up to the €100,000 limit. However, aid received by companies from schemes which have been notified to and approved by the
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Commission, does not count towards the de minimis ceiling. Detailed records of aid paid for 10 years must be maintained.
It is the responsibility of each partner to be aware of Community State Aid rules and to undertake the necessary steps to certify that the reception of funds from the NWE Programme is compatible with State Aid rules.
An up-to-date Vademecum of Community Rules on State Aid is available to download from: http://www.europa.eu.int/comm/competition/state_aid/others/vademecum/vademecum_en.pdf
Programme Contact Points in each of the Member States are able to liaise with their National Authorities to give advice and interpret information regarding State Aid and de minimis regulations. Most Member States have a Unit dealing specifically with State Aids within their national administrations, along the lines of the UK which has a State Aids unit within the DTI (Department for Trade and Industry).
Summary of tests to apply
Does the project involve State Aids? Do the following conditions apply?
1. The aid will be granted by the Member State or through state resources2. The aid will favour certain undertakings or the production of certain goods3. It will distort or threaten to distort competition4. The proposed activity is tradable between Member States
Private Partners
Private partners can participate in projects, but only non-profit making private partners can be Lead Partners.
Observers
Other bodies not contributing financially to the project can still be involved as observers or in an advisory capacity. The participation of these bodies does not entail any financial obligation to the Lead Partner and should be regulated by means of internal contracts. They are not considered as ‘formal’ partners and should not be listed as such in the Application Form.
Swiss Partners from the 15 cantons included in the NWE co-operation area
Swiss organisations are able to participate in NWE projects as partners only, not as Lead Partners, but are not entitled to receive ERDF funding. Bodies from cantons participating in the Programme will be able to receive funding from the Swiss federal government as part of their contribution to the project, whereas those from non-participatory cantons will be expected to provide the entirety of this contribution. For more information on the participation of Swiss partners, applicants are advised to contact the Swiss Programme Contact Point and consult the following website: www.interreg.ch
Partners from outside the NWE co-operation area
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Organisations from outside the NWE co-operation area can participate in and contribute to projects, as partners rather than Lead Partner, but are not entitled to receive ERDF funding.
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As a general rule, projects co-financed by the Structural Funds must be located in the eligible area established for each Programme (please see Rule 12 of Commission Regulation 1685/2000). There may be an exception to the general rule as regards the location of partners outside the area, provided that the results of a project are for the benefit of the eligible area. This is the case of public bodies which are competent in their scope of action for certain parts of the eligible area but which are located outside the area (e.g. ministries, federal agencies, government departments, statistical offices, national research bodies). One example could be a study where the relevant national planning body which would participate as a partner is located outside the eligible area, and where the results of the study are clearly for the benefit of the eligible area. In such cases, it could be accepted that these public bodies be partners in the project, and therefore the costs they incur would be eligible for ERDF funding.
External bodies may participate as sub-contractors to implement certain actions or activities within a project, under contract with a partner located in the co-operation area. Private organisations or institutes located outside the area may only be eligible partners where they have branches located in the area, which would act as partners. Therefore, it is understood that universities, foundations, research centres or other bodies cannot be eligible as project partners unless they are located in the co-operation area. They may however participate in projects but as non-eligible partners.
The Commission’s view is that the definition of the co-operation and eligible areas were agreed with Member States and followed a certain logic in order to promote co-operation within each established area. As a consequence it is only reasonable that project partners should all be located within each transnational area. The Commission does not contest that bodies outside the area could also in some cases make a valuable contribution to a project, however it would then be more appropriate that the partners in the area decide to involve them through the delivery of contracted services.
2.2.2 Structure of the Partnership
The Lead Partner and the Lead Partner Principle
Project teams appoint a Lead Partner, responsible for the application process as well as project implementation.
The Lead Partner is considered as the ‘Final Beneficiary’ and must be a public or non-profit making private organisation from one of the seven EU Member States involved in the Programme (i.e. not a profit making private partner or from outside the EU part of the co-operation area). Non-profit making private partners can be the Lead Partner, but profit making private partners cannot.
If the Lead Partner is a non-profit making private organisation, its solvency must be demonstrated by a bank guarantee covering the total amount of ERDF funding the project has applied for. The National Authority may oppose the approval of the project if the Lead Partner does not provide sufficient guarantee of its capacity to lead the partnership and of sound management.
The Lead Partner Principle means that the Lead Partner bears responsibility and liability for the entire project including all activities performed by other partners and the expenditure they incur for the project. This is referred to as the ‘Lead Partner Principle’.
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The Lead Partner acts as a link between the project (project partnership) and the Programme (the Secretariat). At project level, the Lead Partner is responsible for the administration and financial management of the project. This includes appointing a project auditor, delivering project reports and documentation to the Secretariat, delivering project outputs, producing documents required for audit and payments, and the overall management and financial management of the project. The Lead Partner should ensure that other project partners provide him with the necessary means and competence within the management structure of the project to carry out his responsibilities to the Programme.
2.3 Financing and Management
The most important documents relating to the financial management of INTERREG IIIB projects are the following:
Council Regulation 1260/1999 - Co-ordination and Regulation Commission Regulation 1685/2000 - Eligibility Rules Commission Regulation 438/2001 - Management and Control Systems Commission Regulation 448/2001 - Financial Corrections
Please refer to the Useful References chapter at the end of this document for information on the availability of these documents.
Compared with the 1994-1999 programming period and the INTERREG IIC Programme, the European Commission has tightened the controls on Structural Funds and this will have an impact on financial management at both Programme and project level. The Commission regulations apply to financial management and control, auditing and financial corrections and emphasise the importance of sound financial management.
2.3.1 Financial Management at Programme Level - The N+2 Rule and Automatic Decommitment by the Commission
As detailed in section 1.1.4, Community budget commitments to the Programme are made on a yearly basis. If a tranche (or part of it) is not spent by the end of the second year following the year of commitment (N+2), it is automatically ‘decommitted’ (i.e. withdrawn) by the Commission.
As a result, the Secretariat will enforce tight control mechanisms in order to manage the spending of the overall Programme budget. The consequences at project level are: Project partners must sign a Joint Convention before the Grant Offer Letter is issued
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Lead Partner (Final Beneficiary)
Partner 1 Partner 3 Partner 4Partner 2
Sub-contractor Sub-contractor Sub-contractor
Project implementation is expected to start immediately after the signature of the Grant Offer Letter
All project applications must include a detailed annual budget breakdown with information on cash flow management
Projects must report twice a year on their expenditure and the progress of their implementation through the submission of Payment Claims and Activity Reports.
If a Lead Partner finds itself in a situation where significant deviations from the approved spending plan are expected, the Secretariat must be informed immediately of the expected variation and their causes. Projects that do not meet their spending targets are in danger of losing ERDF funding.
2.3.2 Size of the project budget
There is no set size for a project budget. However, when calculating the project budget, please bear in mind that a limited amount of ERDF funding has been allocated to each Measure of the Programme. As a reminder, the total indicative amount of ERDF funding per Measure is shown in the table below (in Euros):
ERDF BUDGET(2001–2006)
Measure 1.1 47,104,804
Measure 1.2 31,403,202
Measure 2.1 38,534,107
Measure 2.2 25,689,404
Measure 3.1 30,816,327
Measure 3.2 46,224,491
Measure 4.1 25,751,203
Measure 4.2 25,751,203
Measure 5.1 21,967,261
Measure 5.2 21,967,261
Study projects will be funded up to a maximum of 5% of the total budget for each Priority.
It is important to bear Selection Criterion No. 10 in mind when preparing the project budget: “the project represents good value for money”. This means that the budget of a project should be proportionate to the expected results. Due attention will be paid to cost-effectiveness in the assessment of projects and therefore to the costing of the project action plan.
If a project consumes a significant part (e.g. 25%) of the funding allocated to the relevant Measure, its transnational relevance must be unquestionable, and the project as a whole should be highly scored during the assessment procedure. Large investment projects in particular must demonstrate considerable value for money, in terms of the transnational spatial impact and relevance of the investments foreseen.
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When a lot of the investments planned in the project budget seem to be of a purely local nature without transnational impact or relevance, the costs claimed for these investments cannot be justified by the overall transnational objective of the INTERREG IIIB Programme.
2.3.3 Eligibility Rules and Eligible Costs
Commission Regulation 1685/2000 lays down detailed rules for the eligibility of expenditure in operations co-financed by Structural Funds. The eligibility rules should be considered carefully before the project budget is established. Furthermore, it is important that the Financial Manager implements tight controls on the eligibility of expenditure for the entire project and ensures that these controls are clear for the Auditor who will certify the eligibility of the incurred
expenditure.
The Eligibility Rules regulate the following:
Expenditure actually paid out (payments by financial beneficiaries, proof of expenditure and subcontracting)
Accounting treatment of receipts Financial, other costs and legal expenses (e.g. bank charges and accounts, legal fees for
advice, notary fees, cost of technical or financial expertise and accountancy or audit costs, fines and financial penalties)
Purchase of land (of particular interest to investment projects) Purchase of real estate (of particular interest to investment projects) VAT, other taxes and charges Venture capital and loan funds Guarantee funds Leasing Costs incurred in managing and implementing Structural Funds regulations Eligibility of operations depending on the location.
The draft NWE Community Initiative Programme was received by the European Commission on 3 May 2001. Expenditure is not eligible for ERDF co-financing if it was incurred by the Final Beneficiary prior to this date.
Expenditure actually paid out is the basis for assessing the eligibility of expenditure under the INTERREG IIIB NWE Programme. This means that a claim can only be submitted when the invoice has actually been paid. In addition, no expenditure can be co-financed unless it is supported by receipts and invoices or accounting documents of equivalent probative value. The appointed project or Programme auditors will check the existence of such invoices. The Joint Secretariat may at all times require a copy of those invoices when assessing Payment Claims.
In addition to these principles, a number of more detailed rules apply to the assessment of eligible expenditure.
Objective 1 and Non-Objective 1 Regions
The NWE Programme area consists of both Objective 1 and Non-Objective 1 regions. Within Objective 1 regions, projects receive a maximum of 75% ERDF funding compared with a maximum of 50% ERDF in Non-Objective 1 regions. In addition, some regions are
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considered to be ‘phasing out Objective 1’ and will continue to receive transitional Objective 1 support until either 31st December 2005 or 31st December 2006 (please refer to Articles 3, 6 and 29 of Council Regulation 1260/1999).
Please refer to Section 1.1.2 (page 7) for a list of the NWE regions eligible for Objective 1 support. The regions eligible for transitional Objective 1 support are also listed in Annex II of Commission Decision 1999/502/EC which can be downloaded from:http://europa.eu.int/comm/regional_policy/sources/docoffic/pdf/objectif1/obj1_en.pdf.
It is important that funds allocated to Objective 1 partners and Non-Objective 1 partners are administered separately, since it is not possible to shift incurred costs from Non-Objective 1 to Objective 1 partners in order to maximise the ERDF contribution.
An indicative ERDF grant rate will be defined for the project in the Grant Offer Letter. This indicative rate will reflect the estimated breakdown of expenditure foreseen in Objective 1 and Non-Objective 1 regions. The actual grant rate applied to individual payment claims submitted by the project may vary from the indicative grant rate depending on the share of actual expenditure incurred in Objective 1/Non-Objective 1 regions. However, under no circumstances can the total amount of ERDF grant set out in the Grant Offer Letter be exceeded.
Public Procurement
The purchase of goods, services and the order for public works by public services or other public bodies is subject to Community regulations. These rules are intended to ensure transparent and fair competition within the Common Market and have to be considered by project partners when it comes to realising investments or hiring consultants and experts. It is important that the Financial Manager ensures the application of these rules as this will be checked at a later stage by an independent Auditor. As procurement rules also apply to the private sector, Lead Partners must be aware of the rules which could apply to some of their private partners.
European Community rules on procurement apply to contracts that are financed or part financed by Structural Funds grants. In line with Community Directives 92/50/EEC, 93/36/EEC, 93/37/EEC, 93/38/EEC, 97/52/EC and 98/4/EC, contracts valued above certain limits must be advertised in the Official Journal of the European Communities (OJEC). Bids for contracts must be assessed on an objective basis and contract awards should be published in the OJEC. Structural Funds grants will be reclaimed if it is subsequently found that procurement rules have not been observed.
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Project promoters should be aware that legal standards applied at national level may be more demanding than the requirements defined by the EU Directives. Procurement rules are complex and if there is any doubt about the application of procurement rules, project promoters should seek advice from the Programme Contact Points and further legal advice. In addition, further information on this matter can be obtained from the DG Internal Market website at http://www.europa.eu.int/comm/internal_market/en/publproc/.
Investment
Two types of investment may be envisaged: investment in firms and investment in infrastructure.
Examples of investment in firms include:
Companies exploiting new cross-border public transport service links Business service sector firms specialising in international SME networking Enterprises of the ‘social economy’ delivering services of transnational interest, e.g.
increased transparency of the labour market between regions of different countries, restoration and restructuring of degraded landscapes, sites, buildings and parks.
Owing to limited resources, only small-scale infrastructure investments are eligible under INTERREG IIIB. Motorway, main road construction and other similar infrastructure are excluded.
Various small-scale infrastructure investments may be envisaged, including:
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Example of Financial Limits for Public Procurement
French rules on public procurement have established financial limits on the value of contracts as below:
For contracts valued at less than €90,000: no need for a formal tender procedure. For contracts valued at between €90,000 and €200,000: a ‘limited’ call for tenders must
be held. For contracts valued at more than €200,000: a ‘full’ call for tenders must be held.
Please note that the requirement for contracts worth more than €200,000 is a European directive. The requirements for smaller contracts shown above are those defined by French law and may vary from country to country.
What is ‘investment in firms’?
Investment in firms constitutes any monies which help a profit making organisation grow, expand or make more profit.
What is ‘investment generating substantial net revenue’?
Substantial net revenue is defined by Council Regulation 1260/1999 as revenue higher than 25% of the total cost of the investment concerned. Net revenue of any level must be taken into account but the limits detailed above apply only to investments generating substantial net revenue.
What is ‘infrastructure’?
The Commission defines infrastructure as “physical works and utilities in the public interest”.
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Land purchase (this is limited to a maximum of 10% of the total eligible expenditure of the project by Commission Regulation 1685/2000)
Large computerised systems, e.g. a databank for Small and Medium size Enterprises in a network of cities
Recovery, re-use and quality improvement of damaged or degraded urban land Investment foreseen to extend water retention areas, to improve water retention or to
create new outlets in transnational river catchment areas.
As given in Article 29 of Council Regulation 1260/1999, specific ERDF grant rates apply in the case of investment projects. These are summarised in the following table:
Objective 1 Non-Objective 1In general 75% maximum 50% maximum
Investment in infrastructure generating substantial net revenue (*) 40% maximum 25% maximum
Investment in firms (*) 35% maximum 15% maximum
(*) These rates may be increased by an amount for forms of finance other than direct assistance, provided that this increase does not exceed 10% of the total eligible cost.
Action projects may include small scale infrastructure investments in more than one Member State. As long as the investment is not the aim of the project, such projects can be categorised as an action project. However, if the aim of the project is to realise a single investment, it must be categorised as an investment project. Please refer to section 2.1.2 for definitions of the project categories.
All project partners must ensure they comply with European and national regulations including Structural Funds regulations, public procurement rules, State Aid rules, Community publicity and information requirements and environmental legislation. Partners in investment projects must be aware that public procurement rules apply to all investments and, in particular, to the selection of contractors.
Investment, particularly in infrastructure, is a complex issue within the Structural Funds framework. Such projects will be considered on a case-by-case basis by the Secretariat. Detailed justification of the type of investment, the grant rate, the location of the investing partner, details of how much work has already been done in terms of feasibility studies, environmental impact assessments and the selection of contractors through tendering processes, and an annual overview of the amount of investment foreseen will be required. Applicants must complete Annex VII of the Application Form and demonstrate the status of the requested documents for each planned investment.
As long as a feasibility study is very focused on actions and reaches tangible results, it is not considered as a study and does not fall under the 5% limit per Priority for Study projects. There are two options for feasibility studies: either they form part of the project preparation costs (at the applicant’s own risk if the project is not approved), or they form a separate application. In this case, the feasibility study is considered as a separate project and has to comply with all the eligibility and selection criteria in its own right.
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Preparation Costs
Preparation costs are regarded as eligible expenditure in order to assist the development of valuable projects and further the European Commission’s policy of encouraging larger projects with more concrete outcomes. The size and complexity of the projects anticipated under INTERREG IIIB require thorough preparation, placing a great strain on resources in the vital early stages of project development. It is hoped that the eligibility of preparation costs will ease this strain.
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Commission Guidance on the grant rate for revenue generating investments
The main reasons for taking account of revenue generation are to make the best use of limited ERDF resources and to exclude over-financing of projects. ERDF grants represent non–reimbursable funds provided by EU taxpayers and the Commission has an obligation to ensure that they are used to maximum effect. Underpinning this requirement are the following general principles: The grant should be the minimum necessary for a project to go ahead The leverage effect of the grant should be maximised by combining it with other sources
of finance Projects generating net revenue (revenue over operating costs) over a calculation period
exceeding the investment costs should not be part-financed.
Revenue generating infrastructure investments falling under Article 29(4) of Council Regulation 1260/1999 are characterised by the fact that the revenue is generated during the lifetime of the investment, which often exceeds the end of the Programme. For such projects, the grant rate therefore needs to be determined by an ex-ante method based on the expected cash flow (i.e. revenues less operating and maintenance costs) which is estimated in advance of the project’s implementation. The grant rate established and agreed at the beginning of a given project will not be modified later on to take account of actual developments.
The Commission proposes the following 4 steps to determine the rate of ERDF assistance to investments in revenue generating infrastructure:
1. Determine whether an investment in infrastructure creates net revenue over its calculation reference period (period of time, normally shorter than the economic lifetime of a project, on which the financial analysis is based) by applying a discounted cash flow analysis
2. If yes, determine the grant rate following Article 29(4). The rate must be determined in such a way that there is no undue advantage for the recipient of the aid. One method of calculation is to deduct the expected net revenue from total initial investment cost and apply the normal grant rate to the difference.
3. If there is substantial net revenue (i.e. net revenue over 25% of total initial investment cost), the grant rate may be set by applying the method referred to above or another appropriate method while respecting the ceilings laid down in Article 29(4)(a). If the rate arrived at as a result of the above calculation is below these ceilings, it is recommended to take that rate as the maximum for the investment concerned. Applying the full ceilings in every case would not take proper account of revenue as Article 29 requires.
4. In those cases where not all of the total investment cost represents eligible expenditure (e.g. Commission Regulation 1685/2000 states that, as a general rule, land purchase may not represent more than 10% of the total eligible expenditure of the operation), the revenue generated by the investment will be attributed to the eligible and non-eligible part of the investment on a pro-rata basis.
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Preparation costs will form a part of the total project budget and will be shown as such in the Application Form. In order to avoid preparation costs becoming a large and indefinable part of the project’s budget, the following principles and criteria are important:
Eligibility of preparation costs
Only projects approved by the Steering Committee will have their preparation costs co-financed by ERDF
Preparation costs are an integral part of the overall project budget and are subject to the same eligibility rules as the rest of the budget
Only preparation costs that show a direct demonstrable connection with the development of the project from its inception up to submission are eligible
The costs will only be reimbursed if all the invoices are correct and certified in the same way as invoices being claimed for a payment claim.
Eligibility period for preparation costs
Preparation costs cannot include expenditure incurred more than one year prior to the date of the first submission of the application to the Secretariat.
Ceiling for preparation costs
Preparation costs are not expected to amount to more than €40,000 to €60,000 annually, depending on the size and type of project. Should the costs exceed this amount, applicants are advised to approach the Secretariat in advance for approval.
Should the preparation period be extended due to re-submission of the project application at a further Call for Proposals, any additional preparation costs incurred may be eligible within reasonable limits, subject to prior written confirmation from the Secretariat.
Contracts between the Lead Partner and other Partners should be drawn up to deal with the issue of preparation costs.
Preparation costs will be paid to the Lead Partner once the project has been approved. Successful applicants are advised to submit a payment claim for preparation costs as soon as they have been informed of the Steering Committee’s approval, but payment will not be made until both the signed Grant Offer Letter and signed convention between partners have been received by the Secretariat.
Contributions in Kind
In line with Rule 1 of Commission Regulation 1685/2000, such contributions are eligible provided that the following restrictive conditions are complied with: They consist of the provision of land or real estate, equipment or materials, unpaid
research or professional activity or voluntary work They are not made in respect of financial engineering measures mentioned in rules 8, 9
and 10 of Commission Regulation 1685/2000 Their value is independently assessed and audited In the case of provision of land or real estate, their value is certified by an independent
qualified valuer or duly authorised official body In the case of unpaid research or professional activity or voluntary work, the value of the
work is determined taking into account the amount of time spent and the normal hourly and daily rate for the work carried out
In the case of unpaid research or professional activity or voluntary work, the activity undertaken is outside the usual day-to-day remit of the organisation involved
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The provisions of rules 4, 5 and 6 of Commission Regulation 1685/2000 are complied with where applicable
The Structural Funds contribution to a project must not exceed the actual cash contribution excluding contributions in kind (i.e. the ERDF contribution to the project should not be higher than the total eligible expenditure of the project, excluding contributions in kind).
Staff costs
The eligibility of staff costs is detailed in Rule 11 of Commission Regulation 1685/2000. Section 4 of this regulation refers to eligible expenditure by public administrations relating to the execution of projects, “providing it does not arise from the statutory responsibilities of the public authority or the public authority’s day-to-day management, monitoring and control tasks”.
Staff costs should constitute a realistic part of the project budget in relation to its aims, objectives and the number of partners involved, and must be justified in full in the Application Form. Staff costs must be based on timesheets and payslips which permit the identification of real costs in relation to the project. Staff costs not supported by such documents will be declared ineligible. This will equally apply to staff costs related to the preparation of the project.
Indicative Rates
One of the Selection Criteria for applications is that the project represents value for money. This means that the budget must be consistent with the aims, objectives and expected results of the project. In establishing the project budget, applicants must be aware of the following indicative rates recommended by the Secretariat.
External Experts/Consultants
Rates charged by consultants vary from one country to another, and rates charged to a project should correspond to standard rates in the consultant’s country of origin. The recommended maximum rate for a senior consultant is €600-700 per day. Rates over €800 per day will have to be justified in full by applicants.
Travel Costs
Travel tickets are always significantly cheaper when bought in advance of the travel date. For this reason, project partners are advised to plan and book their travel requirements as early as possible to take advantage of the best prices. In addition, European public funding should not be used for travel in first class or business class, unless it is clear that there really is no other option. All tickets, invoices and receipts must be kept by partners so that their eligibility can be checked, since all claims for expenditure occurred will be audited thoroughly.
Subsistence Allowances
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Staff time actually paid for, whether within a public or a private organisation, is not defined as a contribution in kind. Contributions in kind from organisations partly staffed by paid employees or involving self-employed members will not be considered eligible.
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Daily subsistence allowances where an overnight stay is not required are not subject to Secretariat recommendations. In this case, it is expected that only meal costs will be charged to the project.
The recommendations given below are based on European Commission subsistence allowances paid to experts on missions requiring an overnight stay. The recommendations given for each Member State are maximum figures in line with EC per diem rates and include hotel accommodation and meals.
Please note that the following rates refer to the country in which the trip takes place rather than the country of origin of the person travelling:
NWE Country Recommendation for maximum daily subsistence allowance (Euros)
Belgium 150
France 130
Germany 127
Ireland 165
Luxembourg 143
Netherlands 148
Switzerland 193
UK 199
Further information and indicative rates for other countries can be obtained from the European Commission DG EuropeAid website: http://www.europa.eu.int/comm/europeaid/perdiem/liste1_en.htm
Expenditure incurred outside the NWE Area
As a general rule expenditure must be incurred by partners within the eligible area established for the Programme (Rule 12 of Commission Regulation 1685/2000). There may be an exception to this general rule as regards any expenditure incurred by public partners located outside the area, provided that the results of a project are for the benefit of the eligible area (see section 2.2.1 for information regarding partners from outside the NWE co-operation area).
Furthermore, any expenditure incurred outside the eligible area by project partners located inside the area (for example, costs of a meeting or conference held outside the area) may in some cases be considered as eligible and must be justified in full. A clear need for the expenditure to be incurred outside the area must be demonstrated. This includes expenditure such as travel to events held outside the area and such expenditure will be reviewed on a case-by-case basis when assessing the application.
Audit
All costs for auditing the project are eligible. The cost of an internal Auditor for interim payment claims will be regarded as staff costs and posted under the ‘Staff’ budget line. Payment claims audited by an external Auditor will be regarded as external expenditure and posted under the ‘External Experts and Consultants’ budget line. For further information regarding audit requirements, please refer to section 4.3.
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VAT
VAT does not constitute eligible expenditure unless it is genuinely and definitively borne by the final beneficiary. VAT which is recoverable by whatever means cannot be considered eligible, even if it is not actually recovered by the final beneficiary. Costs presented in the project budget must be exclusive of VAT, unless the partner is unable to recover the VAT. In this case, the costs must include VAT. Project applicants are advised to consult Rule 7 of Regulation 1685/2000 and ensure that they comply with regulations regarding VAT.
Exchange Rates
The currency issue and how to deal with exchange rate problems for partners located outside the Eurozone must be decided before the project is started as all statements from the Lead Partner to the Programme Secretariat must be completed in Euros. It is recommended that the issue is dealt with in a contract between the Lead Partner and the other Partners. There are two options to choose from:
Project partners convert their expenses from their national currency into Euros and these converted figures are used by the Lead Partner to fill in the Payment Claim Forms. Individual partners have two options for converting their expenses to Euros. They can either:a) Use the average monthly exchange rate given by the Commission of either the month
the invoice was paid, or the month the invoice was submitted to the Lead Partner;b) Use the market exchange rate of the day the invoice was paid.
Project partners send their figures to the Lead Partner in their national currency and the Lead Partner converts these figures into Euros to fill in the Payment Claim Forms. In this case, the Lead Partner must use the average monthly exchange rate given by the Commission of the month the payment claim is submitted to the Secretariat.
The average monthly exchange rate given by the Commission for conversion between Sterling and the Euro is available from http://www.europa.eu.int/cgi-bin/make_inforeuro_page/en/GBP.
The Lead Partner must inform the Secretariat of the chosen option when submitting the first payment claim and this option must be used for the entire duration of the project. Payments to Lead Partners will be made in Euros and expenditure will be monitored by the Secretariat in Euros.
2.3.4 Models for Financial Management
The management of a transnational project is a time-consuming task requiring advanced project management skills. Professional financial management at project level is essential.
The Lead Partner must establish an efficient and reliable co-ordination system in order to handle the overall management and administration of the project successfully. Administrative co-ordination includes issues related to the thematic activities of the project and the administrative and financial management of the project. Please note that general, thematic and overall process management are not separate issues, but are all closely linked.
The Lead Partner organisation must appoint a Project Manager within the organisation who bears overall responsibility for the project, but he may not be responsible for the day-to-day management of the project. In this case, the Lead Partner should appoint a Project Co-
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ordinator who will be responsible for project activities including the management of the various phases. The Project Co-ordinator may work within the Lead Partner organisation or the task may be contracted out (in which case, public procurement rules must be complied with). This person should be qualified to deal with the thematic co-ordination of the project and be able to work as a driving force within the partnership in order to achieve the objectives stated in the application. In addition to this, the Project Co-ordinator should be able to manage the process of an international partnership which involves different languages and cultures, and enable it to work together as a team.
The project partnership should also appoint a Financial Manager who will be responsible for the accounts, a sound book-keeping system, the internal handling of the national co-financing and ERDF funds, controlling the audit trail, the eligibility of expenditure incurred and the overall financial control of the project. The Financial Manager may work within the Lead Partner organisation or the task may be contracted out (in which case, public procurement rules must be complied with). The Financial Manager should work closely with the Project Co-ordinator for the overall management of the project.
A transnational INTERREG IIIB NWE project must be managed and administered in a professional and reliable way. Experience has shown that it is not easy to build up, maintain and phase in a transnational project of this kind. The tasks of financial management and project co-ordination should not be underestimated. In order to make best use of the funds allocated to the project, professional financial management is essential.
The positions of Project Manager, Project Co-ordinator and Financial Manager are crucial throughout the project period. It is recommended that the Project Manager and/or Project Co-ordinator have experience in the management of transnational projects. The Financial Manager should be familiar with public finance, Structural Funds regulations, accountancy and auditing, management accounting and also be able to function as a financial controller on behalf of the project management. As a consequence of the N+2 Rule, it is also very important that the Financial Manager is able to set up reliable cash flow forecasts and control the incurred cash flows tightly.
It is important that all partners are aware of the demands transnational projects impose on financial management. Sound financial administration and book-keeping systems are vital to the project and the Lead Partner may wish to establish a central point were all invoices are kept and registered. This is important for the audit trail. There are several options for financial management:
Entirely centralised: The Lead Partner has a complete overview of all incurred expenditure, pays all invoices and is responsible for all book-keeping. This implies a common bank account for ERDF and match funding, a central book-keeping system and a central point for auditing.
Decentralised: Whilst the Lead Partner has a complete overview of all incurred expenditure by means of reporting, each partner pays its own invoices, keeps its own books for its part of the project and has its own part audited. The Lead Partner’s auditor verifies the Lead Partner’s part of the project and confirms that the other partners have been professionally audited in line with the relevant rules and regulations.
For all projects, the Lead Partner must open a separate and specific bank account for the project into which all ERDF payments will be made. This will ensure that project funds are effectively monitored and managed and the account can be used by all partners to fund common project activities.
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Finally, as English is the working language of the Programme, the Project Manager, Project Co-ordinator and the Financial Manager should all have a high level of command of both written and spoken English.
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Chapter IIISubmission of Applications, Processing and Selection
3.1 Submitting an Application
3.1.1 Call for Proposals
The NWE INTERREG IIIB Programme will launch two Calls for Proposals each year and written applications must be submitted to the Secretariat at least eight weeks before the relevant Programme Steering Committee meeting. In principle, the Steering Committee will meet twice a year in June and November. Information regarding forthcoming Calls for Proposals is available from the Secretariat or from the Programme website. All relevant documents are included in the Infopack.
3.1.2 Content of a Project Application
A partnership that is in the process of developing an INTERREG IIIB NWE project application is advised to contact the Joint Secretariat or the Contact Point in the Lead Partner’s Member State at an early stage. They will be able to assist in developing a high quality project. Once the details of the project idea have been clarified and all organisations have expressed their commitment to the project, an Application Form can be completed.
The Application Form and Manual to assist completion of the form are available as part of the Infopack. The submission of the Application Form in English is a minimum requirement but additional copies of the application can be submitted in one or more of the other partnership languages (French, German or Dutch). All submitted versions of the application will be circulated to the members of the Steering Committee but if there are any differences between the English and other language versions, the English version will be taken as being the reference document.
Each project must submit one paper copy and one electronic copy (on a floppy disk or CD-ROM) of the completed Application Form by post by the given deadline of the Call for Proposals (post-stamped on that date).
The Application Form is in two parts. Part A in Word format, relates to the project content and management structure. Part B in Excel format, relates to the project budget.
The Application Form must detail the following: The identification and description of participants and their role A good description of the project, issues to be addressed and objectives The expected results, outputs and impacts of the project A description of the expected concrete results and foreseen deliverables A credible and justified project budget per budget line and per year Indicators to assess the outputs of the projects A detailed Action Plan for the duration of the project, including publicity and
communication actions. There is a need for consistency between the objectives/performances announced by project applicants and the content of the Action Plan
A detailed Implementation Schedule for the duration of the project.
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The Application Form must be accompanied by: A tailored Joint Convention between partners in English A Letter of Intent for each partner.
Additional annexes, other than those requested and authorised in the Application Form, will not be accepted. The Application Form Manual gives detailed guidance on how to fill in the Application Form.
3.1.3 Annual Breakdown of Costs
All project applications must include an annual budget breakdown which will describe the activities anticipated in the Application Form from a financial point of view. This will show how much the project partners expect to spend on an annual basis. Please note that this means expenditure actually paid out and supported by receipts and invoices or accounting documents of equivalent probative value. The average time necessary for each partner organisation to actually pay an invoice should be carefully taken into account by the Financial Manager when submitted the estimated annual breakdown of costs.
The main purpose of the breakdown is to demonstrate that applicants have thought through exactly what they intend to do in a quantitative way in addition to the qualitative description in the Application Form. This is crucial to the success of the project as it introduces an element of realism into the planning of the project and is vital if the project is to meet its spending targets. The fulfilment of spending targets will be a key element of the Grant Offer Letter and will ensure that the Programme avoids losing funding due to decommitment (please refer to section 2.3.1 for more details).
3.1.4 Contracts and Agreements between Partners
It is very important that sound agreements are made between the Lead Partner and other partners since the Lead Partner is ultimately responsible for the management of the project. Such contracts are an important base for a successful co-operation between all partners and form a solid foundation for general and financial management.
It is necessary to include the following elements in such contracts as well as any other issues that concern the partnership: Defining the joint aims and responsibilities of the partners and their mutual obligations Funding Distribution of resources Financial liability Duration of the project Disputes and penalties Financial Management structure Reporting obligations and related deadlines to be met Working languages.
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On a strictly indicative basis, an example of this type of partnership agreement, a Joint Convention, is provided in Annex 1. It cannot be used by a partnership without prior negotiation and tailoring to the specific circumstances and requirements of the individual project partnership. It is recommended that such agreements are drafted in co-operation with professional legal advisers and applicants are required to submit at least a draft convention with their Application Form. It is not essential for the negotiated document to be signed at the time of application, but the entire partnership should be in a position to sign it immediately after the Steering Committee decision. A pre-negotiated version of the Joint Convention will have to be attached to the application, even if it is not yet signed. All projects must provide the Secretariat with a signed, negotiated and tailored convention before the Grant Offer Letter is issued.
3.1.5 Letters of Intent
Every application submitted to the Secretariat must include a Letter of Intent from each project partner to ensure that adequate match funding is available for the completion of the project. The Letter of Intent is a formal commitment by the partner that they are able to contribute their share of the project budget. In the case of Lead Partners under private law, further evidence of solvency is required in the form of a bank guarantee to cover the full amount
of ERDF funding applied for by the project. Lead Partners are strongly advised to do likewise with their private partners.
For French partners, if the organisation is a public authority, a ‘Délibération’ of the relevant decision-making body is needed in addition to the ‘Lettre d’Intention’. At the application stage, a ‘Lettre d’Intention’ will suffice but must be followed by a ‘Délibération’ before the Grant Offer Letter can be issued.
Letters of Intent must be signed by a person entitled to make financial commitments on behalf of the organisation. They must: Be written on official headed paper from the partner organisation Declare that the partner is willing to fulfil the obligations described in the application State the exact amount of match funding the partner will make available and match the
amount stated in the Application Form Mirror the funding plan given in the Application.
Standard text (in each of the four NWE languages) to be used for the Letter of Intent is included in the Application Form. The Letter of Intent is the only document of the application which can be submitted in one of the four NWE languages without the need for an English translation.
3.1.6 Communication
Publicising the support provided by the Structural Funds is one of the Commission’s basic requirements. The aim of publicity measures is to inform potential and final beneficiaries as well as regional, local and other competent public authorities, trade organisation and business circles, economic and social partners, NGOs and bodies working to protect and improve the environment and project operators and promoters. Please refer to Commission
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Regulation 1159/2000 on “Information and publicity measures to be carried out by the Member States concerning assistance from the Structural Funds” for more information.
The Secretariat has established a Communication Strategy including various measures to be implemented by project leaders at regional and local level to raise public awareness of the Programme. These measures include: Media Relations
As soon as the project has been officially approved by the Steering Committee, the Lead Partner and regional partners must take steps to inform national and regional media (press, radio, television) as appropriate. Such steps may include organising press conferences, providing press releases, placing articles in regional or city newsletters or organising press visits on site. In the common interest of promoting the Programme, the Secretariat will provide generic press material that the Lead Partner can circulate to the other partners and adapt to their specific context.
Billboards
These are required for infrastructure investments with a total cost exceeding €3 million. Exact format and layout requirements are available from http://www.europa.eu.int/eur-lex/fr/lif/dat/2000/fr_300R1159.html
Posters
These should be displayed on the premises of bodies implementing or benefiting from measures financed by the Structural Funds (for example, employment agencies, vocational training centres, Chambers of Commerce and Industry, Chambers of Agriculture, regional development agencies) in order to inform beneficiaries and the general public of the role played by the European Union. They will indicate the level of the Union’s contribution and the Fund concerned.
Publications
Publications (such as booklets, leaflets or newsletters) about regional assistance co-financed by the Structural Funds must contain a clear indication on the title page of the European Union and Structural Funds participation as well as the Community emblem if the national or regional emblem is used. Publications shall include references to the body responsible for the information content and to the Managing Authority designated to implement the assistance package in question. The same principles apply to websites and other electronic journals.
Information Events
If project partners organise information events such as conferences, seminars, fairs or exhibitions in connection with the implementation of a project financed by the NWE Programme, explicit reference must be made to Structural Funds by displaying the European flag in meeting rooms and by using the Community emblem on documents.
Further details regarding information and publicity measures can be obtained from http://www.europa.eu.int/eur-lex/fr/lif/dat/2000/fr_300R1159.html
Information and publicity measures must be implemented by each partner in co-operation with the Lead Partner. To develop a rational approach, the Lead Partner should establish a
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Communication Plan with his partners to be submitted with the Application Form. This is part of the project’s Action Plan and describes the various tools used by each partner to raise public awareness of the Programme and the funds set aside for each line of action. Scheduled actions appear on the Action Plan accompanying the Application Form.
The Secretariat will ascertain whether the information and publicity measures are sufficient and, if necessary, will discuss adjustments with the Lead Partner.
3.1.7 Choice of Appropriate Indicators
Indicators are used to measure performance and a number of indicators have been developed for that purpose. Applicants are required to use them in Annex IV of the Application Form, activity reports and the final report with a view to monitoring project performance. Project applicants can select which indicators they report on and a good choice of indicators is important. They should be relevant for the objectives of the project and the target value indicated should be reasonable as well as measurable.
Background information on the terminology used for indicators is to be found in Chapter 4 of the Programme Complement.
3.2 Processing the Application and the Selection of Projects
3.2.1 The Processes and Principles
The Lead Partner submits the project application (paper copy AND electronic version) to the Secretariat on behalf of the partnership. Upon receipt of the application by the Secretariat, the Lead Partner and their National Authority are notified of the attributed project number.
In compliance with Articles 7 and 25 of the INTERREG III Guidelines, a joint project assessment and selection procedure will be put in place on a transnational basis. This means that the eligibility and selection merits of all project applications will be assessed by the Secretariat which will report to the Steering Committee. The final decision will be made by the Steering Committee as a result of a procedure carried out at transnational level.
For each application received, the Secretariat consults the National Authorities involved to ensure that the project does not conflict with national policy or legislation.
The eligibility of all projects will first be checked by the Secretariat according to the Eligibility Criteria laid down in the CIP. As a second stage, the Secretariat will assess applications according to the Selection Criteria laid down in the Programme Complement.
Based on the assessment report prepared by the Secretariat and the information given in the Application Form, the Steering Committee will make the following decisions:
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The Committee will first address the eligibility of projects. The project will be declared “eligible” or “ineligible”. If the project is declared “ineligible”, the Steering Committee will clearly indicate which eligibility criteria have not been met and justify that decision.
In a second step, the Committee will take a view on the quality of eligible projects. Depending on the assessment, three types of decision may be made:
1. The project is approved, conditionally or not. Should conditions be imposed, they will refer to slight amendments indicated in the Steering Committee decision. These conditions must be met and the application should be amended accordingly within 4 months of the Secretariat sending a letter to the Lead Partner confirming the Steering Committee’s decision. Conditionally approved projects which do not meet this deadline will be required to re-submit their application during a subsequent call for proposals. The Grant Offer Letter may be issued as soon as the necessary conditions are fulfilled, without any further discussion by the Committee.
2. The project is referred back to the Applicants. Applicants are advised to submit an improved version during subsequent calls for proposals.
3. The project is rejected.
The Steering Committee will duly justify its decision and the Lead Partner will be officially notified by the Secretariat. The Lead Partner is responsible for circulating any information received to his various project partners.
3.2.2 The Grant Offer Letter
If the application is approved by the Steering Committee, and all conditions met, the Secretariat will issue a Grant Offer Letter on behalf of the Lead Partner organisation’s National Authority. The Grant Offer Letter will specify the conditions attached to the grant and any modifications to the Application Form required by the Steering Committee. The Lead Partner is responsible for circulating the information contained in the Grant Offer Letter to his various project partners.
The Grant Offer Letter is the basis for the commitment of funds to the project and sets out all the conditions on which the ERDF contribution is committed to the Lead Partner, including the indicative Grant Rate and the overall maximum amount of the ERDF grant. It underlines the Lead Partner’s responsibility for expenditure related to this grant for the project as a whole.
3.2.3 Start of the Project
The start date of the project is the date the first expenditure for the preparation of the project was incurred. However the duration of the preparatory phase of the project cannot exceed one year prior to the first submission of the application form and the project start date must not precede 3rd May 2001 (the date the draft NWE Programme was received by the European Commission). Therefore the earliest possible start date of the project is one year before the application is formally submitted for the first time.
A dedicated Project Development Officer and Finance Officer within the Secretariat will be appointed for each successful project. They will be responsible for following up the implementation of the project throughout its lifetime (assessment of Activity Reports and Payment Claims).
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The assessment process: Consistency, transparency, objectivity and independence
CONSISTENCY
The Eligibility and Selection Criteria will form the basis of the decision-making process for all projects.
Projects are prioritised following a qualitative assessment. The higher the project is ranked, the greater the likelihood of being accepted by the Steering Committee. Projects with a lower ranking are likely to require further improvement before being submitted at a following selection round
The consistency of the appraisal is ensured within the same Call, but also throughout the whole selection period up to 2006. Projects will be appraised in relative terms: their respective merits will be taken fully into account, not only within the same call, but also throughout the whole selection period. The standard for applying each criterion will be kept as constant as possible.
TRANSPARENCY
All applications are presented to the Steering Committee (including those judged ineligible).
Applicants will be given a full explanation of the decision made on their project. In the Letter of Notification to the Lead Partner, the shortcomings of the applications will be clearly stated with detailed supporting arguments referring to the eligibility and selection criteria. Recommendations for improvements will be listed.
OBJECTIVITY AND INDEPENDENCE
The Joint Secretariat makes recommendations to the Steering Committee whose members make decisions on the selection of projects. To ensure objective and professional judgement within the Secretariat in the preparation of assessment reports to the Steering Committee: For each project, the assessment team is made up of members of staff who were NOT in
charge of advising the applicants Technical assistance can be sought to back up the assessment with professional advice
from a specialised consultancy In-depth discussion prior to any difficult decision: all assessment reports submitted to the
Committee are examined critically through the exchange of views. There is extensive discussion within the team of the Secretariat on those applications whose quality may appear ambiguous.
There is no preferential treatment for projects deemed ‘promising’ during project development phase and no preferential treatment for certain countries.
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Chapter IVImplementation of the Project: Reporting and Auditing
4.1 The Project Activity Report
The Lead Partner is obliged to submit an Activity Report to the Joint Secretariat retrospectively at six-monthly intervals accompanied by a Payment Claim on 30 th June and 31st December. The Activity Report must indicate the achievements of the project at the date of writing in relation to:
The Action Plan submitted with the original application The Planned Milestones submitted with the original application and at the beginning of
each six month phase.
A standard format for the Activity Report will be provided by the Secretariat. Secretariat staff are available to assist Lead Partners, Project Managers, Financial Managers and Project Co-ordinators during project implementation.
Planned Milestones for the next six-month project phase must be submitted with each Activity Report (i.e. milestones for the second phase will be submitted with the Activity Report
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at the end of the first phase). This will enable the Secretariat to continuously monitor the progress of the Implementation Schedule. Activity Reports will be assessed by a designated member of staff within the Project Development Unit.
4.2 The Payment Claim
Together with the Activity Report, an audited Payment Claim must be submitted every six months to request an instalment of ERDF funding. The Payment Claim relates closely to the Activity Report and shows the expenditure incurred (expenditure actually paid by the Lead Partner supported by receipts and invoices or accounting documents of an equivalent probative value) during the period of reporting. A manual to assist project partners in the completion of the payment claim will be available. Payment Claims will be assessed by a designated member of staff within the Finance Unit.
Projects that do not meet their spending targets are in danger losing ERDF funding. If any partner finds itself in a situation where significant deviations from the approved Annual Budget Breakdown are expected, the Lead Partner must inform the Secretariat of the expected variation and their causes immediately.
4.3 Auditing
The Lead Partner is accountable to the NWE Secretariat for all costs incurred by himself and the other project partners. As a result, he is responsible for having systems in place for the administration, management and the (internal and external) audit of the project. Those systems have to be described in section 3 of the Application Form and the Joint Convention between Partners must also outline the responsibilities of each partner in that matter.
An external project auditor must be designated and his name and organisation given by the Lead Partner in the Application Form (Section 3).
An auditor appointed by the Secretariat will have to be satisfied with the systems put in place and undertake a management and control systems audit within the first few months of project implementation. Detailed guidelines for this management and control systems audit will be provided by the Secretariat to all approved projects and will include:
The establishment of an acceptable project book-keeping system covering all expenditure which should form the base on which interim payment claims and the final payment claim are composed
The content and appropriateness of the Joint Convention between partners regarding the archiving of documents, accounting principles, financial responsibilities between partners and arrangements for the financial audit of the project
A description of the audit trail (for the whole project).
Interim payment claims have to be audited by a fully qualified and authorised auditor either internally, by an auditor from a separate organisational unit to the Lead Partner (i.e. not by the project’s Financial Manager) or externally. He will have to certify the whole payment claim including the expenses of the Lead Partner as well as of the other partners. Therefore a certification system of eligible and actually paid out expenses must be put in place by the Lead Partner.
The final Payment Claim has to be audited by the external, independent, fully qualified and authorised auditor in accordance with the account and audit regulations of the Lead Partner’s
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country and the European Commission. The final Payment Claim will include an audit of the whole project’s finances and a statement by the auditor certifying that the project has been carried out in accordance with the directions and requirements of the Grant Offer Letter and the ERDF guidelines of Commission Regulation 1685/2000. It is necessary for the Lead Partner’s auditor to audit the expenditure of the other partners as well. If needed (because some documents are missing at the Lead Partner's premises), a visit to the other partners will be required.
It is possible that individual Member States will impose specific requirements on the final audit of projects led by organisations in their country. More information on this subject will be available once audit guidelines have been issued by the Secretariat.
4.4 Project Communication and Publicity
4.4.1 Implementing the Communication Plan
Each partner must implement the measures set out in the communication plan included in the application within the project Action Plan. The Lead Partner is in charge of co-ordinating the communication plan and ensuring that the project is sufficiently promoted to the various decision-makers, local media and general public in association with the Secretariat’s Communication Unit.
The Secretariat will provide practical assistance to Lead Partners to help them meet these requirements and will also monitor each project’s compliance with Structural Fund regulations. Any changes or adjustments to the initial communication plan must be discussed between partners and be approved by the Secretariat.
In order to provide practical assistance to implement these various measures, the Secretariat will prepare a communication kit to provide project partners with some standard generic tools filed on CD-ROM such as articles for publications, press releases, posters and information leaflets. Each partner will be able to adapt these tools to their own project and local context.
4.4.2 Assessing media impact and publicising results
As the project progresses through its different phases, samples of information material (brochures, newsletters, website pages) produced by the various project partners to promote the project as well as press pick-ups generated by media relations should be attached to the Activity Reports sent to the Secretariat as supporting documents. All these documents will need to be collected and compiled as part of the final report.
It is also important that once the project begins to produce its first results, these are made widely available both to decision-makers and to the general public.
4.5 Changes, delays and modifications
4.5.1 Informing the Secretariat
The Lead Partner is responsible for informing the Secretariat of any material changes in the nature, implementation, scale or timing of the project which mean that the project no longer
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complies with the description set out in the Application Form. For material changes to the project budget, please refer to the section below regarding Budget Line Modifications.
4.5.2 Budget Line Modifications (BLMs)
As part of the original application, projects are required to submit a detailed budget corresponding to the activities described in the Application Form. When the application is approved by the Steering Committee, the budget is also approved. Although in some cases it may be necessary to change the breakdown between budget lines of the approved budget, it is not possible to increase or decrease the total ERDF amount committed to the project.
Increases of more than 20% to individual budget lines must be submitted and duly justified to the Secretariat using a Budget Line Modification form and approved in writing. Lead Partners are advised to contact the Secretariat before making any budget changes as only two Budget Lines Modifications will be allowed throughout the duration of the project.
4.5.3 Revised Application Forms (RAFs)
Amendments to the approved application which could result in the need for a Revised Application Form should be discussed with the Secretariat at the earliest opportunity and will be assessed on a case-by-case basis. If these amendments lead to a significant change in the objectives, spirit or partnership of the approved application, the revised application will be submitted to the Steering Committee for approval.
4.6 Irregularities
The Legal Framework for reporting irregularities is Commission Regulation 1681/1994. Member States are responsible for reporting irregularities each quarter to the Anti-Fraud Office of the European Commission (OLAF).
Irregularities can be identified in several ways: By the Lead Partner or one of the partners By internal or external auditors By the Secretariat on the basis of signals from the field or from activity reports and
payment claims By the Member State’s National Authority whilst auditing the project.
The definition of ‘irregularity’ in Structural Fund terms is very wide and includes any administrative or financial mismanagement that comes about either by act or by omission and whether or not there is an actual loss of funds. The definition of ‘irregularity’ is given in Article 1 of Council Regulation 2988/1995 which states:
“Irregularity shall mean any infringement of a provision of Community law resulting from an act or omission by an economic operator, which has, or would have, the effect of prejudicing the general budget of the Communities or budgets managed by them, either by reducing or losing revenue accruing from resources collected directly on behalf of the Communities, or by an unjustified item of expenditure”.
However the content of Council Regulation 1260/1999, Commission Regulation 438/2001 and other Commission documents produced for the 2000-2006 programming period make it clear that any failure to comply with regulations and any breakdown of management and/or
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control systems may be treated as an irregularity whether or not the irregularity itself involves any loss or potential loss of funds.
Examples of irregularities include: An incorrectly calculated payment claim received by the Secretariat which is corrected
before payment is made Evidence that indicates items of ineligible expenditure have been included in the
calculation of ERDF grant previously claimed and paid Evidence that a project has failed to implement the European Commission’s
requirements on publicity Evidence that a project has failed to make progress in the delivery of the agreed outputs
and/or results for which the ERDF grant was awarded Evidence that the partnership has not set up adequate systems to control and monitor the
ERDF grant awarded to projects.
4.7 Closure of the Project
Within three months of the completion of the project, a Final Report and Payment Claim must be submitted to the Secretariat. This report should provide information about the activities, outputs, results and impacts of the project as well as a financial follow up and overview of the project’s accounts and budget, audited by an external, independent auditor.
Information given in interim activity reports will form the basis of the final Activity Report. In addition, the final report should give an insight into follow-up activities which are planned once the project has been completed. Where appropriate, output and impact indicators will be used to monitor concrete results and effects of the project.
All projects must be completed by 30 June 2008.
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Chapter VUseful References
5.1 Structural Funds and INTERREG Regulations
The key source of information on EU Regional Policy and the Structural Funds is the Web Site of the Directorate-General for Regional Policy of the European Commission (DG REGIO)http://europa.eu.int/comm/regional_policy/index_en.htm This site includes success stories of regional development projects financed by the EU in all sectors, maps to facilitate easy access to information per country or per region and an on-line library of all documents linked to the ERDF and the Cohesion Fund.
The DG REGIO Web Site includes a section on INTERREGhttp://europa.eu.int/comm/regional_policy/interreg3/index_en.htm
All the current Structural Fund Regulations are available on the DG REGIO websitehttp://www.europa.eu.int/comm/regional_policy/sources/docoffic/official/reglem_en.htm
Alternatively, paper copies of the Regulations, documents and studies relating to EU Regional Policy are available on order from the Documentation Centre and Information Unit of DG REGIO. The following Guidebook is available from the Documentation Centre: Commission of the European Communities (1999), Structural Actions 2000-2006: Commentary and Regulations, The Structural Funds, The Cohesion Fund, The Instrument for Structural Policies for Pre-accession, Luxembourg: Office for Official Publications of the European Communities. When placing an order, please quote the title, catalogue number, the number of copies and language version required.
Documentation CentreEuropean Commission
DG Regional PolicyRue de la Loi / Wetstraat 200
B-1049 Bruxelles / BrusselTel: +32 2 296 0634Fax: +32 2 296 6003
E-mail: [email protected] Hours: 0900-1230, 1400-1730
All the official Communications and Regulations on INTERREG III are available on the DG REGIO websitehttp://www.europa.eu.int/comm/regional_policy/INTERREG3/doc/docu_en.htm
A general presentation of the principles for the management and monitoring of structural programmes is available athttp://europa.eu.int/comm/regional_policy/funds/prord/prord2_en.htm
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The Commission Decision approving the INTERREG IIIB NWE CIP is: Commission of the European Communities (2002), Commission Decision of approving the INTERREG III Community Initiative Programme “INTERREG IIIB North-West Europe” between Belgium, France, the Netherlands, Germany, United-Kingdom, Ireland and Luxembourg, Brussels: Commission of the European Communities, C(2002)117.
5.2 Key background documents on cohesion and European Spatial Planning
6th Report on the social and economic situation and development of the regions of the EU: Commission of the European Communities (1999a), Sixth periodic report on the social and economic situation and development of the regions of the European Union, Luxembourg: Office for Official Publications of the European Communities, available athttp://europa.eu.int/comm/regional_policy/sources/docoffic/official/repor_en.htm
2nd Report on economic and social cohesion: Commission of the European Communities (1999b), Second Report on economic and social cohesion, Luxembourg: Office for Official Publications of the European Communities, available athttp://europa.eu.int/comm/regional_policy/sources/docoffic/official/repor_en.htm
The European Spatial Development Perspective (ESDP): Committee on Spatial Development (1999), ESDP: European Spatial Development Perspective: towards balanced and sustainable development of the territory of the European Union, agreed at the Informal Council of Ministers responsible for Spatial Planning in Potsdam, May 1999, Luxembourg: Office for Official Publications of the European Communities, available athttp://europa.eu.int/comm/regional_policy/sources/docoffic/official/reports/som_en.htm
The Commission’s working document on Community Policies and Spatial Planning: Commission of the European Communities (1999), Report on Community policies and spatial planning, working document of the Commission, available athttp://europa.eu.int/comm/regional_policy/sources/docoffic/official/repor_en.htm
The EU Compendium of spatial planning systems and policies is a very useful for understanding the institutions and functioning of the planning system in other EU member states: Commission of the European Communities (1997), The EU compendium of spatial planning systems and policies: Comparative review of systems and policies, Luxembourg: Office for Official Publications of the European Communities, available from the DG REGIO Documentation Centre.
Through the TERRA Programme (1994-1999), innovative approaches to spatial planning were developed in coastal areas, river basins, areas suffering from erosion or desertification, rural areas to which access is difficult, areas with endangered natural and cultural assets. The lessons and outcomes of the TERRA Programme are presented in the following document: Commission of the European Communities (2000), TERRA: an experimental laboratory in spatial planning, Luxembourg: Office for Official Publications of the European Communities, available athttp://www.europa.eu.int/comm/regional_policy/innovation/innovating/terra/expplan/toc.html
The European Spatial Planning Observation Network (ESPON) is a research programme and network in European spatial planning and territorial development which was born out of the ESDP. Project promoters intending to apply for Study Projects are encouraged to look at the ‘ESPON 2006’ research programme, available at
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http://www.espon.lu
The Study Programme on European Spatial Planning of the NordRegio Research Institute offers some interesting reports and studies on the ESDP, available at http://www.nordregio.se
5.3 Previous INTERREG IIC Projects in the North-Western Metropolitan Area and Spatial Vision for North-West Europe
The Compendium of Approved Projects for the INTERREG IIC NWMA Programme is available on-line (in .pdf format) from the INTERREG IIC NWMA Programme website http://www.nwmainterregiic.org
The NWE Spatial Vision can be consulted at http://www.uwe.ac.uk/fbe/vision/start.htm
The website of the former IRMA Programme is http://www.irma-programme.org. European funding options for water projects in the former IRMA Programme area for the period 2001-2006 are presented in a booklet entitled “Water after IRMA”, available from the IRMA Secretariat.
5.4 Other EU policies/programmes with spatial impacts
A general presentation of EU Policies by theme is available athttp://europa.eu.int/scadplus/scad_en.htm
5.4.1 EU Environment Policy
The main objectives and principles of EU Environment Policy are presented in the following web pages DG Environment - main page
http://www.europa.eu.int./comm/dgs/environment/index_en.htm Fields of action in EU environmental policy
http://www.europa.eu.int./comm/environment/policy_en.htm General introduction to EU environment policy
http://www.europa.eu.int./scadplus/leg/en/s15000.htm
The 6th Environmental Action Programme of the European Communityhttp://www.europa.eu.int./comm/environment/newprg/index.htm
Commission of the European Communities, (1998), Communication from the Commission to the European Council: Partnership for Integration - A Strategy for Integrating Environment into European Union Policies, Brussels: CEC, available athttp://europa.eu.int/comm/environment/docum/98333sm.htm
A comprehensive report on the state of the environment in the EU is the European Environment Agency (1998), Europe’s environment: the second assessment, Copenhagen: EEA.
LIFE is a financial instrument for three major areas of action: Environment, Nature and Third Countries. Information on the LIFE Programme can be found at
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http://www.europa.eu.int./comm/life/home.htm
The following themes of EU Environment Policy might be of particular interest to INTERREG IIIB Project promoters:
Water
The Water Framework Directive (2000) on integrated river basin management for Europe can be found athttp://www.europa.eu.int./comm/environment/water/water-framework/index_en.html
Relevant legislation on Water quality is available athttp://www.europa.eu.int./comm/environment/water/index_en.html
Environmental and Strategic Environmental Assessment
This page includes links to all relevant legislation and documents on EIA and SEA http://www.europa.eu.int./comm/environment/eia/home.htm
Integrated Coastal Zone Management (ICZM)
http://www.europa.eu.int./comm/environment/iczm/home.htm
Nature Conservation and NATURA 2000
The Nature Conservation Homepage includes links to NATURA 2000 information and LIFE-Nature Fundhttp://www.europa.eu.int./comm/environment/nature/home.htm
5.4.2 EU Agricultural and Rural Development Policy
The Agriculture Directorate-General within the European Commission is responsible for the implementation of the European Union's policies on agriculture and rural development. Rural development policies are prepared and managed in conjunction with DG REGIO. The DG Agriculture website is http://www.europa.eu.int./comm/agriculture
A presentation on EU rural development policy and links to relevant legislation and studies, is available athttp://www.europa.eu.int./comm/agriculture/rur/index_en.htm
The new orientations for European rural development policy and sustainable agriculture are presented in the following documents:
Commission of the European Communities, Directorate General for Agriculture (DG VI) (1997), CAP 2000 - Working Document: Rural Developments, available athttp://www.europa.eu.int./comm/agriculture/publi/index_en.htm
Commission of the European Communities, DG Agriculture (1999), CAP reform: Rural development, Fact sheet, available at http://www.europa.eu.int./comm/agriculture/publi/fact/index_en.htm
Commission of The European Communities (1999), Directions Towards Sustainable Agriculture, Com (1999) 22 Final, Brussels: CEC, available athttp://www.europa.eu.int./comm/agriculture/envir/index_en.htm
The Rural Development Plans of all EU Member States are available at
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http://www.europa.eu.int./comm/agriculture/rur/countries/index_en.htm
5.4.3 EU Urban Agenda
The EU approach to urban policy and its urban environmental agenda are presented in the two following Communications: Commission of the European Communities (1997), Towards an urban agenda in the European Union, Brussels: CEC; and Commission of the European Communities (1998), Sustainable Urban Development in the European Union: A Framework for Action, Brussels: CEC, available athttp://europa.eu.int/comm/regional_policy/sources/docoffic/official/communic/caud/caud_en.htm
The urban agenda of the Environment DG of the European Commission is presented at http://europa.eu.int/comm/environment/urban/home_en.htm
The URBAN II Community Initiative is presented athttp://europa.eu.int/comm/regional_policy/urban2/index_en.htm
Examples and success stories of past EU actions in urban areas are presented in Commission of the European Communities (1997), Europe's cities: Community measures in urban areas, Luxembourg: OOPEC, available from the DG REGIO Documentation Centre.
5.4.4 EU Transport Policy and the TEN-Ts (Trans-European Transport Networks)
The orientations and objectives of the EU Common Transport Policy are presented in Commission of the European Communities (2001), White Paper on Common Transport Policy for 2010: Time to decide, COM(2001) 370, available athttp://www.europa.eu.int/comm/energy_transport/en/lb_en.html
An overview of the EU Transport Policy is given athttp://www.europa.eu.int./pol/trans/index_en.htmhttp://www.europa.eu.int./scadplus/leg/en/lvb/l24040.htm
DG Energy and Transport – Transport pageshttp://www.europa.eu.int./comm/transport/site_map_en.htmlhttp://www.europa.eu.int./comm/transport/index_en.html
Commission of the European Communities (1999b), Communication from the Commission on cohesion and transport, COM (1998) 806 final of 14 January 1999, available athttp://www.inforegio.cec.eu.int/wbdoc/docoffic/communic/comm_en.htm
The Trans-European Transport Networks - TEN-Ts and all related legislation are presented at http://www.europa.eu.int./pol/ten/index_en.htm and http://www.europa.eu.int./scadplus/leg/en/s06019.htm
Commission of the European Communities (1998), Report on the implementation of the guidelines for the development of the trans-European transport networks (Decision 1692/96/EC) and priorities for the future, Brussels: CEC, available athttp://www.europa.eu.int./comm/transport/themes/network/english/hp-en/grepdocs/bimprep.htm
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Revision of the Trans-European Transport Networks "TEN-T" Community Guidelines and maps of the TEN-Ts by 2010 available at http://www.europa.eu.int/comm/transport/themes/network/english/ten-t-en.html
5.4.5 EU Energy policy and TEN-Energy
DG Transport and Energyhttp://www.europa.eu.int./comm/dgs/energy_transport/index_en.html
TEN-Energy Web pagehttp://www.europa.eu.int./comm/energy/ten-e/en/index.html
5.4.6 EU policies in the field of Information and Communication Technologies and TEN-Telecom
Commission of the European Communities (1997), The impact of the information society on the territorial planning of the less favoured regions: a report to the European Commission from the Policy Studies Institute, UK; City Liberal Studies, Greece; CITI/INETI, Portugal, Brussels-Luxembourg : ECSC-EC-EAEC.
European Commission DG Information Societyhttp://europa.eu.int/comm/dgs/information_society/index_en.htm
Portal of institutions, initiatives and co-operation networks contributing to the deployment of the Information Society in the regionshttp://europa.eu.int/ISPO/regions/i_Welcome.html
Regional Information Society Initiativeshttp://europa.eu.int/information_society/topics/regional/index_en.htm
Two ‘Innovative Actions’ programmes of the European Regional Development Fund (ERDF) focus on “knowledge-based regional economies and technological innovation” and “e-EuropeRegion: the information society and regional development”. Information available athttp://europa.eu.int/comm/regional_policy/innovation/index_en.htm.
The Guidelines for innovative actions funded by the European Regional Development Fund in 2000-2006 (2001) are available athttp://europa.eu.int/comm/regional_policy/sources/docoffic/official/guidelines/innovac_en.htm
TEN-Telecomhttp://www.ten-telecom.org/default.asp
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Annex 1Example of Joint Convention between Partners
This document is an example only. It must be negotiated between partners and tailored to the project partnership’s individual needs
Agreement for Project Partners Concerning the Partnership
FOR THE IMPLEMENTATION OF THE [Project name] PROJECTWithin the framework of the INTERREG IIIB NWE Programme
Between the following partners:
LEAD PARTNER
1. [Name & Address]Represented by:
REGIONAL PARTNERS
2. [Name & Address]Represented by:
3. [Name & Address]Represented by:
4. [Name & Address]Represented by:
INTRODUCTION DESCRIPTION OF THE GROUNDS
In order to implement the [Project name] Project, hereinafter referred to as “the Project” approved by the Programme Steering Committee on [date], in the framework of the INTERREG IIIB NWE Programme and the Grant Offer Letter of the [National Authority of Lead Partner] dated [date] the Partners shall commit to the following:
ARTICLE 1 SUBJECT OF THE AGREEMENT
The subject of the agreement is the organisation of a partnership in order to implement the [Project name] Project.
The terms of reference of the Project are indicated in the annexes. The Annexes comprise: The Grant Offer Letter of the [National Authority of Lead Partner] dated [date] The Implementation Plan of the Project with its time schedule and detailed budget
included in the finalised Application Form as received by the NWE Secretariat on [date]
Each annex is added to the agreement and is an integrated part of it.
ARTICLE 2 DEFINITION OF PARTNERS
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In this agreement the Partners shall be:
The Lead Partner
Hereinafter referred to as “Lead Partner”, the organisation responsible for the overall Project, to whom the Grant Offer Letter confirming the Community’s contribution is addressed. This organisation is the sole responsible party to the [National Authority of Lead Partner] concerning the due implementation of the Project. The [National Authority of Lead Partner] in turn is responsible to the NWE Steering Committee.
The Regional Partners
Hereinafter referred to as “Regional Partners”, the organisations responsible for the regional activities of the Project and the co-ordination of these activities. They cater for the implementation of the Project according to the action plan, the implementation schedule and the budget included in the finalised Application approved by the NWE Programme Steering Committee.
ARTICLE 3 DUTIES AND OBLIGATIONS OF THE PARTNERS
3.1 The Partners commit themselves to do everything in their power to foster the implementation of the Project. They shall accept the NWE Programme subsidy as mentioned in the Grant Offer Letter and the obligations formulated in this agreement.
3.2 In particular, the Lead Partner shall perform the following duties and obligations: appoint a Project Manager who shall accept the operational responsibility for the
implementation of the overall Project and a Financial Manager define a Communication Plan to promote the Programme at local level approved by the
Joint Secretariat in relation with other regional partners start the Project according to the action plan approved by the Steering Committee implement the Project as a whole within the time schedule stated in the approved action
plan and fulfil the obligations arising from the approval of the NWE Programme grant implement the information and publicity measures as set out in the approved
Communication Plan receive the NWE Programme grant and transfer it to the other Partners manage and verify appropriate spending of the NWE Programme grant carry out the Project’s overall accounting and produce all documents required for the final
audit establish the division of mutual responsibilities with the Partners edit and transfer periodical progress reports, intermediate activity reports, final reports,
follow up budget documents, payment claims, financial reports and applications for budgetary or term amendments to the Programme Secretariat.
3.3 The Regional Partners and the Lead Partner (in his function as a regional partner) shall accept the following duties and obligations: appoint a Project Leader for the portion of the Project for which he is responsible and give
the Project Leader a guarantee that he is entitled to represent the project partners participating in the Project
implement the portion of the Project for which he is responsible and fulfil the obligations arising from the approval of the NWE Programme grant
edit activity, budgetary and financial reports that are to be submitted to the Lead Partner notify the Lead Partner immediately of any event that could lead to a temporary or final
discontinuation or any other deviation of the Project
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organise commitment of user groups in his region, their participation in the regional project and pilot projects and their co-operation in the dissemination of the Project results
appoint members of the Regional Monitoring Groups take part in the International Monitoring Board.
ARTICLE 4 OBLIGATIONS OF THE REGIONAL PARTNERS
4.1 Every Regional Partner shall accept the rules and the obligations set forth in the Grant Offer Letter and in the annexes and see to compliance for his part of the Project.
4.2 Every partner shall accept the Project’s budget and pledges to releasing his part of the co-funding.
4.3 The Regional Partners will agree on a united response in the event of deficiency on the part of one of the Regional Partners and undertake to rapidly find a valid solution of substitution that is acceptable to the NWE Programme Steering Committee (NWE PSC).
4.4 Every Regional Partner commits to keeping separate accounts and to providing the required data to draw up activity reports and financial reports.
4.5 Every Regional Partner will be held responsible for his regional budget (including the reclamation of funds by the NWE PSC in case of failure) up to the amount as to which the Regional Partner participates in the programme.
4.6 Every Regional Partner pledges to implement the Communication and Publicity measures he has set out in the Communication Plan submitted with the project application.
4.7 Every Regional Partner is committed to taking part in the evaluation and the dissemination of the Project results in accordance with the NWE PSC’s requirements.
ARTICLE 5 RESPONSIBILITIES
5.1 The Lead Partner is the sole responsible party to the [National Authority of Lead Partner] who in turn is responsible to the NWE PSC concerning the due implementation of the Project and compliance with obligations arising from the approval of the NWE Programme grant.
5.2 Each Regional Partner is directly and exclusively responsible to the Lead Partner for the due implementation of his respective part of the Project and for the proper fulfilment of his duties and obligations as set out in this agreement and its annexes.
5.3 Each Regional Partner including the Lead Partner (being the organisations, not the individual representatives) shall be liable to the other Regional Partners and shall indemnify and hold harmless such other partners for and against any liabilities, damages and costs resulting from the non-compliance of his (and his local partners) duties and obligations as set forth in this agreement and its annexes.
ARTICLE 6 DURATION OF THE AGREEMENT
6.1 This agreement shall take effect on the date of signature. It shall remain in force until the Lead Partner has discharged in full his obligations to the Programme.
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Should the date on which the Project actually start precede the date the NWE PSC has taken into account for eligible expenses, the expenses incurred by the partners prior to that date shall be deemed non-eligible.
Upon approval by the NWE PSC of the final Activity Report and Payment Claim, the agreement shall terminate on the date each of the Regional Partners collects his quota of the last transfer for the settlement of the NWE Programme grant.
6.2 The period in which the Project must be concluded may be altered with the NWE PSC’s permission. Modifications of these periods approved by the NWE PSC apply to every Regional Partner.
6.3 Following the termination of the agreement, every Regional Partner is obligated to comply with the obligations concerning the keeping and filing of documents.
ARTICLE 7 WORKING LANGUAGES
The working languages of the partnership shall be English and [other languages of Partnership]. Internal agreements must be made regarding provisions for interpreting between these languages at seminars and workshops if necessary.
ARTICLE 8 EXTENSION OF THE AGREEMENT
This agreement is entered into for the duration stipulated in Article 6.1 and cannot be extended implicitly.
ARTICLE 9 ACTIVITY REPORTS AND PROGRESS REPORTS
9.1 Every Regional Partner commits to provide the Lead Partner with the information needed to draw up Activity Reports, Payment Claims and other specific documents as required by the NWE PSC. In particular the Regional Partner will provide hard copies of all documents and press-cuttings generated by the Project’s promotion at regional level
The Lead Partner shall systematically send every Regional Partner copies of Activity Reports, Payment Claims and other specific reports submitted to the NWE PSC.
9.2 The Lead Partner can require every Regional Partner to provide additional information necessary or appropriate to draw up a report or to comply with a NWE PSC request for information or a request for information from any other body that the NWE PSC has declared authorised thereto.
9.3 The Lead Partner shall keep the Regional Partners informed on a regular basis about all relevant communication between the Lead Partner and the [National Authority of Lead Partner], the NWE PSC and the NWE Programme Secretariat.
ARTICLE 10 BUDGETARY AND FINANCIAL MANAGEMENT
10.1 The Lead Partner is the sole responsible party to the [National Authority of Lead Partner] and the NWE PSC for the budgetary and financial management of the Project. He shall be responsible for the realisation and the transfer of Payment Claims and requests for modification of the budget to the NWE PSC.
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The partners shall fulfil the rules and obligations as stipulated in the Grant Offer Letter (see Annex 1).
10.2 The Project budget approved by the NWE PSC shall determine the sum total of eligible expenditure, as well as its breakdown into the various items of expenditure.
ARTICLE 11 ACCOUNTING PRINCIPLES
11.1 Every Regional Partner commits to keeping separate accounts in accordance with the rules prescribed by the NWE PSC and in accordance with the rules concerning eligible expenditure.
The accounts shall provide for registration in Euros of total expenses (expenditure) and of the return (income) related to the Project.
Accounting reports or other documents, including copies of all pieces of evidence shall be submitted to the Lead Partner or to the body appointed to that effect, in accordance with the schedule and requirements stipulated by the Lead Partner.
The Regional Partners are obliged to have their Project accounting certified by an external accountant or auditor.
11.2 The Lead Partner is the sole responsible party to the NWE PSC concerning the realisation of Payment Claims and financial reports. The Lead Partner must ensure the reliability of the accounting and financial reports and documents drawn up by every Regional Partner. The Lead Partner can request further information and evidence to that effect.
In default of evidence or in the event of non-fulfilment of the Programme rules concerning eligibility of expenses, the Lead Partner shall ask the Regional Partner to rework the submitted financial documents. In case of repeated non-fulfilment, the Lead Partner shall be entitled to deny the expenses submitted by a Regional Partner. In that case the Lead Partner is obliged to inform the Partner concerned on the denial of the expenses and the motivation thereto.
11.3 The financial, accounting and reporting policy of the Lead Partner (as well as its directions and requests towards the other Regional Partners in connection therewith) shall be based on the rules and regulations determined by the NWE Programme in respect of the Project and in general as interpreted by the Lead Partner. The Lead Partner shall use reasonable endeavours to obtain clarification and/or comfort in respect of such rules, regulations and interpretation where appropriate, in order to avoid differences of opinion with the NWE PSC which might lead the NWE PSC to reduce discontinue or even re-claim subsidies from one or more of the Regional Partners. The Lead Partner, however, shall not be responsible and/or liable towards the other partners for any adverse consequences resulting from a different interpretation and/or approach of relevant rules and regulations by the NWE PSC at any stage of the Project.
11.4 The Lead Partner is responsible for the Project’s overall accounts to be distinguished from the accounts drawn up in the region in which he is the Regional Partner.
ARTICLE 12 VERIFICATION - KEEPING THE DOCUMENTS
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12.1 Every Regional Partner is obliged to keep the documents required for the verification of the implementation of the Project and eligible expenses and to make them available to the NWE PSC or persons or bodies appointed by the NWE PSC to that effect.
12.2 The Lead Partner as well as every Regional Partner, individually, must keep and file all accounting documents and other documents for a period of three years as from the date of the last transfer concerning the NWE Programme grant.
12.3 The national rules concerning the verification or the keeping of documents, from which the partners may never deviate, shall remain applicable if they set forth stricter obligations.
The Regional Partners shall refer to the budget approved by the NWE PSC, as well as to the detailed budget in order to determine the actual implementation of the eligible expenses.
ARTICLE 13 CO-OPERATION WITH THIRD PARTIES – DELEGATION AND OUT-SOURCING
In the event of co-operation with third parties (public or private bodies), of delegation of part of the activities or of outsourcing, the Regional Partners shall remain the sole responsible parties to the Lead Partner and through the latter to the NWE PSC concerning compliance with their obligations by virtue of the conditions set forth in this agreement.
The Regional Partners can, should they deem it necessary or sensible, notify their local partners of this agreement.
No partner shall have the right to transfer his rights and obligations under the terms of this protocol without the prior consent of the other partners.
ARTICLE 14 INSURANCE
The Regional Partners are advised to make provisions for the entire duration of this agreement to insure themselves against all damages incurred by third parties caused by the implementation of the Project and the implementation of this agreement.
ARTICLE 15 INFORMATION & PUBLICISING RESULTS
To comply with Structural Fund regulations, the Lead Partner and the Regional Partners will submit and implement together a Communication Action Plan that ensures adequate promotion of the Project both towards potential beneficiaries and towards the general public.
The NWE Programme grant shall be stated explicitly in all the publications produced (individually or collectively by the Partners) concerning the Project, as well as during the organisation of events in connection with the Project.
ARTICLE 16 CONFIDENTIALITY
16.1 Although the nature of the implementation of this Project is public, it has been agreed that part of the information exchanged in the context of its implementation between the Regional Partners themselves or with the NWE PSC, can be confidential. Only documents
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and other elements explicitly provided with the statement “confidential” shall be regarded as such.
This mainly concerns studies that have been made available to one of the parties in the context of the Project concerning methods, know how, files or any other type of document labelled confidential. This information can only be used by the Partners according to the provisions of this agreement.
16.2 Regional Partners commit to taking measures so that all staff members carrying out the work respect the confidential nature of this information, and do not disseminate it, pass it on to third parties or use it without prior written consent of the Lead Partner and the partner institution that provided the information.
The Regional Partners commit to taking the same measures to maintain the confidential nature of the information, as they would do should it concern their own confidential information.
16.3 The information below is not covered by the confidentiality clause: information that is publicly disseminated without the publication being caused by default
on the part of one of the Regional Partners concerning his obligation to observe confidentiality;
information which, with all appropriate means, the disseminating partner can prove that he possessed prior to the Project.
16.4 This confidentiality clause shall remain in force for two years following the termination of this agreement.
ARTICLE 17 RESULTS OF JOINT ACTIVITIES
The result of the joint activities covered by the agreement concerning reports, documents, studies, electronic data and other products, be they disseminated free of charge or commercially, are the joint property of the Partners.
The Regional Partners dispose of the property in accordance with rules mutually agreed upon, based on the prevailing rules of co-authorship.
The Regional Partners explicitly commit themselves, and without a time limit, to state that the implementation has taken place with the co-operation of the NWE Programme.
ARTICLE 18 NON-FULFILMENT OF OBLIGATIONS OR DELAY
18.1 Every Regional Partner is obliged to promptly inform the Lead Partner and to provide the latter with all the useful details should there be events that could jeopardise the implementation of the Project.
18.2 Should one of the Regional Partners be in default, the Lead Partner shall admonish him to comply within a reasonable period of time, a maximum of one month.
18.3 Should the non-fulfilment of obligations continue, the Lead Partner may decide to debar the Regional Partner concerned from the Project, with approval of other members of the International Monitoring Board. The NWE PSC shall be promptly informed of such a decision.
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The debarred partner is obliged to refund to the Lead Partner any Programme funds received which he cannot prove on the day of debarring that they were used for the implementation of the Project according to the definition of eligible expenses stated in the NWE Programme rules.
18.4 In cases where the non-fulfilment of a Regional Partner’s obligations has financial consequences for the funding of the Project as a whole, the Lead Partner may demand compensation to cover the sum involved.
ARTICLE 19 REDUCTION AND DISCONTINUATION OF THE NWE PROGRAMME SUBSIDY
Should the NWE PSC be forced to reduce or discontinue the grant referred to in the Grant Offer Letter, attached as Annex 1 to this agreement, and should this entail full or partial refunding of the NWE Programme funds already transferred, every Regional Partner is obliged to refund the NWE Programme funds to the NWE PSC (by way of the Lead Partner) according to the final financial settlement.
The final financial settlement, drawn up on the basis of the final expenditure certificate approved or denied by the NWE PSC, shall show, both for the overall Project as well as for every Regional Partner, the status of the eligible expenses approved by the NWE PSC, and the portion allocated to every Regional Partner of the NWE Programme grant. This determines the amount every partner must refund, and shall indemnify and hold harmless the Lead Partner for the full amount of such community funds to be repaid by such Regional Partner, should the NWE PSC claim such funds from the Lead Partner.
ARTICLE 20 LEGISLATION IN FORCE
This agreement is governed by [country of Lead Partner] Law, being the law of the country of the Lead Partner.
ARTICLE 21 COMPLIANCE WITH COMMUNITY POLICY
The provisions of Community Law, particularly the provisions of Articles 30, 32 and 59 of the EC Treaty, as well as the provisions of the Community Directives concerning co-ordination of the “procedures for the transfer of public labour markets”, the “procedures for the transfer of public demand markets” and the provisions of Community environmental law must be complied with when entering into contracts concerning actions or investments in the context of this Project. The provisions of this agreement that unlawfully deviate from these provisions shall be deemed as unwritten.
ARTICLE 22 DISPUTES BETWEEN REGIONAL PRINCIPAL PARTNERS
22.1 Should a dispute arise between Regional Partners of the Project, every Partner shall be obliged to submit the dispute to the International Monitoring Board in order to reach a settlement.
The Lead Partner will inform the other Regional Partners and may, on his own initiative or upon request of a Regional Partner, ask the NWE PSC for advice.
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22.2 Should a compromise through mediation of the International Monitoring Board not be possible, every Regional Partner shall be obliged to request and accept arbitration carried out by an ad-hoc arbitration committee after having asked the NWE PSC for advice through the Lead Partner. This will consist of three expert arbitrators of three different nationalities, one of which being the same as the partner involved in the dispute, appointed by the International Monitoring Board. If the International Monitoring Board has not appointed all the expert arbitrators within one month of the Lead Partner’s request to it to decide on such appointment, the Lead Partner shall have the authority to appoint all three expert arbitrators.
Every Regional Partner shall be obliged to accept and apply the decisions of the arbitration committee, subject to the applicable law hereby agreed upon and in compliance with the provisions of Community law.
ARTICLE 23 AMENDMENT OF THE AGREEMENT
This agreement shall only be amended by means of an annex to that effect signed by all parties involved.
Modifications to the Project (time schedule, budget) that have been approved by the NWE PSC can be carried out without amending the agreement.
ARTICLE 24 LEGAL SUCCESSION
In cases of legal succession (e.g. where the Lead Partner changes its legal form), the Lead Partner is obliged to transfer all duties under this contract to the legal successor.
ARTICLE 25 FORCE MAJEURE
No party shall be held liable for not complying with obligations ensuing from this agreement should the non-compliance be caused by force majeure. If such a case appears, the Regional Partner involved has to announce this immediately in written form to the other Regional Partners.
All events or circumstances independent of the will of the partners and that impede the implementation of the agreement shall be deemed to constitute force majeure.
ARTICLE 26 NULLITY
Should one of the provisions of this agreement be declared null or void in the national law of one of the parties or the law governing this agreement, this shall not render the remaining provisions null and void.
The fact that one of the parties should not demand application of one of the provisions of the agreement does not imply that this party waives such provision.
ARTICLE 27 LAPSE OF TIME
Legal proceedings concerning any issue ensuing from this agreement may not be lodged before the courts more than three years after the facts. In the event of legal proceedings
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concerning a claim to refund funds, a period of three years following the last transfer shall be applied.
ARTICLE 28 TRANSLATION LANGUAGES
In the event of translation of this agreement and its annexes, the English version shall prevail.
ARTICLE 29 DOMICILE
To the effect of this agreement, the Regional Partners shall irrevocably choose domicile at the address stated in their letterhead where any official notifications can be lawfully served.
Any change of domicile shall be forwarded to the Lead Partner within 15 days following the change of address by registered mail.
ARTICLE 30 FINAL STATEMENT
The EC guidelines and the distributed financial and legal obligations are considered to be integral part of this contract between the Regional Principal Partners.
Drawn up at [place] Date [date]
Signatures :
Lead Partner [name of Lead Partner]
Signature Date [date]
Partner 2 [name of Partner]
Signature Date [date]
Partner 3 [name of Partner]
Signature Date [date]
Partner 4 [name of Partner]
Signature Date [date]
The number of copies equals the number of signatories to the agreement. Every signatory institution shall declare to have received a copy hereof.
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Annex 2List of Priority Research Topics for Study Projects
Introduction
The INTERREG IIIB NWE CIP lays down three types of projects: Action, Investment and Study projects. Study projects correspond to the cross-cutting theme ‘building a better knowledge base of the NWE area as a whole and of its relationships with other parts of Europe’. As laid out in the NWE CIP, study projects will be funded up to a maximum of 5% of the total budget for each priority.
In order to streamline this input, the first Steering Committee of the INTERREG IIIB NWE Programme (11/12 July 2002) approved the following List of Priority Research Topics. It should be outlined that this list is a ‘living document’ which may be amended throughout the Programme.
Objectives of Study Projects
Section IV of the NWE CIP defines the objectives of study projects:
Study projects: will be devoted to study or research relevant to territorial development in NWE; will provide a clear added value in various fields of strategic importance for
transnational issues1; will contribute to the on-going Spatial Vision development process or to similar
issues with strategic importance for the harmonious and co-ordinated development of NWE;
will have a wide geographic scope.
Study projects will have to comply with the Eligibility and Selection Criteria outlined in the NWE CIP and Programme Complement. Particular attention will be given to Selection Criterion 4, i.e. the extent to which the project builds on existing transnational planning documents (e.g. the ESDP, the NWE Spatial Vision), and Selection Criterion 6b, the extent to which the project delivers a useful contribution to the further development of the ESDP.
Moreover, one of the cross-cutting objectives of the NWE CIP is the search for increased coherence and synergy between territorial development objectives and the application of EU sectoral policies within the NWE area. Priority Research Topics for study projects on territorial development in NWE should therefore have regard to (and consider potential synergies with) other EU policies which have a spatial impact, such as Environment Policy, the Common Agricultural Policy or the Trans-European Networks.
Finally, study projects are expected to build upon the results of the studies and methodologies developed under the following EU Programmes:
TERRA Programme Pilot Projects of the ICZM Programme Study Projects carried out under IRMA
1 More targeted studies may be also envisaged in ‘Action’ and ‘Investment’ projects, but only as a minor part of the action plan, and directly linked to the specific needs of the project. A typical example is a feasibility study, followed by actions identified as ‘feasible’.
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Study projects carried out under INTERREG IIC NWMA, such as GEMACA II, Network of Networks, etc...
URBAN Programme.
Possible types of outputs of study projects
Policy Impact Studies (on the territorial impact of EU policies) Thematic Studies (e.g. ‘migration’, ‘social exclusion’, ‘urban sprawl’) ‘Normative’ type of outputs: target setting, definition of Priority Actions to be included
in the Spatial Vision, policy recommendations (spatially differentiated policy options), strategic framework
Indicators Qualitative analyses and models Databases Maps Alternative scenarios.
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List of Priority Research Topics for Study Projects
Priority Measure Priority Research Topics Indicative Outputs(examples)
Major documents / policies
to take into account1. An attractive and coherent system of cities, towns andregions
1.1 More attractive metropolitan areas in the global and European context
The competitiveness of NWE metropolitan regions on the global stage: avoid unnecessary competition and exploit complementarity and synergies between city-regions.
The impact of enlargement on the territory of NWE (in terms of trade patterns, flows, business location, transport and Structural Fund allocation).
The position of the NWE space in Europe as a whole (including the implications of enlargement).
Identification of “potential cooperation networks in respect of inward investment strategies, growth-sector and knowledge-based industry” (Spatial Vision p28).
Mapping of potential inter-city networks.
Transnational study on the improvement of job accessibility within NWE.
2nd Report on Eco. & Soc. Cohesion
DG REGIO studies on enlargement
ESPON CIP Meas. 1.1 (1.1.1 and 1.1.4)
NWMA IIC Studies: GEMACA II
1.2 Coherent and polycentric patterns of complementary cities, towns, rural areas, coastal and peripheral regions
Networks of cities and medium-sized towns and functional complementarity in NWE.
Complementarity between medium-sized and larger cities.
Social exclusion, integration and immigration in NWE cities.
Rural development and green tourism in NWE regions.
The metropolitan functions of the core NWE area.
Complementarity of functions between the NWE and other areas.
Co-operation in spatial planning in border areas.
Identification of “alternative gateway functions and transport corridors so that certain locations and links can act as viable counterweights” to global centres (Spatial Vision p25).
Feasibility study into the development of the 3 potential new global centres (Spatial Vision p39).
Map of Human Development Index in NWE.
Policy recommendations on promotion of R&D in economically weaker regions.
Indicators + Mapping of access to key services.
2nd Report on Eco. & Soc. Cohesion
CAP Reforms
ESPON CIP Meas. 1.1 (1.1.1 and 1.1.2); Meas. 2.1.2 (2.1.3)
Commission Com. on Service of general Interest in Europe
NWMA IIC Studies: Network of Networks, CAN, Eurbanet
Priority Measure Priority Research Topics Indicative Outputs(examples)
Major documents / policies
to take into account2. External and internal accessibility
2.1 Sustainable mobility management
Optimization of the potential of the system of rail/water links to carry freight traffic (e.g. development of new ‘freeways’ or ‘freight-ways’) through pooling of resources.
Modal shift from air and road to rail and water in NWE.
The future of regional secondary railway and waterway networks.
Cycle routes/sustainable transport paths.
Identification of specialised and complementary multi-modal transport clusters for air, sea and rail.
Connectivity between big cities and hinterlands + between local and transnational networks.
European east-west corridors in light of enlargement and their impact on traffic flows.
Systems of airports and harbours.
Mapping of major logistical clusters.
Trends in modal split + related targets.
Standards for road pricing schemes.
Mapping of key missing or disused links on secondary networks + between local and transnational networks).
Preparation of a “strategic investment plan and associated Spatial Development Strategy for the 3 bypass routes” (Spatial Vision p40).
TENs
Transport White Paper
ESPON CIP Meas. 1.2 (1.2.1 and 1.2.2); Meas. 2.1 (2.1.1)
NWMA IIC Studies: NETA
2.2 Improved access to the information society
ICT and their territorial applications in NWE.
Spatial impacts of the liberalisation of public services (esp. in peripheral regions) and the concept of universal service in NWE.
Universal access and ICTs.
Disparities in access to knowledge and information across NWE + appropriate steps to encourage parity of access.
Thematic study on ICT and the potential of tele-working for NWE + policy recommendations.
Norms of universal service according to regions.
ESPON CIP Meas. 1.2 (1.2.2 and 1.2.3)
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Priority Measure Priority Research Topics Indicative Outputs(examples)
Major documents / policies
to take into account3. Water resources and the prevention of flood damage
3.1 Land use and water systems
Transnational issues in ground and surface water quantity: fight against flooding / drought.
Transnational issues in ground and surface water quality.
Integrated transnational river basin management.
Map of water resources (surface and groundwater) and key problem areas.
Water quality targets per river basin.
Development of Geographical Information Systems related to water systems in NWE.
IRMA Studies / results
Water Framework Directive
CAP (Agri-environmental measures)
3.2 The prevention of flood damage
Possible consequences of sea level rise and flooding risks and identification of the appropriate steps to be taken.
Alternative land uses for zones prone to flooding.
Mapping of impact of sea level rise at NWE scale.
Transnational atlas of flooding risks for transnational river basins (see Rhine Atlas produced under IRMA).
Map of priority action sites to retain water in transnational river basins.
IRMA Studies / results
ESPON CIP Meas. 1.3 (1.3.1)
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Priority Measure Priority Research Topics Indicative Outputs(examples)
Major documents / policies
to take into account4. Other natural resources and cultural heritage
4.1 Stronger ecological infrastructure, reduced ecological footprint
Energy savings in urban areas and urban sustainability.
Transnational waste management.
The transformation and management of rural and natural landscapes of transnational relevance in NWE.
Biodiversity in NWE urban and rural open spaces.
Transnational ecological corridors.
Standards for “The Compact City”.
Concrete measures to curb urban sprawl.
Targets for waste and pollutants’ emissions in NWE
A strategic Green Plan for NWE (Spatial Vision p39)
Identification of nature protection and sensitive areas of transnational significance for NWE.
NWE Action Plan for the implementation of the Natura 2000 Network.
NWE Action Plan for the improvement of the environmental performance of enterprises.
NATURA 2000
6th Environmental Action Programme
Urban sustainable development agenda (DG Environment)
CAP Agri-environmental measures
ESPON CIP Meas. 1.3 (1.3.2)
4.2 Protection and creative enhancement of the cultural heritage
Cultural assets of transnational relevance, economic development and sustainable tourism.
Cultural heritage and European transnational / regional identity.
Identification and networking of sites of transnational cultural significance for NWE (e.g. Gothic, Celtic, Art Nouveau, ‘Lieux de Mémoire’ – sites of collective memory).
Policy options for best practice in creative management of transnational cultural assets, including landscapes.
Culture 2000 and DG Cultural Policy
ESPON CIP Meas. 1.3 (1.3.3)
79
Priority Measure Priority Research Topics Indicative Outputs(examples)
Major documents / policies
to take into account5. Promoting territorial integration across seas ofNWE
5.1 Promoting co-operation between sea and inland ports
Short-sea shipping and evolution of maritime traffic between ports.
Logistical and transport clusters and inter-modality in ports of NWE.
Complementarity between ports of NWE.
Management of halieutic resources.
Maps of ports/transnational hinterlands relationships.
Strategic vision for sea/inland ports networks in NWE.
ICZM pilot projects
EU fishing policy
TENs and Transport White Paper.
5. 2 Promoting co-operation across and between maritime and inland regions
Relationships between ports and their transnational hinterlands.
Economic development of peripheral coastal and island regions and networking with ‘core’.
The role of maritime gateway towns.
Cross-sea co-operation in trade, logistics, maritime technology, services, research and cultural activities.
Integrated Coastal Zone Management and management of coastal resources.
Mapping of alternative (freight) transport corridors in the hinterland of ports.
Policy options / strategic framework for linkage between peripheral and island regions: ICTs and virtual networks.
ICZM pilot projects
80