Projects spanning over
two programming periods
Department for Programme and Project Preparation
Beatrix Horváth, Deputy Head of Department
Budapest, 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_12-0047-02EN: 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 Points 3.3. and 3.4. detail the main conditions for
(draft): 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 The possibility and the modalities of the continuation
Regulation (draft): 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
(absorption)
project
at
the
end
of
programming
period
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
programmes concerned under the 2014-2020 period.
operational
Conditions for phasing
I. Project size
1. Major projects
The 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 projects
The 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 phasing
II. 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.
Thank You for Your attention!
E-mail: beatrix.horvath@nfu.gov.hu