2011 Annual FAQ

Disclaimer:

This FAQ (Frequently Asked Questions) list is based on the rules and conditions contained in the legal documents relating to TEN-T Calls for Proposals. It is intended to ensure that the same guidance is provided to all potential applicants, and does not in itself have legal value.

The Calls Helpdesk was closed 3 April 2012 and the last set of updates was added on 10 April. This page will no longer be updated and is here for reference only.

Questions specific to Annual Call 2011

1. Could funding be requested for on-going projects? For example, are projects whose execution has reached 25% by the time the call has been launched eligible to apply?

It is possible to request funding for on-going projects and such costs can be eligible if the proposal is selected provided that:

• only project-related expenditure is incurred by the beneficiaries or by third parties responsible for the implementation of a project from the date on which the application for aid is lodged, i.e. expenditure prior to that date is not eligible (Article 10, paragraph 2 of the Regulation (EC) No 680/2007 laying down general rules for the granting of Community financial aid in the field of the trans-European transport and energy networks)
• the end of the eligibility period for costs is 31 December 2014 at the latest, i.e. costs incurred after that date will not be eligible (as per section 4.1 of the Call text)

2. For Priority 2a, which is the correct reference to the initial results expected from studies: end of 2012 (Call text) or end of 2013 (Work Programme 2011)?

The 2011 Work Programme contains the correct reference, i.e.

"Only proven new technologies will be considered under this priority, with the objective of testing them and providing initial results by the end of 2013."

3. Are preparatory studies for an airports’ infrastructure covered by the Work Programme's Priority 3, point a) on 'preparatory studies that will accelerate the implementation of projects for all modes'? In the further part of the Priority 3 description only ATM projects are mentioned in relation to the air transport mode.

Studies that will accelerate the implementation of existing projects can be submitted for all transport modes. However, only those studies are considered relevant that will support this objective, for instance design studies on a project which's implementation has been decided. General preparatory or feasibility studies are not considered to be relevant.

The further specifications on Air Traffic Management relate to the submission for work proposals only. Whilst TEN-T programme has contributed to infrastructure development related to airports including runway extension and related activities in the past, the emphasis currently is limited to ATM aspects and multimodal aspects. For the latter, please see the Priority 1's requirements.

4. Can the installation of LNG on ships or vessels be supported under Priority 2b?

Installations (works) of LNG (for propulsion purposes) on ships or vessels are not eligible under priority 2b. The TEN-T Programme does not aim at co-funding investments purely aboard vessels (or a fleet of vessels) or any other movable asset unless explicitly mentioned.

However, studies needed to prepare for implementation of for instance LNG, including preparatory, feasibility, evaluation and validation studies and any other technical support measure, including prior action, are eligible under this priority. This means, that a project addressing the introduction of LNG (as a fuel for ships and vessels) and/or other measures reducing the impact of maritime transport on the environment (air pollutants) may include relevant elements related to ships or vessels provided the results are intended to serve the shipping sector widely but not the operational needs of individual ship-owners or groups of ship-owners.

Projects may also complement port infrastructure and facilities relevant under this priority.

5. Could a preliminary infrastructure design study to develop the economical figures and the right financial schemes be included in a proposal for a PPP scheme under Priority 4?

Design studies specifying further the scope of a project that is planned to be implemented by means of a PPP scheme could fall within the objective's scope as explained in the Work Programme's Section 3.4, Point a) and could be included in a proposal addressing the development of this PPP scheme.

6. Would a proposal concerning travel planning system be considered eligible under priority 1?

The development of an integrated and multi-modal transport system, especially by means of inter-modal transfer nodes and logistic platforms or terminals, falls within the scope of Priority 1. However, proposals addressing ITS application are excluded from this call.

7. Do design studies fall under the scope of Priority 4 (preparing a PPP project pipeline)?

Design studies specifying further the scope of a project that is planned to be implemented by means of a PPP scheme could fall within the objective's scope as explained in the Work Programme's Section 3.4, Point a) and could be included in a proposal addressing the development of this PPP scheme.

8. What is the definition of 'services' in the context of TEN-T Programme?

The TEN-T Regulation (Regulation 680/2007 of the European Parliament and of the Council of 20 June 2007) does not provide a definition of "service". In line with Directive 2004/18 of 31 March 2004 on the coordination of procedures for the award of public works contracts, public supply contracts and public service contracts (OJ L 134, 30.4.2004, p. 114), service contracts cover all intellectual and non-intellectual services other than those covered by supply contracts, works contracts and building contracts. Those services are listed in Annexes IIA and IIB to Directive 2004/18.

9. Could a new project concerning FAB, which has never been previously financed, be eligible under the current call?

Proposals aiming at preparing FAB establishment (pre-implementation phase) are not eligible under this call for proposals. However, proposals submitted by a group of FAB partners and aiming at supporting the short term deployment activities identified in the ATM Master Plan might be considered as eligible. Such proposals could be related to accelerating and facilitating the coordination, implementation and/or monitoring of such activities.

10. Can a proposal address more than one priority under the 2011 Annual Call?

No, each proposal has to be submitted under one priority only, where it fits better in terms of objectives. Please also note that the same proposal cannot be submitted under two different priorities.

11. Are there any limits as to the financial size of private undertakings, which can apply for funding under this call?

No, there are no limits as to the size of private undertakings or bodies. However, please note that the applicant has to show that it has enough financial capacity (see Annex III, Application Form part B.1) to carry out the activities proposed.  

12. Is it mandatory to provide cost-benefit analysis?

Albeit not mandatory, applicants are strongly encouraged to submit cost-benefit analysis (or the respective executive summaries) of the proposed action should these be already available. This adds to the quality of the proposal and hence may increase the chances for better scoring against this award criterion. There are no guidelines for content or form of cost-benefit analysis, however best international practice is advised.

13. Does Priority 2b of the annual 2011 Call support shore-side electricity facilities for inland shipping in maritime ports?

Priority 2 b refers only to maritime transport. It should be noted that Priority 2a refers to all modes of transport though the scope is slightly different.

14. What are the actual quantitative thresholds with regard to point (i), footnote 10 (b), section 3.1 of the 2011 Work Programme (C(2011) 9531 final)?

For the latest period for which statistics are available (2008-2010), the quantitative thresholds are:

• for Bulk freight: 2,23 million tonnes
• for Non-bulk freight: 1,17 million tonnes

For ports handling both bulk and non-bulk, the % of each can be totalled and the sum must exceed 100%.

15. Could a project envisaging dredging be submitted under Priority 3, Inland Waterways?

Dredging as the only proposed activity could be considered as maintenance. Therefore, it can only be considered as a relevant project where dredging is a part of a wider array of elements and includes also the necessary part of works (aimed at upgrading or increasing capacity of the waterway in question for example).

16. What does the reference to 'safety' in the second bullet point of Priority 3 (Roads) mean? Does this relate to road safety measures i.e. making the roads safer for vehicles to travel along, or is this directly related to the security measures aspect and the rest areas? Do 'security measures' relate only to rest areas?

Both 'safety measures' and 'security measures' should be addressed in one proposal in order to satisfy the requirements under the second bullet point of this specific Priority. Both safety and security measures relate to rest areas. However, applicants have the possibility to propose any other road application that includes both measures relating to safety and security.

17. With regard to PPP projects, would it be possible to co-finance studies and other supporting materials needed during the competitive dialogue (e.g. the detailed financial model/financial advisor, draft concession agreement/legal advisor, detailed technical specifications /technical advisor)?

The call text indicates that Actions that could be supported include preparation of tender documentation, including PPP model contract among other necessary studies and models. Such preparation work may be undertaken through consultancy contracts.

18. Could studies including pilot implementation as described under Priority 2a be considered as studies in the meaning of section 6.2.5 of the 2011 Work Programme and as such be eligible for a maximum 50% co-funding rate?

Indeed, studies that include pilot components / activities mentioned under Priority 2a are considered to be studies in so far as they comply with the definition given under Article 2(8) of Regulation (EU) N° 680/2007:

(1) "Studies means activities needed to prepare project implementation, including preparatory, feasibility, evaluation and validation studies, and any other technical support measure, including prior action to define and develop a project fully and decide on its financing, such as reconnaissance of the sites concerned and preparation of the financial package"

The co-funding rate of maximum 50% applies.

19. What is the definition of PPPs in the meaning of Priority 4?

There is no formal definition of public-private partnership specifically developed for the purposes of the 2011 annual call. However, you may refer to the Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions 'Mobilising private and public investment for recovery and long term structural change; developing Public Private Partnerships' (COM (2009) 615) where PPPs are described as:

"forms of cooperation between public authorities and the private sector that aim to modernise the delivery of infrastructure and strategic public services. In some cases, PPPs involve the financing, design, construction, renovation, management or maintenance of an infrastructure asset; in others, they incorporate the provision of a service traditionally delivered by public institutions. ...the principal focus of PPPs should be on promoting efficiency in public services through risk sharing and harnessing private sector expertise..."

20. Are projects concerning electrification of railway tracks excluded from funding under Priority 3?

Rail electrification is works and therefore eligible as long as it meets the requirements of the Call.

21. Could works for a freight terminal ('dry port') linking rail and road be considered a connection between two low carbon transport modes?

Rail is clearly mentioned among the 'low carbon' transport modes in the Work Programme's section 3.1, while road transport cannot be considered a 'low carbon' transport mode.

In that respect, the Work Programme stipulates in its section 3.1., that "The objective of such activities should be to increase the contribution that 'low carbon' transport modes (i.e. rail, inland navigation and shipping) can make to freight transport..."  This section also reads: "Works projects should aim to establish inter-modal transfer nodes between at least one of the 'low carbon' transport modes and another mode."

22. Will proposals addressing freight or multimodal terminals, and in particular new terminals that do not meet criteria (i) or (ii) under Priority 1, automatically be rejected?

The relevant Work Programme's section reads: "Priority will be given to proposals for freight terminals and logistic platforms that comply with at least one of the following criteria: (...)" In this respect the compliance with one of the two criteria would give the proposals a comparative advantage for the external evaluation of proposals. However, the absence of compliance will not be a reason to exclude a proposal from being evaluated.

More specifically, indeed only existing platforms can for evident reasons comply with the first criterion. If there is already a logistic platform complying with the first criterion, the second one cannot apply.

Should a proposal concerning a new logistic platform be submitted, any projected volumes of freight transhipment would be a relevant aspect for the proposal's evaluation.

23. Would a study submitted under Priority 2a be automatically exempted from filling the environmental statements in Application Form Part B.1?

Studies cannot in principle be excluded from the requirements to provide environmental statements.

The Guide for Applicants states in this respect in its Annex I, section 1, page 31: "Proposals for studies not involving physical interventions do not need to demonstrate their compliance with Union environmental law. In this case, it must clearly be stated that no physical intervention will take place as part of this Action."

24. Are any of the requirements listed in the Application Form Part B.1 not applicable to proposals under Priority 2a and 2b in general?

The section on compliance with EU policy and law in the Application form part B.1 refers to a complete set of regulations that do not necessarily apply to each proposal. Based on the content of the proposed action (study or works, rail or road action, etc.) it is the applicants' responsibility to identify which ones are applicable to their respective cases.

25. What is the understanding concerning the expected extent of implementation in studies including pilot deployment under Priority 2a?

The Work Programme's (C(2011)9531) text is applicable and specifies in its section 3.2 on Priority 2a: "The scope and the objectives of such studies including pilot deployment, shall support the development of infrastructure and facilities enabling the introduction and use of new technologies and alternative fuels (...). (...)The final objective is to enable policy-makers, EU citizens and industry to understand and decide which technologies have the highest potential for rapid deployment across the EU. (...)"

The objective of studies including pilot deployment is to facilitate the broader deployment of new but proven technologies (i.e. the research phase is completed but no large scale deployment took place so far). In general, a 'Pilot' is intended to bridge the gap between research and operational implementation by providing such things as 'proof of concept' or validation that the concepts or technologies work in an operational environment, thereby reducing risk for the subsequent large scale deployment.

Normally there is only a need for a limited number of pilot deployments of 'stations' of a network to test/ demonstrate the technology's full scale deployment. Projects should have a European perspective and identify issues withstanding full European wide deployment. They could also address local or regional issues of a given technology, that has been demonstrated elsewhere within the EU, that currently prevent large scale deployment across the EU.

26. Is it required for railway actions to fill in Application Form Part B1 point 2 "compatibility with EU policy on interoperability" already in the case of studies? A certification seems to be difficult in that stage of preparation.

The certification on interoperability is not applicable to studies. However, the study's anticipation of compatibility of future works with Union policy on Interoperability will be assessed/checked during the selection. 

27. The ATM Master plan has a broad scope and covers long-term deployment activities. How could applicants illustrate acceleration/facilitation and short-term deployment activities in the framework of this Annual Call?

In the broader scope of Priority 3, potential proposals related to ATM could in particular focus on:

• Co-ordination activities in support of short-term deployment as identified in the ATM Master Plan. This may cover for example the work to be done by the stakeholders to support the Expert Team of the Interim Deployment Steering Group (IDSG), excluding the participation in the IDSG itself. Applicants will have to demonstrate that this will accelerate/facilitate SESAR deployment phase. Please note that FABs as such are not eligible for all activities linked to the preparation of FAB establishment, but proposals submitted by a group of FAB partners, within the objective of the Priority 3 / ATM would be welcomed as a consistent approach in the Single European Sky.
• Short-term implementation activities, in line with the call text. Activities featuring deployment as identified in the ATM Master Plan should focus on the "baseline" (80 OI steps). Ideally, short-term deployment activities focussing primarily on the essential operational changes and associated enablers, might be considered of a greater relevance considering that both the Interim Deployment Programme and the project selected under the AP 2011 will have to deliver results by the end of 2014.

28. Under Priority 5 what activities can be considered in the context of Rail Freight Corridors?

Proposals to be funded under Priority 5 can address only studies. In particular, in the context of Rail Freight Corridors, studies and aspects linked with managerial structures as well as activities for the establishment of these Corridors can be supported. Some non-exhaustive examples of such activities are provided below without prejudice to the specific context under which they may be proposed for funding:

• Studies concerning the capacity needs and definition of dedicated freight capacity on the corridors (eg. with regards to pre-arranged train paths and reserve capacity)
• Studies concerning current traffic management and aiming at the definition of traffic management and priority rules
• Studies related to the coordination of traffic and associated terminal management and development
• Studies for the preparation, consolidation and/or update of the Implementation Plan, including transport market studies
• Studies for the elaboration and/or development of
• a Traffic Performance Monitoring System
• Customer Satisfaction Surveys
• the preparation of the Corridor Document
• the preparation of the Investment Plan
• Studies defining operational and infrastructural parameters of the Corridors (e.g. train length, axle-loads, loading gauges, etc.)
• Design studies for data base development in support of the establishment and operation of the Rail Freight Corridors
• Studies concerning the long-term strategic development of the corridor

29. Is it compulsory for applications under Priority 5 to be submitted by a Member State?

The common rules on the eligibility of applicants as laid down in the Work Programme's section 6.1 apply also to Priority 5. However, even though proposals may be submitted by any category of allowed applicants, it is strongly recommended that Member States play a prominent role in Priority 5 given this priority's important strategic dimension. Member State involvement will be for example particularly important for aspects such as bilateral agreements, other forms of political commitments, financial commitments or permanent cooperation structures.

30. Is the purchase of LNG bunkering vessels eligible?

The TEN-T programme does not support the purchase of vessels as such. However, costs linked to adapting existing vessels to become able to bunker LNG and for testing such operations could be eligible under priority 2b. Furthermore, under certain conditions a barge, replacing on-shore facilities, used for LNG bunkering in a port may be supported. Please note that the vessel has to be accessible to any user on a fair and non-discriminatory basis. Facilities for LNG bunkering in ports are also eligible.

General questions

1. Which category of applicants do municipalities fall under? Are municipalities 'public undertakings' as per section 6.1 of the 2011 Work Programme?

The call for proposals is based on Regulation Nr 680/2007 laying down general rules for the granting of Community financial aid in the field of the trans-European transport and energy networks, in which Article 4 stipulates that:

"Applications for Community financial aid shall be submitted to the Commission by one or more Member States or, with the agreement of the MemberStatesconcerned, by international organisations, joint undertakings, or public or private undertakings or bodies."

Pursuant to Article 4, municipalities are public bodies and as such are eligible to apply for funding under this call with the agreement of the Member States concerned.

2. Are universities (public or private) or businesses (SMEs, large enterprises, etc.) eligible for participating in this call?

Section 6.1 of the TEN-T Annual Work Programme 2011 (Commission Decision C(2011) 9531 final), specifies:

"6.1. Eligible applicants

Only written applications submitted by legal persons of private or public law legally constituted and registered in a Member State are eligible for Union financial support.

Applications must be presented by:

• one or more Member States, and / or
• with the agreement of the Member States concerned, by international organisations, joint undertakings, or public or private undertakings.

Project proposals submitted by natural persons are not eligible. In no case can third countries or legal or natural persons established outside EU countries be beneficiaries of the funds."

Pursuant to this section, universities and SMEs are eligible to apply for funding under this call for proposals. Nevertheless the university's or SME's participation would require the agreement of the Member State concerned to be provided in the application form section A2.4. The latter must be duly signed and stamped (see also Guide for Applicants, section 5.1).

3. Could a Regional State (e.g. a German State/Land) submit a proposal on its own or should this be done via the Federal Ministry (e.g. of the Federal Republic of Germany)?

The call for proposals is based on Regulation (EC) 680/2007  of the European Parliament and of the Council of 20 June 2007, laying down general rules for the granting of Community financial aid in the field of the trans-European transport and energy networks, in which Article 4 stipulates that:

"Applications for Community financial aid shall be submitted to the Commission by one or more Member States or, with the agreement of the Member States concerned, by international organisations, joint undertakings, or public or private undertakings or bodies."

This implies that a Regional State, as a public entity, may submit an application, but the official approval of the Member State/Federal government concerned would be required.

4. The 2011 Working Programme sets limits for minimum and maximum EU co-funding. Do these rates have an implication on the total budget of a proposal? Could a proposal be rejected if these limits are not respected?

Indeed, section 6.2.4 of the Work Programme clearly stipulates that:

"Except in duly justified cases, the total requested Union contribution to the eligible cost of a proposed Action will be between €1 million and €5 million, except for proposed Actions under priority 4, where requests for a Union contribution to the eligible costs will be between €500,000 and €2.5 million."

Furthermore, section 9 specifies that:

"The amount of Union financial aid shall not exceed the following rates:

• studies: 50 % of the eligible cost of studies
• works: – a maximum of 10% for projects of common interest
  – a maximum of 20% of the eligible cost of the works for priority projects
  – a maximum of 30% for cross-border sections of priority projects provided that the Member States concerned have given the Commission all the necessary guarantees regarding the financial viability of the project and the timetable for carrying it out."

Therefore, for example, a proposal for a project of common interest (Priority 2, investment, no study) with total costs of less than 10 Million € is not eligible for funding unless it provides due justification.

5. Could one of the partners in a proposal be from outside the EU (e.g. the USA, Turkey, etc.)? Would such a proposal be eligible?

A proposal may involve partners from outside the EU, however in no case third countries or legal or natural persons established outside EU countries can be beneficiaries of TEN-T funding. This provision is set out in Regulation Nr  680/2007 laying down general rules for the granting of Community financial aid in the field of the trans-European transport and energy networks, Article 4:

"Applications for Community financial aid shall be submitted to the Commission by one or more Member States or, with the agreement of the Member States concerned, by international organisations, joint undertakings, or public or private undertakings or bodies."

6. Is there a rule regarding national co-funding? Would a proposal including funding from different sources be eligible?

There are no limits as to the national co-funding. The 2011 Work Programme, section 6.2.4 determines the minimum and maximum of the co-funding requested from the EU. 

"The total requested EU contribution to the eligible cost of a proposed action will be between €1 million and €5 million, except for proposed Actions under priority 4, where requests for a Union contribution to the eligible costs will be between €500,000 and €2.5 million."

Moreover, no double funding from EU sources is allowed (section 6.2.3 of the 2011 Work Programme):

"No Union financial aid shall be awarded for parts of projects receiving funds from other sources of Union financing."

7. In case a proposal involves two or more Member States, does it require the approval of all Member States concerned?

Indeed, the agreement of all Member States involved is required as per section 6.1 of the 2011 Work Programme:

"[...]Applications must be presented by:

– one or more Member States, and / or

– with the agreement of the Member States concerned, by international organisations, joint undertakings, or public or private undertakings. [...]" 

8. If a proposal has been rejected under a Call for Proposals, can it be re-submitted under a subsequent one?

Indeed, if a proposal has been unsuccessful under one Call for Proposals it can be submitted under a different call as long as it addresses the objectives and priorities as stated in the call related texts.

9. Application form B1 requires information about impact of the Action on Natura 2000 sites by providing a declaration by the relevant authority.  In case the Action is located near a border and the Natura 2000 site extends on the other side of the border, should the relevant authorities of both Member States provide the declaration?

Any project likely to have a significant effect shall be subject to appropriate assessment of its implications for the site in view of the site's conservation objectives.

The Environmental Impact Assessment (EIA) Directive (Directive 85/337 as amended) states in its Article 7 that:

"Where a Member State is aware that a project is likely to have significant effects on the environment in another Member State or where a Member State likely to be significantly affected so requests, the Member State in whose territory the project is intended to be carried out shall send to the affected Member State as soon as possible and no later than when informing its own public, inter alia:

(a) a description of the project, together with any available information on its possible transboundary impact;

(b) information on the nature of the decision which may be taken."

and further on in Art 7, paragraph 4:

"The Member States concerned shall enter into consultations regarding, inter alia, the potential transboundary effects of the project and the measures envisaged to reduce or eliminate such effects and shall agree on a reasonable time- frame for the duration of the consultation period."

Therefore, if an EIA has been done, the transboundary consultation has been done and it was approved by the environmental authorities, the certificate may be accepted if it is signed only by the environmental authority of the country of the promoter of the project.

This option may be accepted too if the studies foreseen in the Article 6.3 (and 4) of the Habitat Directive (92/43) have been done in agreement between the two countries concerned.

If this is not the case, each Member State must take the responsibility for each own Natura certificate.

We would also suggest that you get in contact with your competent environment authority and ask whether it would need to anyway consult the authorities of the other Member State concerned.

10. Could applicants from European countries, which are not part of the Union or have only candidate status, i.e. Norway or Croatia receive funding from this program while being part of a consortium consisting of other Member States?

In no case can third countries or legal or natural persons established outside EU countries be beneficiaries of the funds. This provision is set out in Regulation Nr  680/2007 laying down general rules for the granting of Community financial aid in the field of the trans-European transport and energy networks, Article 4:

"Applications for Community financial aid shall be submitted to the Commission by one or more Member States or, with the agreement of the Member States concerned, by international organisations, joint undertakings, or public or private undertakings or bodies."

Countries that are not Member States are not prevented from being members of a consortium that undertakes a TEN-T funded project, but they cannot receive any TEN-T funds.

11. In Application Form Part A, point A 3.1, does one have to introduce precise geographical co-ordinates or would a reference to the overall area where the Action is intended to be carried out suffice (e.g. Port of Barcelona)?

At this general level of intervention a start and end point might be sufficient information. However, this would depend on the size of the location (e.g. of the Port) and the dimension of the section/segment the proposed Action will address (e.g. rail section). 

Applicants are strongly encouraged to submit more detailed geographical information on the exact location of the Action, in the form of GIS data and/or maps. Please refer to section 2.7 'Location of the proposed Action' of the Guide for Applicant's Annex 2 for further guidance.

12. In Application Form Part B, point 1, a 'general description of the global project' is required. Do applicants necessarily have to fit the proposed Action in a global project?

In this section applicants should contextualise their proposals, if applicable. Proposed Actions are often part of wider global projects of which they only represent a small part, for example feasibility studies for future implementation works or only specific sections of a longer axis to be built or upgraded.

13.Could a proposal, which will not have obtained the relevant building permits before the submission deadline, be eligible? Could applicants supply instead copies of the requests for building permissions submitted to the competent authorities?

Matters related to the maturity of an action, such as the availability of building permits, are not part of the eligibility criteria. Maturity is one of the award criteria against which proposals will be evaluated by external experts. Please see the Guide for Applicants that is available on the call's website, for further details on the evaluation procedure.

In any case, applicants should of course describe the actual state of their project to the best of their knowledge.

14. Could a non-EU legal entity with a branch office registered in one EU Member State apply for funding (i.e. a Norwegian entity established in Sweden)? If so, should it be the main office which applies or the branch office in the EU Member State?

Pursuant to section 6.1 of the 2011 Work Programme concerning the eligibility of applicants, only "written applications submitted by legal persons of private or public law legally constituted and registered in a Member State are eligible for Union financial support."

Therefore, on condition that the branch of a non-EU company has legal personality in the EU Member State where it is established (i.e. the Norwegian company in Sweden); it would be entitled to submit a proposal provided that it obtains the support of the EU Member State of its establishment represented by the responsible ministry. This endorsement needs to be reflected and duly filled in, signed and stamped in Application Form Part A2.4.

Furthermore, please be informed of the possibility of multi-applicant proposals (as defined in the Guide for Applicant's Glossary): "Proposals may be submitted by more than one applicant for TEN-T assistance. By default, a coordinator should be indicated (see also 'coordinating applicant'). In case the partnership is not proposing one for the action the management structure should be thoroughly explained."

15. Section A2.3 of Application Forms requires the Financial Identification of the applicant. Who should submit this form in case the applicant and potential beneficiary are not the same entities? For example, the applicant will not receive potential funding, not even for further distribution.

The institution/s or body/ies to become beneficiary/ies has/have to be one of the applicants in the proposal.  The Guide for Applicants states in the glossary:

'Applicant(s): The organisation submitting a proposal to a call for proposals. It is assumed that a proposal's applicant(s) become(s) automatically the Action's beneficiary(ies), if the proposal is selected for funding.'

Should an applicant envisage a different course of action, this should be explained and justified in the proposal. Furthermore, the Guide for Applicants also states that:

"Parts A2.1, A2.2, A2.3 and A2.4 must be completed, signed and stamped by each applicant. For each multi-applicant proposal a coordinator has to be designated in Part A2.5. Unless specified otherwise by the applicant it is assumed that a proposal's coordinator becomes automatically the action's coordinator if the proposal is selected for funding."

16. Should support for a proposed Action come solely from the Ministry on Transport? What if such a Ministry does not exist in some Member States (e.g. Spain)?

The Guide for Applicants refers to support by relevant Ministry(ies) in section 6.3.1. Therefore, applicants should identify the Ministry in their country that should endorse the application.

17. Could a legal entity from a Member State apply for funding for an Action to be implemented in a third country?  

Without precluding the right of eligible legal entities from Member States to apply for funding, third countries or legal or natural persons established outside EU countries can in no case be beneficiaries of the funds (pursuant to section 6.1 of the 2011 Annual Work Programme).

Moreover, financial aid can only be awarded to projects of common interest, which contribute to the objectives and priorities defined in the framework of Decisions No's 661/2010 laying down guidelines for trans-European energy networks, i.e. to projects which are located on Member States' territory.

18. Could any potential profit and/ or revenues by a TEN-T co-funded project be considered?

An awarded grant cannot create an economic profit for its beneficiary. Profit means a surplus of receipts over the costs incurred by the beneficiary when the request for final payment is made. This does not mean that the project cannot generate revenues in the future.

19. Is it possible to open and edit an electronic application in which our institute is neither applicant nor partner? We are supporting an institution in the preparation of the application, but we will not be involved in the proposed action.

There is no technical or regulatory constraint to the number of committers assigned to one application. Please see section 2.2.2 'Committers' of the TENtec eSubmission User Manual/eSub guidance note that is available on the call's website.

We however recommend, that the actual applicant (or coordinating applicant in case of a multi-applicant proposal) that will also finalise and submit the application, creates it in the first place and adds the committers subsequently.

20. What are the "duly justified cases2 in which a request for TEN-T funding could deviate from the indications on "Minimum/Maximum Union contribution" as specified in the Work Programme's section 6.2.4?

Proposals not meeting the stipulations of the Work Programme's section 6.2.4 will be subject to a case by case review. In that respect, "duly justified cases" may apply to a large variety of different situations, such as increased EU value for money, addressing a missing link and/or a bottleneck, etc. These are only a few examples of what could be considered as "duly justified cases".

21. Is it possible to pool together more interventions if a single one will not reach the minimum threshold as stipulated in the Work Programme's section 6.2.4? If yes, could this be done by partners from different EU Countries?

The TEN-T Programme allows in general for multi-applicant proposals to be submitted. However, the project partnership should bring an added value to the objectives of the proposed action, opposed to a single beneficiary approach or should be justified in technical requirements of the proposed action.  It should not only be motivated in gaining enough financial volume to meet the thresholds stipulated in the Work Programme's section 6.2.4.

22. Is there any supporting platform that could help us to find potential partners?

The TEN-T Programme does not provide a partner search tool. However, the Info Day held for each call provides an opportunity to meet potential applicants. We suggest that you contact the relevant Ministry responsible for TEN-T, as perhaps more information on potential partners is available at the national level.

23. Can a works project with an end date after 31 December 2014 be funded?

Yes, a global project can end after 2014 and be partly funded by a grant Decision, i.e. only the eligible costs incurred until 31 December 2014 will be reimbursed. As long as the grant Decision includes clear information about which part of the global project will be funded until the end of 2014, with works clearly identifiable at that moment.

24. Does the information provided in the Financial Capability Check spread sheet have to be in Euro or National Currency?

Information in Financial Capability Check spread sheets should be provided in National Currency.

25. Are activities concerning a section that is not included in the current TEN-T network, but is foreseen to be part of the Core Network, as a result of the recent revision of the TEN-T network eligible?

The legal basis for this call for proposals are the Decision 661/2010 on Union guidelines for the development of the trans-European transport network, the Regulation 680/2007 laying down general rules for the granting of Community financial aid in the field of the trans-European transport and energy networks as well as the Annual Work Programme 2011 and the call for proposals' text.

Proposals that are not covered by Article 7 of Decision 661/2010 cannot be considered eligible under the current call for proposals.

The draft regulations on the future TEN-T policy and network that are currently being under co-decision have no legal impact whatsoever on the current funding period and the current call for proposals.

26. What is the current list of priority projects?

Annex III of the Decision 661/2010 contains the list of Priority Projects. This is the only valid legal document that refers to the TEN-T Priority Projects and it also constitutes the legal basis for the projects eligibility under this call for proposals.

Please take also into consideration that under this call, proposals concerning projects of common interest can also be submitted. Projects of common interest are defined in Art 7 of the above mentioned Decision. 

27. What is the distinction between the "Global Project" and the "Proposed Action"?

Global Project is defined as "a project in which several technically and financially separated parts (including one or more Actions) contribute to the completion of a high, indivisible objective. For example, a railway line connecting two or more metropolitan areas can be composed of several sections which are technically and financially identifiable, but the line (i.e. the global project) cannot start operations until all of the sections are complete".

Similarly, an Action is defined as "a set of activities for which Union funding is requested, by means of an individual financing Decision established following a call for proposals". It is possible in some cases that Action coincides with the respective Global Project, depending on their nature and size.

28. Is there a need to get a statement from each of the Ministries responsible for transport and safety in each of the countries as part of the application form?

Indeed each relevant Ministry of each participating applicant / country should provide its agreement by signing and stamping section A2.4 of Application Form Part A.

29. Our proposal involves a new private company, for which there are no current financial figures or turnover. How are we to comply with the requirements of the Financial Capacity Check?

In general, a company should provide the balance sheets for the two most recent completed annual accounting exercises. Should this not be possible, alternative assurance of the applicant's financial capacity should be provided. An applicant's financial capacity will be considered on a case by case basis based on the information available at the time of submission.

A preferable option would indeed be a letter of support by either its parent company or another applicant of the proposed action. In your case, traffic or transhipment volume estimates could also be helpful in this respect.

Should the provided information not be deemed sufficient to analyse the case, the Eligibility Committee would contact the applicant in question to provide complementary information. The template letter of support provided as part of the Financial Capacity Check Form is indicative. As explained above, any other form of evidence will be duly assessed.

Should the parent company providing the letter of support be equally of private nature, it would also be required to demonstrate its financial capacity.

30. Is it possible to apply for funding if the project will be carried out / implemented by a private company and its expected IRR for the Action is positive?

Indeed private companies can apply for funding (pursuant to section 6.1 of the 2011 Work Programme). However, please note that an awarded grant cannot create an economic profit for its beneficiary. Profit means a surplus of receipts over the costs incurred by the beneficiary when the request for final payment is made. This does not mean that the project cannot generate revenues in the future. Furthermore, any infrastructure or terminal that benefitted from TEN-T assistance has to be accessible on a non-discriminatory basis.

31. Does the notification that an action has been/could be identified as a cross-border section, stated in section 3.7 H. in Application Form B.2, only apply to TEN-T Priority Projects or also to projects on/along the conventional rail network of TEN-T which are related to priority projects?

Cross-border sections refer only to Priority Projects as specified in the TEN-T Guidelines (Decision 661/2010), Article 28.

32. Is the rule "de minimis" applicable for private enterprise operating in TEN-T funded projects?

Yes, the "de minimis" rule is a regulation that also applies to private enterprises operating in TEN-T funded projects. In this context, applicants have to provide information on their proposals' compatibility with EU law on state aids in the Application Form B.1's section 3.

Please refer to Commission Regulation No 1998/2006 of 15 December 2006 on the application of Articles 87 and 88 of the Treaty to de minimis aid for more details (http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2006:379:0005:0010:EN:PDF)

33. Is it possible to award a subsidy to a large enterprise (subject to agreement of the Member State)?

Private entities and undertakings are indeed eligible to apply for funding (with the approval of the Member State) as per section 6.1 of the 2011 Work Programme. The size of the enterprise is of no relevance to its eligibility.

34. Is it preferable to attach a Gantt chart in Microsoft Project, or insert a concise pdf version of it?

While other formats would also be acceptable, we do recommend to provide any Gantt chart in pdf-version.

35. Do activities detailed in Application Form B.2, section 2.5 have to coincide with the ISIC codes used in Form A?

The ISIC codes used in Form A have a mostly statistical purpose and are not considered during the evaluation of proposals. Section 2.5 requires a qualitative description of each of the proposal's actions. Please see the Guide for Applicants' Annex 2 on the Application Form 2 for more detailed guidance on this section.

36. Our project involves pilot deployment at different points along different routes.  Can we enter the geographical co-ordinates for every route separately or will the system only allow us one start and one end?

Part A of the application form offers the possibility to add several different coordinates. However, in view of the high number of routes involved it is advisable that you submit a GIS file containing the detailed geometry of all routes involved according to the guidance provided in the Guide for Applicants' Annex 2 on the Application Form's B.2 section 2.7. Alternatively, you could add map images clearly depicting the geographic location of the routes involved in your project.

37. May the leader of the Consortium subcontract another member of the Consortium for an activity of the project (e.g. Secretary of the Consortium)?

Normally, the different activities are developed by the beneficiaries established by the individual funding Decision. The costs of these activities can be considered eligible, if they fulfil the requirements of the model Decision's Article III.3.7 on the "Eligibility of costs".

The need to subcontract an activity to another beneficiary has to be duly justified and the award must be done while respecting the conditions established by the model Decision's Article III.2.5 on the 'Award of contracts'.

Please see the Articles III.3.7 and III.2.5 for more details. You can access the Decision on the call's website: http://tentea.ec.europa.eu/en/apply_for_funding/follow_the_funding_process/annual_call_2011.htm

38. When working in the eSubmission Module in section 2.4 the module only offers the possibility to fill in the approving Member State data but does not allow adding an 'Implementing Body'. Is this related to the fact that the applicant is in this case a public sector body?

The model Decision's Article III.5 states that:

"If a Member State or an international organisation is a Beneficiary, and it designates, on its responsibility, a public or private undertaking or body to implement the Action, and it designates a bank account in the name of the same undertaking or body for the payment of Union financial aid, the eligible costs of the public or private undertaking or body implementing the Action shall be deemed to be the eligible costs of the Beneficiary referred to in Article III.3.7."

In other words, only Member States or international organisations can designate implementing bodies. Therefore it is not possible for a public sector body applicant to designate an implementing body in the TENtec eSub Module.

39. The Guide for Applicants makes reference to the possibility of declaring the actual indirect costs instead of applying the 7% rate. However, in the application form, questions always refer to such 7% rate. Which one is applicable?

The advantage of the flat rate is that once the rate is agreed on in the Decision, the Agency will not ask the Beneficiary for supporting documentation on the indirect costs at a later stage.

The definition of indirect eligible costs is provided in article II.3.7 of the model Decision. It mentions the possibility of using a flat rate amounting up to 7% of the total direct eligible costs. Regardless of the rate chosen, the proposal shall explain the methodology used to allocate indirect costs to projects, as well as the detail of the indirect costs planned.

If actual indirect costs are chosen, these costs will need to be justified by presenting the relevant documents together with the payment claims.

40. If one of the applicants in a multi-applicant proposal is in one of the situations listed in the Application Form B1's Annex I, can the application still be eligible?

In accordance with section 6.3 "Grounds for exclusion" of the 2011 Work Programme (Commission Decision C(2011)9531), each applicant, be it public or private, is requested to sign Annex I to the Application Form B1 to certify that it does not fall into one of the exclusion situations listed in this Annex. Please note that an applicant found to be in one of these situations (and thus not in the position to sign Annex I) will not be considered eligible for receiving Union financial assistance under this call.

For further details, please also refer to Articles 93, 94, 96 and 114 of the EU Financial Regulation, available here: http://ec.europa.eu/budget/biblio/documents/regulations/regulations_en.cfm#2

41. Could an Application Form Part 2.4 bearing only the draft TENtec number be submitted?

The Guide for applicants states in its section 5.3.1:

"The printout of Application form Part A, generated by the TENtec eSubmission module after the electronic submission (one signed original and four additional copies if the proposal is submitted in English. If the proposal still requires translation only one copy additional to the signed original is sufficient) (note: the unique proposal code which is automatically generated by the TENtec eSubmission module upon submitting a proposal must appear on the printout)"

Therefore it is not possible to submit Form A2.4 only with the draft TENtec number. The unique proposal code that is generated after the proposal's submission could be added by hand on the original document should the ministry's validation have been achieved before the actual submission.

42. Can the detailed design be considered as part of works and submitted under a single proposal?

Detailed designs are studies and should be submitted separately from works.

43. Are there any formal requirements for proving the operational capacity?

There are no formal requirements except for the guidelines provided in Application Form part B1 and the complementary explanations in the Guide for Applicant's Annex I, Section 1., point 2.

It is up to each applicant to provide the relevant information in line with the nature and scope of activities as well as the type of project, i.e. study or works. The purpose of this information is to demonstrate that the persons/entity in charge of the project implementation do have the technical skills required for doing so.

44. For a study with physical intervention for which the precise location of interventions is unknown, how should the section on compliance with EU law in form B1 be filled in?

As stated in the application form (part B1) and in the Guide for applicants, studies including physical intervention need to fulfil the environmental requirements in line with the EU Directives listed in application form Part B1.

More specifically, "all construction activities and studies implying physical interventions (destructive tests, excavations, any activity related to a Natura 2000 site...) are required to demonstrate their compatibility with Union policy on environment, meaning they have to fill in this section of Application Form Part B1. In particular, applicants must state that all relevant environmental, nature conservation and water bodies have been consulted, and that the project complies with the environment-related European Directives."

If studies deal with determining the location of future projects, applicants should at least indicate where the physical interventions to be performed in the context of the study will be located and what the environmental impact caused by these interventions might be (see sections 1.4, 1.5 and 1.6 of form B1).       

For further reference, consult the following document on how the EU Environmental Directives are applicable to TEN-T Projects, published on our website: http://tentea.ec.europa.eu/download/calls_2009/COMM_PDF_SEC_2007_0374_1_EN_DOCUMENTDETRAVAIL.pdf

45. What additional documents should private entities provide in order to prove their financial capacity?

Normally a company should provide the balance sheets for the two most recent completed annual accounting exercises. Should this not be possible, alternative assurance of the applicant's financial capacity should be provided.

A preferable option would be a letter of support by either its parent company or another applicant of the proposed action. Should the parent company providing the letter of support be equally of private nature, it would also be required to demonstrate its financial capacity. In case the provided information will not be deemed sufficient to analyse the case, the Eligibility Committee will contact the applicant in question to provide complementary information.

As a general rule, an applicant's financial capacity will be considered on a case by case basis based on the information available at the time of submission.

46. Is there a limit to the number of applicants and Member States they come from?

A proposal may be submitted by as many applicants as necessary for the implementation of the Action. In other words, there is no limit to the number of applicants per Action and/or per Member State. Should the Action be selected the applicants become automatically beneficiaries of the Action (Guide for Applicants, section 5.1) and they are responsible for the implementation of the project.

If the beneficiary is a Member State or an International Organization, they may designate an implementing body according to the provisions of Article III.5 of the model decision. If a Member State wishes to designate an implementing body, please note there is an obligation to designate it by filling in Application Form A2.4

47. Is there a maximum limit to the proportion of the Action allocated to Project Management Activity?

Project management shall be only considered for selection if it appears as complementary activity to a main action submitted under the priorities included in the Call for Proposals. In that respect, costs of project management have to be adequate to the size and nature of the project and in line with generally applied practices. The evaluation committee has in any case the possibility to accept the proposal as a whole or to co-finance only part of the activities.

In general, there are no limits as to the proportion of direct eligible costs allocated to the different budget headings in the Action. All relevant information on the eligibility of costs can be found in the model Decision's Art II.3.7. The model Decision is available for download on the call's website: http://tentea.ec.europa.eu/en/apply_for_funding/follow_the_funding_process/annual_call_2011.htm