EU Strategy for the Danube Region
Technical Assistance Facility for Danube Region Projects
EU Strategy for the Danube Region
Technical Assistance Facility for Danube Region Projects /

Guidelines for PACs and Applicants[1]

Version 05.2013 – call 1

Table of contents

1.The TAF-DRP: Overview

1.1.Context

1.2.The TAF-DRP: From project ideas to bankable/fundable projects

1.3.How many project ideas will be supported?

1.4.Duration and calls

1.5.Budget and financing*

1.6.What type of projects are we looking for?

1.7.Consultant services

1.8.Commitment of the Applicant/Beneficiary

1.9.TAF-DRP: A pilot*

2.The TAF-DRP: Functioning

2.1.STEP 1 - The application phase*

2.2.Application pack

2.3.Deadline for submission of applications to the Managing Authority

2.4.STEP 2 - The selection phase

2.5.STEP 3 - The implementation phase – consultant services

2.6.STEP 4 - Follow up and monitoring

3.Monitoring of the TAF-DRP

3.1.Intermediate assessment of the Facility

3.2.Reporting on the progress of the Facility

3.3.More information (for Applicants)

3.4.More info (For PACs only!)*

4.Annexes

  1. The TAF-DRP: Overview

The information contained in these guidelines is relevant and useful both for Priority Area Coordinators (PACs) and for Applicants, unless indicated otherwise[2].

Wording used in the guidelines

The word “project” refers to the future, intended project, whose development is supported by the Facility.

The word “project idea” refers to the current development stage of the future project.

1.1.Context

The development of qualitative projects in a transnational, macro-regional environment is a challenging venture. In order to give momentum to the implementation of the EU Strategy for the Danube Region (EUSDR) for the programming period 2014-2020 and to support the preparation of projects with a clear EUSDR added-value, the European Commission has decided to establish a Technical Assistance Facility for Danube Region Projects (hereafter called “TAF-DRP” or “Facility”).

The City of Vienna, in charge of the coordination of Priority Area 10 (PA10) “To step up institutional capacity and cooperation” of the EUSDR as well as of the TAF-DRP, has entrusted the implementation of the TAF-DRP to the PA10 Coordination office. PAC 10 Viennais acting as“Managing Authority (MA)” for the purpose of this Facility.

1.2.The TAF-DRP: From project ideas to bankable/fundable projects

Very often, many project ideas never turn into concrete projects, due to the lack of capacity, know-how and resources for preparing such projects, as well as the existence of legal, technical or financial obstacles.

The TAF-DRP is an EU grant scheme to develop project ideas relevant to the EU Strategy for the Danube Region, into “bankable/fundable” project concepts. Bankable/fundable projects are mature enough to either apply for funding from donors (private, public)and/or to EU programmes, and/or to start implementation with own resources.

The Facility supports selected project ideas to set up a clear pathway towards project implementation, through the provision of consultant services. Consultant services are provided free of charge to selected project Applicants, up to a value of € 25,000 and for a duration of maximum 6 months (see details in section 1.7).

1.3.How many project ideas will be supported?

It is expected that the Facility will support approximately40 project ideas.

1.4.Duration and calls

As the TAF-DRP is a pilot action, its duration is limited to 24 months (2013-2014). At least two calls for project ideas will be organised.

1.5.Budget and financing*

The Facility, whose allocation for projects is € 900,000, is co-financed by the European Commission (95%) and the City of Vienna (5%).

1.6.What type of projects are we looking for?

We are mainly looking for project ideas which are relevant to the EUSDR and the related Priority Area, which show a high commitment on behalf of the Applicant and for which the TAF-DRP is expected tochangethe status quo towards project bankability/fundability.

Eligibility criteria are kept to a minimum since it is the intention to provide for an open, flexible Facility.

For details of the selection process, please see section 2.4.

Eligibility Criteria / Project applicant / Applications can be submitted by national, regional or local authorities, other bodies governed by public law and private organisations (e.g. SMEs, NGOs, etc.), withlegal personality, having their seat in any country/region of the Danube Region.
For applications submitted by private organisations, beware that specific information and additional documentation is required in the application pack.
Project partnership / Applicants are not required to formally establish partnerships (e.g. transnational).
In case partners are identified, one partner has to take the lead and act as Applicant. This must be clearly indicated in the application form and necessary signatures must be provided.
Public interest / Projects have to reveal public interest. The Facility does not target projects with a predominant commercial interest.
Project financial size / The TAF-DRP targets future projects with an estimated financial size which is:
  • Sufficient to justify the provision of consultant services up to €25,000. There is no minimum financial size, but a project with a total volume of €150,000 may not justify consultant services of €25,000 for development.
  • Not too large, so that TAF-DRP support can substantially change the status quo. Projects with an estimated volume exceeding €25 million will not be considered, as other schemes are available for such large projects.

Demarcation line to ETC transnational projects / The Facility should not prioritise experienced actors with a track record of projects in transnational programmes or stranded project ideas. It should foster the participation of new and less experienced stakeholders, with new ideas going beyond “classical” transnational projects. For this reason:
  • Support is in principle excluded for project ideas which are a follow-up to an ongoing or closed ETC project, cross-border or transnational.
  • Project ideas already rejected by transnational programmes will not be prioritised.
  • Applicants with limited capacity and/or experience in EU/transnational project management will be prioritised.

Quality criteria / Expected change to the status quo / The maturity of the different project ideas proposed to the TAF-DRP is expected to differ. What matters is that the status quo of the project idea will evolve substantially, which would not have been possible to such extent or with such pace without the Facility. The project needs and the requested consultant support must be presented in the Application Form in a clear and convincing way, and be realistic.
Contribution to EUSDR / The Facility intends to cover project ideas from all Priority Areas.
Future projects are expected make a tangible and understandable contribution to the objectives of the EUSDR as established in its Action Plan[3]. In particular the project should contribute to the Priority Area through which the application will be submitted, incl. envisaged outputs, results and impact.
Outputs, results and/or impact relevant for EUSDR / The expected outputs, results and/or impact of the intended project should be relevant to the EUSDR and the PA identified.
Macro-regional dimension / The intended project should have a macro-regional dimension. This can be in terms of partnership and/or location of the actions, but not necessarily. A local project can also be considered as relevant, e.g. the rehabilitation of a wastewater plant in a small town may contribute to water quality which has a positive impact to the whole system in the region. On the other hand, cross-border projects whose impact does not spread beyond the border region will not be prioritised.
Commitment to follow up / The commitment of the Applicant to initiate follow-up actions is a decisive pre-condition for the selection of the application.

1.7.Consultant services

Depending on the maturity of selected project ideas and the type of support needed, different types of expertise may be provided, including a combination thereof:

Objective / Action / Output/type of services (examples)
Provide a clear-cut and concise scheme and timeplan for the next steps
(expected in many cases) / Clarifying one or more major legal, technical or economic question(s) related to the project /
  • Drafting a cost-benefit analysis for different legal/technical options
  • Identifying the legal framework applicable
  • Drafting a pre-feasibility study that clarifies the cornerstones in terms of technical and/or legal feasibility
  • Establish a cost estimate for possible solutions

Structure the orientation phase
(only in exceptional cases) / Establishing a clear time plan towards project implementation /
  • Detailed provision of planning steps including provision of a budget estimate
  • Initial facilitation of the development or implementation process (e.g. identification of main actors, set up of a targeted network, cornerstones in the legal framework, general overview of funding options)

Apply for funding
(expected in most cases) / Providing an analysis and selection of adequate funding sources / It is expected that EUSDR projects will require substantial funding, stemming from different sources: EU grants and loans, but also relevant national/private sources available/foreseeable for such project (e.g. 2014-2020 funding sources, maybe known but not yet available).
Such analysis should provide:
  • A financing plan (which part of the project can be financed from which source/programme)
  • Applicable conditions (for the different sources)
  • Recommendations of the consultant
Flexibility: As most EU programmes for 2014-2020 will still be in preparation during the TAF-DRP pilot action, a flexible approach may be needed during the assignments as regards the development of projects towards bankability and fundability.

Following criteria should be respected by the consultants in delivering their support:

  • Use of sound methodologies;
  • Realistic and concise assessment of the status quo;
  • Concise and operational outputs, drafted in a clear style;
  • Regular communication and cooperation with the Beneficiary, through dialogue and process-oriented approach;
  • Compliance with agreed objectives, outputs and timelines. In case of difficulty, the consultant will inform the Beneficiary, the Managing Authority and the co-signing PAC without delay;
  • Transfer of all results and deliverables to the Beneficiary, who will own exclusive rights of use.

Working language: English will be the working and reporting language, by default. If needed and if possible, deliverables (studies, analyses) may be provided in a different language, upon agreement with the Managing Authority.

1.8.Commitment of the Applicant/Beneficiary

Consultant services cannot and should not replace the commitment of the Applicant/Beneficiary to the project. The Beneficiary is expected to closely cooperate with the consultant and to provide all relevant inputs and documentation in his/her possession to the consultant. After completion of the assignment, the Beneficiary will be expected to take follow-up actions (see section 2.6).

1.9.TAF-DRP: A pilot*

The TAF-DRP is a pilot-action, implemented for the first time in the framework of the EUSDR. With this pilot we are testing new project development procedures and are gaining experience for the next period of EU programmes 2014-2020, currently under preparation.

The budget for the Facility being rather limited, it will be conducted in accordance with efficiency, proportionality and flexibility principles. After the first pilot call, an intermediate assessment will be conducted, and may lead to adaptations if needed.

  1. The TAF-DRP: Functioning
  2. STEP 1 - The application phase*

In principle, the Facility is open to project ideas referring to all Priority Areas of the EUSDR. In order to avoid disproportionate work burden for management and administration, PAC10 will NOT publish the calls online but will rely on PACs to identify those project ideas where the facility could be a viable instrument to achieve a difference to the status quo.

Role of the PACs

The PACs are anchor points in the system and should ensure the following steps:

  1. Pre-selection of Applicants: each PAC is free to organise this process as they deem appropriate. The outcome must be the selection of a maximum of 2 applications per call per PA. Two main options seem available:
  2. Bottom up: Organise a mini-call: disseminate the TAF-DRP applicationpack (see 2.2)to potential Applicants, collect applications, and select the most relevant with the involvement of the PA´s Steering Group. Beware that such procedure may be quite heavy and lengthy!
  3. Top-down: pre-select a few “promising” projects, e.g. from existing project list(s), with the involvement of the Steering Group.
  4. Support the pre-selected Applicants in finalising their application. Please read carefully the document “Guidance to complete the application form”!
  5. Pre-assess the application form before submission to PAC10, alongside the main criteria, in particular: Is the application complete, clear and concise? Does it address a relevant topic of my Priority Area? Is the planned project realistic and feasible? Is consultant support requested likely to achieve a substantial difference to the status quo? Is the Applicant committed to the project?
  6. Sign a Letter of Commitment with the pre-selected Applicant. The Letter of commitment (LoC) is a compulsory annex to the application form. It is signed by one of the two PACs (called “Co-signing PAC” for the purpose of the Facility[4])and the Applicant. In case the Applicant has already identified partners for the project, other partners can also sign the LoC. In the LoC :
  7. Co-signing PAC and Applicantexpress their consent that the project is highly relevant for the Priority Area concerned; and that TAF-DRP support will significantly contribute to the likelihood of implementation of the future project.
  8. Applicant commits to take follow up actions towards project implementation, with the support of the PAC – if needed, and to report accordingly
  9. Submit the completed application, annexes and LoCto PAC 10, until Tuesday, 10 September 2013.Documents must be submitted in PDF .

In addition, a signed hard copy of the application and LoC must be sent to:

Kurt Puchinger

Priority Area Coordinator 10 of the EU Strategy for the Danube Region

“TAF-DRP application”

Kellermanngasse 8/4

1070 Vienna

Austria

2.2.Application pack

The application pack contains:

  • Guidance to complete the application form
  • Application form[5]
  • Letter of Commitment

Applicants are expected to fill in the Application Form and to submit it to the relevant PAC. Before submission of the application to the Managing Authority, a Letter of Commitment must be signed between the Applicant and the PAC. The formal submission of applications to the Managing Authority is done by the PAC, on behalf of the Applicant.

2.3.Deadline for submission of applications to the Managing Authority

Tuesday, 10 September 2013 (see details in section 2.1).

2.4.STEP 2 - The selection phase

Decisions on project ideas to be supported by the Facility will be taken by the Managing Authority, according to the selection process defined below:

  1. Confirmation of receipt of the applications by PAC 10.
  2. Administrative check: verification of the completeness of the applications.Incomplete applications will not be rejected per se; in case information or a document is missing, PAC10 will request this from the Applicant.
  3. Eligibility and quality check, alongside pre-defined criteria (see 1.7). Looking at the applications received, PAC10 will also seek to ensure that all Priority Areas and all Danube Region countries, as far as possible, benefit from the Facility.
  4. Collection of information from the Advisory Committee (AC). As its name reveals, the Advisory Committee is not a decision-making body, its role is to provide information as assistance for decision-making. Information can be e.g. knowledge of the Applicant, knowledge of current or past similar projects, whether such project idea was already submitted for support to another EU programme or facility, etc. For each project submitted to PAC 10, the AC members will receive the application form and the outcomes of the eligibility and quality check. Personal advice or opinion are not requested but may be provided, if deemed relevant by the respective member.For details about the Advisory Committee and its composition, please consult Annex 3 - Functioning of the Advisory Committee.
  5. Selection of ideas to receive support for the TAF-DRP. The decisions will betaken by the Managing Authority, based on the results of the eligibility and quality check, as well as information provided by the Advisory Committee members.
  6. Information on the decisions takenis sent to the members of the Advisory Committee and to all PACs. Each Applicant will be notified of the decision regarding their project idea: approval, approval under conditions,rejection (incl. reasons).

2.5.STEP 3 - The implementation phase –consultant services

The Managing Authority for the TAF will select external consultants through a tender procedure. In order to allow for an efficient delivery of services by competent bidders, the tender procedure foresees the outsourcing of expertise into three lots, corresponding to thematic clustering of Priority Areas:

  • Lot A: Priority Area 1 (Mobility and intermodality) 2 (Sustainable energy)
  • Lot B: Priority Area 4 (Water quality), 5 (Environmental risks) and 6 (Biodiversity, landscapes, quality of air and soils)
  • Lot C: Priority Area 3 (Culture and Tourism), 7 (Knowledge Society), 8 (Competitiveness), 9 (People and skills), 10 (Institutional capacity and cooperation) and 11 (Security)

Once the tendering procedure is finalised and the first projects have been selected, the Managing Authority (MA) will assign the selected consultants to the selected project ideas, through an Order form, accompanied by the approved application form. The order form will indicate the services and outputs required, deadlines and budget for the assignment. Assignments will be of a maximum value of € 25,000.