FAQ - Calls for Proposals 2011

1. What kind of information (in addition to that required) can be included in the annexes to a proposal, additional to the annexes already required in the forms?

As stated in section 5.3.1 of the Guide for Applicants,

'additional documents to those specified in the application form may be included as separate annexes. However, all relevant information for assessing the proposal must be provided in the Application Form. The purpose of additional annexes - which are not systematically read through - is to provide further information that supports, illustrates or provides evidence of an element described in the Application Form. Any additional annexes included must be clearly referred to and their relevant parts summarised in the application forms. They do not need to be translated unless the applicant deems this necessary.'

In other words, the purpose of supplementary annexes is solely to back-up information provided in the Application Form.

2. If a proposal is submitted by an international body, does the proposal have to be supported by all of the Member States involved in the organisation?

As set out by Article 4 of Regulation 680/2007 and section 6.3.1 of the Guide for Applicants, applications presented by international organisations, joint undertakings or public or private undertakings shall be presented with the agreement of the Member State(s) concerned.

As regards international organisations as defined in Article 43(2) of Regulation 2342/2002 (Implementing Rules of the Financial Regulation applicable to the general budget of the European Communities) and as set out on p19 of the Guide for Applicants[1], the 'Member States concerned' does not relate to the Member States involved in the organisation presenting the application, but it refers to all Member States on the territory of which the action will be implemented.

[1] According to article 43 (2) of the Regulation 2342/2002, international organisations are:

(a) international public sector organisations set up by intergovernmental agreements, and specialised

agencies set up by such organisations;

(b) the International Committee of the Red Cross (ICRC);

(c) the International Federation of National Red Cross and Red Crescent Societies.

3. Is there a minimum amount for the EU contribution requested per proposal?

As stated in the work programme (for RIS and ERTMS: amended work programme section 6.2.4) / call text (for MoS: section 4.2), for all three multi-annual calls (in the fields of ERTMS, RIS and MoS), except in duly justified cases, the minimum total requested EU contribution to the eligible cost of a proposed Action will be €1 million for works and €500,000 for studies.

4. Do all proposals need to provide an Environmental Impact Assessment (EIA)?

This depends on the nature of the Action.

As stated on page 32 of the Guide for Applicants,

'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.'

ERTMS and RIS proposals only need to fill in Section 1 "Compliance with EU policy on environmental protection" if the proposed action includes physical works (e.g. installation of antennas) affecting a site designated as protection zone under the "Habitats" (92/43/EC) and Birds (2009/147/EC) Directives. Section 1.6 "Actions with a potential impact on water - Water Framework Directive 2000/60/EC" needs to be completed only if these physical works are located in protected waters as defined in Article 1 of this Directive.

5. Once a proposal has been submitted, is it possible for the applicant to submit further information before the submission deadline?

It is not possible to make changes to a proposal once it has been submitted. If you wish to make changes, you must submit a new proposal before the deadline, which will replace the previous version. For further details, see section 5.5 of the Guide for Applicants.

6. Once a proposal has been submitted, is it possible for the applicant to submit further information after the submission deadline?

No. For the sake of equal treatment, applicants cannot communicate any further information to the Agency after the submission deadline (unless this is to clarify obvious clerical errors). Therefore it is very important to ensure that your proposal is as complete and clear as possible.

7. Can the Agency contact applicants during the evaluation process?

No. For the sake of equal treatment, applicants cannot be contacted during the evaluation process (unless this is to clarify obvious clerical errors). Therefore it is very important to ensure that your proposal is as complete and clear as possible.

8. On Application Form Part A, is it necessary to have the unique proposal code before printing sections A2.2 and A2.4 and getting them signed and stamped by the applicant(s) and competent ministry(ies)?

If the applicant(s) foresee(s) that it will take time to collect the signed and stamped pages, it is highly recommended to submit and print Application Form Part A as soon as possible. Then, in parallel to finalizing Application Form Part B1 and B2, the signed and stamped pages for sections A2.2 and A2.4 can be collected.

If it proves impossible time-wise to follow the above process, signed and stamped pages of sections A2.2 and A2.4 with the handwritten unique reference code and the exact title of the proposed action (as indicated on section A1 of Application Form Part A) will be accepted. In other words, it is possible to fill in and print sections A2.2 and A2.4 and get them signed and stamped before the electronic submission of Application Form Part A, as long as the title of the proposed action and the unique reference code are clearly indicated (handwritten).

9. For a multi-applicant proposal, is it possible to submit one proposal sent in several packages (i.e. Applications Forms Part A2.2 and A2.4, as well as (where applicable) the annexes of Part B1)?

As mentioned in the 2011 Guide for Applicants (section 5.3.4), we strongly recommend that, for proposals with more than one applicant, a joint application is submitted. This is because the submission of one proposal submitted in several parts can cause serious complications, for example if one part of the "package" is not submitted before the deadline or does not arrive – in which case the entire proposal may be considered as ineligible.

This should not be a burden for applicants because for the paper copies of Application Form Part A and Part B1, if three or more applicants are involved, it is not necessary that they sign the same form itself (i.e. it is not necessary to physically circulate the document between applicants), as long as the coordinating applicant sends all signed forms together with the complete proposal.

Furthermore, if it is really not possible to have the originals in time, a paper copy and scanned file may be included as part of your proposal. In this case, please indicate this clearly in the application form, state the reason why the originals have not been included and when they will be sent.

10. Do the following types of annexes need to be translated?

- legal entities form

- financial statements of private bodies

- audit reports

- documents attesting the technical and operational capacity to complete the Action

- any other Annexes provided with Part B1

Section 5.3.1 of the Guide for Applicants states that annexes 'do not need to be translated unless the applicant deems this necessary.'

In general, translation of the documents mentioned above is not necessary. However, if you are submitting explanatory documents attesting the technical capacity (i.e. descriptions of previous works), these could be translated if you consider it necessary and helpful for the appraisal of the proposal.

The timetable for the translations is provided in section 5.4 of the Guide for Applicants.

11. Is sub-contracting possible and, if so, is there a fixed limit?

Yes, sub-contracting is possible, however this must comply with section III.2.5 of the model Decision (available on the calls for proposals website) and it must respect national legislation on public procurement. Please see the following for information on public procurement in the EU:

http://europa.eu/policies-activities/tenders-contracts/index_en.htm

Please note also that to be eligible, all costs must comply with section III.3.7 of the model Decision.

In Application Form Part B1, the applicant must confirm that the Action will be implemented in compliance with Union Law on public procurement. Moreover, applicants should complete information on procurement in Application Form Part B2 (section 4.6), as this is assessed under the 'maturity' award criterion. Please see the Guide for Applicants for further details.

There is no fixed limit for subcontracting.

12. Can two legal entities from two different Member States work together, even if the Action will be implemented only in one of the Member States?

Yes, legal entities of two different Member States may work together on an activity which will be implemented in one Member State. However, if both legal entities will be considered as beneficiaries of the Action, this must be in agreement of both Member States (see section 6.1 of the 2011 amended multi-annual work programme (C(2011) 4317). In this context, the 'Member States concerned' does not relate to the Member States involved in the organisation presenting the application, but it refers to all Member States on the territory of which the Action will be implemented.

13. Is there a template that the Member States have to complete to declare their approval of the proposal?

When the applicant is not a Member State, approval by the Ministry(ies) concerned is confirmed by the stamp and signature of section A2.4 of Application Form Part A. It is not necessary to attach another declaration. Complementary information can be provided in section 4.1 of Application Form Part B2.

Please note that the 'Member States concerned' does not relate to the Member States involved in the organisation presenting the application, but it refers to all Member States on the territory of which the Action will be implemented.

14. Is it necessary to complete the milestones in Application Form Part A, section A3.1, even though details are given in Application Form Part B, section 2.8? What is the level of detail required?

It is necessary to complete the milestones in section A.3.1. For each activity, at least one (but preferably more) verifying milestones should be selected. This is important to verify the start, end and, where relevant, intermediate points of an activity. For successful proposals, the milestones in section A.3.1 are used as the basis in the financing Decision. It is not necessary to go into as much detail in section A.3.1 as in B.2, section 2.8

15. In Application Form Part A, section A3.2, when is it 'applicable' to indicate the exchange rate?

An exchange rate is required for Member States outside the EURO zone (all amounts in the table must be in euros). For information on the exchange rate to be used, please see section 6.3.3 of the Guide for Applicants.

16. In a multi-applicant proposal, what happens if one applicant has eligible indirect costs, but cannot apply the max 7% flat rate funding for indirect costs? Is it possible to exceed the 7% flat rate?

When the option of the flat rate is used, this applies to the total eligible direct costs (and not to the individual beneficiaries).

The maximum 7% flat rate is defined in Article 181.3 of the Implementing Rules of the Financial Regulation (Commission Regulation 2342/2002, OJ L 357, 31.12.2002, p.1).

Please note that if the applicant chooses to request a flat rate, this should be clearly indicated in the estimated budget (X%) (Application Form Part A3.3). In these cases, applicants will be asked to explain the methodology used in determining the flat rate percentage before concluding the individual funding Decision.

17. Is the design phase under the Design-Build methodology considered as “studies” within the meaning of Article 2(8) of TEN Regulation?

The design phase of a Design-Build project would, in principle, fall under the TEN-T definition of a study.

Therefore, for RIS and ERTMS proposals, the design and build phases cannot be addressed in a single proposal.

18. What would happen if an applicant included in a multi-applicant proposal, who has signed Application Form Part A, decides after the proposal has been submitted not to participate in the project?

The selection of a proposal is done on the basis of the information provided by the applicants. If one of the applicants decides not to participate in the project, then the impact on the project as a whole will be evaluated. If the TEN-T Agency and the Commission consider that this new element calls into question the selection of the proposal, then the individual financing Decision will not be adopted by the Commission. If we consider that it does not call into question its selection, the scope of the project may be reduced.

19. What is the difference between an applicant and an Implementing Body?

'Applicant' is the organisation submitting a proposal and asking for TEN-T assistance to the proposed activities. The applicant will be considered as beneficiary if the application is selected for financial contribution. An implementing body is not mentioned as beneficiary in the individual Decision.

However, a beneficiary can designate a public or private undertaking or body(ies) which will actually implement the action. This has to be indicated in Part A 2.4 of the application form. Please take also into account the provisions of Article III.5.6 of the model Decision:

"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."

20. Should the following documents and annexes be submitted both for applicants and Implementing Bodies? Part A annexes: financial identification Form, recent Bank Statement, Part B annexes: Legal Entity Form, VAT Registration, Official Gazette, Financial Statements (balance sheet), Declaration Form, documents attesting technical and operational capacities.

Only information and annexes relating to the applicants should be provided. Please see Part B1 of the Application Form and Annex 1 of the Guide for Applicants for further advice which information is required.

21. Do Application Forms Part B1 and B2 have to be submitted as attachments in the TENtec eSubmission module?

Yes, as stated on page 4 of the TENtec eSubmission User Manual:

'Parts B1 and B2 are completed as Word documents and attached (together with any annexes) in the module before submission.'

Please note that Word documents must be zipped (only zip and PDF files can be attached in the eSub module).

In addition, you must submit a package in line with the procedure described on page 12 of the Guide for Applicants.

22. Who has to sign the B1 annex “Declaration Form of the public or private undertakings or bodies applying for EU financial aid” for a City Council?

The declaration must be signed by a person who duly represents the municipality and with powers to engage it. This is an internal matter for the respective authority.

23. Should the annexes to Application Form Part B1 “Financial Statements (balance sheet)”, and “documents attesting technical and operational capacities” be submitted for a City Council and/or for a Port Authority?

The annexes concerning the financial situation and/or technical and financial capacity are not required for a municipality. However, this cannot be said in general for a port authority. Only if the port authority in question can be considered as a public sector body (please see the Guide for Applicant's Annex 3, Glossary) it would not need to provide the above mentioned documents.

24. If the Action is a study, is it possible to apply activities that are developed internally by the applicant (i.e. not contracted)?

Studies that are implemented in-house by the applicant's services (as opposed to being contracted to third parties) may be eligible for TEN-T assistance, subject to meeting the objectives and requirements of the call under which the proposal will be submitted and respecting the stipulations of Article III.3.7 of the model funding Decision (accessible on the call's website) on the eligibility of costs.

Please note that you will need to document the agreement of the Member State in Part 2.4 of the application form, should your institution or body be the applicant submitting the proposal.

25. Is the "proposal number" the same as the "reference number"

Yes, reference number and proposal number are the same. More precisely, as of this year, the reference number as referred to on page 13 of the Guide for Applicants will become the final project code, if the proposal is selected. It can only be generated at the moment of the final submission. It will be structured as follows (using an Austrian proposal as example):

2011-AT-XXXXX. The call under which the proposal is submitted and the order of submissions will determine the code's final digits.

26. When preparing a multi-applicant proposal, if Part A is signed only after submission, this could cause delays if there are changes (e.g. applicant contact details, implementing organisations, budget) and all applicants would need to sign the newly submitted form again. How can we avoid such delays?

The Guide for Applicants states on page 14 in section 5.3.4 on Multi-applicant proposals: 'For the paper copies of Application Form Part A and Part B1, if three or more applicants are involved, it is not necessary that they sign the same form itself (i.e. it is not necessary to physically circulate the document between applicants), as long as the coordinating applicant (and not each applicant individually) sends all signed forms together with the complete proposal.

It is important to finalise Application Form Parts A and B1 sufficiently in advance of the call deadline in order to allow time for applicants to send their signed copy to the coordinating applicant. All physical copies should be sent by the coordinator in one package.'

27. For the sections of Application Form Part A which need to be signed (and stamped), is it possible to hand-write the unique proposal code on the printouts?

The Guide for Applicants states on page 12: 'The unique proposal code which is automatically generated by the TENtec eSubmission module upon submitting a proposal must appear on the printout.' and 'The unique proposal code generated by submitting Application form Part A must be clearly indicated in the space provided on the cover page of Parts B1 and B2 and their annexes.'

It is possible to fill in and print sections A2.2 and A2.4 and get them signed and stamped before the electronic submission of the proposal, however the title of the proposed action and the unique proposal code (generated once electronically submitted) must be clearly indicated (handwritten) on sections A2.2 and A2.4.

28. In Application Form Part B1, section 1.1, should this be the same for all applicants, or should each applicant describe how its part of the action contributes to the objective of environmental sustainability, and respects the 'polluter pays' principle?

Section 1.1 of Part B1 of the application form should cover all activities entailed in the proposal submitted. The term 'action' usually refers to the entirety of the activities entailed in the proposal submitted.

However, if these activities are spread across different geographical locations it might become necessary to duplicate Part B1 and its annexes to properly reflect the situation of each of the different activities' sites. This will be even more the case, if certificates from different authorities might be required to demonstrate compliance with EU policy and law for each of the different locations.

29. What kind of proof of support from the ministry level is necessary? Is a letter enough? Is there a sample letter?

Application Form states in Part A, section 2.4: If the applicant is a public or private undertaking or body, fill in the below section on the ministry approving the proposal. The respective ministry has to validate (sign, date and stamp) section 2.4.

In addition, please refer to the Guide for Applicants for further details on the application procedure: http://tentea.ec.europa.eu/en/apply_for_funding/follow_the_funding_process/european_rail_traffic_management_system_ertms_call_2011.htm

30. We are considering whether to foresee one activity with 3 sub-activities, or to foresee 3 different activities. What is the best approach?

The structure of the proposal depends on the specificities and the complexity of the project. Therefore this has to be decided by the applicant. However, as a general rule, activities need to be organised in a way that they are identifiable in terms of technical content, duration (with distinct start and end dates) and costs. The implementation of each activity needs also to be linked to a number of clear milestones. This would facilitate reporting and monitoring throughout the action's lifetime. Please note that all activities included in the action need to be completed by the end of the eligibility period of the action.

31. Does the financial identification form attached in the eSub module need to be signed and stamped?

The financial identification form submitted as an attachment in the eSubmission module does not need to be signed and stamped. However, it is essential that the original signed, stamped version is included in the paper application.

32. For a proposal submitted by an EEIG, international organisation (as defined in Article 43(2) of Regulation 2342/2002, Implementing Rules of the Financial Regulation applicable to the general budget of the European Communities) or another international body, which Member States need to approve the proposal?

For a proposal submitted by one of the above only, one Member State would need to validate the proposal by signing and stamping section A2.4 of Application Form Part A. This Member State should be fully aware of the responsibility of all the proposal's activities that this entails, and should be prepared to sign and validate the project reports, in line with art. 11 of Regulation 680/2007 of the European Parliament and the Council of 20 June 2007 laying down general rules for the granting of Community financial aid in the field of trans-European transport and energy networks. In addition, in accordance with the respective Work Programme (section 'Eligible applicants'), letters of intent should be provided by those Member States that will be concerned by the activities (i.e. those Member States on the territory of which the action will be implemented).

If applicants other than the EEIG / International Organisation / Body are involved, the respective Member States concerned by the action should also send a letter of intent.

This page will no longer be updated and is here for reference only.

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.