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Projects spanning over two programming periods
Department for Programme and Project PreparationBeatrix Horváth, Deputy Head of DepartmentBudapest, 5 October 2012
Department for Programme and Project Preparation
project preparation for the 2014-2020 programming period
coordinated approach for phasing
helping the work of the Managing Authorities
as basis 5 people with 10-15 years of experience in major project preparation and implementation, legal issues and public procurement
Preparing the concept and methodology of phasing, assessment of individual projects and project documents (feasibility studies, application forms, tender documents) with the involvement of JASPERS, participation in project meetings
I. Definition
Phasing (2012):the physical and financial division of a project in two phases, where a project was approved, its implementation and absorption of EU Funds started under the provisions of the programming period 2007-2013, and a part of the project (second phase) is financed from the EU Funds available in the 2014-2020 programming period, completing the project in its entirety.
II. Regulations
COCOF_12-0047-02-EN: Guidance note on major projects
spanning over two programming
periods
Commission clarification on how to apply the rules for major projects which may not be completed on time by the end of the 2007-13 programming period. The note recalls the current framework and basic principles and sets out the steps to follow in order to handle the risks arising from uncompleted projects at the end of the 2007-13 programming period.
Closure Guidelines (draft):
Points 3.3. and 3.4. detail the main conditions for phasing of major and non-major projects. It will have also a Questions and Answers document for examples and more detailed clarification.
2014-2020 General Regulation (draft):
The possibility and the modalities of the continuation of support for phased projects should be laid down in Article 145 of the 2014-2020 CPR-regulation.
Reasons for phasing
1.Extention of implementation time (end of 2015):
- delays in public procurement;- implementation problem;- unrealistic time scheduling.
2. Launch a project at the end of programming period (absorption)
Phasing procedures
Member States should communicate to the Commission by 30 June 2015 a list of major projects which they propose to divide into phases.
Commission recommends that a list of phased major projects is established and agreed between the Commission and the Member States concerned. This list should be included in the final report of the operational programme concerned.
In order to formally request the phasing of the projects, the Member States must submit:
a)either major project applications with a phasing proposal b)or their requests for modification of the corresponding Commission Decisions according to the rules applicable to the modification of Commission decisions of approval for major projects.
List of all phased major projects in the corresponding operational programmes concerned under the 2014-2020 period.
Conditions for phasingI. Project size
1. Major projectsThe revised Article 39 of 1083/2006/EK Regulation introduces a uniform threshold
of EUR 50 million applicable to all major projects. In order to determine whether a project or project phase falls within the scope of
Articles 39 and 40, the total cost of the investment has to be considered and not just only one particular phase of it. This total cost should correspond to a project, seen as a self-sufficient unit of analysis, for which the CBA and EIA assessment are carried out. If the total cost is above the €50 million threshold set out in Article 39, even if the project should be split between two programming periods, a major project application should be submitted to the Commission by the Member State or the responsible managing authority.
It is a must to list all phased projects as major projects in the corresponding operational programmes concerned under the 2014-2020 period.
2. Non-major projectsThe principle of phasing can also be applied for non-major projects where the total
cost of each project amounts at least to EUR 5 million.
Conditions for phasingII. The two phases
The project has two clearly identifiable stages as regards its physical and financial objectives:
The first phase of the major project is completed and should be completed and ready to be used for its purpose and/or function specified in the Commission decision by the deadline of the submission of the closure documents (2017.03.31.).
The second phase should be eligible for financing from Structural Funds and/or Cohesion Fund under the 2014-2020 programming period and it shall be implemented and completed within the 2014-2020 programming period. Maintain the original overall objective of the major project that needs to be achieved within the 2014-2020 programming period. Member State should indicate in the final implementation report that a necessary legal and financial commitment was made in order to complete and render operational the second phase under the 2014-2020 programming period.
