APLICATION PACK Priority 1 for researchers

Transcription

1 The ESPON 2013 Programme APLICATION PACK Priority 1 for researchers Project specifications How to apply Call for Proposals on Applied Research Projects (11 Projects)

2 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/7 Attractiveness of European Regions and Cities for Residents and Visitors ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering regions and larger territories more options to decide their development path, as development is no longer a zero sum game for Europe. - Interaction is growing within the EU territory and between the surrounding neighbour countries and other parts of the world. This is apparent through e.g. migration pressure on more developed countries, which are themselves confronted with population decline, and by access to and investment in new markets. - Market forces and the evolution of society in general support a geographical concentration of activities. - The ongoing demographic changes with an ageing European population, in addition to migration, affect regions differently and increase the competition for skilled labour. - The occurrence of hazards due to climate change is increasing and different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others. This presents particular development opportunities for the production of renewable energy sources. - The enlargement of the EU to 27 Member States, and potentially more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them in different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas, as well as to Cohesion Policy. Territorial diversity, especially in 1

3 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. The ESPON 2006 Programme provided integrated analysis and long-term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. This has prompted interest among policy makers and practitioners for even more information, knowledge and understanding that ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further through applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON 2013 Programme will potentially benefit stakeholders at all levels throughout Europe. Policy makers dealing with territorial development require sound evidence and comparable regionalised information in addition to medium and long-term development perspectives, in order to create sustainable and efficient integrated policy responses for their territories. Given that the European Union is moving towards a more integrated policy approach, the territorial dimension is particularly important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element within the framework of policy making. Due to the provision of evidence based on analyses of territorial units, the ESPON 2013 Programme is of strategic importance for European policy development and cooperation. By further developing and expanding the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the period, and contribute to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. 2

4 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. - Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and / or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use and dissemination of results to an audience of policy makers, practitioners, scientists and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success in the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective on development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their tasks will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

5 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be undertaken to develop current achievements and make use of existing indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will make the evidence and knowledge already developed operational through raising awareness and involving stakeholders in the results and practical application of them. This project belongs to the first priority. It holds a key position in developing a common understanding of the relation between attractiveness and competitiveness of European regions and cities. Knowledge on these issues is vital for targeted policy development in the light of Cohesion Policy aiming, inter alia, at job creation and supporting cities and regions in becoming competitive and attractive for residents and visitors. Therefore a strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the appointed Sounding Board and the ESPON CU must also be established as part of the project implementation. (iii) Thematic scope and policy context Economic analysis often focuses exclusively on the sites of production. This project focuses on the sites of consumption. Instead of looking at large manufacturing plants producing for export or at multinational headquarters, this project will look at the impact of shops and restaurants, hotels and hospitals, doctors and post offices. The attractiveness of European regions and cities for residents and visitors alike depends on the quality, cost and availability of specific services and goods. In the context of updating the ESPON Demography/Migration Typology Map (2008) it became clear that migration is a driving force for the development of human resources in regions and cities. The attractiveness of living conditions thus becomes an important issue. The efforts of a region and/or city, especially in the European periphery, in becoming attractive for people wanting to move there are apparently intertwined with the efforts trying to achieve balanced territorial development. Attractive, competitive and dynamic regions and cities have been a major issue for the development of respective policies. The ESDP (1999) already underlined the need to support regions and cities in becoming more competitive and attractive. 4

6 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The Territorial Agenda of the EU (2007) builds upon this notion and introduces a new aspect, emphasising that a continuous dialogue is necessary in order (...) to secure better living conditions and quality of life with equal opportunities (...) irrespective of where people live. (...). It states, that (...) the private sector (especially locally and regionally based entrepreneurship), the scientific community, the public sector (especially local and regional authorities), non-governmental organisations and different sectors need to act together in order to make better use of crucial investments in European regions. (...) In that context, the Leipzig Charter on Sustainable European Cities (2007) underlines the role of the local economy, especially in deprived urban neighbourhoods, stating that (...) in this context, labour market and economic policies which are tailored to the needs of the individual neighbourhoods will be appropriate instruments. The objective is to create and secure jobs and to facilitate the start-up of new businesses. (...) The Green Paper on Territorial Cohesion (2008) brings all aspects together in stating that (...) increasingly, competitiveness and prosperity depend on the capacity of the people and businesses located there to make the best use of all of territorial assets. In a globalised and interrelated world economy, however, competitiveness also depends on building links with other territories to ensure that common assets are used in a coordinated and sustainable way. Cooperation along with the flow of technology and ideas as well as goods, services and capital is becoming an ever more vital aspect of territorial development and a key factor underpinning the long-term and sustainable growth performance of the EU as a whole. (...) The necessity that the growth performance of the EU shall be sustainable has recently been underlined by the President of the European Parliament (2008), arguing that (...) economic growth cannot be measured by GDP alone, but must also reflect social and environmental conditions. In this sense, the EU should not be compared to other fastgrowing economies where social values are not respected in the same way. (...) The Green Paper on Territorial Cohesion launches a debate on territorial cohesion. In this debate, it highlights the issue of attractiveness and competitiveness but also encourages more analysis on this. One of these issues is environmental policy: (...) Environmental policy impacts in many ways on the location of economic activity. Regulatory requirements can have a spatial dimension and influence land use planning. To effectively meet policy objectives and standards, regions and stakeholders work together, for example in the context of the Community Biodiversity Action Plan and the joint management of Natura (...) Another issue is competition policy: (...) Competition policy can affect the territorial distribution of economic activity by ensuring that regional aid is concentrated in the most disadvantaged areas and by adjusting the intensity of aid to the nature and scale of problems. (...) Against this background, the project should strive to achieve a better understanding of the following key policy questions, for which it should produce supporting information and evidence: 5

7 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 How does the attractiveness of European regions and cities for residents and visitors contribute to economic performance? What are the key ingredients of attractiveness in different types of territories, from vibrating city centres to tranquil rural settlements, taking into account issues such as access to services, well-being and quality of life? How can policy makers improve the attractiveness of their city or region and reconcile the interests of visitors with those of their residents? The perspective of applied research under this measure shall be guided by the objective to identify perspectives and trends for the attractiveness of European regions and cities for residents and visitors, also in the light of the Lisbon Agenda, the Gothenburg Agenda and Agenda 21. Coordination should take place with other relevant ongoing ESPON Projects, above all the projects on Cities and Urban Agglomerations (FOCI), Rural Areas Development (EDORA), Territorial Impact Assessment (TIA), The Case for Agglomeration Economies in Europe (CAEE), The Development of the Islands European Islands and Cohesion Policy (EUROISLANDS) and Territorial Diversity (TeDi) and particularly with the project on Services of general interest, the latter starting in parallel to this project. (iv) Analytical framework and deliveries expected Attractiveness of regions and cities is becoming increasingly important for the ability of places to attract residents and visitors. Many regions and cities are already working on improving and marketing themselves as attractive places to settle down and/or to visit for tourist and/or commercial reasons. The project shall start off with developing an improved methodology to measure the attractiveness of European regions and cities. Attractiveness comprises a number of issues, amongst others the residential economy, retirement services, conference and tourism facilities, cultural and natural attractions. The project shall consider existing data and indicators for the analysis. The data, indicators and maps of the ESPON 2006 Programme are one important source in this respect. This project shall in particular be informed and make use of relevant results from the following previous and current ESPON Projects: The previous ESPON Project ( Preparatory Study of Spatially Relevant Aspects of Tourism ) provided an overview over what an attractiveness and competitiveness factor like tourism is and how it can be defined and described and analysed the size of tourism at regional level in Europe. 6

8 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The previous ESPON Project ( Urban Areas as Nodes in a Polycentric Development ) showed that urban nodes are functionally specialised which may contribute to their attractiveness. The previous ESPON Projects ( Territorial Trends of the Managements of the Natural Heritage ) and ( Impacts of Cultural Heritage and Identity ) outlined that natural and cultural heritage are both assets for economic development, thus showing different territorial patterns. The project shall strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental, and economic aspects. In addition, a three-levelapproach (European, transnational / national, regional) to the analysis, commonly used by all ESPON applied research projects, should be applied in order to support a clear presentation of results, which might vary depending on the geographical scale. The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. In the concrete design of the applied research project and its work packages, the project is expected to answer the following key research questions: What are key factors/criteria of attractiveness? What different types and/or categories of residents and visitors that are relevant for this project can be recognised? What are the key factors/criteria of attractiveness for residents (in terms of e.g. functionality, access to services and higher education facilities, labour market/job availability, the creative economy, land prices, housing markets/mortgage availability, criminality, quality of life, cultural scene, trendsetting, different cultures/ages), and for visitors (in terms of e.g. retail, connectivity, ambience/urban fabric, events, conference facilities, urban and natural heritage)? What are the spatially relevant factors (e.g. territorial and space-time-wise distribution of settlement and transportation networks as well as relations between them, functional and physical efficiency of spatially significant attributes of settlement and transportation nodes, territorial and space-time-wise potentials derived from landscape)? To what extent do all these factors influence the economic development of a region/city? How are these factors distributed among European regions and cities? How can these factors be measured? Are there any conflict patterns visible among these factors (e.g. between regional attractiveness and regional sustainability/quality of life)? Do these factors 7

9 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 influence those criticalities hindering cohesion (if yes, how)? Do some attractiveness factors have counter-effects on social and economic cohesion? What is the role of sectors and trends for attractive regions and cities? What role in- and out-migration have played and will play, particularly in an historic dimension over time? What is the role of retail/trade as well as cross-border sites of real estate as drivers for attractive regions and cities both in urban and rural settings? What is the role of public sector investments in terms of investment flows, but also in terms of labour market influence? What is the significance of attractiveness in developing and exploiting sustainable tourism? What are the challenges and development opportunities related to natural, cultural and landscape heritage in enhancing attractiveness? Which instruments could be proposed for enhancing attractiveness? Which regions and cities might face difficulties in ensuring a high level of attractiveness for residents and visitors in the short-term future (taking account of the key factors identified before)? What could be possible policy responses to these difficulties? Which set of tools and instruments can be developed for policy makers in this respect? Do new types of regions occur due to the policy setting which will change current mental maps? Which are attractiveness patterns and future perspectives? What are the differences in attractiveness patterns when looking at multiple levels, i.e. local, regional, national, European and global level, focusing particularly on correlations between cities and their surrounding regions? What are the differences of these patterns over space and time? What are the territorial dynamics over space and time? What can be possible development paths/future perspectives for both, attractive and still unattractive regions, taking into account current and future global challenges e.g. climate or demographic change? The project shall include a limited number of targeted case studies in order to receive some more focused and detailed information on the attractiveness of European regions and cities. Different types of regions and cities displaying different levels of attractiveness shall be considered in the selection of case studies. The geographical coverage of the project shall encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the Transnational Project Group (TPG) should assess the data situation for their field of research in the EU Candidate Countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and / or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and report on their 8

10 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 findings in the Inception Report. Depending on the respective data situation these countries would then be included in the analysis. The deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON Website. The project is expected to enhance the scientific platform of ESPON with at least the following deliveries: Data input to the development, update and extension of the ESPON Database by additional data on attractiveness and competitiveness gathered within the project, particularly in relation to the new ESPON Partner States (Iceland and Liechtenstein). Indicators need to offer compatibility with a map-making facility, to provide a consistent, homogenous, reliable, and up-datable database. Indicators as well as new complex indicators offering as tools additional information on the different types of attractiveness and competitiveness. Innovative case studies (selected on the basis of a balanced geographical coverage) covering data and best practices which otherwise would not be available. European maps (preferably tridimensional) revealing the attractiveness of European regions and cities (including land prices) as well as new types of regions. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG in charge of the development of the ESPON 2013 Database and Data Development Project. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new typologies if applicable and maps resulting from the project. In order to create coherence with project findings of other ESPON applied research projects, the project should present the main final results in relation to different types of regions and cities, using existing typologies for the urban system, rural areas, mountain areas, islands, coastal areas and outermost regions. The final results should also be presented for transnational cooperation areas under Structural Funds, and where appropriate and possible also for cross-border cooperation areas and inter-regional cooperation areas. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the regions and cities in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion and the Fourth Report on Social and Economic Cohesion as well as the spring 2009 debate opened by the Green Paper on Territorial Cohesion. Project findings should make clear which impact the use of the identified development opportunities could have on the competitiveness and socio-economic situation of 9

11 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 European regions and cities as well as on the realisation of economic, social and territorial cohesion in Europe. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 2 timetable and specification of outputs: June/July 2010 (Inception Report): Twelve weeks after the Kick-Off Meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main literature, data sources, etc. The Inception Report shall also inform about the selection of case studies that will be conducted on different types of regions and cities displaying different levels of attractiveness. It shall as well include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The report shall give clear orientation for the applied research previewed towards the Interim Report. The research team should also report on the findings regarding the assessment of the data situation in the EU Candidate Countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON results that are relevant for this project. November/December 2010 (Interim Report): The content of the Interim Report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report is envisaged to include elements such as: a) Preliminary results on the basis of available data, developed indicators, typologies, and European maps, including 2 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 10

12 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Data collection achieved, including an overview on statistical and geographical data collected by EUROSTAT, and National Statistical Institutes, etc.; Draft European maps; First indications on the conclusions and policy relevant options that could be the outcome of the project. b) Plan for the applied research towards the Draft Final Report as well as the Table of Content envisaged. November/December 2011 (Draft Final Report): The Draft Final Report will take into account feed-back on the Interim Report from an ESPON Seminar and by the Sounding Board. The report is supposed to include elements such as: c) Report (max. 50 pages) on the main results, trends, impacts, projections and options for policy development, including key analysis/diagnosis/findings and the most relevant indicators and maps (any additional information should be included in a Scientific Report). Particularly important are options for policy makers, which could provide the basis for interventions related to opportunities for improving European competitiveness and cohesion. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the report mentioned above. e) Scientific Report documenting the scientific work undertaken in the applied research including elements such as: Literature, definitions and methodology/theory used; Methodologies, typologies and concepts developed and used; Data collected and indicators used, including calculation algorithms and tables with the exact values of indicators; Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland; Tools and models used or developed; Future research avenues to consider, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. April/May 2012 (Final Report): f) Revision of the Draft Final Report on the basis of comments received. May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the ESPON CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. 11

13 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON Seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON Seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project amounts to , including VAT, if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vii) Existing access points Synergies and use of results from outside the ESPON context shall be sought. In particular, research activities by international bodies like the OECD, the European Commission Joint Research Centre and the European Environmental Agency (EEA) might be valuable sources for this project. The other access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. ESPON projects results, data, tools and maps (available at The Territorial Agenda of the European Union (2007) The Leipzig Charter on Sustainable European Cities (2007) The Green Paper on Territorial Cohesion (2008) The Fourth Report and Social and Economic Cohesion (2007) CEDEFOP European Centre for the Development of Vocational Training, European Foundation of the Improvement of Living and Working Conditions (2006) Fostering mobility through competence development 12

14 ESPON 2013 Programme Project Specifications Project 2013/1/7 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Commission of the European Communities, Communication from the Commission COM(2005) 0299 Cohesion Policy in Support of Growth and Jobs: Community Strategic Guidelines, European Foundation for the Improvement of Living and Working Conditions, (2004) Quality of life in Europe. First European Quality of Life Survey 2003 European Union, Committee of Regions (1999) Evaluating Quality of Life in European regions and cities European Union, Committee of Regions (2006) Sustainable Tourism as Factor of Cohesion Among European Countries URBACT, C.H.O.R.U.S Network A good practice charter Cultural heritage operations for the regeneration of urban sites URBACT, the URBACT Culture Network Culture & Urban Regeneration. The role of cultural activities & creative industries in the regeneration of European cities EEA (2009) Quality of life in Europe s cities and towns 13

15 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/8 European patterns of land use ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering regions and larger territories more options to decide their development path, as development is no longer a zero sum game for Europe. - Interaction is growing within the EU territory and between the surrounding neighbour countries and other parts of the world. This is apparent through e.g. migration pressure on more developed countries, which are themselves confronted with population decline, and by access to and investment in new markets. - Market forces and the evolution of society in general support a geographical concentration of activities. - The ongoing demographic changes with an ageing European population, in addition to migration, affect regions differently and increase the competition for skilled labour. - The occurrence of hazards due to climate change is increasing and different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others. This presents particular development opportunities for the production of renewable energy sources. - The enlargement of the EU to 27 Member States, and potentially more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them in different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas, as well as to Cohesion Policy. Territorial diversity, especially in the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. 1

16 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The ESPON 2006 Programme provided integrated analysis and long-term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. This has prompted interest among policy makers and practitioners for even more information, knowledge and understanding that ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further through applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON 2013 Programme will potentially benefit stakeholders at all levels throughout Europe. Policy makers dealing with territorial development require sound evidence and comparable regionalised information in addition to medium and long-term development perspectives, in order to create sustainable and efficient integrated policy responses for their territories. Given that the European Union is moving towards a more integrated policy approach, the territorial dimension is particularly important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element within the framework of policy making. Due to the provision of evidence based on analyses of territorial units, the ESPON 2013 Programme is of strategic importance for European policy development and cooperation. By further developing and expanding the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the period, and contribute to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. - Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. 2

17 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use and dissemination of results to an audience of policy makers, practitioners, scientist and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success in the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective on development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their tasks will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

18 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 undertaken to develop current achievements and make use of existing indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will make the evidence and knowledge already developed operational through raising awareness and involving stakeholders in the results and practical application of them. A strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the appointed Sounding Board and the Coordination Unit must also be established as part of the project implementation. This project belongs to the first priority. It holds a key position in developing a common understanding of land use patterns from a European perspective, their changes and their policy implications in Europe. Knowledge on these issues is vital for targeted policy development in the light of Cohesion Policy aiming, inter alia, at job creation and tackling social changes. (iii) Thematic scope and policy context Land use can be understood as the territorial reflection of social and economic behaviour and the ecological borders they meet. The land use of a territory is described by the functions that occupy it and/or the activities it is used for. The categories of functions that are mainly used are: industry and economic activity, housing, agriculture, nature, infrastructure and recreation. In the context of this project specification urban functions refer to some of the main functions mentioned above that occur in built up areas (e.g. housing, industry, retail, etc.) Patterns of land use can be characterised by e.g. densities, combinations of land use or mixed land use, and the spatial composition (e.g. grouped or scattered). Land use patterns vary depending on the scale they are perceived on, e.g. a specific pattern on a local scale might very well be different when looking at it on a regional scale. Land use patterns can change when land uses change. Land use has also a dynamic aspect. Due to social, economic and environmental development changes in land use occur. Major effects of land use change include urban sprawl, soil sealing, loss of biodiversity, soil erosion, soil degradation, floods, salinisation and desertification. Moreover, land-use change is a major anthropogenic source of carbon dioxide, a dominant greenhouse gas. According to the EEA 2 the type of land use change varies among different types of regions. Urban areas and related infrastructure are the fastest growing land consumers, mainly at the expense of productive agricultural land. Rural landscapes are changing due to agriculture intensification, land abandonment and forest exploitation. Coastal and mountain areas are undergoing profound spatial reorganisations to accommodate intensive tourism and leisure activities. Each change leads to its own type of benefits and problems and its own type of policies to solve these problems. 2 See 4

19 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 European countries, regions and cities have formulated spatial development strategies in order to influence land use dynamics. Although land use policies throughout Europe may vary, in general they aim at a sustainable development of space by promoting the protection of open space, the concentration of hard functions (e.g. housing and industry) in urban and economic poles and using existing infrastructure as a basis for new development. These and also some other spatial development principles have been integrated in the European Spatial Development Perspective (ESDP). The EEA report on urban sprawl (EEA, 2006) describes urban sprawl as the spreading of cities in a scattered way. A conclusion of this report is that urban sprawl is not driven principally by population growth but by changing lifestyles and consumption patterns as well as lenient, service-driven planning policies at local/regional level. Moreover, structural EU policies had inadvertent socio-economic effects that have promoted the development of urban sprawl. One of the conclusions of the final report on Progress on EU Sustainable Development Strategy (2008) of the European Commission is that Certain areas of relevance to SD are not explicitly covered; e.g. spatial planning/land use/urban development or addressing wastelands (New Member States) receive only limited attention. One of the problems identified receiving less attention overall is that the integration of land-use planning and transport planning can be improved, as this is a domain which is closely related to the daily mobility patterns of European citizens. Urban sprawl... contributes to less effective public transport systems, increased utilisation of the car, crosscommuting and increased congestion overall. Finally, the report points out that landuse changes and the encroachment of built-up areas still jeopardize the long-term viability of Europe s trees,... The fragmentation of ecosystems remains one of the most important factors behind declining biodiversity and hence reduced economic and physical values of ecosystem services they produce. Two of the three policy responses mentioned in the Green Paper on Territorial Cohesion (2008) are Concentration and Connection. Concerning Concentration, the Green Paper indicates that the settlement pattern of the EU is unique because its relatively dense urban network contains few very large cities. This settlement pattern has many advantages. The pattern of economic activity, however, is far more uneven than that of settlements. Concerning Connection, the Green Paper indicates that intermodal transport connections are essential to address the special needs of disadvantaged groups. Actually, the same holds true for valuable natural areas. The sixth priority of the Territorial Agenda (2007) concerns strengthening ecological structures and cultural resources. In order to deal with these two policy topics it is important to first have an overview on the present status of Concentration and Connection. The structures of urban, economic and natural concentrations have to be investigated and mapped as well as the (inter)connections between urban, economic and natural areas. Only then the types of concentrations and connections that are suitable for regional and economic development can be determined. Concerning land use and land cover in Europe several sources are available at a very detailed level, including the CORINE and the LUCAS database, the Soil Sealing Map and the Urban Atlas. However, from a European point of view, these are hard to use in policy development since they don t link to administrative levels. This project is about 5

20 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 combining and aggregating land use, land cover and administrative data into meaningful typologies that can be used for policy design at European, national and regional level. Against this backdrop, the project should strive to achieve a better understanding of the following key policy questions, for which it should produce supporting information and evidence: What does the current European land use look like, what are the current land use patterns on the European territory, where are certain patterns dominant and in what particular types of regions or countries? What are the changes of land use, the main dynamics and trends, over the last 16 years ( )? Where are the main changes in typical land use patterns? And what are the main driving forces behind these land use and land use pattern changes? To what extent are existing land use patterns throughout Europe in line with the general spatial development principles as formulated in most territorial policy documents (e.g. ESDP)? How will this picture look like if no extra policy action is taken and new territorial dynamics come into play? What are the relations between land use patterns (and more specifically urban land use patterns) and drivers of development such as geographical, demographic and cultural influences, climate change, transport, employment, GDP and other economic structures. How and to what extent are land use patterns efficient in relation to these aspects? And what are the relations between urban areas and open space (non-build areas)? Are there typical land use developments and patterns in particular types of regions such as border regions? How can these developments, e.g. through cooperation initiatives, be coordinated and create a development potential? Coordination should take place with other relevant ongoing ESPON projects (above all the projects on Rural Areas Development (EDORA), Territorial Impact Assessment (TIA) and Climate Change and Territorial Effects on Regions and Local Economies. Results deriving from the ongoing targeted analysis Spatial scenarios: new tools for local-regional scenarios (SS-LR) (under Priority 2 of the ESPON 2013 Programme) are to be taken into account as well. Some ESPON 2013 projects that start in parallel with this project might also generate relevant information, in particular the ones on Attractiveness of European Regions and Cities for Residents and Visitors and European Perspective on Specific Types of Territories. (iv) Analytical framework and deliveries expected The project shall start off with an investigation on what land use data already exists. An overview shall be given on existing databases, the location/owner of these data bases, the temporal dates available, if the data is available for ESPON, to what extent it covers the ESPON territory and if it can be used in this research. The project is expected to provide on this basis definitions for land use and land use functions that are relevant within the focus of this project allowing for European wide comparison and policy relevant analysis. 6

21 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The project shall continue with an inventory on land use patterns, typologies, dynamics and inter-linkages. This inventory shall include an overview on what is known on European land use patterns, possible definitions of land use patterns for specific land use types and a comprehensive SWOT analysis of various types of land use patterns. For urban land use, not only the spread of urbanised areas or the fragmentation of landscapes shall be taken into account, but also the densities of traffic-inducing settlement structures, their proximity to public transport and other factors that lead to non-efficient and unsustainable use of land (eg.: settlement growth vs. agricultural/rural uses). This inventory will lead to an overview of various types of land use patterns and possibilities to measure them, an overview on existing and for this research suitable definitions and typologies for rural land use, urban land use and open space (non-built areas), and to an overview of methods, indicators and/or concepts that can be used in territorial research at European scale. The policy relevant typologies for land use developed by EEA and CEMAT shall be used as a starting point. More specifically for urban land use the inventory will also give an overview on the characteristics of sprawl, a clear definition of sprawl, indications on how sprawl can be measured and one or more indicators for sprawl. The inventory will also look into the dynamics of land use; how can changes in land use and land use patterns be measured and visualised. Existing methods and visualisation techniques will be described and evaluated in order to find suitable methods for the European territory and its policy makers. Finally, the inventory shall include an overview of possible relations between specific land use patterns and the economic, social and environmental performance of European regions. This overview will also describe and analyse existing methods, indicators and/or concepts to indicate these relations and their relevance to be used in territorial research at European scale. Moreover, methods will be sought, developed and described that could measure land use efficiency in relation to aspects such as population, transport, employment, GDP and other economic structures. A source for the inventory that should be taken into account is the EEA report (2006) on urban sprawl in Europe. The report, for example, lists drivers of urban sprawl, classifies cities in compact/sprawled, describes the impacts and indicates what might be possible responses. However, the focus is only on urban development, other land use changes such as extension of economic sites and infrastructures, forests creation and management, etc. have not been analysed. The EEA report, however, lacks a clear methodology of how to identify and measure sprawl and its analysis of changes over time does not sufficiently take into account the issues related to the relatively low resolution of the CORINE and the combination of high change threshold with large difference in the number of years between the two dates of measurement. Furthermore, the EEA supports their findings through maps and data on a more local level. Considering these lacks, the ESPON project on European land use patterns should improve the EEA research done on urban sprawl and pull it up to a higher level, by looking at land use change in general and by using a 4-level-approach (European, transnational/national, regional and local) for the analysis and when presenting conclusions. This project will also benefit from the additional information available through the EEA Soil Sealing Layer and the Urban Atlas as well as from a brand new CORINE land 7

22 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 cover map. Concerning the CORINE land cover map, this project will develop a strategy in order to measure land use change in a sufficiently reliable way taking into account the low resolution and the high change detection threshold used in the previous analysis of CORINE 1990 and After these inventories, use shall be made of already available database(s) to develop a for ESPON suitable land use database. This database should at least incorporate two reference dates in order to make it suitable to study land use dynamics. The database should at least have the following functions incorporated: artificial surfaces divided in urban fabric, industrial and others, agricultural and rural areas, forest and semi-natural areas, wetlands and water bodies. The land use data in this database can now be used to answer the key policy questions described before and test the concepts and methods defined and analysed in the inventories. A European land use map should be created and, based on the land use data in this database, an overview shall be made of often occurring patterns of land use. The typologies, indicators, dynamics and interlinkages discussed above and resulting from the inventory and SWOT analyses shall be tested using the land use data. In order to obtain information on land use that is useful on administrative level different data layers should be combined. Therefore, research shall be conducted on how land use data and land use patterns can best be combined with data on administrative level. One of the options that should be examined is to transform data of land use and land use patterns on grid level into land use data on administrative level (NUTS3). This research could then be used to analyse the importance of land use and its patterns as an indicator for showing the link between territorial phenomena and socio-economic developments. A methodological framework should be developed that could be used to analyse where, and in which way, on a European, (trans)national, regional and local level, land use change took place. This methodological framework should be applied on the data available. Within this analysis the time frame, the extent and the reasons (internal, e.g. politics, or external, e.g. globalisation) of these changes should be taken into account. At the same time the consequences (economic, social and environmental) of EU policy for land use changes should be analysed. The focus in this analysis should be on the various typologies defined before. Based on the various land use patterns, different typologies of land use and land use change shall be created. The links between various types of land use, for example the link between natural areas and urban areas, should be analysed. A SWOT analysis of the various typologies should be performed identifying the strong and weak points and indicating opportunities and threats. The SWOT analysis should be focused on territorial, environmental, economic and social aspects and their interrelation. Based on this analysis, improvements in EU policy to enhance sustainable territorial development of each of the typologies should be identified. The latter can support policy makers in addressing land-use related issues when drafting territorial development strategies. Moreover, tools should be identified and described that could be used to support the policy development process to manage land use change in general and urban sprawl specifically. The project should consider existing data and indicators for the analysis. The data, indicators and maps of the ESPON 2006 Programme are one important source in this 8

23 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 respect. This project shall in particular be informed and make use of relevant results from the following previous and current ESPON projects: ESPON project on Potentials for polycentric development in Europe provides an overview of the European urban system with regards to functional specialisations and current degrees of polycentricity. It also made a prospective analysis of possible effects of regional polycentric integration in different parts of Europe. Finally, the different applications of polycentricity in national policies have been reviewed. ESPON project on Study on Urban Functions first assessed the results of project where after the delimitation of Functional Urban Areas (FUA) and its typologies have been adjusted. Finally the polycentricity issue has been discussed. ESPON Project on Urban-rural relations in Europe developed a typology based on population density, FUA ranking and land cover. It discusses topics such as urbanisation, rural restructuring, the urban-rural characteristics, the relations between urban and rural areas and finally urban sprawl. ESPON Project on The Role of Small and Medium-Sized Towns (SMESTO) builds on and deepens the discussions initiated by ESPON and ESPON It discusses the role of SMESTOS within the spatial organisation of European cities and towns, identifying relevant nodes and analysing the way in which they structure the territory. ESPON Project on Territorial impact of CAP and Rural Development Policy concluded that in aggregate the Common Agricultural Policy (CAP) of the European Union (EU) has worked against the ESDP objective of balanced territorial development, and has not supported the ESDP objectives of economic and social cohesion. ESPON Project on Territorial effects of structural funds addressed the spatial impacts of Structural Funds with a particular focus on polycentricity and territorial cohesion in Europe. ESPON Project on Territorial trends and impacts of EU Environment Policy interpreted the CORINE Land Cover data, combined socio-economic data, information on infrastructure and data of the Natura 2000 network and proposed a feasible Territorial Impact Assessment (TIA) of EU Environmental Policy. The project shall strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental, and economic aspects. The analysis shall be guided by a 4-level-approach (European, national, regional and local) of which the first three are commonly used by all ESPON applied research projects. The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. 9

24 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 In the concrete design of the applied research project and its work packages, the project is expected to answer the following key research questions: What is the current situation of existing spatial data and information related to the aspects of land use (urban, non-urban, rural, natural, etc.), land use patterns (sprawl, compact and ribbon development, rural-urban development, etc.), land use change (dynamics and trends) and policy-relevant typologies? What are suitable and reliable methods to measure these aspects and to monitor land use change? Based on the land use data gathered, what does the European map look like regarding land use, land use patterns and their changes and where in Europe can typical land use patterns be found, such as sprawl, compact and ribbon development for urban land use and fragmentation, connected areas and stepping stones for rural land use and high quality open space? What relations can be found, for instance, between specific land use patterns and the territorial, economic, social and environmental performance of European regions, between urban areas and open space at a certain distance, between urban sprawl and specific features, such as mountains and rivers and between land use efficiency and aspects such as population, transport, employment, GDP and other economic structures? And how can these relations be measured and visualised and which of these relations are suitable to use in territorial research at European scale? Is it possible to detect specific land use development patterns in cross-border regions? If this is the case, where are they situated and how can they be explained? Are the differences between patterns inside neighbouring crossborder regions and between border regions and inland regions significantly different? The geographical coverage of the project should encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the TPG should assess the data situation for their field of research in the EU candidate countries (i.e. Croatia, the Former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and report on their findings in the inception report. Depending on the respective data situation these countries would then be included in the analysis. The deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON website. The project is expected to enhance the scientific platform of ESPON with at least the following deliveries: Data input to the development, update and extension of the ESPON database by additional data on potential accessibility gathered within the project, particularly in relation to the new Partner States, Iceland and Liechtenstein. Indicators need to offer compatibility with a map-making facility, to provide a consistent, homogenous, reliable, and up-datable database. Indicators offering additional information on land use patterns, sprawl and the link between territorial phenomena and socio-economic developments. Typologies developed by this project for land use, land use patterns, sprawl and land use change. 10

25 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 European maps revealing (1) different patterns of land use functions, (2) changes of land use patterns, (3) efficiency of land use patterns, (4) the typologies defined, (5) the links between various types of land use, (6) land use changes at EU, national, regional and local level, and, (7) land use development patterns in cross border regions. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG in charge of the development of the ESPON 2013 Database. The TPG is also expected, in coordination with the ESPON CU, to contribute to the INSPIRE data specifications development process with specific reference to the data theme land use (INSPIRE annex III). Travel budget for participating in at least two INSPIRE meetings should be included. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new maps resulting from the project. In order to create coherence with project findings of other ESPON applied research projects, the project should present the main final results in relation to different types of regions and cities, using existing typologies for the urban system, rural areas, mountain areas, islands, coastal areas and outermost regions. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the regions in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion and the Fourth Report on Cohesion. Project findings should make clear which impact the use of the identified development opportunities could have on the competitiveness and socio-economic situation of European regions as well as on the realisation of economic, social and territorial cohesion in Europe. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 3 timetable and specification of outputs: 3 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 11

26 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 June/July 2010 (Inception report): Twelve weeks after the Kick-off Meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main literature, data sources, etc. It shall as well include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The report shall give clear orientation for the applied research previewed towards the Interim report. The research team should also report on the findings regarding the assessment of the data situation in the EU candidate countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON results that are relevant for this project. November/December 2010 (Interim report): The content of the Interim Report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report is envisaged to include elements such as: a) Preliminary results on the basis of available data, developed indicators, typologies, and European maps, including Inventory on existing land use data covering the ESPON territory together with an analysis on what land use data is available and can best be used in this research and how it can best be combined with data on administrative level Proposal for reference dates to analyse land use changes. Inventory on existing policy relevant typologies for land use together with an analysis on what policy relevant typologies can be usefully combined with ESPON data First definitions and typologies for land use, sprawl (and compact and ribbon development), open space and land use change Draft methodology to measure land use change, land use patterns and sprawl (and compact and ribbon development) First overview of types of land use patterns that often occur Proposal for a useful indicator for sprawl (and compact and ribbon development) Inventory on suitable methods, indicators and/or concepts used on a national level to indicate the link between territorial phenomena (such as mentioned above) and socio-economic developments that can be used in territorial research at European scale First overview of the impacts of urban areas at a certain distance of open space (and natural areas) considering the quality of natural areas, the touristic, recreational possibilities and urban expansion possibilities Draft methodology to measure the impacts mentioned above and a first overview of where the areas with potentials and risks are situated First analysis to detect specific land use development patterns in cross border regions and to detect significant differences between patterns in cross border regions and inland regions 12

27 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 First analysis of the relation between land use and land use patterns and other aspects such as the economic, social and environmental performance of European regions Proposal on how to measure land use efficiency in relation to aspects such as population, transport, employment, GDP and other economic structures Data collection achieved, including an overview on statistical and geographical data collected by EUROSTAT, and national Statistical Institutes etc. Draft European maps. First indications on the conclusions and policy relevant options that could be the outcome of the project. b) Plan for the applied research towards the draft Final Report as well as the Table of Content envisaged. November/December 2011 (Draft Final Report): The Draft Final report will take into account feed-back on the Interim report from an ESPON seminar and by the Sounding Board. The report is supposed to include elements such as: c) Report (max. 50 pages) on the main results, trends, impacts, projections and options for policy development, including key analysis/diagnosis/findings and the most relevant indicators and maps (any additional information should be included in a scientific report). Particularly important are options for policy makers, which could provide the basis for interventions related to opportunities for improving European competitiveness and cohesion. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the report mentioned above. e) Scientific report documenting the scientific work undertaken in the applied research including elements such as: Literature, definitions and methodology/theory used. Methodologies, typologies and concepts developed and used. Data collected and indicators used, including calculation algorithms and tables with the exact values of indicators. Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. Tools and models used or developed. Future research avenues to consider, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. April/May 2012 (Final Report): f) Revision of the Draft Final Report on the basis of comments received. May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. 13

28 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project amounts to including VAT, if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vii) Existing access points Synergies and use of results from outside the ESPON regime shall be sought. In particular, research activities by the EEA and JRC might be valuable for this project. The other access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. ESPON projects results, data and maps: The Green Paper on Territorial Cohesion (2008) Progress on EU Sustainable Development Strategy: Final Report. ECORYS Nederland BV, Brussels/Rotterdam, 29 February 2008 Statistics in Focus: New insight into land cover and land use in Europe - Issue number 33/2008 (KS-SF ). Urban sprawl in Europe: The ignored challenge. EEA report no. 10/2006 CEMAT, the European Conference of Ministers responsible for regional/spatial planning ( Urban Atlas (during 2009 via EEA, or via: GISCO in Geodata tab) 14

29 ESPON 2013 Programme Project Specifications Project 2013/1/8 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 GMES: GSE Land Information Services: Corine Land Cover ( Final report of a scoping study on modelling EU land-use choices and environmental impacts ( MOLAND project ( Land Use/Cover Area frame Survey (LUCAS: SF EN.PDF; European Topic Centre on Land Use and Spatial Information (Eionet: FTS Soil Sealing ( Population density grid (via EEA): FP6-Project on Peri-urban Land Use Relationships - Strategies and Sustainability Assessment Tools for Urban-Rural Linkages (PLUREL: FP6-Project SENSOR (for land-use & land-cover indicator activities see: Project on Sustainable Land Use Policies for Resilient Cities (SUPER-CITIES) ( Landscape Europe and the Blue Print for EUROSCAPE 2020 ( DG Agri project on Scenario study on agriculture and the rural world (Scenar 2020: INSPIRE Directive ( An overview of INTERREG III programmes and results throughout Europe ( The Interact programme which provides information on all European Territorial Cooperation Programmes ( 15

30 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/9 Territorial cooperation in transnational areas, between regions and across internal/external borders ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering regions and larger territories more options to decide their development path, as development is no longer a zero sum game for Europe. - Interaction is growing within the EU territory and between the surrounding neighbour countries and other parts of the world. This is apparent through e.g. migration pressure on more developed countries, which are themselves confronted with population decline, and by access to and investment in new markets. - Market forces and the evolution of society in general support a geographical concentration of activities. - The ongoing demographic changes with an ageing European population, in addition to migration, affect regions differently and increase the competition for skilled labour. - The occurrence of hazards due to climate change is increasing and different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others. This presents particular development opportunities for the production of renewable energy sources. - The enlargement of the EU to 27 Member States, and potentially more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting 1

31 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 them in different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas, as well as to Cohesion Policy. Territorial diversity, especially in the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. The ESPON 2006 Programme provided integrated analysis and long-term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. This has prompted interest among policy makers and practitioners for even more information, knowledge and understanding that ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further through applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON 2013 Programme will potentially benefit stakeholders at all levels throughout Europe. Policy makers dealing with territorial development require sound evidence and comparable regionalised information in addition to medium and long-term development perspectives, in order to create sustainable and efficient integrated policy responses for their territories. Given that the European Union is moving towards a more integrated policy approach, the territorial dimension is particularly important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element within the framework of policy making. Due to the provision of evidence based on analyses of territorial units, the ESPON 2013 Programme is of strategic importance for European policy development and cooperation. By further developing and expanding the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the period, and contribute to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. 2

32 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. - Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. - Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use and dissemination of results to an audience of policy makers, practitioners, scientist and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success in the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their tasks will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

33 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September Targeted analysis based on user demand: European perspective on development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be undertaken to develop current achievements and make use of existing indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will make the evidence and knowledge already developed operational through raising awareness and involving stakeholders in the results and practical application of them. This project belongs to the first priority and holds a key position in developing a common understanding of opportunities for territorial cooperation in transnational areas, between regions and across internal and external borders. It combines experiences of European Territorial Cooperation Programmes (and their predecessors) and knowledge delivered by former and ongoing ESPON projects. Profound knowledge on territorial cooperation is vital for targeted policy development in the light of cohesion policy aiming at improved regional competitiveness and sustainable and balanced growth of the European territory. A strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the appointed Sounding Board and the Coordination Unit must also be established as part of the project implementation. (iii) Thematic scope and policy context Territorial cooperation is seen as one of the most important factors contributing to innovation which is key in the achievement of sustainable growth and jobs. European territorial cooperation facilitates the exchange between people and regions on experience and best practice in regional policy, irrespective of existing borders. Experiences with territorial cooperation have been gathered in different European areas and with different structures. The European Commission granted support for territorial cooperation for the first time in 1989, when 14 groups of pilot projects were designed to tackle the structural development difficulties of border areas. Based on the experience of these pilot projects, the Commission launched in 1990 the INTERREG Community Initiative that was implemented through 31 operational programmes. In subsequent 4

34 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 programming periods the number of operational programmes in the framework of INTERREG continuously increased. With the current programming period the status of European territorial cooperation has changed, raising it to the level of one of the three main objectives of Cohesion Policy. The aim of this objective is to reinforce added value through cooperation across borders, transnationally as well as interregionally. Regions and cities from different EU Member States are encouraged to work together to find common solutions in the fields of urban, rural and coastal development, the development of economic relations and the setting up of small and medium-sized enterprises (SMEs). Cooperation should focus on research, development, the knowledge-based society, risk prevention and integrated water management. There are currently 52 cross-border and 13 transnational cooperation programmes being supported by the ERDF. Cooperation across external EU borders with candidate and potential candidate countries is facilitated by the Instrument for Pre-Accession Assistance (IPA), supporting administrative, social and economic reforms. At the same time, the European Neighbourhood and Partnership Instrument (ENPI) promotes cooperation and economic integration between the EU and partner countries, encouraging good governance and social as well as economic development. Even though INTERREG has been a key tool for the implementation of the European Spatial Development Perspective (ESDP), the ESPON 2006 Programme revealed some notable differences in the patterns of transnational cooperation intensity within cooperation areas and regions. In general, inland NUTS 2 regions tend to be involved less in cooperation arrangements (both in absolute numbers and when weighted by population) than border regions. In its Green Paper on Territorial Cohesion the European Commission also adresses territorial cooperation and attaches great importance to it in the framwork of European territorial development and in the long-term and sustainable growth performance of the EU as a whole 2. In order to deal with environmental, economic and social challenges cooperation of stakeholders across national borders, different policy sectors and policy levels is required. The European Commission notices that in the new Member States much remains to be done to develop coherent policies for infrastructure and economic cooperation and that external border regions lag further behind in economic development and GDP per head 3. Future considerations concerning the strengthening of territorial cooperation may benefit from facts concerning potential drivers for cooperation, determinants and governance structures. These could spark further interest of regions, cities and countries in entering 2 Commission of the European Communities (2008): Green Paper on Territorial Cohesion. Turning territorial diversity into strength. Brussels 3 ibid. 5

35 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 into cooperation arrangements. More evidence in this field can also serve as support in defining future EU Structural Funds contribution to territorial cooperation areas. Against this backdrop, the project should strive to achieve a better understanding of the following key policy questions, for which it should produce supporting information and evidence: Are existing territorial cooperation areas still adequate to meet current challenges of territorial development (e.g. global competitiveness, cohesion, climate change, demographic change), and if not, why is that so? What could be more meaningful new cooperation areas throughout Europe on transnational, interregional as well as cross-border (internal and external) level? Is it possible to facilitate more European strategies such as the Baltic Sea Strategy by means of territorial cooperation and cohesion? What would be the right scale for territorial cooperation? Which themes are appropriately dealt with in territorial cooperation and on which scale? What are favourable framework conditions and good governance models (at different scales) for territorial cooperation to be realised and to succeed? How can such cooperation be supported by policy makers? What are existing governance experiences (both, positive and negative) in territorial cooperation in Europe and what can be learnt from them? Can cases of best practices be translated to and applied in other (potential) coorperation areas? Should cooperation programmes include infrastructure investments? What kind of infrastructure is needed where to enable fruitful cooperation arrangements? Is a different approach required in this respect regarding old and new EU Member States? The perspective of applied research under this measure shall be guided by the objective to identify broad development perspectives and trends for the different types of transnational cooperation areas, also in the light of the Lisbon/Gothenburg agenda. Coordination should take place with other relevant ongoing ESPON projects (above all the projects on Cities and urban agglomerations: Their functionality and development opportunities for European competitiveness and cohesion, the targeted analysis on Cross-border polycentric metropolitan regions (Metroborder), and the projects that will start in parallel to this one, namely European perspective on specific types of territories, and Continental territorial structures and flows (globalisation) (both being applied research projects). (iv) Analytical framework and deliveries expected The project shall start off with a clear definition of territorial cooperation and an analysis of the appropriateness of European regions for territorial cooperation, be it transnational, interregional or cross-border. In this respect it shall take into account the existing areas of European territorial cooperation mentioned above, i.e. 52 cross-border 6

36 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 and 13 transnational cooperation areas. The identification of regions that might be most appropriate for territorial cooperation shall consider common characteristics of regions, critical mass and possible fields of cooperation. Relevant sector results might be integrated in characterising regions and identifying fields of cooperation. When looking into existing areas of territorial cooperation, the project shall also highlight cases of good practice in models of territorial cooperation that could be transferred to other cooperation areas. More than that, it shall be analysed whether general lessons can be learnt from these positive examples, e.g. whether there are know-how benefits also for non-cross-border respectively non-transnational cooperation areas. Another focus of the project should be on the analysis of potential European macroregions (e.g. Baltic Sea Region), possible delimitations of such areas, their development opportunities and common challenges they are confronted with. The project is requested to clarify which policy domains would be the most suitable for shared integrated macroregional strategies such as the Baltic Sea Strategy that the European Commission is currently developing. The work on the latter strategy could also serve as a basis of reference for this project. The Transnational Project Group (TPG) should consider existing data and indicators for the analysis. The data, indicators and maps of the ESPON 2006 Programme are one important source in this respect. This project shall in particular be informed and make use of relevant results from the following previous and current ESPON projects: ESPON project on Integrated analysis of transnational and national territories zoomed in on different territorial contexts and scales in order to identify existing spatial patterns and territorial specificities and complementarities. ESPON project on Governance of territorial and urban policies holds an important position in the definition and elaboration of a common ground for investigating the institutional and instrumental aspects of implementation of territorial and urban policies in Europe, focusing on the question of how effective different systems are. ESPON project on Urban areas as nodes in a polycentric development that also looked into transnational networks and cooperation. ESPON project on "Urban Functions" could provide a possible typology on cross-border urban areas. The project shall strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental, economic and institutional aspects. In addition, a 3-level-approach (European, transnational/national and regional) to the analysis, commonly used by all ESPON applied research projects, should be applied in order to support a clear presentation of results, which might vary depending on the geographical scale. 7

37 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. In the concrete design of the applied research project and its work packages, the project is expected to answer the following key research questions: Identification of territorial cooperation areas - What European regions are from a scientific view most appropriate for territorial cooperation a) transnationally, b) interregionally, c) across borders, and why (taking into account that cooperation requires equity in opportunities)? - Where would a joint performance of regions across different territories and/or across internal/external and/or maritime borders facilitate increasing the combined competitiveness by performing together? Could such cooperation arrangements also contribute to more European cohesion and to better European competitiveness in the world? - How could physical barriers like maritime borders be overcome to enable cooperation? Identification of domains for cooperation - Which domains are most appropriately addressed in the identified territorial cooperation areas? - For which domains synergies can be created and/or better exploited? What are the benefits for the EU as a whole, deriving from such synergies? - Should infrastructure investments play a role in this respect (in old and/or new EU Member States)? Identification of adequate territorial structures for cooperation and analysis of specific border situations - What territorial structures (e.g. river and maritime basins, Euro-corridors, urban areas) and typologies can be recognised as suitable areas for cooperation and which strengths, weaknesses, potentials and challenges do they share? - What are the specific development opportunities along external EU land and maritime borders (incl. demographic development, accessibility, SMESTOs, etc.) that could provide a strategic basis for cooperation arrangements? In this respect, the EU s Western external borders should be looked at, too, due to the existing strong functional ties with North and Latin America. 8

38 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Identification of driving forces of and governance structures for cooperation - What are the driving forces behind and the determinants of cooperation? - What kind of investements might be needed to facilitate territorial cooperation? - Which legal instruments and governance structures are in place in different cooperation areas? Are specific legal instruments and governance structures more appropriate for territorial cooperation than others? - What roles do institutional framework conditions like national laws, regulations, etc. play in cooperation? How can potential institutional difficulties be overcome? - Can models of cooperation be derived that work in practice? In order to receive some more focused information on governance structures, a limited number of targeted case studies shall be included in the research. The case studies should serve to analyse in greater detail how mechanisms for decision making are established in different territorial cooperation areas and should assess the experiences made and the potential transferability of cases of good practice. The geographical coverage of the project should encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the TPG should assess the data situation for their field of research in the EU candidate countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and report on their findings in the inception report. Depending on the respective data situation these countries would then be included in the analysis. The deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON website. The deliveries of the project should make use of and complement the exisiting scientific platform and tools of ESPON, which are accessible via the ESPON website. The project is expected to enhance the scientific platform of ESPON through the following deliveries: Data input to the development, update and extension of the ESPON database by additional data on (common) characteristics and critical mass for transnational and cross-border cooperation areas, particularly in relation to the new Partner States Iceland and Liechtenstein. Indicators need to offer compatibility with a map-making facility, to provide a consistent, homogenous, reliable, and updatable database. Indicators offering additional information on the different types of European cooperation areas, and new complex indicators, revealing these areas development opportunities, their socio-economic situation as well as their competitiveness. Typologies of transnational and cross-border cooperation areas classified by territorial evidence based characteristics, strengths, weaknesses, potentials and challenges. 9

39 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 European maps revealing (1) a typology of different (possible) cooperation areas, (2) the current territorial state per possible cooperation area (characteristics, strengths, and weaknesses), (3) territorial potentials and challenges per possible cooperation area. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG in charge of the development of the ESPON 2013 Database. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new maps resulting from the project. In order to create coherence with project findings of other ESPON applied research projects, the project should present the main final results in relation to different types of regions and cities, using existing typologies for the urban system, rural areas, mountain areas, islands, coastal areas and outermost regions. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the regions in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion and the Fourth Report on Cohesion. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 4 timetable and specification of outputs: June/July 2010 (Inception report): Twelve weeks after the Kick-off meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main 4 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 10

40 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 literature, data sources, etc. The Inception report shall also inform about the selection of case studies that will be conducted on existing governance structures. It shall as well include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The report shall give clear orientation for the applied research previewed towards the Interim report. The research team should also report on the findings regarding the assessment of the data situation in the EU candidate countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON results that are relevant for this project. November/December 2010 (Interim report): The content of the Interim Report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report is envisaged to include elements such as: a) Preliminary results on the basis of available data, developed indicators, typologies, and European maps, including First assessment of the development opportunities of different types of European cooperation areas. First indicative identification of territorial structures and typologies, including an indication on common characteristics. First indicative identification of (territorial) potentials and challenges of the identified territorial structures, typologies and complementary regions. First overview on different models of territorial governance in cross-border and transnational cooperation areas. First elaboration and indicative identification of both, good and bad practices in territorial cooperation. Data collection achieved, including an overview on statistical and geographical data collected by EUROSTAT, and national Statistical Institutes etc. Draft European maps of (1) a typology of different (possible) cooperation areas, (2) the current territorial state per possible cooperation area (characteristics, strengths, and weaknesses), (3) territorial potentials and challenges per possible cooperation area. First indications on the conclusions and policy relevant options that could be the outcome of the project. b) Plan for the applied research towards the draft Final Report as well as the Table of Content envisaged. November/December 2011 (Draft Final Report): The Draft Final report will take into account feed-back on the Interim report from an ESPON seminar and by the Sounding Board. The report is supposed to include elements such as: 11

41 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 c) Report (max. 50 pages) on the main results, showing possible cross-border and transnational territorial cooperation areas, their existing characteristics and development potentials, including key analysis and findings and the most relevant indicators and maps (any additional information should be included in a scientific report). In this respect, an evaluation of governance and cooperation structures in existing territorial cooperation areas should be provided, including an interpretation of best practices. Particularly important are options for policy makers, which could provide the basis for interventions related to opportunities for improving European competitiveness and cohesion. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the Report mentioned above. e) Scientific report documenting the scientific work undertaken in the applied research including elements such as: Literature, definitions and methodology/theory used. Methodologies, typologies and concepts developed and used, including projections developed revealing diverse territorial potentials of the different types of cooperation areas. Data collected and indicators used, including calculation algorithms and tables with the exact values of indicators. Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. Tools and models used or developed. Future research avenues to consider, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. April/May 2012 (Final Report): f) Revision of the Draft Final report on the basis of comments received. May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. 12

42 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project amounts to , including VAT if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vii) Existing access points Synergies and use of results from outside the ESPON regime shall be sought. In particular, research activities by international bodies like the OECD and the European Commission Joint Research Centre might be valuable for this project. The other access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. ESPON projects results, data and maps: Commission of the European Communities (2008): Green Paper on Territorial Cohesion. Turning territorial diversity into strength European Commission (2000): Practical guide to cross-border cooperation. Third Edition An overview of INTERREG III programmes and results throughout Europe ( The Interact programme which provides information on all European Territorial Cooperation Programmes ( Committee of the Regions (2008): EGTC: State of play and perspectives entid=0a56278e-9c53-437d-8cdf b344ea Committee of the Regions (2007): The European Grouping of Territorial Cooperation - EGTC Committee of the Regions (2002): Strategies for promoting cross-border and inter-regional cooperation in an enlarged EU a basic document setting out guidelines for the future 13

43 ESPON 2013 Programme Project Specifications Project 2013/1/9 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Gabbe, Jens (2005): Governance and cross-border cooperation. Speech on the occasion of the RFP Annual Conference in Joensuu, North Karelia, Finland MOT's web site: in particular for Manifesto, Proceedings of 2007 conference and the guide about EGTC. 14

44 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/10 Transport accessibility at regional/local scale and patterns in Europe ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering regions and larger territories more options to decide their development path, as development is no longer a zero sum game for Europe. - Interaction is growing within the EU territory and between the surrounding neighbour countries and other parts of the world. This is apparent through e.g. migration pressure on more developed countries, which are themselves confronted with population decline, and by access to and investment in new markets. - Market forces and the evolution of society in general support a geographical concentration of activities. - The ongoing demographic changes with an ageing European population, in addition to migration, affect regions differently and increase the competition for skilled labour. - The occurrence of hazards due to climate change is increasing and different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others. This presents particular development opportunities for the production of renewable energy sources. - The enlargement of the EU to 27 Member States, and potentially more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them in different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas, as well as to Cohesion Policy. Territorial diversity, especially in 1

45 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. The ESPON 2006 Programme provided integrated analysis and long-term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. This has prompted interest among policy makers and practitioners for even more information, knowledge and understanding that ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further through applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON 2013 Programme will potentially benefit stakeholders at all levels throughout Europe. Policy makers dealing with territorial development require sound evidence and comparable regionalised information in addition to medium and long-term development perspectives, in order to create sustainable and efficient integrated policy responses for their territories. Given that the European Union is moving towards a more integrated policy approach, the territorial dimension is particularly important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element within the framework of policy making. Due to the provision of evidence based on analyses of territorial units, the ESPON 2013 Programme is of strategic importance for European policy development and cooperation. By further developing and expanding the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the period, and contribute to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. 2

46 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. - Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use and dissemination of results to an audience of policy makers, practitioners, scientist and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success in the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective on development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their tasks will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

47 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be undertaken to develop current achievements and make use of existing indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will make the evidence and knowledge already developed operational through raising awareness and involving stakeholders in the results and practical application of them. A strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the appointed Sounding Board and the Coordination Unit must also be established as part of the project implementation. This project belongs to the first priority. It holds a key position in developing a common understanding of accessibility and accessibility patterns at regional/local scale in Europe. Knowledge on these issues is vital for targeted policy development in the light of Cohesion Policy aiming, inter alia, at job creation and tackling social changes. (iii) Thematic scope and policy context A dynamic territorial development depends on an optimal combination of access to available services. The possibility of making use of the resources available in a city or a larger territory depends on the ability to communicate and exchange services with other locations. The range of services that link cities and the European continent to the world market comprises services related to transport, energy and telecommunications. For a city, region or larger territory the provision of these services has a major impact on the attractiveness for new investments and constitutes an important location parameter. A survey conducted by the European Commission among EU Member States showed a strong consensus on the importance of accessibility (through infrastructure and to public services) 2 for territorial cohesion policy. The ESDP (1999) stated that Good accessibility of European regions improve their competitive position but also the competitiveness of Europe as a whole. It highlighted the close relation between the aim of a balanced territory and polycentric development and the policy orientations taken for developing the infrastructure networks. In this respect the ESDP also highlighted the special role, which could be taken by Euro- 2 See the Green Paper on Territorial Cohesion (2008) 4

48 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 corridors, global integration zones, gateway cities and urban poles, well distributed across the European territory, as nodes in the infrastructure networks. At the heart of Keeping Europe Moving, the mid-term review of the 2001 White Paper on EU transport policy is the statement that transport connects countries and their people, but it also facilitates their economic growth. Effective transportation systems are essential for Europe s prosperity, having significant impacts on economic growth, social development and the environment. The Territorial Agenda of the European Union (2007) also claimed that Mobility and accessibility are key prerequisites for economic development of all regions of the EU. The Green Paper on Urban Mobility (2007) 3 opens a debate on the key issues of urban mobility: free-flowing and greener towns and cities, smarter urban mobility and an urban transport which is accessible, safe and secure for all European citizens. It mentions that good inter-connections between transport modes and good links between urban and suburban transport are needed to make (urban) transport more efficient. The Green Paper on Territorial Cohesion (2008) 4 indicated that the road and rail links in the new EU Member States are clearly less developed than in the EU15. Furthermore, airports are more difficult to reach due to the uneven quality of secondary road networks and public transport. Finally, the paper indicates that transport by sea remains underdeveloped as a result of which it does not take sufficient pressure off congested roads and reduce CO2 emissions. The functioning of networks very much depends on access points. A co-ordinated access is of particular importance where the access is related to very large investments. Most prominent in that respect are ports and airports, which need to be efficiently linked to land transport modes in line with an organisational network approach. Furthermore, communication and exchange between networks takes place in multi modal nodes. Multimodal points are becoming increasingly important for sustainable transport in order to be able to use the least environmentally unsustainable transport mode possible. The Territorial Cohesion Green Paper revealed a need for better analysis, inter alia of transport policy: Transport has obvious implications for territorial cohesion through its effect on the location of economic activity and the pattern of settlements. It plays a particularly important role in improving connections to and within less developed regions. Previous ESPON research showed that a weak point of the European territory related to accessibility is that it is favouring some regions: Good accessibility is one of the major preconditions for economic development, which shows clear territorial imbalance with peripheral and rural areas often markedly worse in accessibility than urban areas (particularly in the core area of Europe). Another weak point of the European territory 3 See: 4 See: 5

49 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 are secondary networks: In many countries, secondary road and rail networks are not well developed to provide the services needed for areas to develop as they are poorly connected to the major transportation networks. Against this backdrop, the project should strive to achieve a better understanding of a number of key policy questions, for which it should produce supporting information and evidence. These key policy questions are divided into questions for the regional/local perspective and questions for the European perspective. Regional/local policy questions: What does regional accessibility/connectivity look like at the regional level? For example, how many jobs/people can be reached in 45 minutes travel time (by road or by train), how many city centres can be reached by flying out in the morning and returning in the evening? In which type of regions is the level of European accessibility very different from their regional accessibility? How can key infrastructural bottlenecks be identified at regional level? European policy questions: What are the differences between accessibility at three different levels (regional, European and global) considering the four modes (road, rail, air and water)? What is the link between accessibility (at the different levels and for different modes) of European regions and their economic development? How has this link changed over time? Does the strength of this link differ across the EU? What could be the territorial impact of rising energy prices on future developments of water, air, railway and road transport? What could be the impact of various transport scenarios on climate change, access patterns and economic development? The perspective of applied research under this measure shall be guided by the objective to identify broad development perspectives and trends for the different types of regions and cities, also in the light of the Lisbon/Gothenburg agenda. Coordination should take place with other relevant ongoing ESPON projects (above all the projects on Rural Areas Development (EDORA), Regions at Risk of Energy Poverty (ReRisk), Territorial Impact Assessment (TIA) and Climate Change (CC). Results deriving from the ongoing targeted analysis Spatial scenarios: new tools for local-regional scenarios (SS-LR) (under Priority 2 of the ESPON 2013 Programme) are to be taken into account as well. Some ESPON 2013 projects that start in parallel with this project, in particular the one on Continental territorial structures and flows (globalisation) might also generate relevant information. 6

50 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 (iv) Analytical framework and deliveries expected The project comprises two parts, one on measuring accessibility more accurately incorporating the regional/local level and one on various extensions of accessibility at European level. The first part concerns the improvement of the methodology to measure accessibility of European regions. The methodology for measuring accessibility developed in the ESPON 2006 project discards the regional reality and diversity by using only one point of reference for each region. Therefore, this project is asked to develop a complementary approach in understanding better the accessibility of European regions and their components. Within this part the transport modes road, rail, air and waterways should be taken into account. The first part should start with conducting an analysis of regional maps in order to find characteristic patterns of local/regional accessibility. The analysis should cover different types of regions, such as islands, mountains, highlands, urban and rural. Based on the patterns found a typology should be defined that can be used to characterise the different accessibility patterns in different types of regions. Per typology a number of study areas (at least four per typology) should be selected in which the accessibility patterns should be determined, based on the regional/local transport network and taking into account existing access points, bottlenecks, and physical barriers. The accessibility patterns found should be compared with the accessibility values of the regions at European level. The differences between these and the causes of these differences should be analysed to find out what type of regions follow the general European accessibility patterns and what type of regions need to be given particular attention due to a mismatch. The second part of the project concerns the completion of the coverage of transport modes. In the ESPON 2006 project the transport modes road, rail and air were well covered. This project shall add the coverage of waterways, i.e. inland waterways and maritime highways. Regarding the latter, strong coordination should take place with the project on European seas in territorial development running in parallel to this project. Furthermore, the rail network has to be split into high-speed rail and normal rail and a distinction shall be made between transport of people and freight transport, each with their own preferred transport modes probably leading to different accessibility patterns. The second part shall use a 4-level-approach (global, European, transnational/national, regional/local) to the analysis. It means that additional information has to be gathered in order to better reflect the accessibility in the regional/local dimension and to improve knowledge on global transport networks. The resulting impacts and patterns might vary depending on the geographical scale and therefore the 4-level approach should be applied in order to support a clear presentation of all possible results. 7

51 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Within different projects attempts have been made to achieve more realistic estimates of travel time through the road network (see: DG REGIO Regional Focus n 01/2008; the TRANSTOOLS network and its forthcoming enhancements; the EUTRA network used for freight transport flow modelling).this ESPON project should analyse and make use of these adaptations and extend these to the rail network (connections per hour/day) including the high-speed railway network. Furthermore the quality of the secondary network should be analysed and the bottlenecks within a regional/local dimension should be identified. All improvements mentioned here should be incorporated into the methodology to measure accessibilities. With the improved methodology it should be possible to capture changes in the transport networks, due to new highways, TEN-T project (such as the Fehmer Bridge), new connections to a highway, etc. This part of the project should also include a number (balanced throughout the ESPON space) of targeted study areas in order to receive more focussed and detailed information on intermodal transport opportunities and their impact on accessibility of regions and cities. The study areas shall cover the same regions as the study areas of the first part and embrace the local and regional scales. These studies should show possible added value of the inclusion of intermodal transportation in the methodology to calculate accessibility, show the accessibility pattern of public transport compared to private transport and should as well serve to fine-tune, test and further develop the methodology to measure accessibility through intermodal transport. The project should consider existing data and indicators for the analysis. The data, indicators and maps of the ESPON 2006 Programme are one important source in this respect. This project shall in particular be informed and make use of relevant results from the following previous and current ESPON projects: ESPON project on Transport services and networks: territorial trends and supply mapped accessibility patterns for different modes of transport, road, rail and air transport, as well as multi modal transport. The applied research showed that for accessibility a clear core-periphery pattern exists at European scale, in particular for road and rail access. Due to the rapid development of transport infrastructures in large parts of Europe and their relevance to policy discussions the potential accessibility indicators for road, rail, air and multimodal delivered by ESPON project have been updated to This not only leads to more recent information, but also to information on trends, changing accessibility between 2001 and ESPON Project on Territorial impact of EU transport and TEN policies developed 10 scenarios on road/rail infrastructures, pricing, and combined. These scenarios have been used to evaluate EU transport policy and investigate its effects in particular on regional development potential (using competitiveness, mass, connectivity and development trends as basic indicators) and polycentricism The project shall strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental, and economic aspects. In addition, it shall strive 8

52 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. In the concrete design of the applied research project and its work packages, the project is expected to answer the following key research questions: Current status of accessibility: What is the regional (i.e. accessible on a daily basis) accessibility for road, rail and air? And what are characteristic patterns of local/regional accessibility? What is the potential accessibility for the four modes (road, rail air and water) and more specifically of high-speed railways at European level? What is the potential accessibility for air and water at the global level? What types of regions reveal a mismatch between their potential accessibility at European level and their regional accessibility? What are the transport profiles for different types of regions? How does potential accessibility of different types of regions relate to one another? For example, which remote areas are best/least accessible or which urban centres or which island or which high mountain areas? How can different commuting patterns be distinguished? What do the various accessibility patterns mean for different groups of people (e.g. 55+ and disabled)? Improving the way accessibility is measured: How can bottlenecks for the four transport modes be identified at the regional and the European scale? The methodology to calculate accessibility could be improved by including intermodal transport. How can combining the various ways of transport be incorporated in measuring accessibility at regional and European level? Freight transport: What are feasible and relevant ways to distinguish between the transport of people and goods for air, rail, road or water? How can the present and future role of freight transport over rail and inland waterways be defined? How can its significance compared to transport over road, rail and air be calculated? To what extent does enlargement of freight transport over inland waterways change the accessibility patterns for freight? Cause and effect aspects of accessibility: How is accessibility related to regional development, growth, travel costs, carbon levels and employment? What could be long term scenario s for the transport sector in the EU? How could the impact of these long term scenarios on climate change, accessibility patterns and economic development be estimated? 9

53 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The geographical coverage of the project should encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the TPG should assess the data situation for their field of research in the EU candidate countries (i.e. Croatia, the Former Yugoslav Republic of Macedonia and Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and report on their findings in the inception report. Depending on the respective data situation these countries would then be included in the analysis. The deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON website. The project is expected to enhance the scientific platform of ESPON with at least the following deliveries: Data input to the development, update and extension of the ESPON database by additional data on potential accessibility and various infrastructure networks gathered within the project, particularly in relation to the new Partner States, Iceland and Liechtenstein. Indicators need to offer compatibility with a mapmaking facility, to provide a consistent, homogenous, reliable, and up-datable database. Indicators offering additional information on the different types of transport modes and accessibility, new complex indicators revealing the impacts of new infrastructural networks. Amendment of the multimodal accessibility potential typology used for this project by (1) including all ESPON Partner States, (2) including missing transport modes, and (3) ideally by filling the gaps for those regions, for which no data was available. Separate studies on different types of regions showing accessibility within the region and different types of accessibility patterns. Separate studies on the same regions as above showing the added value of including multimodal transport in the methodology to calculate accessibility. Study area maps revealing the accessibility of the various transport modes and types. European maps revealing (1) the accessibility patterns of the various transport modes (road, rail, waterways and air) and types (transport of people and freight) on various scales (global, European, regional, local, the study areas), (2) the multimodal accessibility potential typology, covering the full ESPON territory, (3) the present and future role of transport over inland waterways. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG in charge of the development of the ESPON 2013 Database. The TPG is also expected to cooperate with the ESPON project Access to services of general interest in order to determine their need on transport accessibility data and information. In consultation with the ESPON CU the project will try to fulfil their requests. 10

54 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new maps resulting from the project. In order to create coherence with project findings of other ESPON applied research projects, the project should present the main final results in relation to different types of regions and cities, using existing typologies for the urban system, rural areas, mountain areas, islands, coastal areas and outermost regions. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the regions in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion and the Fourth Report on Cohesion. Project findings should make clear which impact the use of the identified development opportunities could have on the competitiveness and socio-economic situation of European regions as well as on the realisation of economic, social and territorial cohesion in Europe. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 5 timetable and specification of outputs: June/July 2010 (Inception Report): Twelve weeks after the Kick-off Meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main literature, data sources, etc. The Inception report shall also inform about the selection of study areas that will be used in both parts of the research. It shall as well include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The report shall 5 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 11

55 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 give clear orientation for the applied research previewed towards the Interim report, including the way in which requests of the Access to services of general interest project can be fulfilled. The research team should also report on the findings regarding the assessment of the data situation in the EU candidate countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON results that are relevant for this project. November/December 2010 (Interim Report): The content of the Interim Report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report is envisaged to include elements such as: a) Preliminary results on the basis of available data, developed indicators, typologies, and European maps, including An overview of different regional accessibility patterns and a proposal for a typology on this related to different types of regions. First analysis of the regional accessibility patterns within the specific study areas and a first comparison of this with European accessibility of regions. First analysis of the current pattern of accessibility and the bottlenecks of the various transport modes on national/transnational and European scale for road, rail, waterways and air and for transport of people and freight transport. First analysis of the current pattern of the global transport network, also differentiated between transport of people and freight transport. Definition of connectivity of high-speed railways and a first analysis of European connectivity through high-speed railway. First analysis of the present and future role of freight transport over inland waterways, a first comparison between freight transport over inland waterways, over air and over territorial transportation network (road and rail) and a first analysis of changes in the accessibility patterns for freight when freight transport over inland waterways is enlarged. Overview on urban centres that are difficult to access and not well accessible remote areas, also related to the difference between transport of people and freight transport and a first analysis on the number of people affected and of the impact on competition and territorial cohesion when improving these aspects. Overview of information needed to better reflect accessibility and to improve the coverage of transport modes in the regional/local level. Proposal on how to improve the methodology to calculate accessibility by including intermodal transport and combining the various ways of transport and on how to define and measure accessibility by public transport (combining train and bus). First indications on where the various transport networks could be improved and which improvements could be considered most efficient. Proposal on long term scenarios for the transport sector in the EU. 12

56 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Draft methodology to estimate the impact of these long term scenarios on climate change, accessibility patterns and economic development. Data collection achieved, including an overview on statistical and geographical data collected by EUROSTAT, and national Statistical Institutes etc. Draft European maps, draft maps of the study areas. First indications on the conclusions and policy relevant options that could be the outcome of the project. b) Plan for the applied research towards the draft Final Report as well as the Table of Content envisaged. November/December 2011 (Draft Final Report): The draft Final report will take into account feed-back on the Interim report from an ESPON seminar and by the Sounding Board. The report is supposed to include elements such as: c) Report (max. 50 pages) on the main results, trends, impacts, projections and options for policy development, including key analysis/diagnosis/findings and the most relevant indicators and maps (any additional information should be included in a scientific report). Particularly important are options for policy makers, which could provide the basis for interventions related to opportunities for improving European competitiveness and cohesion. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the Report mentioned above. e) Scientific report documenting the scientific work undertaken in the applied research including elements such as: Literature, definitions and methodology/theory used. Methodologies, typologies and concepts developed and used. Data collected and indicators used, including calculation algorithms and tables with the exact values of indicators. Network geometry (including all relevant attributes) as used in the accessibility analyses. Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. Tools and models used or developed. Future research avenues to consider, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. April/May 2012 (Final Report): f) Revision of the Draft Final report on the basis of comments received. 13

57 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project amounts to including VAT, if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vi) Existing access points Synergies and use of results from outside the ESPON regime shall be sought. In particular, research activities in DG-TREN and of JRC who has made at least two reviews on sustainability and transport might be valuable for this project. The other access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. ESPON projects results, data and maps: The Green Paper on Territorial Cohesion (2008) 14

58 ESPON 2013 Programme Project Specifications Project 2013/1/10 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The Green Paper on Urban Transport (2007) The Commission s White Paper European transport policy for 2010: time to decide (2006) Mid-term review of the White Paper (2006) Review of the mid-term review of the White Paper by the Federal Environment Agency (2006) Panorama of Transport, EUROSTAT statistical book (2007) Sustainability and transport: a review. JRC Technical Notes, European Commission (2007) Indicators to Assess Sustainability of Transport Activities, JRC Study, European Commission (2007) Transport, a driving force for regional development. InfoRegio Panorama, No. 18, December European Commission (2005) The Marco Polo programme for projects which shift freight transport from the road to sea, rail and inland waterways ( Intermodal transport ( (Draft) final report of the TENconnect project (October 2008). Traffic flow: Scenario, traffic forecast and analysis of traffic on the TEN-T, taking into consideration the external dimension of the Union. Services of general interest in Europe. European Commission (2000) An overview of INTERREG III programmes and results throughout Europe ( The Interact programme which provides information on all European Territorial Cooperation Programmes ( 15

59 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/11 Secondary Growth Poles in Territorial Development ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering more options for regions and larger territories in deciding on their development path as development is no longer a zero sum game for Europe. - Interaction is growing between the EU territory and the surrounding neighbour countries as well as the other parts of the world, becoming apparent by e.g. migration pressure on more developed countries, which are themselves confronted with population decline and by access to and investment in new markets. - Market forces and the evolution of society in general are supporting a geographical concentration of activities. - The ongoing demographic change with an ageing European population and migration is affecting the regions differently and boosts the competition for skilled labour. - The occurrence of hazards is increasing due to climate change while different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others, some of which have particular potential for production of renewable energy sources. - The enlargement of the EU to 27 Member States, and at a later stage maybe to more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them into different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas as well as to Cohesion Policy. Territorial diversity, particularly in the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. 1

60 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The ESPON 2006 Programme provided integrated analysis and long term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations produced by ESPON on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. Therefore, interest is growing among policy makers and practitioners for the information, knowledge and understanding ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further by carrying out applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON Programme will potentially benefit stakeholders all over Europe at all levels. Policy makers dealing with territorial development require sound evidence and comparable regionalised information as well as medium and long-term development perspectives in order to draw up sustainable and efficient integrated policy responses for their territories. All in all, the European process moves towards a more integrated approach to policy making which makes the territorial dimension important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element in the framework for policy making. Due to its provision of evidence based on analyses of territorial units the ESPON 2013 Programme is of strategic importance for the European policy development and cooperation. By further extending and deepening the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the current period , namely by contributing to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. - Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. 2

61 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use of and dissemination of results to an audience of policy makers, practitioners, scientist and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success for the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective to development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their task will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

62 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 undertaken to develop current achievements and make use of the indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will be aiming at making the evidence and knowledge developed operational through measures raising awareness and involving stakeholders in the results and their practical use. This project belongs to the first priority and holds a key position in developing a common understanding of opportunities and perspectives for the territorial development of secondary growth poles. The project deepens and elaborates knowledge delivered by former and ongoing ESPON projects, in particular those regarding urban and economic structures and development. Profound knowledge on secondary growth poles is vital for targeted policy development in the light of Cohesion Policy aiming at improved regional competitiveness and sustainable and balanced growth of the European territory. Therefore a strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the Sounding Board set up for following and advising the project and the Coordination Unit shall as well be established as part of the project implementation. (iii) Thematic scope and policy context The settlement structure of the European territory can be described as a dense and polycentric urban pattern. Compared to other global macro-regions, the omnipresence of smaller urban entities and the comparatively low number of very large cities strike the eye. The European Commission considers in its Green Paper on Territorial Cohesion that this settlement pattern contributes to the quality of life and that it helps to avoid the diseconomies of larger agglomerations. Although economic activity has become more spread across the European territory over the past decade it remains highly concentrated in a limited number of larger urban areas, most often capital cities. This might be a concern as these urban areas become more and more congested while resources elsewhere are not sufficiently used. At the same time the European Commission considers that the pattern of economic activity is far more uneven than the settlement structure and points out that concentration can bring economic gains. The European Commission builds in the Green Paper on earlier steps in the policy debate on spatial planning and territorial cohesion. It refers to territorial cohesion phenomena as balanced and sustainable development and the creation of networks of cities in order to find an answer to the question what territorial organisation Europe needs in order to have the economic advantages of concentration and agglomeration without losing the advantages of the existing settlement structure. Due to the advantages it brings forward and the fact that it cannot be easily changed, the existing settlement structure forms a starting point for new territorial development. Polycentric and balanced territorial development has a background in the following documents: 4

63 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The European Spatial Development Perspective (ESDP) includes polycentric and balanced development as one of the three major spatial development guidelines. The Territorial Agenda for the European Union (TAEU) states that it builds further on this aim and presents strengthening polycentric development and innovation through networking of city regions and cities and promotion of regional clusters of competition and innovation in Europe as territorial priorities for the development of the European Union. Spatial development policies in most of the Member States and ESPON Partner States opt for polycentric territorial development not restricting stimulating economic and urban growth to one specific city (in most cases the capital). The 4 th Report on Cohesion considers balanced and polycentric territorial development also as a major policy orientation. The creation of development poles within countries outside the capital city can be important to achieve polycentric development. Population and economic activities tend to concentrate in larger urban areas. Cities in these areas show important growth figures and progressively become nodes of the world network of the advanced service economy and are therefore to be expected to deliver a major contribution to the Lisbon Strategy in terms of economic growth and job creation. Urban areas outside the largest cities, groupings of small and medium sized towns and also some specific concentrations of economic activity (e.g. airport regions) have a relatively important weight in the urban and economic structure of the European territory and represent an important part of the European population. In many occasions they also show significant growth-figures. Therefore it is of great importance to better integrate them in the global economy and facilitate them better to contribute to even more economic growth and job creation, in particular when specific concentrations are strategically located but show an economic underperformance. This project focuses on those concentrations of urban and economic activity that have a potential to play a complementary role to these larger urban areas and that can help to establish a more balanced territorial development. The project will look comprehensively at complementary growth concentrations at European level (concentrations next to the strongest growth poles in Europe) and (trans)national level (concentrations next to the capital cities). Regarding secondary growth poles at regional level the project is expected to provide case oriented information on the basis of a wellconsidered sample taking into account different regional contexts. These secondary growth poles are to play an important role in polycentric and balanced spatial development at European, national and regional level. They should be engines for regional development and might offer citizens a living environment at a lower cost. Territorial capital in urban and economic concentrations outside larger cities is to be activated in order to create new and better complementarities, synergies and other advantages in terms of sustainable territorial development. Secondary growth poles in territorial development might for instance help cities and their hinterland to become better integrated into the global economic system, absorb spill-over effects of larger cities (e.g. housing, economic activities), contribute to the reduction of urban sprawl, create better economic performance at national and regional level or create better balance of economic activities. 5

64 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The project should strive for a better understanding of the following key policy questions, for which it should provide supporting knowledge and evidence: Describing the basic economic sense (based on a review of literature): What economic advantages can secondary growth poles development deliver, in particular compared to concentration of growth and development at national level in capital cities? Can secondary growth pole development contribute to the European policy objectives such as formulated in the Lisbon and Gothenburg Strategy? To what extent is a territorial strategy in favour of supporting secondary growth poles feasible and favourable for sustainable and balanced territorial development and cohesion? What are the possible positive and negative effects of secondary growth poles in territorial development at the various levels of scale? What (policy relevant) typologies of secondary growth poles can be distinguished at European, national and regional level? What kind of territorial perspective can these typologies be given? How can (territorial) policy at different policymaking levels contribute in exploiting territorial potentials? What countries and regions have explicit (territorial) strategies that support secondary growth pole development and hence aim at creating more territorial balance? What do these strategies look like and what are the best practices? Ongoing projects under the ESPON 2013 Programme might produce highly relevant knowledge for this project. In particular interrelations are to be sought with the ESPON 2013 applied research project on Cities and urban agglomerations (FOCI). Results deriving from the ongoing targeted analysis The Case for Agglomeration Economies in Europe (under Priority 2 of the ESPON 2013 Programme) are to be taken into account as well. Some ESPON 2013 projects that start in parallel with this project, in particular the projects on Continental territorial structures and flows (globalisation) and Accessibility at regional/local scale might also generate relevant information. (iv) Analytical framework and deliveries expected The project takes the policy context as described above as a starting point. The main research issue of this project is to deliver evidence on potentials and perspectives for secondary growth poles in territorial development. The project builds further on and elaborates results of existing and ongoing ESPON projects, work done within the framework of the Urban Audit and other useful existing knowledge. It is expected that existing insights in the urban and economic structures and developments will be made explicit for secondary growth poles. Data, indicators and maps of the ESPON 2006 Programme are important sources for this project. The project shall in particular be informed and make use of results from the following projects: ESPON project on polycentricism developed a typology and a methodological concept of the urban structure of the European territory. 6

65 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 ESPON project on the role of small and medium-sized towns (SMESTO) demonstrated the diversity of SMESTOs and the various potential deriving from that. It offers a basis for the development of classifications and typologies. ESPON project on urban functions developed an approach on the morphological aspects of polycentrism and offers a data collection on urban functions. ESPON project 3.2 on spatial scenarios includes a basic perspective on the evolution of urban Europe. ESPON project on EU economic policies and location of economic activities offers an economic typology of European regions. The project should strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental and economic aspects. In addition a threelevel approach (European, transnational/national, regional/local) to the analysis, commonly used by all ESPON applied research projects, should be applied in order to support a clear presentation of results, which might vary depending on the geographical scale. The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. The following key research questions are expected to be answered: How can secondary growth poles be described and what is a good analytical framework to approach them? - What are primary growth poles at (global-)european, (trans)national and regional level? - How are secondary growth poles currently defined in national policy contexts and what variations exist and for what reasons countries do (or don t) develop secondary growth poles? What are secondary growth poles at (global-) European and (trans)national scale from a EU-wide perspective? - What types of secondary growth poles exist and how can they be described? - What different functional territorial appearances exist? - What different territorial compositions exist? (taking into account (1) the intrinsic elements (e.g. service level, demographic structure, quality of life), (2) the territorial lay-out (monocentric/polycentric) and (3) the spatial position (e.g. integration in infrastructure networks, hinterland, relation to a main growth pole / stand alone poles in specific territories like islands or mountain regions, accessibility, cross-border)? - What indicators can be used to measure the economic performance and the territorial supporting role (e.g. offering a good living environment) of secondary growth poles? To answer these questions building blocks might be found in the classifications made within the framework of the ESPON 2006 Programme (e.g. MEGA and FUA) 7

66 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 and the ongoing ESPON 2013 applied research project on cities and urban agglomerations (FOCI). It is nevertheless expected that specific interpretations and elaborations can be needed to approach secondary growth poles. What territorial evidence can be given on advantages of stimulating secondary growth pole development compared to single pole development at national level (capital cities and other cities) and at European and regional level? - How competitive are secondary growth poles on national level in comparison to the primary pole(s)? Are there ambitions of (some) secondary growth poles to become primary growth poles? How can secondary growth poles be quantified (e.g. growth dynamics in terms of job creation or GDP), also in relation to primary growth poles? - What are, compared to a focused development of capital cities (at national level) and/or existing metropolitan European growth areas (at subnational level), advantages and disadvantages of stimulating secondary growth poles in territorial development? - What is, if there is any, the added value of secondary growth pole development for the economic performance of regions and for a balanced and sustainable development of the European territory? - To what extent can secondary growth poles and balanced territorial development improve (or worsen) the economic performance of regions and countries? What territorial potentials do secondary growth poles at (global/)european, (trans)national and regional level have and how can this be measured? - Which concentrations (also cross-border) of urban and economic activities have sufficient territorial potential to be developed as a secondary growth pole? What territorial development perspective, in terms of intrinsic elements (e.g. stimulating the quality of life) and the spatial position (e.g. increasing the multimodal access to the main pole and the integration in the European transport network) can be given to the different types of secondary growth poles? - How can the (potential) competitiveness of secondary growth poles be estimated in particular with respect to the potential for integration into the global economy? - Is secondary growth pole development feasible in all European regions or can some regions be detected (e.g. because critical mass or necessity for sustainable development is missing) where monocentric development should be preferred? What criteria play a role to determine feasibility? To answer this question an exhaustive list is expected for secondary growth poles at (global/) European and (trans)national level, for regional secondary growth poles the project is expected to create a sample of 3-5 cases for in-depth analysis. What are elements for spatial development strategies stimulating secondary growth poles at the various levels of scale (European, national, regional)? - What different territorial development strategies and policy approaches to stimulate secondary growth poles do already exist today? What selection criteria and performance indicators and other elements are being used? What lessons can be learnt from this? - What elements play a role in a policy, strategy or governance with respect to secondary growth pole development? What territorial elements can play a role in 8

67 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 policy design? What (public) policies (sectors and levels) can play a role? What policy implications can secondary growth pole development have, in particular for competitiveness and cohesion policy? What elements of policies for primary growth poles may also be suited to develop secondary poles? The project is expected to deliver a typology of different types of secondary growth poles which might take into account aspects like intrinsic strength (e.g. economic structure, demographic structure and development, cultural assets, quality of life), position and role in the urban and economic network (or stand alone) and hinterland relationships. The typology is to give evidence based on insight in the territorial potential of existing concentrations of urban and economic activity. In order to develop a typology the project is expected to make a quick scan of a sample of spatial and regional development policies at national and regional level in order to detect existing approaches. The project is to give possible territorial perspectives for the different types of secondary growth poles. It shall provide evidence for possible added value of secondary growth pole development. Elements that can be taken into account are synergies and complementarities with primary growth poles, the contribution to sustainable spatial development and reduction of urban sprawl or the contribution to territorial integration within the global economic system. The project shall include 3-5 (sample of different typologies and balanced throughout the ESPON space) targeted case studies on secondary growth poles at regional level in order to receive more focussed and detailed information on particularly interesting secondary growth poles and good practices. The case studies shall involve different types of regions (e.g. sparsely and densely populated, continental and islands, monoand polycentric). The case studies should show possible added value of the inclusion of secondary growth poles in territorial development, showing differences between monocentric and polycentric development strategies, and should as well serve to finetune, test and further develop the typologies and their development perspectives. In order to create coherence with project findings of other ESPON applied research projects, the project should present the main final results in relation to different types of regions and cities, using, where applicable, existing typologies for the urban system, rural areas, mountain areas, islands, coastal areas and outermost regions. The final results should also be presented for transnational cooperation areas under Structural Funds, and - where appropriate and possible - also for cross-border cooperation area and inter-regional cooperation areas. The geographical coverage of the project should encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the TPG should assess the data situation within their field of research in the EU Candidate Countries (i.e. Croatia, The former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244), and report their findings in the Inception report (see below chapter (v)). Depending on the respective data situation these countries would then be included in the analysis. 9

68 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON website. The project is expected to enhance the scientific platform of ESPON through the following deliveries: Data input to the development, update and extension of the ESPON database by additional data on cities, regions and concentrations and clusters of economic activity (preferably NUTS 3 level) gathered within the project, particularly in relation to the new Partner States Iceland and Liechtenstein. Indicators need to offer compatibility with a map-making facility, to provide a consistent, homogenous, reliable, and up-datable database. Indicators offering additional information on territorial potentials of urban areas and concentrations of economic activity as secondary growth poles (if relevant in relation to primary growth poles). Typologies of secondary growth poles classifying (1) intrinsic characteristics and (2) the territorial role and position. This includes a quick scan of existing typologies being used in national and regional policies for spatial and regional development. 3-5 case studies on the different types of secondary growth poles at regional level revealing their added value in territorial development, good practices and proposing more detailed development perspectives. European maps revealing (1) (primary and) secondary growth poles clustered by typology; (2) urban and economic structures relevant for secondary growth poles; (3) the territorial position of the secondary growth pole, relevant for its development perspective (e.g. relation to larger cities, hinterland), (4) the added value of secondary growth poles, (5) relevant maps of the case studies. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG in charge of the development of the ESPON 2013 Database. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new typologies if applicable and maps resulting from the project. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the cities, urban agglomerations and surrounding regions in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion , the Fourth Report on Cohesion, as well as (the debate on the) Green Paper on Territorial Cohesion. Project findings should make clear which impact secondary growth poles in territorial development could have on the competitiveness and socio-economic situation of European regions and cities as well as on the realisation of economic, social and territorial cohesion in Europe. Finally, the project should consider avenues for further applied research on the theme. 10

69 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 2 timetable and specification of outputs: June/July 2010 (Inception Report): Twelve weeks after the kick-off meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main literature, data sources, etc. The report shall also inform about the selection of case studies that will be conducted on particularly interesting secondary growth poles and good practices in that context. It shall as well include a list with the sample of national and regional policy plans on spatial and regional development. The Inception report shall also include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The report shall give clear orientation for the applied research previewed towards the Interim report and includes a proposal on the case studies. The research team should also report on the findings regarding the assessment of the data situation in EU candidate countries, the Western Balkans and Turkey and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON and other results that are relevant for this project. November/December 2010 (Interim Report): The content of the Interim report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report is envisaged to include elements such as: a) Main results on the basis of available data, developed indicators, typologies, and European maps, including An overview on concepts and methodology on secondary growth poles and possible final results. A detailed presentation of a hypothesis on the typologies and selections of secondary growth poles (including the quick scan of existing national and regional policies). Description of the technique/methodology/indicators/models to be used to detect and approach secondary growth poles. 2 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 11

70 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 An overview of the positive and negative territorial effects of secondary growth poles in territorial development. Preliminary results on the basis of available territorial indicators, including draft European maps. Preliminary results of the case studies. Data collection achieved, including an overview on statistical and geographical data collected by EUROSTAT, and national Statistical Institutes etc. First indications on the conclusions and policy relevant options that could be the outcome of the project. b) Plan for the applied research towards the draft Final Report as well as the Table of Content envisaged for the Final report. November/December 2011 (Draft Final Report): The Draft Final report will take into account feed-back on the Interim report from an ESPON seminar and by the Sounding Board. The report is supposed to include elements such as: c) Report (max. 50 pages) on the main results, trends, impacts and options for policy development, including key analysis/diagnosis/findings and the most relevant indicators and maps (any additional information should be included in a scientific report). Particularly important are options for policy makers, which could provide the basis for interventions related to potentials for improving European competitiveness and cohesion. The report should include key messages on the following: The operational use of a secondary growth pole approach in relation to EU policy development. Indication of policy options that could improve the tested policies in terms of supporting European strategies and territorial policy orientations. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the Report mentioned above. e) Scientific report documenting the scientific work undertaken in the applied research including elements such as: Literature and methodology/theory used. Typologies, concepts developed and used. Data collected and indicators used, including tables with the exact values of indicators. Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. Models and other tools used or developed. Detailed results of the case studies implemented for the three mentioned European, and eventually national, policies. Roadmap for policy implementation and on the further research avenue to follow, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. 12

71 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 April/May 2012 (Final Report): f) Revision of the Draft Final report on the basis of comments received. May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project amounts to , including VAT, if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vii) Existing access points Synergies and use of results from outside the ESPON regime shall be sought. In particular the activities by the European Commission services, e.g. regarding the Urban audit, the Urban Atlas, should be taken into account. The access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. European Commission (2008) The Green Paper on Territorial Cohesion Turning territorial diversity into strength: 13

72 ESPON 2013 Programme Project Specifications Project 2013/1/11 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Results of the ESPON 2006 and 2013 Programme, data and maps: Research activities of the Joint Research Centre of the European Commission: Relevant projects under the Framework Programmes for Research, managed by DG Research, such as Sensor. 14

73 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/12 European Perspective on Specific Types of Territories ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering regions and larger territories more options to decide their development path, as development is no longer a zero sum game for Europe. - Interaction is growing within the EU territory and between the surrounding neighbour countries and other parts of the world. This is apparent through e.g. migration pressure on more developed countries, which are themselves confronted with population decline, and by access to and investment in new markets. - Market forces and the evolution of society in general support a geographical concentration of activities. - The ongoing demographic changes with an ageing European population, in addition to migration, affect regions differently and increase the competition for skilled labour. - The occurrence of hazards due to climate change is increasing and different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others. This presents particular development opportunities for the production of renewable energy sources. - The enlargement of the EU to 27 Member States, and potentially more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them in different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas, as well as to Cohesion Policy. Territorial diversity, especially in 1

74 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. The ESPON 2006 Programme provided integrated analysis and long-term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. This has prompted interest among policy makers and practitioners for even more information, knowledge and understanding that ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further through applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON 2013 Programme will potentially benefit stakeholders at all levels throughout Europe. Policy makers dealing with territorial development require sound evidence and comparable regionalised information in addition to medium and long-term development perspectives, in order to create sustainable and efficient integrated policy responses for their territories. Given that the European Union is moving towards a more integrated policy approach, the territorial dimension is particularly important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element within the framework of policy making. Due to the provision of evidence based on analyses of territorial units, the ESPON 2013 Programme is of strategic importance for European policy development and cooperation. By further developing and expanding the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the period, and contribute to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. 2

75 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. - Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use and dissemination of results to an audience of policy makers, practitioners, scientists and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success in the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective on development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their tasks will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

76 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be undertaken to develop current achievements and make use of existing indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will make the evidence and knowledge already developed operational through raising awareness and involving stakeholders in the results and practical application of them. A strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the appointed Sounding Board and the ESPON CU must also be established as part of the project implementation. This project belongs to the first priority. It holds a key position in developing a European perspective of specific types of territories (i.e. border areas, highly or sparsely populated areas, the inner periphery, mountain areas). Knowledge on these issues is vital for targeted policy development in the light of Cohesion Policy aiming, inter alia, at job creation and properly mirroring the characteristics of specific types of territories. (iii) Thematic scope and policy context The EU Cohesion Policy debate has included a focus on regions with specific territorial features. The Treaty of Lisbon (2007), being in the process of ratification, mentions already some of these types of regions and territories. It states that (...) among the regions concerned, particular attention shall be paid to rural areas, areas affected by industrial transition, and regions which suffer from severe and permanent natural or demographic handicaps such as the northernmost regions with very low population density and islands, cross-border and mountain regions. (...) The Green Paper on Territorial Cohesion (2008), which launches the EU wide debate on Cohesion Policy, highlights as well the specific types of territories and regions. To better understand the strengths and weaknesses, which a specific region possesses, and to develop policies accordingly, comparable and comprehensive evidence and knowledge from a European perspective is thus in high demand for each type of region. Against this backdrop, the Green Paper holds the respective subtitle Turning territorial diversity into strength. Apart from that, the Territorial Agenda of the EU (2007) already underlined that diverse territorial potentials may form the basis for sustainable economic development. It states 4

77 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 that (...) the diverse territorial potentials of regions for sustainable economic growth and job creation in the EU must be identified and mobilised. (...) Based on the policy demand for new evidence and knowledge at European level, the dimension of types of territories sets the focus of this applied research project. The following types of territories and regions constitute the main regional types in the applied research project: Border areas (incl. inner peripheries) Highly or sparsely populated areas (against the background of specific thresholds [to be developed by the Transnational Project Group] of population density and thus particular challenges urban areas are facing) Inner periphery (defined as sparsely populated areas, isolated from centres and main transport networks with low socio-economic development dynamics) Mountain areas Islands Coastal zones Outermost regions Some of the ongoing ESPON targeted analyses will contribute to improving the knowledge base of policy makers in the regions concerned. These projects are the ones on The Development of the Islands European Islands and Cohesion Policy (EUROISLANDS), Cross-Border Polycentric Metropolitan Regions (METROBORDER), Success for Convergence Regions Economies (SURE) and Territorial Diversity (TeDi). This applied research project shall thus take into account the work that has been and will be carried out within the framework of these projects, yet taking itself a clear European perspective. Nevertheless, new facts and analysis through applied research remains necessary in order to gather with a clear European focus a coherent framework of specific types of territories and regions. Some types of territories and regions (e.g. coastal zones) as well as individual features related to them (e.g. socio-economic costs and benefits of coastal zone management) have already been elaborated. The coherent European perspective on all specific types of territories and regions, as mentioned before, is yet missing. This goes particularly for a comprehensive analysis of these types and their strengths and weaknesses. Against this background, the project should strive to achieve a better understanding of the following key policy questions, for which it should produce supporting information and evidence: What are considering effects of economic activity concentration in capital cities and densely populated conurbations the development opportunities of the specific types of regions mentioned above, especially of their small and medium-sized cities as secondary growth poles, in overcoming differences in density? What is the diversity within the categories of types of regions mentioned? How can their assets 5

78 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 contribute to sustainable growth and job creation as well as to more and better cohesion in Europe? What are taking yet inadequate access to transport connections, services, education, sustainable energy networks and broadband internet into account the needs of the specific types of regions for connecting their territories with others to overcome the constraints of physical distances? What role referring to the necessity to overcome the challenges of concentration and connectivity may play territorial cooperation and partnership (e.g. urban-rural partnerships) for these specific types of regions supporting a better territorial balance and cohesion? Which public intervention (considering services of general interest) should be undertaken by whom? What role can Cohesion Policy play in this respect? What role may these specific types of regions play in the context of organising the European territory (e.g. global positioning, spatial positioning, benchmarking, and reference frameworks for comparison, becoming less vulnerable towards economic crises)? Is there a need for specific territorially shaped policies, i.e. for socioeconomically disadvantaged territories being e.g. offshore in respect of the European mainland? If so, on which administrative level should such policies be developed? The perspective of applied research under this measure shall be guided by the objective to identify broad development perspectives and trends for specific types of territories and regions, also in the light of the Lisbon Agenda/Gothenburg Agenda. Ongoing projects under the ESPON 2013 Programme might produce highly relevant knowledge for this project. In particular interrelations are to be sought with the ESPON 2013 applied research projects on Rural Areas Development (EDORA) and on Climate Change and Territorial Effects on Regions and Local Economies (ESPON Climate). Results deriving from the above mentioned ongoing targeted analyses are to be taken into account as well. Some ESPON 2013 projects that start in parallel with this project might also generate relevant information, namely the projects on Services of general interest, Attractiveness of European regions and cities for residents and visitors, European patterns of land use, Territorial cooperation in transnational areas, between regions and across internal/external borders and Transport accessibility at regional/local scale and patterns in Europe. (iv) Analytical framework and deliveries expected In the sense of providing news facts and analysis, the project shall based on a sound methodology provide solid assessment of the current situation, trends and perspectives in and for the before mentioned types of territories and regions. The analysis of these specific types of territories and regions shall be both quantitative and qualitative. Whenever possible, definitions of these territories and regions at NUTS 3 level used by the European Commission should be maintained. Where data is available at a level below NUTS 3, it can also be included. 6

79 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The project shall strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental, and economic aspects. In addition, a three-levelapproach (European, transnational/national, regional) to the analysis, commonly used by all ESPON applied research projects, should be applied in order to support a clear presentation of results, which might vary depending on the geographical scale. The project should consider existing data, indicators for the analysis. The data, indicators and maps of the ESPON 2006 Programme are one important source in this respect. This project shall in particular be informed and make use of relevant results from the following ESPON 2006 Projects: The ESPON Project ( Spatial Effects of Demographic Change and Migration ) showed that there are concentration effects in larger urban areas and depopulation effects in the peripheral areas of the EU. The ESPON 3.2 ( Spatial Scenarios in Relation to the ESDP and EU Cohesion Policy ) delivered trends in specific types of regions. The ongoing ESPON Typology Compilation project (envisaged to be carried out in the period ) will provide its final report in January The ESPON Typology Compilation project aims at defining and compiling a set of operational typologies of regions that can reflect types of territories that are of particular concern for European policy makers. This project is expected to consider the results coming out of the latter project. The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. In the concrete design of the applied research project and its work packages, the project is expected to answer the following key research questions: Which are the present state, trends and drivers for development? What definitions for different types of regions do exist and how can different (also possible new) types of regions be delineated on that basis? What is the present state of the before mentioned specific types of territories and regions in Europe, particularly of the socio-economically disadvantaged ones, considering their strengths in the sense of territorial potentials, quality of life, biodiversity and weaknesses, based on the most appropriate economic, social and environmental indicators which can be collected Europe-wide? What are the commonnesses and/or differences in strength and weakness patterns when looking at multiple levels, i.e. regional, national, European, global? How can strengths and weaknesses be measured? Which endogenous development opportunities of 7

80 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 which specific types of territories and regions could be better exploited for achieving improved regional strength? What are (medium-term and long-term) trends over space and time, considering for example types of territories and regions showing deviation with respect to common territorial development trends (e.g. demography, economic growth)? Which are their likely future development paths? Where are the specific types of territories and regions which are most prominent and what are the drivers of a favourable development there? What might be the diversity within the different categories of types of regions? Which opportunities for cooperation and partnership exist? Are there under-used opportunities for cooperation and partnership in and between specific types of territories and regions of the same specificity? If so, where and to which degree could they contribute to more competitivenss and cohesion both, within the specific type of the territory and region and on a European level? Which reference frameworks and benchmarking could be developed? Can a reference framework for comparing the specific types of territories be elaborated? What can thus be recommendations for policy makers for shaping territorially relevant policies? Considering benchmarking: Which are the key indicators, taking the diversity of specific types of territories into account? Which options to handle specific features could be proposed? What are possible options for economically specialised territories to handle their specific vulnerability to e.g. economic crises and/or climate change? The project shall include +/- 10 targeted case studies in order to receive some more focused and detailed information on specific regions (e.g. why some mountain areas are doing fine while others are facing difficulties). The geographical coverage of the project shall encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the Transnational Project Group (TPG) should assess the data situation for their field of research in the EU Candidate Countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and report on their findings in the Inception Report. Depending on the respective data situation these countries would then be included in the analysis. The deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON Website. The project is expected to enhance the scientific platform of ESPON with at least the following deliveries: 8

81 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Data input based on a critical assessment of existing data to the development, update and extension of the ESPON Database by additional data on specific types of territories and regions gathered within the project, particularly in relation to the new ESPON Partner States (Iceland and Liechtenstein). Indicators need to offer compatibility with a map-making facility, to provide a consistent, homogenous, reliable, and up-datable database; Indicators and new complex indicators offering as tools additional information, particularly for monitoring purposes, on the specific types of territories and regions; European maps revealing the specific types of territories and regions as mentioned before (border areas, highly or sparsely populated areas, inner periphery, mountain areas, islands, coastal zones, outermost regions) and their strengths and weaknesses as well as new typologies aiming at the clustering of regions. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG in charge of the development of the ESPON 2013 Database and Data Development project. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new maps resulting from the project. The final results should also be presented for transnational cooperation areas under Structural Funds, and where appropriate and possible also for cross-border cooperation areas and inter-regional cooperation areas. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the regions and cities in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion and the Fourth Report on Social and Economic Cohesion as well as the spring 2009 debate opened by the Green Paper on Territorial Cohesion. Project findings should make clear which impact the use of the identified development opportunities could have on the competitiveness and socio-economic situation of European regions and cities as well as on the realisation of economic, social and territorial cohesion in Europe. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the 9

82 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 2 timetable and specification of outputs: June/July 2010 (Inception Report): Twelve weeks after the Kick-Off Meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation as well as a review of the main literature, data sources, etc. It shall as well include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The Inception report also presents the selection of case studies that will be analysed. It shall give clear orientation for the applied research previewed towards the Interim Report. The research team should also report on the findings regarding the assessment of the data situation in the EU Candidate Countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and / or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON results that are relevant for this project. November/December 2010 (Interim Report): The content of the Interim Report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report is envisaged to include elements such as: a) Preliminary results on the basis of available data, developed indicators, typologies, and European maps, including Data collection achieved, including an overview on statistical and geographical data collected by EUROSTAT, and National Statistical Institutes, etc.; Draft European maps; First indications on the conclusions and policy relevant options that could be the outcome of the project. b) Plan for the applied research towards the Draft Final Report as well as the Table of Content envisaged. 2 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 10

83 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 November/December 2011 (Draft Final Report): The Draft Final Report will take into account feed-back on the Interim Report from an ESPON Seminar and by the Sounding Board. The report is supposed to include elements such as: c) Report (max. 50 pages) on the main results, trends, impacts, projections and options for policy development, including key analysis / diagnosis / findings and the most relevant indicators and maps (any additional information should be included in a Scientific Report). Particularly important are options for policy makers, which could provide the basis for interventions related to opportunities for improving European competitiveness and cohesion. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the report mentioned above. e) Scientific Report documenting the scientific work undertaken in the applied research including elements such as: Literature, definitions and methodology / theory used; Methodologies, typologies and concepts developed and used; Data collected and indicators used, including calculation algorithms and tables with the exact values of indicators; Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland; Tools and models used or developed; Future research avenues to consider, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. April/May 2012 (Final Report): f) Revision of the Draft Final Report on the basis of comments received. May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the ESPON CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity 11

84 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON Seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON Seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project amounts to , including VAT, if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vii) Existing access points Synergies and use of results from outside the ESPON context shall be sought. The other access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. ESPON projects results, data, tools and maps (available at Treaty of Lisbon (2007) The Green Paper on Territorial Cohesion (2008) The Fourth Report and Social and Economic Cohesion (2007) The Territorial Agenda of the EU (2007) Remote rural regions: How proximity to a city influences the performance of rural regions (2008) ( Border areas (documents available at European Charter for Border and Cross-Border Regions (2004) Action Programme for Implementation of the Charter for Border and Cross- Border Regions (2004) Mountain areas (some documents available at Unlocking the Mountains a new approach to rural development for Europe s mountains (2004) Mountain as natural ingredients for Europe s competitiveness (2006) 12

85 ESPON 2013 Programme Project Specifications Project 2013/1/12 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Declaration Urging the Presentation of a Green paper on the Future of the European Mountain Areas (2007) Convention on the Protection of the Alps, Convention on the Protection and Sustainable Development of the Carpathian & Balkan Convention Initiative (2005) Alpine Convention (2004), available at ww.alpine-convention.com Transport and Mobility in the Alps (2007), available at Carpathian Convention (2003), available at carpathianconvention.org Coastal zones, islands (documents available at An Assessment of the Socio-Economic Costs & Benefits of Integrated Coastal Zone Management (2000) An Integrated Maritime Policy for the European Union + Commission Staff Working Document Accompanying this Document ( Action Plan ) (2007) Analysis of the European Commission s Blue Book An integrated maritime policy for the European Union (2008) Tasks, policies and competences of the European Union: what the peripheral maritime regions expect from Europe (2002) EU focus on coastal zones Regions at the heart of European maritime policy (2007) 13

86 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/13 Territorial Dimension of the Innovation and Knowledge Economy ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering more options for regions and larger territories in deciding on their development path as development is no longer a zero sum game for Europe. - Interaction is growing between the EU territory and the surrounding neighbour countries as well as the other parts of the world, becoming apparent by e.g. migration pressure on more developed countries, which are themselves confronted with population decline and by access to and investment in new markets. - Market forces and the evolution of society in general are supporting a geographical concentration of activities. - The ongoing demographic change with an ageing European population and migration is affecting the regions differently and boosts the competition for skilled labour. - The occurrence of hazards is increasing due to climate change while different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others, some of which have particular potential for production of renewable energy sources. - The enlargement of the EU to 27 Member States, and at a later stage maybe to more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them into different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas as well as to Cohesion Policy. Territorial diversity, particularly in the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. 1

87 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The ESPON 2006 Programme provided integrated analysis and long term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations produced by ESPON on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. Therefore, interest is growing among policy makers and practitioners for the information, knowledge and understanding ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further by carrying out applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON Programme will potentially benefit stakeholders all over Europe at all levels. Policy makers dealing with territorial development require sound evidence and comparable regionalised information as well as medium and long-term development perspectives in order to draw up sustainable and efficient integrated policy responses for their territories. All in all, the European process moves towards a more integrated approach to policy making which makes the territorial dimension important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element in the framework for policy making. Due to its provision of evidence based on analyses of territorial units the ESPON 2013 Programme is of strategic importance for the European policy development and cooperation. By further extending and deepening the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the current period , namely by contributing to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. - Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. 2

88 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use of and dissemination of results to an audience of policy makers, practitioners, scientist and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success for the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective to development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their task will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

89 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 undertaken to develop current achievements and make use of the indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will be aiming at making the evidence and knowledge developed operational through measures raising awareness and involving stakeholders in the results and their practical use. This project belongs to the first priority and holds a key position in developing a common understanding of opportunities and perspectives deriving from the territorial dimension of the innovation and knowledge economy. The project deepens and elaborates knowledge delivered by former and ongoing ESPON projects. Profound knowledge on the territorial dimension of the innovation and knowledge economy is vital for targeted policy development in the light of Cohesion Policy aiming at improved regional competitiveness and sustainable and balanced growth of the European territory. Therefore a strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the Sounding Board set up for following and advising the project and the Coordination Unit shall as well be established as part of the project implementation. (iii) Thematic scope and policy context Globalisation of research and technology is accelerating and new scientific and technological powers outside the European territory (e.g. China, India) are attracting considerable and increasing amounts of R&D investments. These developments bring new opportunities for Europe and the world. At the same time, they raise the question of Europe s ability to sustain a competitive edge in knowledge and innovation, which is at the core of the renewed Lisbon Strategy for Growth and Jobs. The innovation and knowledge economy (e.g. research and development, knowledge intensive services) has become a significant part of the European economic structure. It is made up of the development of technical innovation on one side, and the application of such innovation on the other side, resulting in new forms of processing, organising and making business. In order to foster a culture of innovative entrepreneurship and focus more strongly at the quality of processes and products the innovation and knowledge economy is recently also being approached from a broader perspective including social and educational innovation. The OECD LEED Forum on Social Innovations developed a comprehensive vision on innovation and defines social innovation as conceptual, process or product change organisational change and changes in financing. The conceptualisation of innovation in this sense might include the empowerment of specific groups of society, female entrepreneurship, life long learning and so on. Encouraged by the Lisbon Strategy all policy levels are contributing to a further reinforcement of innovation. The existence of a sufficient level of technological development provides an important basis for economic performance but it is especially the application of innovative ideas that contributes to the creation of jobs and growth. 4

90 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The rise of the innovation and knowledge economy means at the same time that a new type of economic and territorial behaviour becomes more dominant. Businesses and research institutes forming part of the innovation and knowledge economy apply other criteria in their search for a location and also use the territory differently than other economic sectors. The territorial dimension of the innovation and knowledge economy is important for the development of Europe s territories and needs better understanding. Recent policy documents recognise this and underline its importance. The European Commission recognises in both, the Green Paper on the European Research Area as well as the Green Paper on Territorial Cohesion the territorial dimension of the innovation and knowledge economy: - The European Research Area should structure itself along the lines of a powerful web of research and innovation clusters. Their reach should be amplified through virtual research communities created by pooling and integrating activities and resources from different locations in Europe and beyond, using powerful computing and communication tools. Increasingly, clusters should form and expand through such virtual integration rather than geographical concentration. - Full benefit should be derived from Europe s diversity. European countries and regions may build on their strengths by progressively developing specialisation in certain fields. - European public research isn t always holding up to leading world standards. Therefore, some concentration and specialisation is necessary to permit the emergence of European centres of excellence competitive on the global scale. - Access to high-quality research and the possibility to participate in transnational projects have an increasingly important effect on regional development. The territorial dimension of research policy is embodied in the establishment of the European Research Area, in which researchers can move, interact and cooperate in an open way. Other policy documents of the European Commission show similar messages. The Territorial Agenda includes two territorial priorities for the development of the European Union that are closely related to the innovation and knowledge economy. The ministers state that they (1) aim to strengthen polycentric development and innovation through networking of city regions and cities and (2) promote regional clusters of competition and innovation in Europe. Emphasis is put on the creation of innovative clusters where the business community, the scientific community and administrations can work together, and on the role of city regions as well as rural areas (focussing on existing centres of innovation) that should strengthen their international identity and specialisation as a way of becoming more attractive for investment. The project should strive for a better understanding of the following key policy question, for which it should provide supporting knowledge and evidence: What is the current state and pattern of the European territory and its regions with respect to the knowledge and innovation economy and how does this relate to the overall global picture of the knowledge and innovation economy? What territorial potentials can be exploited in different territories in order to further support the development of the innovation and knowledge economy 5

91 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 within the framework of sustainable and balanced territorial development and cohesion? What types of territories and types of innovative clusters should be emblematic for European territorial cooperation in the field of innovation? What variations between regions exist in the innovation and knowledge economy and what types of innovation and knowledge economy policy relevant for territories can be distinguished? What could be done to improve the capacity of regions in terms of innovation and knowledge economy? Is this the same for all regions or can different measures be distinguished for the various types of regions? What specific territorial assets and territorial development strategies (e.g. city-networks, regional clusters, landscape and culture) can create added value for the knowledge and innovation economy? Coordination should take place with other relevant ongoing ESPON 2013 projects. In particular interrelations should to be sought with the ESPON 2013 project on Continental territorial structures and flows (globalisation). (iv) Analytical framework and deliveries expected The project takes the policy context as described above as a starting point to explore the territorial dimension of the innovation and knowledge economy. Innovation is in this project to be understood as an overall concept including product innovation, process innovation and organisational innovation and hence not only technological innovation. The main objective of this research will be to establish a comprehensive picture of the EU regions from the perspective of innovation and knowledge. Existing material should be completed with new indicators based on a thorough discussion on the measurement of innovation and knowledge, possibly accounting for aspects such as the interrelations between research, higher education and regional innovation systems. The analysis should also account for variations in the nature of innovation and knowledge across different types of territories. The research should address the spatial dimension of innovation and knowledge. In particular, it should contribute to improve our capacity to measure the diffusion process of innovation and knowledge in space. It should also contribute to identify what are the most important inter-regional spill-overmechanisms and to establish a map of the innovation and knowledge related interregional linkages. The main research issue of this project is to deliver evidence on potentials and perspectives for the territorial dimension of the innovation and knowledge economy. The project builds further on and elaborates results of existing and ongoing ESPON projects, work done within the framework of the Joint Research Programme and other useful existing knowledge. Data, indicators and maps of the ESPON 2006 Programme are important sources for this project. The project shall in particular be informed and make use of results from the following projects: 6

92 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 ESPON project on the identification of spatially relevant aspects of the information society containing a descriptive analysis and spatial assessment of the information society. ESPON project on the territorial impact of EU research and development policies constructing typologies of regions and identifying indicators that reflect regional strengths in R&D, together with indicators of levels of innovation activity. ESPON project on EU economic policies and location of economic activities offering an economic typology of European regions. The project should strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental and economic aspects. In addition a threelevel approach (European, transnational/national, regional/local) to the analysis, commonly used by all ESPON applied research projects, should be applied in order to support a clear presentation of results, which might vary depending on the geographical scale. The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory as a whole and the different types of territories within Europe. In particular the access to and use of global knowledge and innovative practices by Europe s regional economies is to be taken into account in this respect. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. The following key research questions are expected to be answered: What is the territorial dimension of the innovation and knowledge economy? - How can the definition of innovation and knowledge economy be further deepened? - What are the territorially relevant elements of the innovation and knowledge economy (including product, process and organisational innovation)? - What territorial dynamics are being caused or influenced by innovation and the knowledge economy? What is the territorial structure and functioning of the innovation and knowledge economy? - What is the territorial structure (distribution, density, location, ) of the innovation and knowledge economy in Europe? What are strengths and weaknesses of this structure? What typologies of territories can be distinguished to describe this territorial structure and location patterns? Do different types of regions host different parts of the knowledge and innovation economy and can different types of innovation processes be detected in different territories? How does the current level of economic development of a region or territory influence the role it takes up towards innovation? 7

93 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September What territorial characteristics play a role for the location of (different groupings of) businesses, research institutes and other bodies making part of the innovation and knowledge economy? How do businesses and other innovation related institutes access innovation? What typologies (for instance sectors) of businesses, research institutes and other bodies forming part of the innovation and knowledge economy can be distinguished in terms of territorial behaviour? Up to what extent does regional presence of small and medium enterprises (SME) play a role for successful innovative business environments? - What levels of scale (European (trans)national regional) play a role in location and day-to-day-functioning? - What is the role of existing spatial clusters for the location of new innovative businesses and what other impacts (e.g. in terms of GDP, labour market or level of education) do economic clusters have on territories? To what extent do leader-follower concentrations exist? What is the size of clusters? - What are the main characteristics of the diffusion process of innovation and knowledge in space? What are the most important inter-regional spill-over mechanisms at work and where do they locate? - What is the role of education (universities and other) in the innovation and knowledge economy and can this be used to fulfil the innovation needs of regions and specific territories? What is the performance of the innovation and knowledge economy and what territorial potentials can be detected in order to increase this performance? - What (types of) regions have territorial potential for further developing (parts of) innovation and knowledge economy? What regions have untapped and underused potential? Where are these regions situated? - What is the performance of European (types of) territories from the perspective of innovation and knowledge and how is this affected by interrelations between research, higher education and regional innovation systems? What is the specific potential for cross-border (Medicon Valley (DK/SE)) and transnational innovation clusters (Biovalley (DE/FR/CH))? What building blocks can be defined for a spatial development strategy for the innovation and knowledge economy? - What are the policy relevant components of the innovation and knowledge economy (e.g. developing technology, applying technology, consumer markets)? What territorially relevant quantitative data and indicators are available to measure and territorialise the innovation and knowledge economy? - What good examples and best practices can be given of (regional, national and European) spatial development strategies for innovation and knowledge economy? - What scope is there to foster innovative clusters and economic growth for the different types of territories and regions in Europe? - How do the detected building blocks relate to current structural funds policies? The generation and the territorial representation of data and the development of territorial indicators on the innovation and knowledge economy form an important part of this applied research project. The teams of experts interested in this project are asked to give a clear indication already in their proposal on the quantitative data they will use and how this data will be obtained. The seventh framework programme, for instance, 8

94 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 makes new data available and indicators for the European Research Area have been developed. New data on e.g. research and development, patents, trade-marking and coauthorship are available that might be interesting to analyse and use from a territorial perspective. The project is to deliver a typology of different types of regions that, based on a series of relevant characteristics, possess specific territorial potentials for developing the innovation and knowledge economy. The project is to describe possible territorial perspectives for each regional typology. These perspectives can focus on possible specialisations, territorial impacts, policies and investments needed but also specific barriers to overcome. The project is expected to deliver two different types of case studies: case studies that show best practices of regions that have been recently able to accelerate their performance in the innovation and knowledge economy. The findings of the applied research at European level should be applied on the case studies for which more focussed and detailed information should be created case studies aiming at analysing, measuring and mapping technological spill-over effects (such as the effect of process innovation in one region causing impacts somewhere else) at case-study level (and not European wide). The choice of case studies takes into account that innovative neighbours do exist rather on the basis of activity than geographical proximity. The cases focus on the global dimension of the innovation and knowledge economy and look into the development of territorial diffusion processes over time. In order to create coherence with project findings of other ESPON applied research projects, the project should present the main final results in relation to different types of regions and cities, using existing typologies for the urban system, rural areas, mountain areas, islands, coastal areas and outermost regions. The final results should also be presented for transnational cooperation areas under Structural Funds, and - where appropriate and possible - also for cross-border cooperation area and inter-regional cooperation areas. The geographical coverage of the project should encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the TPG should assess the data situation within their field of research in the EU Candidate Countries (i.e. Croatia, The former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244), and report their findings in the Inception report (see below chapter (v)). Depending on the respective data situation these countries would then be included in the analysis. The deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON website. The project is expected to enhance the scientific platform of ESPON through the following deliveries: Data input to the development, update and extension of the ESPON database by additional data on education and skills, information and communication 9

95 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 infrastructure and the innovation system (firms, research centres, universities and so on) (preferably NUTS 2/3 level) gathered within the project, particularly in relation to the new Partner States Iceland and Liechtenstein. Indicators need to offer compatibility with a map-making facility, to provide a consistent, homogenous, reliable, and up-datable database. Indicators offering additional information on territorial potentials for innovation and knowledge economy of regions, and urban/rural areas. Typologies of different parts of the innovation and knowledge economy in terms of territorial behaviour and typologies of regions. Case studies on good practices of exploiting territorial capital for the innovation and knowledge economy. European maps revealing (1) the territorial structure of the innovation and knowledge economy, (2) typologies of regions, (3) potentials for regional development. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG in charge of the development of the ESPON 2013 Database. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new typologies if applicable and maps resulting from the project. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the cities, urban agglomerations and surrounding regions in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion , the Fourth Report on Cohesion and the Green Paper on Territorial Cohesion. Project findings should make clear which impact the knowledge and innovation economy could have on the competitiveness and socio-economic situation of European regions and cities as well as on the realisation of economic, social and territorial cohesion in Europe. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project 10

96 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 implementation based on the following indicative 2 timetable and specification of outputs: June/July 2010 (Inception Report): Twelve weeks after the kick-off meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main literature, data sources, etc. It also includes a list of territorial indicators on the innovation and knowledge economy that will be produced and mapped within the project. The Inception Report also presents the selection of case studies that will be analysed. It shall also include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The report shall give clear orientation for the applied research previewed towards the Interim report. The research team should also report on the findings regarding the assessment of the data situation in EU candidate countries, the Western Balkans and Turkey and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON and other results that are relevant for this project. November/December 2010 (Interim Report): The content of the Interim report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report is envisaged to include elements such as: a) Main results on the basis of available data, developed indicators, typologies, and European maps, including An overview on concepts and methodology on assessing the territorial dimension of the innovation and knowledge economy and possible final results. A detailed presentation of a hypothesis on the typologies and selections. Description of the technique/methodology/indicators/models to be used to detect and approach the territorial dimension of the innovation and knowledge economy. Preliminary results on the basis of available territorial indicators, including draft European maps. Further elaboration and preliminary results of the case studies. Data collection achieved, including an overview on statistical and geographical data collected by EUROSTAT, the Joint Research Programme and national Statistical Institutes etc. First indications on the conclusions and policy relevant options that could be the outcome of the project. b) Plan for the applied research towards the draft Final Report as well as the Table of Content envisaged for the Final report. 2 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 11

97 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 November/December 2011 (Draft Final Report): The Draft Final report will take into account feed-back on the Interim Report from an ESPON seminar and by the Sounding Board. The report is supposed to include elements such as: c) Report (max. 50 pages) on the main results, trends, impacts and options for policy development, including key analysis/diagnosis/findings and the most relevant indicators and maps (any additional information should be included in a scientific report). Particularly important are options for policy makers, which could provide the basis for interventions related to potentials for improving European competitiveness and cohesion. The report should include key messages on the following: The operational use of the territorial dimension of the innovation and knowledge economy in relation to EU policy development. Indication of policy options that could improve the tested policies in terms of supporting European strategies and territorial policy orientations. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the Report mentioned above. e) Scientific report documenting the scientific work undertaken in the applied research including elements such as: Literature and methodology/theory used. Typologies, concepts developed and used. Data collected and indicators used, including tables with the exact values of indicators. Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. Models and other tools used or developed. Detailed results of the case studies implemented for the three mentioned European, and eventually national, policies. Roadmap for policy implementation and on the further research avenue to follow, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. April/May 2012 (Final Report): f) Revision of the Draft Final report on the basis of comments received. May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall 12

98 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project amounts to , including VAT, if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vii) Existing access points Synergies and coordination should be established with the European Commission services, particularly with the efforts made within the framework of the Joint Research Programme. The access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. Results of the ESPON 2006 and 2013 Programme, data and maps: The websites and offer extensive overviews of references and links to recent European policy and research activities related to the innovation and knowledge economy. The Commission Staff Working Document SEC (2008) 2637 on the concept of clusters and cluster policies and their role for competitiveness and innovation. Research activities of the Joint Research Centre of the European Commission: o KEI - Knowledge economy indicators: Development of innovative and reliable indicator systems; o PRIME - Policies for research and innovation in the move towards the European research area; 13

99 ESPON 2013 Programme Project Specifications Project 2013/1/13 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 o MICRO-DYN - The competitiveness of firms, regions and industries in the knowledge-based economy: What room for job-rich growth in Europe The INTERACT Database give reference to projects on the innovation and knowledge economy carried out within the Interreg framework. The projects give access to general information, development practices and data. Relevant projects under the Framework Programmes for Research, managed by DG Research, such as Sensor Relevant background information and global indicators can be found on ; this website also provides information on the definition and conceptualization of the innovation concept (see OECD LEED Forum) Relevant scientific (background) information in the knowledge and innovation economy and regional clusters is available and can be used as a framework for this applied research project (e.g. The Oxford Handbook of Innovation (Oxford: Oxford University Press, 2004)) 14

100 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/14 Continental territorial structures and flows (globalisation) ( ) (o) Territorial challenges relevant for the ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering regions and larger territories more options to decide their development path, as development is no longer a zero sum game for Europe. - Interaction is growing within the EU territory and between the surrounding neighbour countries and other parts of the world. This is apparent through e.g. migration pressure on more developed countries, which are themselves confronted with population decline, and by access to and investment in new markets. - Market forces and the evolution of society in general support a geographical concentration of activities. - The ongoing demographic changes with an ageing European population, in addition to migration, affect regions differently and increase the competition for skilled labour. - The occurrence of hazards due to climate change is increasing and different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others. This presents particular development opportunities for the production of renewable energy sources. - The enlargement of the EU to 27 Member States, and potentially more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them in different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas, as well as to Cohesion Policy. Territorial diversity, especially in the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. 1

101 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The ESPON 2006 Programme provided integrated analysis and long-term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. This has prompted interest among policy makers and practitioners for even more information, knowledge and understanding that ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further through applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON 2013 Programme will potentially benefit stakeholders at all levels throughout Europe. Policy makers dealing with territorial development require sound evidence and comparable regionalised information in addition to medium and long-term development perspectives, in order to create sustainable and efficient integrated policy responses for their territories. Given that the European Union is moving towards a more integrated policy approach, the territorial dimension is particularly important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element within the framework of policy making. Due to the provision of evidence based on analyses of territorial units, the ESPON 2013 Programme is of strategic importance for European policy development and cooperation. By further developing and expanding the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the period, and contribute to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. - Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. 2

102 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use and dissemination of results to an audience of policy makers, practitioners, scientist and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success in the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective on development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their tasks will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

103 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 undertaken to develop current achievements and make use of existing indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will make the evidence and knowledge already developed operational through raising awareness and involving stakeholders in the results and practical application of them. A strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the appointed Sounding Board and the Coordination Unit must also be established as part of the project implementation. This project belongs to the first priority. It holds a key position in preparing a common ground for a better understanding of Europe in the global context and to compare the position of the EU in relation to other regional structures at a world level. Knowledge on these issues is vital for targeted policy development in the light of Cohesion Policy. (iii) Thematic scope and policy context Globalisation is accelerating with European competitiveness becoming more and more interwoven and dependent on the rest on the world. Understanding Europe in the world is a prerequisite for policy making and for promoting Europe in this international competition. A first analysis of the territorial structures and flows looking at Europe in the world has been undertaken by the ESPON 2006 Programme 2 creating a high level of interest. This momentum should be kept by looking deeper into territorial structures and patterns of economic activity, as well as flows between continents on the planet Earth. But globalisation has also to be seen in a prospective way. In fact, the global scale is addressed in the Green Paper on Territorial Cohesion by the European Commission (2008), when referring to Europe s competitiveness: In a globalising and interrelated world economy, competitiveness also depends on building links with other territories to ensure that common assets are used in a coordinated and sustainable way. In this context, cooperation is seen as vital aspect of territorial development. Despite the increasing importance of flows, globalisation also concerns territorial structures and places. Therefore, it is equally important to understand the role and position of the (European) territorial structures in the global context. At a world level, large agglomerations are the forerunners and the most important nodes in the global economic system. In Europe, metropolitan agglomerations seem to be smaller than in many other continents. In the EU, only 7% of the people live in cities of over 5 million as against 25% in the US, and only 5 EU cities appear among the 100 largest in the world 3. 2 ESPON Project: EUROPE IN THE WORLD, Lead by Claude Grasland from Université Paris 7. 3 COM (2008) Green Paper on Territorial Cohesion, Turning territorial diversity into strength. 4

104 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 In addition to these territorial structures, the importance of some emerging states, such as the BRIC countries (Brazil, Russia, India and China) is an important aspect to consider in the globalisation process. This is particularly true because of the competitive strategies of these actors that will certainly have an impact in the global space of flows (i.e. trade and migratory flows) but also in the traditional geography of places (population mass, market size, profiles of specific territories) and therefore in the position of Europe in the world. However, when speaking about countries, it needs to be mentioned that the role of nation states is considered to be in decline and regions and cities are seen as becoming the key agents of economic development. This trend is explained by Castells (1989) when suggesting the domination of space of flows over space of places. From this point of view major urban agglomerations/cities and regions are becoming increasingly competitive agents and the growth in major urban areas has been disconnected from the growth of national economies 4. Since according to this interpretation globalisation is seen as a process of deterritorialisation, it has been suggested to complement it with the view of globalisation as a process of reterritorialisation 5. This implies that the relationship between the nation state and cities is re-scaled in conjunction with the most recent round of capitalism accumulation, but both remain essential forms of territorial organisation 6. In this respect, the ongoing re-scaling of the nation state is considered to result in the emergence of a global nation state 7, i.e. the state is turned inside-out in the sense that its main goal is to enhance and promote the global competitiveness of its cities and regions and outside-in in the sense that supra-national agencies, such as the EU, have come to play direct roles in the regulation of each state s internal territorial space. The basic idea behind this view is to promote the global competitiveness of major sub-national growth poles at the national level. Finally, when referring to globalisation, cooperation should also be mentioned. Territorial cooperation is seen by EU policy as an important instrument to ensure that territorial capital and potentials are used in an optimal fashion. In particular, territorial cooperation helps overcoming distance between EU territories and can hence be considered as an important factor of competitiveness. The key policy questions which the project should strive to achieve a better understanding of and for which it should produce supporting information and evidence are the following: What is the nature and magnitude of the exchanges of EU regions with the rest of the world for various types of flows (trade of goods, services, capital, labour and tasks, transfers of technology and knowledge, culture)? What type of relation (functional integration, network, exchange and/or cooperation) does Europe have with the rest of the world? What structural strong and weak points do the various types of European territories have in relation to other parts of the world? 4 Saskia Sassen (2001) The global city. 5 Brenner (1999) Globalisation as reterritorialisation: the re-scaling of urban governance in the European Union. 6 Antti Pelkonen (2005) State restructuring, urban competitiveness policies and technopole building in Finland: a critical view on the glocal state thesis. 7 Brenner (1999). 5

105 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 How can the competitiveness of EU territories be promoted and exploited at different scales (global, European, transnational, national, regional/local)? How does the structure of EU territories (i.e. the geographical organisation of territories) affect the competitiveness of EU regions, Member Sates and of the European Union as a whole? Can specific strategic and structural infrastructure projects at European level be identified that would support European competitiveness and territorial cohesion? Coordination and exchange should take place with other relevant ongoing ESPON 2013 projects (in particular the project on Cities and urban agglomerations: their functionality and development opportunities for European competitiveness and cohesion (FOCI), the project on Demographic and migratory flows affecting European regions and cities (DEMIFER) and the ones on Territorial cooperation in transnational areas and across internal/external borders and European seas in territorial development the latter two starting in parallel to this one). (iv) Analytical framework and deliveries expected The project shall take its starting point from the ESPON 2006 project on Europe in the world and other relevant studies or reports dealing with globalisation and development patterns at a world level by e.g. the World Bank, the UN and the OECD. The main aim of the project is to look into the territorial dimension of the globalisation process and analyse its significance for an enlarged Europe (EU 27 plus Switzerland, Norway, Liechtenstein and Iceland). In doing so, a good understanding of the position of Europe and its regions in the global context and in relation to other cooperation zones shall be obtained. This should be done considering the present context and past trends but also in a prospective way in order to be able to face future challenges and better exploit territorial potentials of the various European regions. In addition, the project is envisaged to compare Europe with other parts of the world in terms of structures and flows taking into account the aims of the renewed Lisbon strategy and in particular the so-called modern drivers of competitive performance 8, such as quality of life and environmental concerns. It is also relevant to assess the main impacts of globalisation in Europe, focusing the approach on the ESDP key policy development principles and assessing the effectiveness of the cohesion policies to provide for a balanced and harmonious European territory. In this sense not only the economic aspects of globalisation should be analysed but also the EU commitment on taking on a leadership role in combining globalisation with social policy, fighting climate change and fostering environmental stability 9. From a territorial perspective, this implies avoiding excessive concentrations of growth and facilitating the access to the increasing returns of agglomeration in all territories ESPON (2006) Territory matters for competitiveness and cohesion, results by autumn Hans-Gert Pöttering, President of the European Parliament in a European Commission s conference on A social Europe fit for globalisation, April COM (2008) Green Paper on Territorial Cohesion, Turning territorial diversity into strength. 6

106 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Therefore, the general objective of this project is to characterise globalisation from a territorial perspective and to analyse its territorial aspects at different geographical scales. At the same time, the project is requested to provide new inputs for existing ESPON tools, such as the ESPON HyperAtlas, that allow exploring the multi-scalar structure of a phenomenon. In the concrete design of the applied research project and its work packages, the project is expected to address key research questions directly related to the territorial dimension/features of the globalisation process: territorial structures, flows and cooperation. 1. Territorial structures Territorial structures are important physical entities that shape the organisation of the territory. According to ESPON, the European urban system is an important infrastructure...including a large number of cities and towns with important roles as engines or assets in territorial development 11. The concept of territorial structures within this ESPON project should also comprehend other physical structures, such as harbours, and industrial clusters, which are important elements for Europe s competitiveness at world level. The main research questions to be considered in this field are: What are recent trends, dynamics and spatial patterns related to territorial structures in the world (emergence of concepts such as Mega-city-region 12, ) and what are the main territorial structures for world trade (cities, harbours, industrial clusters, regions, countries, )? What are the main changes in the EU territorial structures due to globalisation? What is Europe s position and profile in the global urban structure? How is the competitiveness of EU regions, EU Member States and of the European Union determined by the characteristics of their territorial structures, regional vulnerability to effects of globalisation and what is the potential for improvement? 2. Flows 13 Flows and the space of flows reconceptualize new forms of spatial arrangements under the new technological paradigm 14. According to some authors, flows reshape the territory and modify the classic understanding of the European spatial integration that gives too much importance to the concepts of hierarchy, areas of influence, borders and blocs. 15 An example of this situation is today s division of labour in production processes. The present geographical fragmentation of production processes allows 11 ESPON (2005) In search of territorial potentials, Midterm results by spring INTERREG IIIB Study POLYNET, See ESPON 2006 project Preparatory study on feasibility of flows analysis. 14 Castells (2004) - "An Introduction to the Information Age. 15 Cattan, (2007) Cities and networks in Europe a critical approach of polycentrism. 7

107 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 verifying that in some cases trade in tasks 16 becomes more important than trade in products. One of the aims of this ESPON project is to analyse this space of flows at a world level and understand its meaning in terms of territorial development and new territorial structures. In the framework of the ESPON 2013 Programme, flows should be understood in a broad context, including not only aspects related to flows of goods, services, capital, migration, repatriation of earnings, labour and tasks but also to linkage and interdependence, notably in the areas of technology, knowledge, science and culture. The main research questions to be considered are: What are the main types of flows to consider at world level? How does the world map on the availability and commercial flows of strategic resources (i.e. raw materials like oil, gas, ) look like? What is the nature and magnitude of the various flows linking EU territories (regions) and the rest of the world (e.g. Europe with the US and Commonwealth)? What is the nature and magnitude of the flows among EU territories? How have these interactions changed over time? What does the geographical fragmentation of production processes mean for Europe and its regions? Can any specialisation pattern be identified at European and at regional levels? What relevance do flows have for regional growth and competitiveness as well as for reducing disparities in Europe? Can Europe improve its competitiveness at world level by making specific investments? And if so, where? 3. Cooperation, EU commitments and a new global regionalism International organisations are created world wide for particular purposes of cooperation (single or multiple), including peace, external security, economic development, democracy, human rights, environmental goals. One successful example is the European Union that has incorporated new members over the years and enlarged the purposes of cooperation. Not only in Europe but also across the globe, cooperation between (neighbouring) territories offers the possibility to increase competitiveness and to explore comparative advantages by providing a larger and more functionally integrated territory, a higher population mass and shared labour market 17. This ESPON project is asked to analyse the meaning of cooperation at a global scale, its impact in the organisation of the territory, as well as its relevance to the emergence of the so-called new regionalism. In addition, the importance of new forms of governance (such as global networks of excellence) helping regions to participate in the global economy by encouraging innovation and the exchange of ideas should be analysed. 16 EC, Directorate-General for Employment, Social Affairs and Equal Opportunities, (2008) - Is Social Europe Fit for Globalisation? Available at 17 ESPON (2005) In search of territorial potentials, Midterm results by spring

108 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The main research questions to be considered are: What range of networks, exchanges and cooperation can be identified (i) between Europe and the rest of the world and (ii) among EU territories in selected flows such as cultural, scientific, knowledge and information? Particular attention should be paid to the EU's neighbours such as Eastern Europe, the Mediterranean and for the outermost regions 18 Micronesia, the Caribbean, the Amazon and the Indian Ocean. How do EU territorial integration and cooperation schemes reshape the spatial structure of economic activities in the EU and the competitiveness of Europe in world trade? What new forms of territorial organisation and integration appear as a result of or a response to globalisation? 4. Case studies A number of case studies (minimum 5) to be defined by the TPG in their Inception Report shall be developed. The main objective is to analyse more in depth the territorial potentials of Europe, its regions and cities in relation to the globalisation process and to Europe s competitiveness at world level. In this context, the competitiveness of European regions in relation to their regional specialisations should receive particular attention and overlap to DG Regio s studies 19 on globalisation shall absolutely be avoided. Moreover, the case studies should complement the more general quantitative approach and be integrated in the analysis developed along the project. The case studies are meant to further explore the territorial dimension/features mentioned throughout chapter (iv) by making use of data and indicators at a lower geographical level. In concrete terms, individual case studies should be developed on the following globalisation features: global cities, Europe s gateways (such as airports and harbours), Foreign Direct Investment flows, migration and global networks of excellence. Additionally, other case studies can be suggested by the TPG on a particular geographical area or a specific feature addressed within the project with territorial relevance for Europe and its regions. An additional case study could eventually address the question of division of labour in production processes at world level. The analytical work of this ESPON project should build up on results achieved by ESPON In particular, this ESPON 2013 project shall consider the data and tools provided by the above mentioned ESPON 2006 project 20, namely the World Unified Territorial System (WUTS), the delimitation of Europe and the different cartographic templates (world and Euromed) and analyse the need for adjustments and modifications. The implementation of adjustments and modifications on the tools and templates provided by ESPON 2006 shall be ensured by the TPG in close cooperation with the ESPON 2013 Database Project. 18 Commission Communication, 2007, Strategy for the Outermost Regions. Com 2007/ See section vii) on Existing access points. 20 ESPON project Europe in the World, Final Report Vol.2 9

109 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Furthermore, the project should be able to provide an updated picture of the territorial aspects of the globalisation process and its dynamics, and address its main implications for Europe and its regions. Besides this, comprehensive data, indicators, typologies and maps provided by other ESPON projects might serve as a basis for the analysis of the territorial aspects of the globalisation process. The TPG is requested to make use of this background information, in particular the ESPON Database, and further develop it according to the objectives of the project. Furthermore, the TPG should assess the data situation and report on their findings in the Inception Report. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG in charge of the development of the ESPON 2013 Database. The TPG should strive for a comprehensive and integrated research and make use of the multi-level approach (global, European, transnational/national, regional/local) in order to support a clear presentation of results, which might vary depending on the geographical scale. The geographical coverage of the project should encompass the world level and all the countries participating in the ESPON 2013 Programme. The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. In general, the deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON website, in particular the Data Navigator and the ESPON HyperAtlas. The project is expected to enhance the scientific platform of ESPON with at least the following deliveries: Data input to the development, update and extension of the ESPON database by additional data related to the territorial aspects of globalisation gathered within the project, covering also the new Partner States of the ESPON 2013 Programme (Iceland and Liechtenstein). Indicators need to offer compatibility with a mapmaking facility, to provide a consistent, homogenous, reliable, and up-datable database. Data/indicators on (1) trends, dynamics and spatial patterns related to territorial and cooperation structures in the world, (2) Europe s position and profile in the global urban structure, (3) the nature and magnitude of the various flows linking EU territories and the rest of the world, (4) nature and magnitude of the flows among EU territories. Typology on the vulnerability of European regions to globalisation (degree of vulnerability). 10

110 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 European maps revealing (1) global territorial structures and their profile, (2) flows across the globe, between regional blocs and within Europe (3) position of Europe in the world in relation to competitiveness (4) range of networks, exchanges and cooperation and the rest of the world (5) range of networks, exchanges and cooperation among EU territories in selected flows such as cultural, scientific, knowledge and information (6) main dynamics, recent trends and prospects at world level on the features analysed (4) typology of regions based on the regional typologies developed. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new typologies if applicable and maps resulting from the project. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the cities, urban agglomerations and surrounding regions in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion , the Fourth Report on Cohesion and the Green Paper on Territorial Cohesion. Project findings should make clear which impact the likely globalisation process could have on the competitiveness and socio-economic situation of European regions and cities as well as on the realisation of economic, social and territorial cohesion in Europe. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 21 timetable and specification of outputs: June/July 2010 (Inception Report): Twelve weeks after the kick-off meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main literature, data sources, etc. The Inception Report (max 20 pages plus annexes if relevant) shall include an overview of more detailed deliveries and outputs envisaged by 21 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 11

111 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 the project, as well as an indication of likely barriers that the project implementation might face. In addition, the case studies to be developed should be indicated and explained in the Inception Report. This report shall give clear orientation for the applied research previewed towards the Interim report. The research team should also report on the findings regarding the assessment of the data situation at different geographical scales, covering the topics of the research. Finally, the TPG should outline how it envisages making use of existing ESPON results that are relevant for this project, in particular the ESPON 2006 Project on Europe in the world and relevant ongoing ESPON projects ( Demographic and migratory flows affecting European regions and cities, Cities and urban agglomerations: Their functionality and development opportunities for European competitiveness and cohesion and Territorial cooperation in transnational areas and across internal/external borders, starting in parallel to this project). November/December 2010 (Interim Report): The content of the Interim Report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report (max 50 pages plus annex if relevant) is envisaged to include elements such as: a) Preliminary results on the basis of available data, developed indicators, typologies, and maps, including Identification of the territorial aspects of the globalisation process with most relevance for Europe and its regions Provision of an operational concept of globalisation (focused on territorial aspects) that could be measurable at different levels. This definition should also encapsulate the European orientations related to this subject. Overview on the recent trends, dynamics and spatial patterns related to territorial structures in the world (emergence of concepts such as Mega-city-region, ) and on the main territorial structures for world trade (cities, harbours, industrial clusters, regions, countries, ) Identification of Europe s position and profile in the global urban structure First analysis on the main changes in the EU in the EU territorial structures due to globalisation Identification and overview of the main types of flows to consider at world level Overview of the nature and magnitude of the various flows linking EU territories and the rest of the world, as well as the flows among EU territories First analysis on the way these interactions/flows have changed over time Identification and overview of the range of networks, exchanges and cooperation can be identified (i) between Europe and the rest of the world and (ii) among EU territories in selected flows such as cultural, scientific, knowledge and information Overview of the implications of global financial policies such as the World Bank and the IMF for EU First conclusions on how the competitiveness of EU regions, EU Member States and the European Union is determined by the characteristics of their territorial structures First conclusions on the relevance of flows for regional growth and competitiveness as well as for reducing disparities in Europe 12

112 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 First conclusions on how EU territorial integration and cooperation schemes reshape the spatial structure of economic activities in the EU and the competitiveness of Europe in world trade First assessment on how Europe can improve its competitiveness at world level by making specific investments First draft on the typology of European regions on vulnerability to globalisation. First draft on the case studies developed. Data collection achieved, including an overview on statistical and geographical data collected by relevant international organisations such as World Bank, OECD, EUROSTAT, and National Statistical Offices etc. Draft maps and other visualisation tools to present the first results of the analysis undertaken First indication on the conclusions and policy relevant options (at different geographical levels) that could be the outcome of the project in relation to European competitiveness and cohesion. b) Plan for the applied research towards the draft Final Report as well as the Table of Content envisaged. November/December 2011 (Draft Final Report): The Draft Final report will take into account feed-back on the Interim report from an ESPON seminar and by the Sounding Board. The report is supposed to include elements such as: c) Report (max. 50 pages) on the main results, trends, impacts and options for policy development, including key analysis/diagnosis/findings and the most relevant indicators and maps (any additional information should be included in a scientific report). Particularly important are options for policy makers, which could provide the basis for interventions related to development opportunities for improving European competitiveness and cohesion. This report should include a more consolidated version of the analysis included in the interim report and take into consideration the CU responses on previous reports of the project. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the Report mentioned above. e) Scientific report documenting the scientific work undertaken in the applied research including elements such as: Literature and methodology/theory used. Typologies and concepts developed and used, revealing the territorial aspects of the globalisation process, its dynamics and impacts for the European territory and its regions Data collected and indicators used and created and correspondent metadata including tables with the exact values of indicators (.xls files) Maps and other visualisation tools produced in support of the results, covering the entire world, the European Neighbourhood, and more in detail the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland (.ai files). Tools and models used or developed or inputs for existing ESPON tools. 13

113 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Future research avenues to consider, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. April/May 2012 (Final Report): f) Revision of the Draft Final report on the basis of comments received. May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. In order to justify expenses claimed for refunding by the TPG, a short progress report (max. 10 pages) has to be submitted to the CU every six months during the project s period of implementation. This should consist of an account of progress in the individual work packages according to the schedule in the proposal. The report also should allow an overview on the development of the project regarding development and use of methodology, results at different steps and next steps to be taken within the following six months. Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project amounts to , including VAT, if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. 14

114 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 (vii) Existing access points Synergies and use of results from outside the ESPON regime shall be sought. In particular, research activities by international bodies like OECD might be valuable for this project. The other access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. ESPON projects results, data and maps: The European Spatial Development Perspective Further, based on a few selected indicators, the European Spatial Development Perspective (ESDP) made already some first comparisons of the EU with selected economic areas like NAFTA and Mercosur to characterise specific European features. Some policy options, like the creation of more global economic integration zones, stem from a comparison of the European (internal) spatial structure with that of other world regions like USA. These ESDP analyses could also serve as a starting point for more indepth analysis. In order to access the document please look at: European Commission (2008) - Green Paper on Territorial Cohesion, Turning territorial diversity into strength. The Barcelona Process and the European Neighbourhood Policy (ENP) The project requires an in depth knowledge on the Barcelona Process and the European Neighbourhood Policy documents, as well as background documents and the policy processes leading to the implementation of these policies. Useful websites: European Neighbourhood Policy: The Barcelona Process: Europe in a Creative Age 22 This publication might give some help in answering the question of how to measure competitiveness in a global economy on the basis of new indicators going beyond trade relations and economic and flows. For further information please consult: World Bank: World Development Report 2009 Spatial Disparities and Development Policy. European Commission (2008): Growing Regions, growing Europe. Fifth progress report on economic and social cohesion. Brussels. European Conference, Brussels, 16 April A social Europe fit for globalisation ( 22 Richard Florida and Irene Tinagli (February 2004), Demos, London. 15

115 ESPON 2013 Programme Project Specifications Project 2013/1/14 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Curve, Phillips (2007) - Making the most of globalisation in OECD Economic Outlook, No. 81, Vol.2007 Issue 1, June, OECD Publishing (available at: dq=%22drivers%22+%2b%22globalisation%22&source=web&ots=w0y3h4jb 8w&sig=rUkb1DrpRb5KeoTCXWk- B35B42Y&hl=en&sa=X&oi=book_result&resnum=1&ct=result#PPA1,M1) OECD (2007) - Globalisation and Regional Economies: Can OECD Regions Compete in Global Industries?, October, OECD Publishing, OECD (2006) - OECD Territorial Reviews: Competitive Cities in the Global Economy, November OECD Publishing DG research FP7-SSH Project EuroBroadMap, coordinated by Claude Grasland 23. DG Regio - The Impact of Globalisation and Increased Trade Liberalisation on European regions. DG Regio - Regions Benefiting from Globalisation and Increased Trade. 23 In this respect, a joint agreement aimed at exchanging derivative data has been concluded between the institutions financing both projects (the Managing Authority for the ESPON 2013 Programme, The Ministry of Sustainable Development and Infrastructures, Department for Spatial Planning and Development, Luxembourg, and The European Commission, DG Research). In practical terms this means that data on matrix flows - Economic flows - (country*country) for trade from 1967 to present, and for foreign direct investment for a most recent period (from 2000 to present) will be made available by the EurobroadMap Project to the ESPON 2013 Programme. 16

116 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/15 European Seas in Territorial Development ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering regions and larger territories more options to decide their development path, as development is no longer a zero sum game for Europe. - Interaction is growing within the EU territory and between the surrounding neighbour countries and other parts of the world. This is apparent through e.g. migration pressure on more developed countries, which are themselves confronted with population decline, and by access to and investment in new markets. - Market forces and the evolution of society in general support a geographical concentration of activities. - The ongoing demographic changes with an ageing European population, in addition to migration, affect regions differently and increase the competition for skilled labour. - The occurrence of hazards due to climate change is increasing and different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others. This presents particular development opportunities for the production of renewable energy sources. - The enlargement of the EU to 27 Member States, and potentially more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them in different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas, as well as to Cohesion Policy. Territorial diversity, especially in 1

117 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. The ESPON 2006 Programme provided integrated analysis and long-term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. This has prompted interest among policy makers and practitioners for even more information, knowledge and understanding that ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further through applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON 2013 Programme will potentially benefit stakeholders at all levels throughout Europe. Policy makers dealing with territorial development require sound evidence and comparable regionalised information in addition to medium and long-term development perspectives, in order to create sustainable and efficient integrated policy responses for their territories. Given that the European Union is moving towards a more integrated policy approach, the territorial dimension is particularly important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element within the framework of policy making. Due to the provision of evidence based on analyses of territorial units, the ESPON 2013 Programme is of strategic importance for European policy development and cooperation. By further developing and expanding the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the period, and contribute to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. 2

118 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. - Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use and dissemination of results to an audience of policy makers, practitioners, scientist and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success in the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective on development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their tasks will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

119 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be undertaken to develop current achievements and make use of existing indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will make the evidence and knowledge already developed operational through raising awareness and involving stakeholders in the results and practical application of them. This project belongs to the first priority and holds a key position in developing a common understanding of opportunities for territorial cooperation in transnational areas, between regions and across internal and external borders. It combines experiences of European Territorial Cooperation Programmes (and their predecessors) and knowledge delivered by former and ongoing ESPON projects. Profound knowledge on territorial cooperation is vital for targeted policy development in the light of cohesion policy aiming at improved regional competitiveness and sustainable and balanced growth of the European territory. A strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the appointed Sounding Board and the Coordination Unit must also be established as part of the project implementation. (iii) Thematic scope and policy context Europe s seas have increasingly become the focus of attention of both, European and national policy makers. Growing economic activities on and exploitation of the sea coincide with growing environmental concerns about the sea but also about coastal zones. There is now a recognition that...there is a maritime dimension to virtually every major issue facing Europe today, including energy, climate change, environmental protection and conservation, research and innovation, competitiveness and job creation, international trade, transport and logistics 2. The awareness about the multitude of economic interests in the sea and the lack of coordination in that respect as well as the need to ensure a sustainable use of the sea have spurred activities by policy makers resulting inter alia in the adoption of the Blue Book on an Integrated Maritime Policy (IMP) by the European Commission and a related Action Plan in late The Blue Book sets out a new approach to managing Europe s seas, acknowledging that Europe s 2 Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions (2008): Guidelines for an Integrated Approach to Maritime Policy: Towards best practice in integrated maritime governance and stakeholder consultation. Brussels. 4

120 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 maritime spaces and coasts are central to its well-being and prosperity they are Europe s trade routes, climate regulator, sources of food, energy and resources, and a favoured site for its citizens residence and recreation. 3 The aim of the IMP is to replace the existing fragmented approaches to sea management with a collaborative integrative approach, taking account of the inter-linkages between sectoral interests and trying to foster synergies. The application of such an integrated approach requires intensified cooperation both, horizontally and vertically. However, due to the manifold interests and activities in Europe s seas, the respective responsibilities to deal with maritime issues are spread between numerous public and private players at different levels of governance, ranging from the United Nations to small coastal communities 4. The implementation of an IMP needs to respect the different geographical, socioeconomic, cultural and political framework conditions of each of Europe s maritime areas. By the same token, European coastal zones often play a strong economic role in their respective region, country and sometimes even globally. Some of them serve as gateways of goods to the European common market and function as logistic hubs in the distribution of these goods to the hinterland and/or the larger continent. They provide work in traditional maritime sectors (e.g. fisheries, shipbuilding and maintenance) but increasingly also in marine research, related technological development and in particular a marine related service industry. Particularly in the Mediterranean Sea, land use along the coast is quite intense due to a continuously increasing demand for secondary homes as well as by the tourism industry. In addition, 40% of the Mediterranean urban population is concentrated on the coast. With the urban population in the Mediterranean being expected to double by the year 2025, coastal settlement will substantially increase in the future. In addition, great pressure is exerted on water resources while overcrowding of natural and historic sites leads to their destruction. In this context, the Mediterranean Action Plan 5 together with the Barcelona Convention 6 aim at limiting environmental degradation in the sea, coastal areas and inland and at linking sustainable resource management with development, inter alia by means of integrated coastal area management. Similar approaches exist in other European sea regions. In the Baltic Sea Region, for instance, the Helsinki Commission (HELCOM) works to protect the marine environment of the Baltic Sea from all sources of pollution, and to restore and safeguard its ecological balance through intergovernmental co-operation between the states bordering the Baltic Sea. By the same token, the Bucharest Convention 7 (1992) was set up to protect the Black 3 Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions (2007): An Integrated Maritime Policy for the European Union. Brussels. 4 ibidem 5 Action Plan for the Protection of the Marine Environment and the Sustainable Development of Coastal Areas of the Mediterranean (MAP Phase II) (1995) 6 Convention for the Protection of the Marine Environment and the Coastal Region of the Mediterranean (1995) (i.e. the amended Barcelona Convention of 1976) 7 Convention on the Protection of the Black Sea Against Pollution (1992) 5

121 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Sea marine environment and work is ongoing in the region on a protocol and action plan for integrated coastal zone management (ICZM). There are different challenges but also different development opportunities to be tapped in Europe s seas, some of which are mentioned below 8 : In the Mediterranean Sea, Europe s maritime heritage takes a quite specific form, with marine archaeological sites being a major tourist attraction. However, the Mediterranean Sea is also affected by agricultural run-off and eutrophication. Furthermore, there is an increasing need to police Europe s Southern maritime frontiers and prevent illegal immigration. In that respect, there is also a need for the development of structures allowing the implementation of complex projects like data and surveillance networks with groups of very diverse non-member States. Some of the Black Sea s main challenges are combating pollution from landbased sources and maritime transport as well as trying to achieve sustainable management of marine living resources. The North Sea faces the twin challenges of trying to find ways to facilitate the development of wind energy that will be needed to achieve the EU's sustainable energy targets and to do so in harmony with other expanding activities. The Baltic Sea, more than any other seas, is severely struck by the effects of agricultural run-off, causing eutrophication and the development of algal blooms that are threatening both fish stocks and tourist development. In the Atlantic, wave energy is of highest interest for Europe s future energy diversification and the safety of navigating in extreme weather conditions which drives the development of surveillance systems. In the Arctic, as a result of accelerating climate change, the sea route towards Siberia is rapidly opening up, creating new challenges to Europe s surveillance and search and rescue systems there. One key instrument in the implementation of the IMP is the Roadmap for Maritime Spatial Planning (MSP) that the EU Commission adopted in November The roadmap gives an overview on current maritime spatial planning practices in EU Member States and third countries, informs about the instruments with an impact on MSP and sets out key principles relevant for its implementation. MSP operates within three dimensions, addressing activities (1) on the sea bed; (2) in the water column; and (3) on the surface. In fact, time should be considered as a fourth dimension, as the compatibility of uses and the management need of a particular maritime region might vary over time. 9 In the context of Integrated Maritime Policy and Maritime Spatial Planning, maritime transport receives particular attention by policy makers as it has been a catalyst of economic development and prosperity throughout Europe s history. In a globalised economy, European seaports have become even more important as gateways to trade Communication from the Commission (2008): Roadmap for Maritime Spatial Planning: Achieving Common Principles in the EU. Brussels. 6

122 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 exchange. In fact, 90% of the EU external freight trade and 40% of the intra-eu exchanges are seaborne. Furthermore, the quality of life on islands and in peripheral maritime regions strongly depends on good accessibility via maritime transport services. In addition, maritime transport plays a key role regarding the security of supply with energy and is therefore an important instrument of the European energy policy. 90 % of oil is transported by sea, while there is an increasing trend towards transport of natural gas in a liquefied form by tankers. Many other energy products are transported by sea as well 10. The disruptions in terrestrial gas supply during the recent winter months underline even more the importance of maritime transport of liquified natural gas and the respective infrastructure in ports. In its Transport White Paper (2001) the European Commission introduced the concept of motorways of the sea that aims at...introducing new intermodal maritime-based logistics chains in Europe, which should bring about a structural change in our transport organisation These key sea routes between EU Member States should offer a more sustainable and commercially more efficient transport than road-only transport. However, the concept goes beyond seaborne transport and includes the demand for stronger use of rail and inland waterways as parts of an integrated transport chain. The revision of the TEN-T guidelines in 2004 included the development of four motorways of the sea corridors (in Baltic Sea, Atlantic Ocean, Western Mediterranean Sea and Adriatic, Ionian and Eastern Mediterranean Sea). Their implementation is facilitated by the EU s TEN-T and Marco Polo Programmes that offer funding for projects shifting freight transport from road to sea, rail and inland waterways. Funding is also available through Structural Funds, Cohesion Funds and the EIB. A fully fledged network of motorways of the sea 12, made up of the afore mentioned corridors, should be established throughout Europe by The environmental pillar of the IMP is constituted by the Marine Strategy Framework Directive (2008) that sets the framework for a more effective protection of Europea s marine environment. The Directive establishes European Marine Regions on the basis of geographical and environmental criteria 13. Following the Directive, Member States that cooperate with other Member States and non-eu countries within a marine region, need to develop strategies for their marine waters. In terms of environmental legislation, the Water Framework Directive (WFD) also needs to be taken into account, as it includes provisions applicable to coastal and transitional waters. Following the WFD requirement that EU Member States need to publish River Basin Management Plans by December 2009, Member States have established water bodies that need to cooperate to ensure WFD compliance with regard to transboundary river basin districts. The EU 10 Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions (2009): Strategic goals and recommendations for the EU s maritime transport policy until Brussels ibidem

123 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Recommendation on Integrated Coastal Zone Management (ICZM) 14, calling for a strategic approach to coastal zone planning and management in order to achieve sustainable development, equally encourages Member States to cooperate with third countries in the development of ICZM strategies. As far as marine and maritime research is concerned, EU research programmes have supported multidisciplinary activities in coastal and marine sciences since the 1980s. A European Strategy for Marine and Maritime Research (2008) aims at integrating research efforts in the field, thereby boosting the knowledge on marine systems and improving the management of sea-related activities. Furthermore, in order to assist MSP with relevant data, a European Marine Observation and Data Network (EMODNET) will be established, integrating existing but fragmented initiatives to assemble data and maintain a database. A prototype EMODNET will be operational throughout 2010 and These activities are complemented by networking initiatives in the framework of past and present INTERREG Programmes, in which various projects have been implemented or are underway dealing for instance with maritime transport or maritime spatial planning 16. Against this backdrop, the project should strive to achieve a better understanding of the following key policy questions, for which it should produce supporting information and evidence: How can the different functions of the sea and the different human/economic activities both at sea and in coastal regions be coordinated in order to ensure sustainable use and added value of both, Europe s seas and coastal regions in the light of overall European policy goals as formulated e.g. by the Lisbon Strategy, and in view of upcoming climate change effects, namely sea level rise and increased coastal flooding? How can maritime inter-linkages as well as well as linkages between inland waterways and between the sea and inland waterways both, for the transport of people and of freight, be fostered and improved in an integrated way (i.e. including links to land-borne transport modes)? Are there any major missing links? How can cooperation (incl. cross-border cooperation) between regional sea areas, inland harbours and between different actors (i.e. policy makers, researchers, and stakeholders engaged in maritime issues) be improved to achieve effecient governance structures for the implementation of an Integrated Maritime Policy? How can maritime and land-based activities come stronger together in a mutually supportive (and synergetic) development? 14 Recommendation of the European Parliament and of the Council of 30 May 2002 concerning the implementation of Integrated Coastal Zone Management in Europe. 15 Commission of the European Communities (2009): Commission Staff Working Document. Building a European marine knowledge infrastructure: Roadmap for a European Marine Observation and Data Network. Brussels. 16 see for instance BaltSeaPlan ( PlanCoast Spatial Planning in Coastal Zones ( 8

124 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 How can European Cohesion Policy contribute to these challenges of future seause and maritime inter-linkages and support the competitiveness of regions (i.e. what territorial development potentials can be better exploited where through Cohesion Policy)? Can IMP and MSP contribute to the achievement of the goals of European territorial cohesion? The perspective of applied research under this measure shall be guided by the objective to identify broad development perspectives and trends for the different European seas and their adjacent coastal zones 17, also in the light of the Lisbon/Gothenburg agenda. Coordination should take place with other relevant ongoing ESPON projects (above all the projects on Climate change and territorial effects on regions and local economies, Regions at risk of energy poverty (ReRisk), the targeted analysis on The development of the Islands European Islands and Cohesion Policy (EUROISLANDS) ), and the projects that will start in parallel to this one, namely Transport accessibility at regional/local scale and patterns in Europe, Territorial cooperation in transnational areas, between regions and across internal/external borders, Continental territorial structures and flows (globalisation) and Services of general interest (all being applied research projects). In addition, methodologies developed within this project shall complement and be coherent with that of both, the ESPON Typology Compilation and the research project on European patters of land use. (iv) Analytical framework and deliveries expected On the basis of the policy context described above, the project shall adress various dimensions of the Integrated Maritime Policy such as maritime economy, competitiveness and job creation, energy supply, maritime transport, environmental protection and conservation, climate change, and research and innovation. Some of these dimensions are intertwined and shall consequently be analysed in an integrated and crossdimensional manner. Throughout its implementation the project should ensure a balanced coverage of all of Europe s seas (i.e. the Mediterranean, the Black Sea, the Atlantic and the Arctic Ocean, the North and the Baltic Sea) and the territory of EU However, in order to better understand certain developments observed by the TPG during their work, potential influences of neighbouring countries to the South, West and East should also be taken into account. The project shall start off with an investigation of current uses of Europe s seas, resulting in an inventory and mapping of current sea use patterns, typologies, dynamics and interlinkages. This exercise shall include the creation of an overview of existing data, data sources, their completeness as well as accessiblity for the purpose of this project. The inventory shall reveal existing and/or potentially occuring conflicts of use and related environmental threats, and serve as basis for analysis of the more detailed research questions mentioned below. The prospective impacts of climate change on Europe s seas, the marine environment and coastal regions, as identified also in a recently published 17 i.e. the Atlantic and Arctic Oceans, the Baltic Sea, the North Sea, the Mediterranean and the Black Sea. 9

125 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Commission Staff Working Document 18, should be taken into account throughout the analytical work. In this respect, an exchange with the team implementing the ESPON applied research project on climate change should be foreseen. The Transnational Project Group (TPG) should consider existing data and indicators for the analysis. The data, indicators and maps of the ESPON 2006 Programme are one important source in this respect. This project shall in particular be informed and make use of relevant results from the following previous and current ESPON projects: ESPON project on Territorial impacts of European fisheries policy was looking at the diversity of types of coastal regions and the possible influence of economic dynamics as well as of fisheries policies on the spatial development of these regions. In addition, this project dealt with the impacts of fisheries policies on different types of coastal regions in relation to the concept of Integrated Coastal Zone Management (ICZM). Potentials and preconditions for innovation in the marine sector were also considered. ESPON project on Territorial impacts of EU transport and TEN policies particularly investigated the effects of the afore mentioned policies on regional development potentials and polycentricism. Typologies of regions were developed, based on the classification of the predicted impacts of transport and ICT policies. However, the focus of this project was rather on land-borne transport. ESPON project on Spatial effects of natural and technological hazards presented a spatial pattern of natural and technological hazards on NUTS 3 level. By doing so, the project also looked into the influence of climate change on the probability of occurences of certain hazards in a long-term perspective. The project shall strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental, economic and institutional aspects. In addition, a 4-level-approach (global, European, transnational/national and regional) to the analysis should be applied in order to support a clear presentation of results, which might vary depending on the geographical scale. The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. In the concrete design of the applied research project and its work packages, the project is expected to answer the following key research questions: 18 Commission of the European Communities (2009): Commission Staff Working Document accompanying the White Paper. Adapting to climate change: Towards a European framework of action. Climate Change and Water, Coasts and Marine Issues. Brussels. 10

126 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Identification of patterns of sea use and of types of coastal regions - What is the present state of European sea use (broken down in economic use for fishery, acquaculture, digging for building material, tourism and recreation, energy generation; environmental use for protecting existing habitats; transport use for shipping of both, people and freight, but also pipelines for energy supply), based on the most appropriate economic, environmental and social indicators that can be collected European wide? How are European seas economically exploited by various regions both, coastal and hinterland regions? - Where can conflicts of use and/or deterioriation of the marine environment/environmental threats be detected (for instance because of greater exposure to hazards like ship collisions, oil spilling, outflows and related ecological impacts, etc.)? Where more surveillance systems are needed to combat dumping of waste fuel oil? - Are existing infrastructure and activities on sea and inland waterways sufficiently complemented by respective infrastructure (e.g. road and rail infrastructure) and activities on land and harbours to allow e.g. for integrated transport chains? - Can different types of coastal regions be distinguished, taking into account their peripherality from a European perspective, their accessibility, the density of settlements and population, their economic structure, their GDP/capita, etc.? - What does the current pattern of employment look like in these coastal regions (e.g. which share of GDP derives from maritime economy?)? How far does the sphere of influence of maritime economy reach into the hinterland? - What is the present state of development of maritime clusters? Where are they located throughout Europe? Analysis of development opportunities - Which development opportunities can be identified in European seas for more sustainable development of their use and exploitation? - Are there coastal regions throughout Europe that could make better use of their maritime potential and if so, which ones? - Are there inland regions that could economically benefit from an improved integrated transport system, offering them better access to the sea? - Are there more opportunities for the creation of motorways of the sea and if so, where? - Which European regions and cities could economically benefit from the opening of sea routes like the Northwest Passage or the Northeast Passage and connecting sea routes like the Northern Maritime Corridor (i.e. from Northwest Russia to continental Europe)? - What would be the effect of the exploitation of the opportunities identified (as a result of the analysis of afore mentioned questions) for the EU as a whole, e.g. concerning its competitiveness in the world? 11

127 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September How and to which degree will climate change impact on sea use in general and on the economic development and long-term competitiveness of coastal regions? Analysis of relationship terrestrial maritime planning and of best practice for maritime governance - How could terrestrial and maritime planning most suitably be integrated, given the quantity and diversity of terrestrial planning systems, the diversity of responsibilities for the marine area and the provisions made by the Water Framework Directive 19 applicable also to coastal waters? - Which effects could maritime planning have on territorial planning in coastal regions (and the hinterland, if relevant)? - Which governance structures have already proved to be adequate in the implementation of an integrated maritime policy and particularly in relation to dealing with conflicts of use? In order to receive some more focused information on the above listed issues, a limited number of targeted case studies shall be included in the research. The case studies should serve to analyse in greater detail different maritime regions (e.g. peripheral, more centrally located, on European mainland, islands), their specific development opportunities and challenges in relation to sea use. The case studies shall assess the experiences made and the potential transferability of cases of good practice. The geographical coverage of the project should encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the TPG should assess the data situation for their field of research in the EU candidate countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and report on their findings in the inception report. Depending on the respective data situation these countries would then be included in the analysis. The deliveries of the project should make use of and complement the exisiting scientific platform and tools of ESPON, which are accessible via the ESPON website. The project is expected to enhance the scientific platform of ESPON through the following deliveries: Data input to the development, update and extension of the ESPON database by additional data on sea use and maritime related activities on land. Indicators need to offer compatibility with a map-making facility, to provide a consistent, homogenous, reliable, and up-datable database. Indicators offering information on the different types of coastal areas, and new complex indicators, revealing these areas development opportunities, their socioeconomic situation as well as their competitiveness. 19 DIRECTIVE 2000/60/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 23 October 2000 establishing a framework for Community action in the field of water policy 12

128 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Typologies of different patterns of sea use and of coastal areas classified by territorial evidence based characteristics, strengths, weaknesses, potentials and challenges. European maps revealing (1) the present state of sea use as well as existing and potential environmental threats, (2) different coastal areas and the current territorial state of their development (characteristics, strengths, and weaknesses), (3) territorial potentials and challenges in the different European seas and coastal areas. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG being in charge of the development of the ESPON 2013 Database. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new maps resulting from the project. In order to create coherence with project findings of other ESPON applied research projects, the project should present the main final results in relation to different types of regions and cities, using existing typologies for the urban system, rural areas, mountain areas, islands, coastal areas and outermost regions. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the regions in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion and the Fourth Report on Cohesion. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 20 timetable and specification of outputs: 20 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 13

129 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 June/July 2010 (Inception Report): Twelve weeks after the Kick-off meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main literature, data sources, etc. The Inception Report shall also inform about the selection of case studies that will be conducted on different maritime regions. It shall as well include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The report shall give clear orientation for the applied research previewed towards the Interim report. The research team should also report on the findings regarding the assessment of the data situation in the EU candidate countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON results that are relevant for this project. November/December 2010 (Interim Report): The content of the Interim Report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report is envisaged to include elements such as: a) Preliminary results on the basis of available data, developed indicators, typologies, and European maps, including An inventory and mapping of current sea use patterns, typologies, dynamics and inter-linkages. An overview of existing data, data sources, their completeness and accessibility. First indicative identification of the state of European sea use. First indicative identification of conflicts of use and/or deterioration of the marine environment. First indicative identification of the current pattern of employment in coastal regions and the reach of the sphere of influence of the maritime economy into the hinterland. First indicative overview on the state of development of maritime clusters and their location throughout Europe. First indicative identification of development opportunities in European sea use. First indicative identification of coastal regions throughout Europe that could make better use of their maritime potential as well as of inland regions that could economically benefit from an improved integrated transport system. First indicative identification of opportunities for further motorways of the sea. First indicative identification of European regions and cities that could benefit from the opening of an Arctic sea route. First indicative analysis of the impact of climate change on sea use. 14

130 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Data collection achieved, including an overview on statistical and geographical data collected by EUROSTAT, and national Statistical Institutes etc. Draft European maps of (1) the present state of sea use, (2) different coastal areas and the current territorial state of their development (characteristics, strengths, and weaknesses), (3) territorial potentials and challenges in the different European seas and coastal areas. First indications on the conclusions and policy relevant options that could be the outcome of the project. b) Plan for the applied research towards the draft Final Report as well as the Table of Content envisaged. November/December 2011 (Draft Final Report): The Draft Final report will take into account feed-back on the Interim Report from an ESPON seminar and by the Sounding Board. The report is supposed to include elements such as: c) Report (max. 50 pages) on the main results, showing the current use of Europe s seas and respective patterns, existing characteristics and development potentials, including key analysis and findings and the most relevant indicators and maps (any additional information should be included in a scientific report). In this respect, an assessment of the potential integration of terrestrial and maritime planning and relevant governance structures should be provided, including an interpretation of best practices. Particularly important are options for policy makers, which could provide the basis for interventions related to opportunities for improving European competitiveness and cohesion. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the Report mentioned above. e) Scientific report documenting the scientific work undertaken in the applied research including elements such as: Literature, definitions and methodology/theory used. Methodologies, typologies and concepts developed and used, including projections developed revealing diverse territorial potentials of the different European sea areas. Data collected and indicators used, including calculation algorithms and tables with the exact values of indicators. Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. Tools and models used or developed. Future research avenues to consider, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. 15

131 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 April/May 2012 (Final Report): f) Revision of the Draft Final report on the basis of comments received. May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project amounts to including VAT if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vii) Existing access points Synergies and use of results from outside the ESPON regime shall be sought. In particular, research activities by international bodies like the OECD might be valuable for this project. The other access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but 16

132 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 should be considered as information that can be helpful in tracing additional useful background information. ESPON projects results, data and maps: European Commission (2009): Strategic goals and recommendations for the EU s maritime transport policy until Brussels. Commission of the European Communities (2009): Commission Staff Working Document accompanying the White Paper. Adapting to climate change: Towards a European framework of action. Climate Change and Water, Coasts and Marine Issues. Brussels. European Commission (2008a): Green Paper on Territorial Cohesion. Turning territorial diversity into strength. Brussles. European Commission (2008b): Guidelines for an Integrated Approach to Maritime Policy: Towards best practice in integrated maritime governance and stakeholder consultation. Brussels. European Commission (2008c): Roadmap for Maritime Spatial Planning: Achieving Common Principles in the EU. European Commission (2007): An Integrated Maritime Policy for the European Union. European Commission (2007): Commission Staff Working Document, The EU's freight transport agenda: Boosting the efficiency, integration and sustainability of freight transport in Europe. Report on the Motorways of the Sea. State of play and consultation. European Commission (2001): White Paper. European transport policy for 2010: time to decide. Brussels. INTERREG IIIB CADSES PlanCoast Project (2008): Handbook on Integrated Maritime Spatial Planning. Berlin. An overview of INTERREG III programmes and results throughout Europe ( MOSES MOtorways of the Sea European Style. 6 th RTD Framework Programme ( Convention for the Protection of the Mediterranean Sea Against Pollution (Barcelona Convention) ( United Nations Environment Programme / Mediterranean Action Plan for the Barcelona Convention (1995): Action Plan for the Protection of the Marine Environment and the Sustainable Development of Coastal Areas of the Mediterranean (MAP Phase II) ( DIRECTIVE 2000/60/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 23 October 2000 establishing a framework for Community action in the field of water policy 17

133 ESPON 2013 Programme Project Specifications Project 2013/1/15 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Recommendation of the European Parliament and of the Council of 30 May 2002 concerning the implementation of Integrated Coastal Zone Management in Europe. European Commission, DG Environment Expert Group on Integrated Coastal Zone Management supporting the implementation of the ICZM Recommendation (mentioned above): 18

134 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/16 Indicators and Perspectives for Services of General Interest in Territorial Cohesion and Development ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering more options for regions and larger territories in deciding on their development path as development is no longer a zero sum game for Europe. - Interaction is growing between the EU territory and the surrounding neighbour countries as well as the other parts of the world, becoming apparent by e.g. migration pressure on more developed countries, which are themselves confronted with population decline and by access to and investment in new markets. - Market forces and the evolution of society in general are supporting a geographical concentration of activities. - The ongoing demographic change with an ageing European population and migration is affecting the regions differently and boosts the competition for skilled labour. - The occurrence of hazards is increasing due to climate change while different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others, some of which have particular potential for production of renewable energy sources. - The enlargement of the EU to 27 Member States, and at a later stage maybe to more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them into different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas as well as to Cohesion Policy. Territorial diversity, 1

135 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 particularly in the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. The ESPON 2006 Programme provided integrated analysis and long term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations produced by ESPON on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. Therefore, interest is growing among policy makers and practitioners for the information, knowledge and understanding ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further by carrying out applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON Programme will potentially benefit stakeholders all over Europe at all levels. Policy makers dealing with territorial development require sound evidence and comparable regionalised information as well as medium and long-term development perspectives in order to draw up sustainable and efficient integrated policy responses for their territories. All in all, the European process moves towards a more integrated approach to policy making which makes the territorial dimension important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element in the framework for policy making. Due to its provision of evidence based on analyses of territorial units the ESPON 2013 Programme is of strategic importance for the European policy development and cooperation. By further extending and deepening the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the current period , namely by contributing to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. - Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the 2

136 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. - Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use of and dissemination of results to an audience of policy makers, practitioners, scientist and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success for the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective to development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their task will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

137 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be undertaken to develop current achievements and make use of the indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will be aiming at making the evidence and knowledge developed operational through measures raising awareness and involving stakeholders in the results and their practical use. This project belongs to the first priority and holds a key position in developing a common understanding of opportunities and perspectives on services of general interest from a territorial development perspective. The project deepens and elaborates knowledge delivered by former and ongoing ESPON projects. Profound knowledge on services of general interest is vital for targeted policy development in the light of Cohesion Policy aiming at improved regional competitiveness and sustainable and balanced growth of the European territory. Therefore a strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the Sounding Board set up for following and advising the project and the Coordination Unit shall as well be established as part of the project implementation. (iii) Thematic scope and policy context General European policy context Services of general interest are defined as market and non-market services which public authorities class as being of general interest and subject to specific public service obligations. (EC: 2001/C17/04) European social policies and their underlying studies use different classifications. Services of general interest traditionally comprehend electronic communications, postal services, electricity, gas, water and transport. More recent documents tend to be more comprehensive and do also include labour market services, education, health care, child care, social care, culture or (social) housing. The elaboration in this project takes into account classifications being made in social studies and policies. It looks at the territorial relevance of classic topics but also more recently appearing topics. Furthermore, it not only considers the actual presence of services but also the actual access in terms of price or connectivity (e.g. via the internet). The project is expected to consider the inclusion of access by different target groups and its territorial relevance. Services of general interest are a key element of the European society. Article 16 in the EC Treaty confirms their place among shared values of the Union and their role in promoting social and territorial cohesion. These services also contribute to the overall competitiveness of the European economy and are provided in the context of continuously evolving markets and technologies. The globalisation of trade, the 4

138 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 completion of the European market and rapid technological change bring about increasing pressure to open new sectors to competition. (EC: 2001/C17/04) The policy ambition regarding services of general interest as it is pointed out in the White Paper on Services of General Interest focuses on ensuring the provision of [ ] services of general interest to all citizens and enterprises in the European Union. [ ] Citizens and businesses rightly expect to have access to affordable high-quality services of general interest throughout the European Union. For the citizens of the European Union this access is an essential component of European citizenship and necessary in order to allow them to fully enjoy their fundamental rights. For enterprises, the availability of high-quality services of general interest is an indispensable prerequisite for a competitive business environment. (EC: COM(2004)374 Final) In order to strengthen this policy framework a European directive on services of general interest is in development. The implementation of policies regarding services of general interest remains for a main part a responsibility for EU Member States. The EU Member States and also the ESPON Partner States apply various policy approaches to services of general interest. The focus may vary between a focus on redistribution, fostering efficiency, privatisation of public services and so on. Goal statement Territorial cohesion and development policies integrated these general policy ambitions and developed a territorial approach towards services of general interest. The territorial evidence to support the implementation, monitoring and evaluation of territorial policy measures regarding services of general interest remains nevertheless insufficient. The project is expected to provide the territorial evidence filling this gap. The main connecting factors of current European territorial policy documents the project is expected to build upon will be summarised hereunder. Subsequently the key policy questions the project is to address in order to fill the knowledge gap will be lined out. Connecting factors in European territorial policy documents Territorial cohesion and development policies at European level, as well as in most countries and regions, pay important attention to services of general interest. The European Ministers responsible for Territorial Cohesion state for instance in the Territorial Agenda (TA) that they regard in the context of the European social model that it is an essential task and an act of solidarity to develop the preconditions in all regions to enable equal opportunities for its citizens and development perspectives for its entrepreneurs. Territorial policies approach the challenges related to services of general interest in a territorial and comprehensive way looking at territorial differences and interrelations with other phenomena (e.g. demography, economic development). The following connecting factors for this applied research project are recognised in European territorial policy documents: 5

139 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 In the first place, relevant territorial cohesion and development policy documents at European level show that a good notion exists on the relation between the territorial context and spatial structure and the level of services of general interest: - Territorial imbalances regarding the level of services of general interest exist and some vulnerable regions in particular can be recognised where meeting the basic level is challenging. The Green Paper on Territorial Cohesion (GPTC, EC: SEC(2008)2250) refers in this respect to rural areas and sparsely populated, island and mountain regions and gives some examples: - Reliable access to energy is [ ] important and the particular situation of networks isolated from the EU market for geographical (rural and remote regions, islands) or historical reasons needs to be further addressed to ensure a robust supply. - Access to services of general economic interest such as health care or education is often a problem in rural areas, where for example in remote regions, 40% of people on average live more than a 30-minute drive from a hospital and 43% live more than an hour drive from a university. - In 2007, household access to broadband internet at home is on average 15 percentage points lower in rural areas than in urban areas. - The settlement structure of Europe, existing of a dense polycentric urban pattern including about small and medium-sized towns spread across Europe, is an important carrier for balanced development. The GPTC points out for instance that this pattern contributes to the quality of life by offering easy reach of services to rural residents. In the second place, relevant territorial cohesion and development policy documents at European level show various trends causing territorial dynamics that can influence the future perspective for the level of services of general interest: - The critical mass in order to sustain a sufficient level of services of general interest might become too weak in some regions due to demographic changes: The TA for instance states the territorial effects of demographic change (especially ageing) as well as in and out migration and internal migration [ ] on the supply of public services of general interest [ ]. - Developments in ICT creating new possibilities for giving access to services of general interest in certain types of areas. - Globalisation and changing market environments can influence the price and autonomous organisation of services of general interest by market forces. In the third place, relevant territorial cohesion and development policy documents at European level indicate two major territorial ambitions with regard to services of general interest: - Balanced territorial development in order to provide equal access to services of general interest. The European Spatial Development Perspective (ESDP) speaks in this respect of a spatially more balanced access to services of general interest. - Specific types of concentration of and specialisation in high-level services offering a particular strength to cities and rural areas can be supported in order to reinforce their position and the wider European territory in the global competition. The TA points out that specific services and amenities can help in strengthening the international identity as a way of becoming more attractive for investment. 6

140 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 In the fourth place, relevant territorial cohesion and development policy documents at European level provide some territorial directions and policy options concerning services of general interest: - Guarantee or support sufficient critical mass in territories and regions in order to support access to services of general interest - In particular the GPTC underlines the idea that public policies [ ] can help to [ ] reach critical mass. The creation of critical mass is strongly related to the polycentric development model as a basis for better accessibility as presented in the ESDP. The GPTC gives a good illustration in this respect: In rural areas which are more remote from cities of any size, small and medium-sized towns often play a more important role than their size might suggest. The role these towns play in providing access to services including the infrastructure necessary to invest in the adaptability of people and enterprises, is key to avoiding rural depopulation and ensuring the areas remain attractive places to live. - Connecting territories - Territories that lack certain services can benefit from existing services in other territories via physical connections but also ICT. The GPTC points out for instance that in remote areas especially, the potential of ICT to provide access to health care and education through telemedicine and remote learning remains to be developed. - Offering place-based and tailor-made solutions - The TA underlines in this respect that regional identities and potentials, needs and diverse characteristics of regions, cities and villages of Europe gain meaning through a policy of territorial cohesion and through other regional development policies. Key policy questions The policy formulation including the general ambitions and territorial approach needs further analytical support in order to define policy measures for implementation, monitoring and evaluation. There is in particular a need for indicators and development perspectives for different types of territories and at different levels of geographical scale. The project should strive for a better understanding of the following key policy questions, for which it should provide supporting knowledge and evidence: How should the defined (groupings of) services of general interest be addressed by territorial development and cohesion policies? - What territorial strategies are appropriate to approach services of general interest and what instruments can be used? - What variations of national policy approaches to services of general interest exist and how are these classified in public economy literature? What is the territorial distribution of the services of general interest throughout the European territory and how can this be measured? - Is this balanced throughout the territory and over the different types of regions or do concentrations exist? - To what extent the level of services of general interest and amenities within the different territories throughout Europe meets the necessary framework conditions for territorial cohesion and competitiveness (in order to sustain local economies and a decent level of welfare for citizens)? 7

141 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September What strengths, weaknesses, opportunities and threats can be detected within the European territorial structure of services of general interest in order to exploit territorial capital in function of global competition and other territorial cohesion policy objectives? - What territorial indicators can be used to measure the level of services throughout Europe? - To what extent a low level of services of general interest plays a role in outmigration of people and businesses? How and to what extent do the various levels of services of general interest contribute to the global competitiveness, economic development and job growth of cities, urban agglomerations and other territories? Ongoing projects under the ESPON 2013 Programme might produce highly relevant knowledge for this project. The project is expected to create strong interrelations with the following ongoing ESPON 2013 applied research projects: - Cities and Urban Agglomerations (FOCI) that already includes some research on services of general interest in urban areas; - Rural Areas Development Opportunities (EDORA) that already includes some research on services of general interest in rural areas; - Demographic and Migratory Flows (DEMIFER) that provides the European wide demographic framework that seems of relevance in relation to (the future situation and territorial development perspectives for) services of general interest. The project also is to create strong interrelations with the following applied research projects that will start in parallel with this project: - Accessibility at regional/local scale and pattern in Europe that is supposed to include research on transport related aspects to services of general interest; - Attractiveness of European Regions and Cities for Residents and Visitors that will identify key factors for attractive cities and regions. It is very likely that this project is to exchange substantial amounts of information and data with both of these projects running in parallel. The project also is to create strong interrelations with the targeted analysis Territorial Diversity that will address the challenge of service provision in (some) mountain areas, islands, sparsely populated areas and peripheral situated regions with high (population) densities. The project Typology Compilation that is being implemented under Priority 3 of the ESPON 2013 Programme compiles the typologies being used in the ESPON Programme. The project is expected, when looking at types of territories, to make use as much as possible of this compilation. 8

142 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 (iv) Analytical framework and deliveries expected The project takes the policy context as described above as a starting point to apply from a territorial perspective the commonly used definitions and recent classifications of services of general interest. This means that the project approaches services of general interest in a comprehensive and sophisticated way taking into account not only the presence of services but also elements like physical and non-physical (via the internet), access in terms of price, access by different target groups and the territorial variations in this respect. Access to services of general interest in cross-border situations and the cost factor in some specific territories like island regions are important concerns. The project is clearly to refer to the twofold territorial ambition of (1) guaranteeing basic access (which might play in particular a role for services at regional/local level) and (2) integrating in the global network in order to create economic growth and jobs (which might play in particular a role for services at global/european level). To illustrate the latter, one might think of, for instance, very high levels of IT infrastructure or regional airports that give direct access to specific destinations. It is expected that certain types of services can create severe territorial and economic dynamics for cities and regions and make them compete at global level. Applied research projects under the ESPON 2013 Programme are always asked to build further on existing knowledge from the ESPON 2006 Programme and to interlink strongly with other ongoing projects under the ESPON 2013 Programme. This particular project, however, is expected to make an extra effort in this respect as it is expected to select types of territories and to build a part of the indicators on the basis of work delivered by others. Data, indicators and maps of the ESPON 2006 Programme are important sources for this project. The project shall in particular be informed and make use of results from the following projects: ESPON project on polycentricism developed a typology and a methodological concept of the urban structure of the European territory. ESPON project on urban-rural relations in Europe includes a typology on urban-rural characteristics and socio-economic complementarities. ESPON project on telecommunication services and networks provides evidence on territorial trends and basic supply of infrastructure for territorial cohesion. ESPON on the information society identified its spatially relevant aspects. ESPON project provides a preparatory study on social aspects of EU territorial development. ESPON project on urban functions developed an approach on the morphological aspects of polycentrism and offers a data collection on urban functions. ESPON project 3.2 on spatial scenarios includes a basic perspective on the evolution of urban Europe. ESPON project on EU economic policies and location of economic activities offers an economic typology of European regions. 9

143 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The project should strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental and economic aspects. In addition a threelevel approach (European, transnational/national, regional/local) to the analysis, commonly used by all ESPON applied research projects, should be applied in order to support a clear presentation of results, which might vary depending on the geographical scale. The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. The following key research questions are expected to be answered: How can the existing definition and classifications of services of general interest be applied from a territorial cohesion and development point of view? - What (elements of what) groupings of services of general interest (e.g. communication, energy, education, housing, shops, banks, health and social services or transport) play a role at global/european, (trans)national, and regional/local scale? - What services of general interest are considered to be important for people and businesses? Is the perception of importance the same in different types of territories? - What different types of national policies on services of general interest do exist throughout Europe? What objectives and arguments are behind these policies? And how are these different types of policies translated into territorial objectives or strategies? What are good indicators to measure the level of services of general interest? - What are good indicators for measuring the basic level of services? - What are good indicators for measuring territorial development potential due to specialisations and concentrations of services? - How can the cost for access to services (and maybe other elements) be integrated in the indicators? - To what extent differentiation within the set of indicators is needed towards the different target groups (businesses and citizens), different types of territories (amongst which cross-border regions), different levels of geographical scale and eventual other aspects? - What are relevant single issue indicators and how can these be crossed in order to obtain sophisticated crossed indicators? What is the current territorial situation of services of general interest throughout the European territory? - What is the territorial distribution of services of general interest throughout the European territory (balance concentration)? 10

144 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September What is the territorial functionality of (the) services of general interest (sector) in the different regions throughout Europe? - Where and/or in what types of territories a weak basic level of services of general interest can be detected? - Where and/or in what types of territories can concentration and/or specialisation be detected (at the various geographical levels of scale, but in particular at European/global level) in services of general interest? What territorial development potential and constraints do different types of territories in Europe have? - What territorial development measures are best suited for different types of territories in order to guarantee a basic level of access to services of general interest? - What (types of) territories that possess a concentration or specialisation of services of general interest (at European/global level) can exploit them to create economic growth and jobs? What strategies are suited? - How do the different territorial trends (as detected in the ESPON-scenarios and the DEMIFER-project) affect territorial situations regarding the level of services of general interest in the future and what needs could these trends generate? How do they affect the territorial spread/concentration? How do they affect the basic living standards and the competitiveness of different types of territories? - What territorial development paths for services of general interest can be recognised for different regions and different types of territories throughout Europe? What are financial possibilities (and restraints) and efficient ways of (territorial) organisation in different regions and types of territories to maintain or improve a certain level of services? - How can territorial governance contribute to the policy objectives regarding services of general interest? What strategies and instruments can be used? The project is expected to deliver an overview of the current territorial situation of services of general interest in Europe. The project is expected to deliver as key delivery a set of sophisticated and comprehensive territorial indicators on services of general interest. These indicators should enable policymakers to define tailor-made development measures for regions and different types of territories taking into account their different needs, opportunities and development constraints. The indicators should address the different levels of geographic scale in which service provision plays a role (global/european (trans)national regional/local). As the ESPON 2006 Programme and ongoing as well as ESPON 2013 projects running in parallel already offer a strong (but incomplete) base of data and indicators on services of general interest, this project will start off by making an inventory of available data and indicators, and data and indicators that are being developed in order to determine where this project is to complement in this respect. The project is also expected to elaborate a baseline scenario (e.g. based on demographic and economic trends) in order to identify territorial perspectives aiming at (1) guaranteeing the basic level of access to affordable high-quality services of general interest throughout the European Union (hence in particular focusing at territories with poorer access to services) and (2) reinforcing the position of territories in the global 11

145 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 economy by using concentrations and specialisations in high-level services as a lever for economic development and job-creation (hence in particular focusing at stronger territories). The project shall include 4-6 targeted case-studies (including some related to guaranteeing the basic level and some related to reinforcing the position in the global economy) in order to receive more focused and detailed information on how the developed indicators and the baseline scenario can serve to define territorial development perspectives for cities and/or regions. The case-studies should include a good picture of the national (and regional) sector and territorial policies with respect to services of general interest, including the way they are influenced by the EU policy framework. The case-studies should focus on innovative solutions towards the policy ambitions for services of general interest in territorial development. They also should address the governance dimension by describing how territorial cooperation can contribute to the policy ambitions and showing best practices in relation to territorial development strategies and instruments. The case-studies embrace all scales from the global to the local and interlink with conceptualisations developed in other ESPON 2013 Projects (in particular FOCI and EDORA). In order to create coherence with project findings of other ESPON applied research projects, the project should present the main final results in relation to different types of regions and cities, using, where applicable, existing typologies for the urban system, rural areas, mountain areas, islands, coastal areas and outermost regions. The final results should also be presented for transnational cooperation areas under Structural Funds, and - where appropriate and possible - also for cross-border cooperation area and inter-regional cooperation areas. The geographical coverage of the project should encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the TPG should assess the data situation within their field of research in the EU Candidate Countries (i.e. Croatia, The former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244), and report their findings in the Inception report (see below chapter (v)). Depending on the respective data situation these countries would then be included in the analysis. The deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON website. The project is expected to enhance the scientific platform of ESPON through the following deliveries: Data input to the development, update and extension of the ESPON database by additional data on services of general interest (preferably NUTS 3 and where possible NUTS 4 level) gathered within the project, particularly in relation to the new Partner States Iceland and Liechtenstein. Indicators need to offer compatibility with a map-making facility, to provide a consistent, homogenous, reliable, and up-datable database. Indicators on services of general interest offering territorial information on the level of services at different geographical levels and for different thematic clusters (e.g. communication, education, health care). 12

146 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Typologies of territories classifying territorially relevant characteristics on services of general interest and different territorial development perspectives. 4-6 case studies revealing added value of the indicators in defining territorial development perspectives and providing more detailed information on national situations. European maps revealing (1) different levels of services of general interest (by using indicators; (2) different types of territories and their territorial development perspectives and (3) relevant maps of the case studies. Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG in charge of the development of the ESPON 2013 Database. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new typologies if applicable and maps resulting from the project. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the cities, urban agglomerations and surrounding regions in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion , the Fourth Report on Cohesion, as well as (the debate on the) Green Paper on Territorial Cohesion. Project findings should make clear which impact services of general interest could have on the competitiveness and socio-economic situation of European regions and cities as well as on the realisation of economic, social and territorial cohesion in Europe. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 2 timetable and specification of outputs: 2 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 13

147 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 June/July 2010 (Inception Report): Twelve weeks after the kick-off meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main literature, data sources, etc. This overview includes a thorough screening of relevant data and indicators being produced in other ESPON projects and the methodology and framework for building the territorial indicators for services of general interest. The report shall also inform about the selection of the case studies. The Inception Report shall also include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The report shall give clear orientation for the applied research previewed towards the Interim report and includes a proposal on the case studies. The research team should also report on the findings regarding the assessment of the data situation in EU candidate countries, the Western Balkans and Turkey and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON and other results that are relevant for this project. November/December 2010 (Interim Report): The content of the Interim report shall reflect the orientations given in the Inception Report as well as the results of the discussions having taken place with the Sounding Board. The report is envisaged to include elements such as: a) Main results on the basis of available data, developed indicators, typologies, and European maps, including An overview on concepts and methodology on services of general interest in the perspective of territorial cohesion and development and possible final results. Description of the technique/methodology/indicators/models to be used to detect and approach services of general interest in the perspective of territorial cohesion and development. Preliminary results on the basis of available territorial indicators, including draft European maps. Preliminary results of the case studies. Data collection achieved, including an overview on statistical and geographical data collected by EUROSTAT, and national Statistical Institutes etc. First indications on the conclusions and policy relevant options that could be the outcome of the project. b) Plan for the applied research towards the draft Final Report as well as the Table of Content envisaged for the Final report. November/December 2011 (Draft Final Report): The Draft Final Report will take into account feed-back on the Interim Report from an ESPON seminar and by the Sounding Board. The report is supposed to include elements such as: c) Report (max. 50 pages) on the main results, trends, impacts and options for policy development, including key analysis/diagnosis/findings and the most relevant indicators 14

148 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 and maps (any additional information should be included in a scientific report). Particularly important are options for policy makers, which could provide the basis for interventions related to potentials for improving European competitiveness and cohesion. The report should include key messages on the following: The operational use of indicators for services of general interest in relation to EU policy development. The operational use of territorial development perspectives for relevant target groups and different types of regions. The extent in which the current territorial state on services of general interest meets (territorial) policy objectives and eventual policy measures that can be taken to overcome ambiguities. d) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the Report mentioned above. e) Scientific report documenting the scientific work undertaken in the applied research including elements such as: Literature and methodology/theory used. Typologies, concepts developed and used. Data collected and indicators used, including tables with the exact values of indicators. Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. Models and other tools used or developed. Detailed results of the case studies. Roadmap for policy implementation and on the further research avenue to follow, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. April/May 2012 (Final Report): f) Revision of the Draft Final report on the basis of comments received. May/June November/December 2012 (Dissemination): g) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. 15

149 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project is Euro including VAT if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vii) Existing access points Synergies and use of results from outside the ESPON regime shall be sought. The access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. - Bauby, P. Hall, D., Thiry, B. and B. Sak (2004) Contribution of Services of General Interest to Economic, Social and Territorial Cohesion Final Overall Report, Study prepared by Ceriec for DG Regio (Contract No CE.16.0.AT.038) - ECOPLAN (2002) Grundversorgung: Ausländische Lösungen Folgerungen für die Schweiz, im Auftrag von Bundesamt für Raumentwicklung ARE - European Commission (2004) Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions White Paper on Services of General Interest, COM(2004)374 final - European Commission (2006) Communication from the Commission Implementing the Community Lisbon programme: Social services of general interest in the European Union, COM (2006)177 final / SEC(2006)516 - European Commission (2007) Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions Services of general interest, including social services of general interest: a new European commitment, COM( final - European Commission (2008) Commission Staff Working Paper Biennial Report on social services of general interest, SEC(2008)2179/2 16

150 ESPON 2013 Programme Project Specifications Project 2013/1/16 Priority 1: Call for Proposals on Applied Research Projects - 16 September European Commission (2008) The Green Paper on Territorial Cohesion Turning territorial diversity into strength: - Huber, M., Maucher, M. and B. Sak (2006) Study on Social and Health Services of General Interest in the European Union Final Synthesis Report, Study prepared by European Centre, ISS Gemeinnütziger e.v. and Ciriec for DG Employment, Social Affairs and Equal Opportunities (Contract DG EMPL/E/4 VC/2006/0131) - PUSEMOR (2007) Provision of public services in alpine areas state of the art recommendations good practice, Final Report of the Interreg IIIB Project Public services in sparsely populated mountain areas - Results of the ESPON 2006 and 2013 Programme, data and maps: - Research activities of the Joint Research Centre of the European Commission: - Information on the CEMAT (European Conference of Ministers Responsible for Spatial/Regional Planning) report, recommendation and resolution on Services of general interest in rural areas, a key factor in territorial cohesion policies can be found on 17

151 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Applied Research Project 2013/1/17 Territorial and Regional Sensitivity to EU Directives ( ) (o) Territorial challenges relevant for ESPON 2013 projects The development of the European territory is facing several ongoing mega trends and impacts of policies: - The integration of the EU in global economic competition is accelerating, offering more options for regions and larger territories in deciding on their development path as development is no longer a zero sum game for Europe. - Interaction is growing between the EU territory and the surrounding neighbour countries as well as the other parts of the world, becoming apparent by e.g. migration pressure on more developed countries, which are themselves confronted with population decline and by access to and investment in new markets. - Market forces and the evolution of society in general are supporting a geographical concentration of activities. - The ongoing demographic change with an ageing European population and migration is affecting the regions differently and boosts the competition for skilled labour. - The occurrence of hazards is increasing due to climate change while different parts of Europe experience different types of hazards. - Increasing energy prices and the emergence of a new energy paradigm have significant territorial impacts, some regions being more affected than others, some of which have particular potential for production of renewable energy sources. - The enlargement of the EU to 27 Member States, and at a later stage maybe to more, presents an unprecedented challenge for the competitiveness and internal cohesion of the Union. ESPON results have revealed that territorial capital and opportunities for development are inherent in the regional diversity that is a characteristic of Europe. Consequently, different types of territories are endowed with diverse combinations of resources, putting them into different positions for contributing to the achievement of the Lisbon and Gothenburg Agendas as well as to Cohesion Policy. Territorial diversity, particularly in the economic base, implies that strategies other than opting for a knowledge-based economy might be more appropriate and viable for some regions. 1

152 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The ESPON 2006 Programme provided integrated analysis and long term spatial scenarios which enriched the European policy debate and knowledge base. The results and observations produced by ESPON on territorial structures, trends, perspectives and assessment of EU policy impacts had not been fully evident before and supported a better understanding of the European dimension of territorial dynamics. Therefore, interest is growing among policy makers and practitioners for the information, knowledge and understanding ESPON can offer. The ESPON 2013 Programme shall bring this knowledge base one step further by carrying out applied research and targeted analysis, indicator development and data collection, capitalisation events presenting results, etc. All these actions will be related to an improved understanding of territorial structures, development trends, perspectives and policy impacts. The European-wide evidence provided by the ESPON Programme will potentially benefit stakeholders all over Europe at all levels. Policy makers dealing with territorial development require sound evidence and comparable regionalised information as well as medium and long-term development perspectives in order to draw up sustainable and efficient integrated policy responses for their territories. All in all, the European process moves towards a more integrated approach to policy making which makes the territorial dimension important for policy makers. The aim of territorial cohesion proposed by the Commission supports this approach by taking the territory as an element in the framework for policy making. Due to its provision of evidence based on analyses of territorial units the ESPON 2013 Programme is of strategic importance for the European policy development and cooperation. By further extending and deepening the existing knowledge and indicators, the ESPON 2013 Programme will play a strategic role in supporting the policy process of the current period , namely by contributing to the development of Cohesion Policy. (i) General objectives of applied research projects under Priority 1 The general objectives of applied research projects within the ESPON 2013 Programme are the following: - Building new evidence based on comparable information about European regions and cities, including information on dynamics and flows, and covering the entire territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. - Addressing major territorial challenges and political priorities providing comparable information covering the entire European territory, its regions and cities. - Providing comparable regionalised information and possible policy options for making use of opportunities inherent in territorial structures; anticipating and counter balancing negative trends and structures, taking into account the diversity of the ESPON territory and considering institutional, instrumental and procedural aspects. 2

153 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September Identifying types of territories, regions and cities that share common development challenges and are affected most (positively or negatively) by the identified structures, trends, perspectives and/or policy impacts. - Contributing to the further identification of structures within the EU territory that represent options for exploring comparative advantages and provide synergy through territorial cooperation arrangements, involving regions and/or cities. - Contributing to the improvement of the scientific platform for European applied territorial research by refining existing concepts, methodologies, indicators, typologies, European maps and models and by defining new ones. - Providing the knowledge and competence capabilities needed to ensure scientifically validated results of the applied territorial research with the support of Sounding Boards 1. - Supporting the use of and dissemination of results to an audience of policy makers, practitioners, scientist and experts. This project shall contribute to these general objectives during its implementation, and in doing so make best use of existing ESPON results, new results in other ESPON projects as well as other research results and relevant studies. (ii) Relation of this project to the ESPON 2013 Programme The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success for the development of regions. Cross thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective to development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be 1 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their task will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 3

154 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 undertaken to develop current achievements and make use of the indicators, data and tools. 4. Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will be aiming at making the evidence and knowledge developed operational through measures raising awareness and involving stakeholders in the results and their practical use. This project belongs to the first priority and holds a key position in developing a common understanding of assessing European legislation and policy from a territorial cohesion and development point of view, in particular by deepening the understanding of variations in sensitivity of the different types of territories and regions to (different types of) EU legislation and policy. The project deepens and elaborates knowledge delivered by former and ongoing ESPON projects. Profound knowledge on the sensitivity of territories and regions to EU legislation and policy is vital for targeted policy development in the light of Cohesion Policy aiming at improved regional competitiveness and sustainable and balanced growth of the European territory. Therefore a strong coordination and interlinkage with other ongoing ESPON projects is crucial for achieving comprehensive results. A close cooperation with the Sounding Board set up for following and advising the project and the Coordination Unit shall as well be established as part of the project implementation. (iii) Thematic scope and policy context An effective exploitation of Europe s territorial capital requires deeper insights into the various territorial effects of EU sector legislation and policy as well as on how they structurally reinforce each other. Policymakers increasingly acknowledge the need to consider ex ante possible territorial effects of new EU sector legislation and policy as they might have both directly and indirectly often unintended impacts on territorial organisation and development at European, (trans)national and regional level. Policy practice shows that these impacts are sometimes felt at regional/local level instead of having a global impact for the entire European territory. The impact often varies throughout the different types of territories and regions in Europe as the sensitivity to different types of EU legislation and policy varies in the different types of territories and regions. In accordance with the IPCC definition 2 territorial (regional) sensitivity to EU legislation can be described as the degree to which a territory (region) is directly and indirectly affected, either adversely or beneficially by change in European legislation or policy. Territorial sensitivity hence is an important variable in Territorial Impact Analysis. In contrast to vulnerability (see also IPCC) territorial sensitivity also takes into account possible benefits but does not consider the (possible) adaptive capacity of a territory. 2 Intergovernmental Panel on Climate Change ( 4

155 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Territorial Impact Assessment can be understood as an element of a policymaking process allowing officials dealing with territorial cohesion and development to look at for instance the following possible effects: - impacts on regional economies and social and environmental systems; - development opportunities and costs and benefits for the society in different regions and territories; - effects on the concrete physical development projects; - changes in land use and the morphology of the landscape; - cross-sector relations of policies at different territorial and administrative levels; - legal effects and effects on the institutional framework. Policymakers in the field of territorial cohesion and development need evidence-based information that supports them in creating awareness on possible territorial impacts during the policymaking processes of sectoral EU policy and legislation. A particular consideration in this respect is the fact that regions and different types of territories are not equally affected by new EU policy and legislation. The regional sensitivity differs due to geographical, socio-economic, environmental and cultural characteristics. A good insight in the difference in regional sensitivity is considered as an important element to carry out a meaningful analysis of territorial impacts. The project is expected to show congruity with and bring added value to the following recent policy developments that are relevant for territorial impact assessment. 1) EU Impact Assessment The European Commission developed a framework for EU Impact Assessment. The Commission s impact assessment follows an integrated approach which was introduced in 2002 (COM(2002)276). It replaces the previous single-sector type assessments and assesses the potential impacts of new legislation or policy proposals in economic (including competitiveness), social, and environmental fields. It consists of a balanced appraisal of all impacts, and is underpinned by the principle of proportionate analysis, whereby the depth and scope of an impact assessment, and hence the resources allocated to it, are proportionate to the expected nature of the proposal and its likely impacts. Wide-ranging consultation with stakeholders is an integral part of the impact assessment approach. EU Impact Assessment is a tool to promote coherence across policy domains and to examine reasons for action at EU level. It is perceived as a set of logical steps to help the Commission services to structure the preparation of a legislative or policy proposal. It prepares evidence of potential impacts of a proposal for political decision-makers and identifies possible trade-offs and synergies. EU Impact Assessment should in any case not turn into a bureaucratic exercise or substitute political judgement. Not all impact assessments look the same. The length of time and the depth of analysis required depend on the significance of the expected likely impacts, and some elements of the analysis need to be developed more than others. The guidelines (SEC(2009)92) published in January 2009 give general guidance to the Commission services and set out the procedures and steps for assessment of potential impacts of different policy options. 5

156 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 This applied research project is strongly encouraged to work within the logic of this framework and the guidelines of EU Impact Assessment and is expected to bring added value by providing practical examples. 2) Green Paper on Territorial Cohesion The European Commission considers in its Green Paper on Territorial Cohesion (COM(2008)616final) that it is not always clear how Community Policies affect territorial cohesion and stresses the importance of coordination between sectoral and territorial policies. This coordination is important to maximise synergies and to avoid possible conflicts. The debate on territorial cohesion is important to encourage more analysis in this respect. The 390 contributions that the European Commission has received by the fifth month of the official consultation following the publication of the Green Paper clearly showed agreement on this: a better understanding of the territorial relevance and impacts of public policies is needed to provide coherence between policies and activities at different levels. The EU is expected to play a key role here, for example, by fine-tuning existing impact assessment instruments. This applied research project is expected to support the analysis demanded in the Green Paper and will, where considered relevant, anticipate possible further policy elaboration in an eventual White Paper on Territorial Cohesion. 3) Territorial Agenda The Territorial Agenda for the European Union that was agreed upon in May 2007 by the ministers responsible for Territorial Cohesion and the accompanying Action Programme agreed upon in November 2007 clearly stress the importance of giving a territorial dimension to sectoral policies. In particular action 2.2 is to scope the territorial impacts of selected sectoral policies together with sectoral policymakers and to jointly analyse the introduction of territorial impact assessment in the policy process. This action that is currently being implemented set itself the following objectives: To gain more insight in different elements of territorial impacts of EU sectoral policies and legislation on the national, regional and local level; To gather and share existing knowledge and experiences of how various Member States (including regions and local communities) assess the territorial impact of EU legislation or national policy proposals and how they develop the regional and national points of view concerning the proposals from a higher legislative level; To gain more insight in useful principles and methods on assessments of territorial impact; To advice on the integration of territorial notions into European policy development and into the European impact assessment system. The action revealed some preliminary findings that might be of interest for this applied research project: 6

157 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Territorial impacts can occur intentionally and unintentionally and can result in both positive as well as negative effects for territories. It is therefore important to be fully aware of possible territorial impacts. TIA is to meet some territorially relevant quality requirements: o It applies cross-sector analyses. o It makes use of cross-sector territorial indicators. o It clarifies the impacts for different types of territories. TIA needs to raise awareness, requires flexibility and may not create extra (bureaucratic) instruments. 4) Member State initiatives and experiments in TIA Different European Member States have developed and applied instruments and tools to assess new (European) policies from a territorial cohesion and development point of view. Some examples that contain possible relevant building blocks for this applied research project are: France uses a computer application called PRESAGE for the monitoring, management and the control of operational programmes and contracts between the state and the regions. The application allows for appreciating the territorial impact of regional projects according to the European nomenclature relating to the territorial dimension. Slovenia developed a pilot instrument in the framework of a research project. The instrument is an on-line tool enabling a group of evaluators to assess individual policy measures against the objectives of territorial cohesion. Impacts are determined at NUTS3 level. The Netherlands carried out a territorial impact assessment of territorial cohesion policy. The study identifies five potential interpretations of territorial cohesion that are selected on the basis of an analysis of EU level policy documents and discussions. In each interpretation, territorial cohesion is viewed as the solution to a particular problem. For each problem, several hypothetical policy options are formulated and their consequences for the Netherlands assessed. The European Commission prepares on a regular basis new legislation. The policy debates show various future policy options but their territorial consequences are not always well known. Policymakers in the field of territorial cohesion and development therefore need, in due time, evidence based policy support that enables them to facilitate a debate on these directives from a territorial point of view. The project should therefore within the territorial cohesion logic strive for a better understanding of the following key policy questions for which it should provide supporting knowledge and evidence: - What is the territorial impact of (a selected number of) European directives at the different relevant geographical scales? - Which (types of) directives have a higher territorial impact and why? - Which European regions and types of territories are in particular affected (by the selected legislations) and how? - What additional territorial information is needed to enable policymakers in the field of territorial cohesion and development to create awareness on territorial impact in EU policymaking processes? 7

158 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September What other policies might show impacts on regions and different types of territories and what are these (aggregated) impacts? - Do different territorial impacts of European directives and policies reinforce each other or are they in conflict? Ongoing projects under the ESPON 2013 Programme might produce highly relevant knowledge for this project. The project is expected to create interrelations with ongoing ESPON 2013 applied research projects that may reveal evidence in relation to one of the selected European directives and with the project Territorial Impact Assessment of Policies ( ). The project Typology Compilation that is being implemented under Priority 3 of the ESPON 2013 Programme compiles the typologies being used in the ESPON Programme. The project is expected, when looking at types of territories, to make use of this compilation as much as possible. (iv) Analytical framework and deliveries expected The project takes the policy context as described above as a starting point. TIA describes the link between the territorial dimension of the policy concerned (sender) and the area that it affects (receiver) due to its geographical, socio-economic, environmental and cultural characteristics. This project shall bring the development of a tool for (ex ante) TIA one step further by the provision of, in particular, a deeper insight in the receiver side. The main objective of this project is to analyse the regional/territorial sensitivity of a selected number (10-15) of European directives in order to provide policymakers in the field of territorial cohesion and development with territorial information that enables them to create awareness on the territorial dimension of EU sector legislation in the respective policymaking processes. The project is expected to identify which types of legislation will have high or low territorial impacts. The project shall, on the basis of theoretical findings and a quick screening of a long list, select 10 to 15 European directives. The selection is to provide a good sample of EU legislation deriving from as many different territorially relevant policy domains as possible. This list might for example include the EU directives on health and safety, air quality, ozone, soil, birds, habitats or guidelines on TEN-T networks. The project is expected to carry out the analysis in function of ex ante TIA on European directives even though the directives already exist. The project will propose a selection of European directives to be looked into in the Inception Report. This proposal will be approved by the ESPON Monitoring Committee. The project is to bring the ESPON Programme a step further in its supportive role to policymakers in Territorial Impact Assessment. The ESPON database offers an evolving set of reliable, transparent and comparable qualitative and quantitative indicators allowing for cross-sector analysis and monitoring that address the entire European territory. The compilation of territorial typologies that is currently being developed (see project mentioned above) can also support comparative analysis. The ESPON 2006 Programme has developed first experiences in assessing territorial 8

159 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 impacts of EU sector policies. It carried out a wide range of ex post assessments and developed a basis for a tool for ex ante territorial impact assessment (TEQUILA Model). The latter is being further elaborated within the framework of the ESPON 2013 Programme in the applied research project TIPTAP. The TIPTAP project will also test the updated TEQUILA II Model for projected EU transport and agricultural policies. A detailed overview of the ESPON progress on TIA and on the state of affairs can be found on the programme s website The Inception Report (26/09/2008), the Interim Report (31/03/2009), the Draft Final Report 31/07/2009) and the Final Report (31/10/2009) are or will be made available there. This project is expected to make use of (a combination of) existing ex ante territorial impact assessment methodologies. The methodological framework is expected to comply with the current state of affairs in policymaking as described above, in particular where awareness creation on the territorial dimension is concerned. The project is expected to answer the following key research questions: - What is the sensitivity of the different types of territories and regions throughout Europe in relation to each of the selected EU directives? - What data and indicators are needed to assess this sensitivity at the level of the individual directives and, if possible, at the level of all directives? The methodology is expected to answer these questions and should take into account possible limitations in data availability. The project is to foresee a methodological coordination that can support the analysis of the different EU directives and the extent to which regions and different types of territories are sensitive to these policies. The policy analysis shall involve (academic and policy) experts in the respective policy fields concerned. The project is expected to work within the logic of the EU Impact Assessment Guidelines and is asked to explore possible options for integrating a territorial pillar. In order to do so the project is asked to examine in an early stage of the project to what extent the current TIA methodology that is developed in ESPON fits into the EU Impact Assessment Guidelines. Data, indicators and maps of the ESPON 2006 Programme are important sources for this project. The project shall in particular be informed and make use of results from the following projects: The ESPON 2006 projects under priority 2 (i.e. Policy impact projects ) on ex post territorial impact assessment of EU sector policy. ESPON project 3.2 on spatial scenarios including an explorative study on ex ante territorial impact assessment. The project should strive for a comprehensive and integrated research approach, taking into account social, cultural, environmental and economic aspects. In addition a threelevel approach (European, transnational/national, regional/local) to the analysis, commonly used by all ESPON applied research projects, should be applied in order to support a clear presentation of results, which might vary depending on the geographical scale. 9

160 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 The project shall also strive for delivering innovative results which can support the policy development in the field of territorial development, competitiveness and cohesion. It should demonstrate an inventive approach with regard to the scientific answers to the policy questions and should aim at showing new development opportunities for the European territory. There should be a combination and interrelation of various sectors and territorial insights on the development in order to contribute to the creation of new development paths and visions. General deliveries: A synthetic analysis in the form of guidance for policy advisors/practioners (at different policy levels) summarising territorial/regional sensitivity to different types of European directives. General deliveries for each European directive: Logical (territorial) analysis of the directive and the definition of territorial/regional sensitivity, including: - An overview of the different types of territories and regions (NUTS 2 or 3) and their sensitivity that might be affected by the European directive. The definition of the types of territories will follow the current ESPON definitions. The study will make use of results from the ESPON Typology Compilation Project wherever possible. - The chains of reasoning and formulas are adapted for every type of territory or region giving expression of different sensitivities and the different regional intensities of the single policy measures / interventions. Overview of the available data and indicators - The overview provides information on the metadata needed to carry out the TIA exercise and the extent in which these data are available (and where they can be found). The overview takes into account the necessary territorial level of measuring in order to result in correct statements on possible territorial dynamics. Additional in-depth deliveries for three (test) European directives: The project is expected to test the information on territorial/regional sensitivities in a wider TIA exercise (including the sender side of TIA) for 3 European directives. For these 3 cases it also answers the following research questions: - What is the territorial dimension of the European directives and what possible territorial impact might they imply? - What are the territorial impacts of different possible policy alternatives that can be deducted from existing policy discourse (see for methodological framework the Dutch example mentioned in the existing access points)? The following additional deliveries are expected: Logical (territorial) analysis of the directive and the definition of territorial/regional sensitivity, including: 10

161 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September An analysis of the European directive giving insight in the valid policy alternatives. - An overview of the territorial dimension per (territorially relevant) policy measure that is included in the directive containing the logic chain of reasoning in terms of cause-effect relations. The apparent complicated causeeffect relations are to be reduced into logic representation schemes and formulas which can be created with syntactically allowed combinations of connectives, predicates, constants, variables and quantifiers. The causeeffect relations are to fit in the conception of territorial cohesion and its subcomponents territorial efficiency, territorial quality and territorial identity. Overview of the territorial impacts per policy alternative: - The overview is meant to create awareness and support (fictive and real) policymaking processes. It provides territorial evidence in maps and wording on the impact of the European directive and its alternatives. It indicates which types of territories and what regions are most sensitive to the directive and shows how the different policy alternatives work out throughout the European territory. In order to create coherence with project findings of other ESPON applied research projects, the project should present the main final results in relation to different types of regions and cities, using, where applicable, existing typologies for the urban system, rural areas, mountain areas, islands, coastal areas and outermost regions. The final results should also be presented for transnational cooperation areas under Structural Funds, and - where appropriate and possible - also for cross-border cooperation area and inter-regional cooperation areas. The geographical coverage of the project should encompass all the countries participating in the ESPON 2013 Programme. Furthermore, the TPG should assess the data situation within their field of research in the EU Candidate Countries (i.e. Croatia, The former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244), and report their findings in the Inception report (see below chapter (v)). Depending on the respective data situation these countries would then be included in the analysis. The deliveries of the project should make use of and complement the existing scientific platform and tools of ESPON, which are accessible on the ESPON website. The project is expected to enhance the scientific platform of ESPON through the following deliveries: Integrated cross-sector territorial indicators that serve to assess (and monitor) the territorial and regional sensitivity of sectoral European directives and policy measures. European maps revealing (1) the territorial sensitivity to specific types of European policy measures and (2) the territorial impact of different policy alternatives for (the three test) European directives. 11

162 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Regarding the development of new data and maps and/or the use of existing data, the TPG is expected to cooperate closely with the TPG being in charge of the development of the ESPON 2013 Database. The results and conclusions of the applied research within the project should be formulated in relation to policy orientations present at European level and make use of the new typologies if applicable and maps resulting from the project. Following the logic of the Territorial Agenda of the EU, orientations for policy makers should refer to the respective territorial development opportunities and the available options to mobilise these for the benefit of the cities, urban agglomerations and surrounding regions in question. In this respect, references to future policy options should take account of European Cohesion Policy orientations, in particular expressed in the Community Strategic Guidelines on Cohesion , the Fourth Report on Cohesion, as well as (the debate on the) Green Paper on Territorial Cohesion. Project findings should make clear which impact the assessed directives could have on the competitiveness and socio-economic situation of European regions and cities as well as on the realisation of economic, social and territorial cohesion in Europe. Finally, the project should consider avenues for further applied research on the theme. (v) Outputs and timetable One of the main objectives of the ESPON 2013 Programme is to focus on research with policy relevance and to contribute to the development of relevant policies. Therefore, the outputs of the research project should be highly operational and coordinated in time, as far as possible, to fit into the relevant political agenda. The proposal for the project is expected to reveal individual work packages on project coordination, research activities, and dissemination, as well as a schedule for project implementation based on the following indicative 3 timetable and specification of outputs: June/July 2010 (Inception Report): Twelve weeks after the kick-off meeting, a more in-depth concept should be submitted by the TPG allowing for a detailed overview on the research approach to be applied, the methodology and hypothesis for further investigation, as well as a review of the main literature, data sources, etc. This overview includes a quick-scan of possible European directives that can be examined in this project resulting in a proposal of European directives to be decided upon by the ESPON Monitoring Committee. Furthermore this overview includes a thorough screening of relevant data and indicators being produced in other ESPON projects and the methodology and framework for the territorial impact assessment, including an examination of the extent in which the ESPON TIA methodology fits within the EU Impact Assessment Guidelines. The Inception report 3 The final timetable for the project will depend upon the exact date of the project s Kick-off Meeting. At this meeting, the exact delivery dates for all project reports will be agreed upon with the Lead Partner. 12

163 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 shall also include an overview of more detailed deliveries and outputs envisaged by the project as well as an indication of likely barriers that the project implementation might face. The report shall give clear orientation for the applied research previewed towards the Interim report Draft Final report and includes a proposal on the test cases. The research team should also report on the findings regarding the assessment of the data situation in EU candidate countries, the Western Balkans and Turkey and, on that basis, determine the geographical coverage of their research. Finally, the TPG should outline how it envisages making use of existing ESPON and other results that are relevant for this project. October/November 2010 (Draft Final Report): The Draft Final Report will take into account feed-back on the Inception Report from an ESPON seminar and by the Sounding Board. The report is supposed to include elements such as: a) Report (max. 50 pages) on the main results, trends, impacts and options for policy development, including key analysis/diagnosis/findings and the most relevant indicators and maps (any additional information should be included in a scientific report). Particularly important are options for policy makers, which could provide the basis for interventions related to potentials for improving European competitiveness and cohesion. The report should include key messages on the following on the operational use of the findings on the territorial/regional sensitivities to the European directives and the territorial impacts of the 3 test cases. It also includes the guidance for policy advisors/practioners (at different policy levels). b) An executive summary (max. 10 pages) summarising the main results of the applied research that can be communicated to a wider audience of stakeholders. This summary should be based on the Report mentioned above. c) Scientific report documenting the scientific work undertaken in the applied research including elements such as: Literature and methodology/theory used. Typologies, concepts developed and used. Data collected and indicators used, including tables with the exact values of indicators. Maps produced in support of the results, covering the territory of EU 27, Iceland, Liechtenstein, Norway and Switzerland. Models and other tools used or developed. Detailed results of the case studies. Roadmap for policy implementation and on the further research avenue to follow, including further data requirements and ideas of territorial indicators, concepts and typologies as well as on further developments linked to the database and mapping facilities. Points for further consideration providing the thoughts of the TPG on TIA related issues that could not have been dealt with in depth within the framework of this project (e.g. the relation with national and regional legislation). The MC and the Sounding Board will address the draft Final report and eventually ask for clarifications. 13

164 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 January/February 2011 (Final Report): d) Revision of the Draft Final report on the basis of comments received. February/March August/September 2011 (Dissemination): e) Dissemination of project results by the TPG in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. These activities need to be reflected in the budget proposed by the TPG for the implementation of the project. The ESPON 2013 Programme foresees in Priority 4 also capitalisation of project results including events, printed reports, website facility, etc. The Programme includes, in other words, substantial dissemination activities at Programme level which all projects should make use of and support. This means that the project s dissemination activities shall ensure consistency and avoid overlaps with and repetition of respective activities organised at Programme level. The project team shall refer to the objectives of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking when considering dissemination activities and closely coordinate these with the ESPON CU. Irrespective of the above mentioned reports to be submitted at certain stages in the project life cycle, the TPG is expected to give presentations on the state of their research or/and the results in the framework of internal and external ESPON seminars. Therefore, when setting up the project proposal, the TPG should also allow for travel expenses for the attendance of ESPON seminars. (vi) Budget for the applied research project The maximum budget foreseen for this applied research project is Euro including VAT if applicable. Proposals exceeding this value will not be considered. All real eligible costs incurred for carrying out the approved project will be refunded 100% by the ESPON 2013 Programme. (vii) Existing access points Synergies and use of results from outside the ESPON regime shall be sought. The access points listed below can serve the purpose of providing the TPG useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful in tracing additional useful background information. Information on the EU policy framework for Impact Assessment: Commission of the European Communities (2009) Impact Assessment Guidelines, SEC(2009)92 Commission of the European Communities (2002) Communication from the Commission on Impact Assessment, COM(2002)276Final 14

165 ESPON 2013 Programme Project Specifications Project 2013/1/17 Priority 1: Call for Proposals on Applied Research Projects - 16 September 2009 Information on the Slovenian TIA project can be found on (English summary in main document). For a description of the method used, look at: Radej, Bojan, Synthesis of Territorial Impact Assessment for Slovene Energy Programme (July 8, 2008). Delovni Zvezki SDE Working Paper No. 2. ( For information on the Dutch TIA, look at: Evers, D., J. Tennekes and others (2009) Territorial Impact Assessment of Territorial Cohesion for the Netherlands, Netherlands Environmental Assessment Agency, The Hague ( 15

166 Partnership Agreement Template Version 16 September 2009 Model of Partnership Agreement between Lead Partner and Project Partners of an ESPON 2013 Project This document consists of Part A and part B. -Part A is compulsory for all ESPON 2013 partnership and has to be filled in the parts marked in grey. -Part B is to be defined and detailed by the partnership and shall contain information on how to coordinate and implement activities and how to disseminate results. It must be negotiated between partners and tailored to the partnership's individual needs. For the parts marked in grey in Part A and for Part B, the Managing Authority/ Coordination Unit cannot guarantee and are not liable for completeness, correctness, up-to-datedness and full compatibility with EU and national law. Having regard to - Article 20.1.a of the Regulation (EC) No 1080/2006 that states that it is the responsibility of the lead beneficiary appointed for each project to lay down the arrangements for its relations with the beneficiaries participating in the project in an agreement comprising, inter alia, provisions guaranteeing the sound financial management of the funds allocated to the project, including the arrangements for recovering amounts unduly paid; - Art of the Regulation (EC) No 1080/2007 where it is recalled that agreements have to be in place between the beneficiaries of an project; of the Agreement between the Member/Partner States and the Grand- Duchy of Luxembourg; - Section 8.2 of the Programme Manual, as approved by the Monitoring Committee of the Programme; The following agreement shall be made between [Name and address], represented by [Representative] (Lead Partner) and [Name and address], represented by [Representative] (Project Partner 1), [Name and address], represented by [Representative] (Project Partner 2), 1

167 [Name and address], represented by [Representative] (Project Partner 3), [Name and address], represented by [Representative] (Project Partner 4), [Name and address], represented by [Representative] (Project Partner 5), for the implementation of the ESPON 2013 project # 00XX, project title / acronym approved by the Monitoring Committee of the Operational Programme ESPON 2013 The European Observation Network on Territorial Development and Cohesion on [date] in [place] under Priority 1, 2 or 3 (please set). PART A 1 Object of the partnership 1. Subject of this agreement is the organisation of a partnership in order to implement the ESPON 2013 project # 00XX, project title / acronym as indicated in the annexes. The annexes comprise: - the application approved by the Monitoring Committee of the Programme on [date] in [place] including annexes (Annex I), - the Subsidy Contract between the Managing Authority of the Programme and the Lead Partner dated [date] (Annex II); - The detailed budget for each Project Partner (breakdown per budget line) (Annex III) This has to be provided compulsorily with the AnnexIII.xls form 2. The annexes - including all provisions they are based on and refer to - are considered to be an integral part of this agreement. 2 Subject of the Partnership Agreement By the present Partnership Agreement, the Lead Partner and the other Project Partners shall define the rules of procedure for the work to be carried out and the relations that shall govern them within the transnational Partnership set up in order to complete the above-mentioned project as approved by the Programme Monitoring Committee. 1

168 3 Duration of the Agreement 1. This Partnership Agreement will enter into force retrospectively from [the date of the approval decision of the Monitoring Committee]. 2. It shall terminate three years after the closure of the ESPON 2013 Programme as defined in Article 89 of Regulation (EC) No 1083/ Obligations 1. The Lead Partner and the partners commit themselves in doing everything in their power to foster the implementation of the project as defined in 1 of the present agreement and shall ensure timely commencement of the project and implementation of the entire project within the time schedule in compliance with all obligations to the Managing Authority. 2. The Lead Partner shall fulfil all obligations arising from the Subsidy Contract, the Programme Manual, the Operational Programme and the approved application, including annexes. In particular, the Lead Partner shall fulfil the following obligations: - Comply with the requirements set in the Subsidy Contract 1 Legal framework; - Provide the overall coordination, management and implementation of the project; - Represent the partnership and fulfil all the duties rising from representing the partnership, as listed in Subsidy Contract 7 Representation of the project partnership, liability; - Appoint a Project Coordinator and a financial manager in compliance with the requirements set in section of the Programme Manual; - Setting-up efficient and reliable management and control system, coordination system and audit trail (in compliance with the requirements in section 8 of the Programme Manual); - Start and implement the project according to the description in the application form (including annexes) approved by the Monitoring Committee of the Programme and according to the implementation schedule given both in the application form and in the Programme Manual, as required by Art.20 (1)b) of Regulation (EC) No 1080/2006; - Ensure that all the expenditure presented by the partners has incurred for the purpose of implementing the project and correspond to the activities agreed by the partners and described in the application form and its annexes, as required by Art.20 (1)c) of Regulation (EC) No 1080/2006; 2

169 - Draw up and present progress reports as defined in the Subsidy Contract Subsidy Contract 5 Request of payments and in section 8.5 of the Programme Manual; - Request payments according to the procedure set in Subsidy Contract 5 Request of payments and in section 8.5 and 8.6 of the Programme Manual, after having verified that the expenditure of the partners has been validated by the first level controllers (Art.20 (1)d) of Regulation (EC) No 1080/2006); - Receive payments from the Certifying Authority of the Programme and transfer portions of it to the partners as soon as possible, as required by Art.20 (1)e) of Regulation (EC) No 1080/2006; - Guarantee the sound financial management of the funds allocated to the project, including arrangements for recovering amounts unduly paid, as in Art.20 (1)a) of Regulation (EC) No 1080/2006; - Communicate with the Programme Authorities and bodies involved in the Programme implementation and report timely to the project partnership; - React promptly to any request by the Programme Authorities and bodies involved in the Programme implementation; - Notify the partners immediately of any event that could lead to a temporary or final discontinuation or any other deviation of the project; - Support any audit or control, in compliance with the requirements set in Subsidy Contract 12 Control and audits; - Properly archive documentation, as per the requirement stated in the Subsidy Contract 11 Archiving of documentation. 3. Every partner shall fulfil all obligations arising from the Subsidy Contract, the Programme Manual, the Operational Programme and the approved application, including annexes. - Comply with the requirements set in the Subsidy Contract 1 Legal framework; - Appoint a project manager for the parts of the project for which it is responsible and give the project leader the authority to represent the partner in the project; - Setting-up efficient and reliable management and control system and audit trail at a Project Partner level (in compliance with the requirements in section 8 of the Programme Manual); - Start and implement the part of the project for which it is responsible according to the description in the application form (including annexes) approved by the Monitoring Committee of the Programme and according to the implementation schedule given both in the application form and in the Programme Manual, as required by Art.20 (1)b) of Regulation (EC) No 1080/2006; 3

170 - Ensure that his expenditure has incurred for the purpose of implementing the project and correspond to the activities agreed by the partners and described in the application form and its annexes, as required by Art.20 (1)c) of Regulation (EC) No 1080/2006; - Having his share of expenditure verified by a first level controller, according to the procedure set in section 8.6 of the Programme Manual; - Support the Lead Partner in drawing up and presenting progress reports as defined in the Subsidy Contract, see Subsidy Contract 5 Request of payments and in section 8.5 of the Programme Manual; - Support the Lead Partner in preparing the request payments according to the procedure set in Subsidy Contract 5 Request of payments and in section 8.5 and 8.6 of the Programme Manual; - Guarantee the sound financial management of the funds allocated to the project, in compliance with Subsidy Contract 1 Legal framework and the Programme Manual; - Assume the responsibilities set by Art.20 (2)a) and b) of Regulation (EC) No 1080/2006; - React promptly to any request of the Lead Partner, of Programme Authorities and bodies involved in the Programme implementation, in particular for what concerns requests related to the coordination and implementation of the project; - Notify the Lead Partner immediately of any event that could lead to a temporary or final discontinuation or any other deviation of the project; - Timely inform the Lead Partner in case the Project Partner as private partner becomes insolvent and / or is moving towards liquidation or declares bankruptcy; - Support any audit or control, in compliance with the requirements set in Subsidy Contract 12 Control and audits; - Properly archive documentation, as required by Subsidy Contract 11 Archiving of documentation. 5 Liability 1. Each partner, including the Lead Partner, shall be liable to the other partners and shall indemnify and hold harmless such other partners for and against any liabilities, damages and costs resulting from the non-compliance of its duties and obligations as set forth in this agreement and its annexes. 4

171 2. No party shall be held liable for not complying with obligations ensuing from this agreement in case of force majeure. In such a case, the partner involved must announce this immediately in writing to the other partners of the project. 6 Activities All the partners shall adhere to the timetable, actions, outputs, indicators and to the contents reported and detailed in the approved application form and in its annexes. 7 Organizational Structure of the Partnership 1. For the successful management of the partnership and completion of the Project, a Project Steering Committee will be set up. The Project Steering Committee will be responsible for monitoring the implementation of the project. The Project Steering Committee will be chaired by the Lead Partner. Its members shall include the Lead Partner, Project Partners and any other organizations or individuals deemed appropriate by the Lead Partner and the Partners. The Project Steering Committee shall meet on a [define frequency] basis. The Managing Authority/Coordination Unit might also be invited to attend meetings. 2. [Specify the detailed composition of the Project Steering Committee, its role and assignments, and the decision making process, its duties in setting the disputes among project participants. Please also specify that the Project Steering Committee will adopt its rules of procedure.] 8 Cooperation with third parties, delegation and outsourcing 1. In case of cooperation with third parties including suppliers of good/services, the Project Partner concerned shall remain solely responsible to the Lead Partner concerning compliance with its obligations as set out in this Partnership Agreement. 2. The Lead Partner shall be informed by the Project Partner about the subject and party of any contract concluded with a third party. 3. No Project Partner shall have the right to transfer its rights and obligations under this Partnership Agreement without the prior consent of the other project participants and the responsible Programme implementing bodies. 4. Co-project with third parties including suppliers of goods/service shall be undertaken in accordance with procedures set out in the public procurement rules applicable to the contracting partner and in compliance with the EU directives on public procurement. 5

172 9 Assignment, legal succession 1. Neither the Lead Partner nor the partners are allowed to assign their duties and rights under this agreement without the prior consent of the other parties to this agreement. The parties to this agreement are aware of the provisions of the Subsidy Contract whereupon the Lead Partner and the Project Partners are allowed to assign duties and rights as laid down in the Subsidy Contract only by obtaining the prior written consent of the Managing Authority and the Monitoring Committee of the ESPON Programme. 2. In the case of legal succession, the Lead Partner or the partner concerned is obliged to transfer all duties under this agreement to the legal successor. 10 Project Budget and eligibility of expenditure 1. The Lead Partner and Project Partners shall implement the project according to the budget reported in the approved application form and annexes. 2. The detailed budget break-down per Project Partner will be delivered to the Managing Authority/Coordination Unit with the inception report. 3. The eligibility of expenditure will be determined in compliance with the documents mentioned in the Subsidy Contract, 1 Legal framework. 11 Budgetary and financial management, accounting principles 1. The Lead Partner is the sole responsible party to the Managing Authority/Coordination Unit and the Monitoring Committee of the Programme for the budgetary and financial management of the operation. The Lead Partner shall be responsible for the realisation and the transfer of payment claims to its partners as well as for an application for budget reallocation according to the procedure in chapter 8.8 of the Programme Manual. 2. For each financial claim, following payment of funds to the Lead Partner, the Lead Partner shall pay, as soon as possible, the sums assigned to each partner by bank transfer. No deduction, retention or further specific charge shall be made. 3. The Lead Partner must ensure the correctness of the accounting and financial reports and documents drawn up by the partners. The Lead Partner may request further information, documentation and evidence from the partners to that effect. 4 Every partner will be held responsible for its budget up to the amount as to which the partner participates in the operation. 5. Every partner commits to keeping separate accounts solely used for the operation as defined in section of the Programme Manual. The accounts shall provide for 6

173 registration in Euros (EUR; ) of total expenses (expenditure) and of the return (income) related to the operation. 6. Accounting reports or other documents, including copies of all pieces of evidence (invoices, documents related to tender, bank statements, etc.) shall be submitted to the Lead Partner or to the body appointed to that effect, in accordance with the schedule and requirements stipulated by the Lead Partner. The partners are obliged to have their expenditure validated by a first level controller, according to the procedure set in Chapter 8.6 of the Programme Manual. 7. In default of evidence or in the event of non-fulfilment of the rules concerning eligibility of expenditure, the Lead Partner shall ask the partners to redraft the submitted financial documents. In case of repeated non-fulfilment, the Lead Partner shall be entitled to deny the expenditure declared by a partner. In that case, the Lead Partner is obliged to inform the partner concerned on the denial of the expenditure declared and the motivation thereto; also the Managing Authority/Coordination Unit of the Programme" shall be informed. 12 Modification of the work plan and budget reallocation 1. Before applying for a budget reallocation according to the procedure set in chapter 8.8 of the Programme Manual, the Lead Partner shall obtain the approval of its partners. 2. Any request for amendment of the Subsidy Contract presented by the Lead Partner according to chapter 8.8 of the Programme Manual shall be authorised by the partners of the project beforehand. 13 Monitoring, Evaluation and Reporting 1. The Lead Partner has overall responsibility for monitoring the actions undertaken by the Project Partners on an on-going basis. Monitoring, evaluation and reporting requirements for all partners are set in the Programme Manual chapter 8 and in the Subsidy Contract 5 Request for payments. 2. The Lead Partner is responsible for submitting the inception report, the progress reports, the interim reports, the draft final report, the final report and the scientific deliveries to the Managing Authority/Coordination Unit through the project lifetime. The purpose of these reports is described in the Programme Manual. The reporting periods as laid down in the Subsidy Contract as well as instructions in the reporting forms shall be observed. 3. Each Project Partner is obliged to supply the Lead Partner with all information that the latter deems necessary for the preparation of above reports and for any other specific documentation that might be requested by the Project Steering Committee or the Programme Authorities. 7

174 4. The lead partner shall systematically keep the partners informed on a regular basis of all relevant communication with the bodies implementing the Programme. 14 Controls and audits 1. For audit purposes, the Lead Partner and the Project Partners shall: a) Agree to have their expenditure controlled and validated by a first level controller as specified in the Subsidy Contract in 5 Request for payments, 7.4.b, 12 Control and audits and in Programme Manual chapter 8.6; b) Retain all files, documents and data concerning the project as required by the Subsidy Contract 11 Archiving of documentation. c) Make all the necessary arrangements to ensure that any audit performed by auditing bodies of the European bodies, European Commission Services, the European Court of Auditors, other auditing bodies of the participating Member and Partner States or other national auditing bodies as well as the Managing Authority, the Certifying Authority and the Coordination Unit can be carried out, by producing all documents required for the above controls and audit, providing and giving access to all the necessary information and documents supporting the audit trail, giving access to business premises, as in 12.2 and 12.3 of the Subsidy Contract. 2. The information concerning the reality and validity of actions and expenses eligible for funding provided by each Project Partner shall engage solely its own responsibility. 15 Communication and Publicity 1. The Project Partners shall implement the communication and publicity measures in accordance with the project application and Commission Regulations on information and publicity measures to be carried out by the Member States concerning assistance from the Structural Funds. They shall play an active role in any actions organized to disseminate the results of the project. Any public relations measure shall be co-ordinated by the Lead Partner. 2. All partners shall comply with the requirements set in 8 Publicity of the Subsidy Contract. 16 Dissemination of Project Outcomes 1. The Lead Partner and the other Project Partners shall take note of the fact that the results of the project may be made available to the public and they agree that the results of the project shall be available for all interested parties. 8

175 2. They furthermore commit to playing an active role in any actions organized to capitalize on, disseminate and valorize the results of the project. 3. All partners shall comply with the requirements set in 8 Publicity of the Subsidy Contract. 17 Intellectual Property Rights The Lead Partner and the Project Partners shall ensure that all the conditions set by 9 Ownership of results of the Subsidy Contract are complied with. 18 Confidentiality Requirements 1. Although the nature of the implementation of the project is public, part of the information exchanged in the context of its implementation between the Lead Partner and the partners, the partners themselves or bodies implementing the Programme can be confidential. Only documents and other elements explicitly provided with the statement confidential shall be regarded as such. 2. The Lead Partner and the Project Partners commit to taking measures to ensure that all staff members carrying out the work respect the confidential nature of this information, and do not disseminate it, pass it on to third parties or use it without prior written consent of the Lead Partner and the partner institution that provided the information. 3. This confidentiality clause shall remain in force for two years following the termination of this agreement. 19 Non-fulfilment of obligations or delay, reimbursement 1. Every partner is obliged to promptly inform the Lead Partner and to provide the latter with all necessary details should there be events that could jeopardise the implementation of the project. 2. Should one of the partners be in default, the Lead Partner shall admonish the respective partner to comply within a maximum of one month. The Lead Partner shall make any effort to contact the partners in resolving the difficulties. 3. Should the non-fulfilment of obligations continue, the Lead Partner may decide to exclude the partner concerned from the project, with approval of the Project Steering Committee. The Managing Authority/Coordination Unit of the Programme shall be informed immediately if the Lead Partner intends to exclude a partner from the project. 9

176 4. The excluded partner is obliged to refund to the Lead Partner any programme funds received which it cannot prove on the day of exclusion that they were used for the implementation of the project according to the rules of eligibility of expenditure. 5. In case of non-fulfilment of a partner's obligation having financial consequences for the funding of the project as a whole, the Lead Partner may demand compensation to cover the sum involved. 6. In the event of total or partial incompletion of the obligations of any of the Project Partners or in the event of material errors in the effective execution of project activities, the Project Partner(s) responsible for total/partial incompletion undertakes to reimburse the Lead Partner any funds that have been unduly received, within two weeks following notification. 20 Demand for repayment by the Managing Authority Should the Managing/Certifying Authority of the Programme in accordance with the provisions of the Subsidy Contract 10 Right of termination demand repayment of subsidy, every partner is obliged to transfer its portion of the repayment amount to the Lead Partner. The Lead Partner shall, without delay, submit the letter by which the managing authority has asserted the repayment claim and notify every partner of the amount repayable. The repayment amount is due within two weeks following the notification by the Lead Partner. The amount repayable shall be subject to interest; the provisions of the Subsidy Contract 10 Right of termination shall apply by analogy. 21 Disputes between partners 1. Should a dispute arise between partners of the project, every partner shall be obliged to submit the dispute to the [a mediator] in order to reach a settlement. 2. The Lead Partner will inform the other Project Partners and may, on its own initiative or upon request of a Project Partner, ask the Managing Authority/Coordination Unit of the Programme for advice. 3. Should a compromise through mediation of the [mediator] not be possible, every partner shall be obliged to request and accept arbitration carried out by an ad-hoc arbitration committee after having asked the Managing Authority/Coordination Unit of the Programme for advice through the Lead Partner. This will consist of [number] of [number] different nationalities, one of which being the same as the Project Partner involved in the dispute, appointed by the [a board, committee or group to be set up by the partnership]. If the [a board, committee or group to be set up by the partnership] has not appointed all the expert arbitrators within one month of the Lead Partner's request to it to decide on such appointment, the Lead Partner shall have the authority to appoint all [number as stated before] expert arbitrators. In the latter case, a designated member of the Managing Authority/Coordination Unit of the Programme will supervise the proceeding of the arbitration committee. 10

177 4. Every partner shall be obliged to accept and apply the decisions of the arbitration committee, subject to the applicable law hereby agreed upon and in compliance with the provisions of the Community law. 22 Working Language 1. The working language of this Partnership shall be English, as official language of the Programme ESPON 2013 and of the Subsidy Contract between Lead Partner and Managing Authority. 2. In case of the translation of this document into another language, the English version shall be the binding one. 23 Applicable law, translation languages 1. This agreement is governed by [law of the country where the Lead Partner is located or law where the Managing Authority programme is located] law. 2. In the event of translation of this agreement and its annexes, the English version shall prevail. 24 Nullity If any provision in this agreement should be wholly or partly ineffective, the parties to this agreement undertake to replace the ineffective provision by an effective provision which comes as close as possible to the purpose of the ineffective provision. 25 Amendment of the Partnership Agreement, withdrawals 1. This agreement shall only be amended in writing by means of an amendment to that effect signed by all parties involved. Any modification to the present Partnership Agreement shall form the subject of a rider to this contract, which shall be submitted for the approval of all the signatory Project Partners. 2. Modifications to the project that have been approved by the Programme Authorities, in compliance with the procedure set in Programme Manual chapter 8.8, can be carried out without amending the agreement. 3. The Lead Partner and the Project Partners agree not to withdraw from the project unless there are unavoidable reasons for it. If this were nonetheless to happen the Lead Partner and the Project Partners shall endeavor to cover the contribution of the withdrawing Project Partner, either by assuming their tasks or by asking one or more new Project Partners to join the partnership. 11

178 26 Lapse of time Legal proceedings concerning any issue ensuing from this agreement may not be lodged before the courts more than three years after the claim was constituted. In the event of legal proceedings concerning a claim to refund funds, a period of three years following the last transfer shall be applied. 27 Domicile 1. To the effect of this agreement, the partners shall irrevocably choose domicile at the address stated in the application form (Annex 1) where any official notifications can be lawfully served. 2. Any change of domicile shall be forwarded to the Lead Partner within 15 days following the change of address by registered mail. 28 Force Majeure No party shall be held liable for not complying with obligations ensuing from this Partnership Agreement should the non-compliance be caused by force majeure. PART B [ ] Part to be developed by the partnership with some more details on how to coordinate, implement activities and disseminate results. Please add details also on the possibility for the project and the PSC to set-up subgroup/workgroups dealing with specific tasks related to the project. [ ] 12

179 Drawn up at [place] Lead partner Signature Date Project Partner 1 Signature Date Project Partner 2 Signature Date Project Partner 3 Signature Date Project Partner 4 Signature Date Project Partner Signature Date Annexes Annex I Approved application including its annexes Annex II Subsidy Contract between the Managing Authority of the Programme and the Lead Partner dated [date] Annex III The detailed budget for each Project Partner (breakdown per budget line) 13

180 Programme Manual Chapter 2 Version 16 September Priority 1: Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The SWOT analysis of the ESPON 2006 Programme, undertaken in the course of setting up the ESPON 2013 Programme, clearly indicates that more applied research action is needed for European policy development and that a thematic bias existed in the previous programme in favour of socio-economic knowledge. Actions foreseen under the first programme priority intend, among other things, to continue building new evidence based on comparable information addressing major territorial challenges and priorities. Furthermore, these actions should contribute to the improvement of the existing EU wide information and to strengthening the knowledge and competence capabilities needed to ensure scientifically validated results. These objectives will be reached through three main types of actions: a) Cross-thematic and thematic analysis (defining territorial potentials and challenges), including studies of territorial trends and prospective studies b) Territorial impact studies of EU policies c) Knowledge Support System (KSS) 2.1 Applied research projects: Cross-thematic and thematic analysis and territorial impact of EU policies The applied research within the ESPON 2013 Programme will opt for information and evidence on territorial potentials and challenges focusing on opportunities of success for the development of regions and cities. Cross-thematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. The impact of EU policies will be another important area of analysis. In support of the applied research actions a Knowledge Support System will be put in place to ensure high quality results (see chapter 2.2). Applied research projects to be conducted under Priority 1 will be oriented towards the demand of policy makers and adopted by the ESPON Monitoring Committee (MC) Objectives The first type of applied research actions will lead to a greater European understanding of the complexity of territorial development. The provision of regionalised, updated information will help identifying potential synergies and/or conflicts among different policies and territorial assets and potentials. By integrating analysis on different themes for the different territories, prospective studies will add a future oriented time dimension which represents a key element for the preparedness of stakeholders to respond to challenges and exploit new and/or under-used opportunities for development. Territorial impact studies will provide information supporting the monitoring of policy achievements ex-post thereby allowing for a better understanding of the cause-effect 1

181 relationships at different territorial levels. The development of sufficiently elaborated methodology for ex-ante impact assessment can, in addition, support the territorial awareness in sector policies. Evidence on territorial impacts of sector policies, both ex-ante and ex-post, will contribute to the improvement of the coordination and mutual synergies between sector policies and create added value for regional policy and territorial cohesion Thematic axes Progress made by the ESPON 2006 Programme shall be further deepened and widened depending on the demand expressed by policy makers involved in ESPON Exploratory efforts and prospective studies shall support policy relevant themes of the future. The applied research projects under Priority 1 shall pave the way for integrated analytical activity in concrete territorial contexts. The framework for applied research is organised in 3 thematic axes: (1) Territorial development and the competitiveness of regions, urban and rural territories (2) Territorial cooperation (3) Territorial impact of EU policies The area for analysis and data collection will normally comprise all the countries taking part in the ESPON 2013 Programme. With regard to a possible enlargement of the geographical coverage of ESPON projects, EU candidate countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) might be included, if the data situation in these countries for the specific research issues allows so. An extension of the geographical coverage of an applied research project will, however, be subject to a decision by the ESPON MC. The framework for potential research themes includes policy orientations and priorities related to Cohesion Policy and to intergovernmental cooperation set out in policy documents, such as the European Spatial Development Perspective and the Territorial Agenda of the EU. The thematic orientation of the applied research shall as well be influenced by an assessment of the coverage and gaps within the ESPON 2006 Programme and can take inspiration from the choices made by the MC on preparatory studies, including on small and medium sized cities, the social dimension of territorial development and territorial impacts of environmental policies. In addition, other themes inspired by user demand can be considered for additional applied research. In some cases, projects of applied research could be supported by case studies, subject to decision by the ESPON MC. 1

182 2.1.3 Mapping the demand The demand from policy development by members of the ESPON MC will be the key selection criteria for the thematic orientations of applied research projects. Themes in support of territorial cohesion and cooperation will be given high priority along with themes related to the Lisbon Strategy and a sustainable economic development. At any rate, applied research within the ESPON 2013 Programme will give priority to integrated analysis, taking into account several sectors, themes, and/or different territorial dimensions. Decisions on applied research actions will be taken at several moments in the course of programme implementation. The thematic orientations within the ESPON 2013 Programme should not and cannot be fully decided in advance for a seven year long programme period. Flexibility will have to prevail, giving the MC the opportunity to make thematic choices as policy develops. A Concertation Committee (CC) will facilitate this process by proposing strategic issues that may be analysed in the framework of applied research projects under Priority 1. It can also give guidance to the ESPON 2013 Programme in relation to the European political agenda, thereby ensuring that territorial evidence can be available at the right moment in time to feed policy development. In order to map the demand for relevant thematic issues, consultations of stakeholders will be undertaken within the programme period These will be conducted in the form of questionnaires disseminated widely among stakeholders at European, national and regional levels working on issues related to territorial development and in the context of European programmes related to Structural Funds (particularly other transnational cooperation programmes). To allow for transparency of this screening process, the questionnaires will be put on the ESPON website to make them accessible to stakeholders that might not be included in a mailing initiative. The ESPON Newsletter will refer to the consultation process to make sure that an extensive number of stakeholders are informed. Furthermore, ESPON seminars and/or other major events in the context of European territorial development and cohesion policy (e.g. DG meetings) could be made use of to discuss the demand of stakeholders. The results of these consultations will be processed and condensed by the Coordination Unit (CU), breaking them down in thematic orientations which will then be subject to an intensive dialogue with the MC. The CC can give additional guidance in this process by making the link to the respective current European political agenda. At least three major rounds of selection of actions by the MC are envisaged to ensure an efficient operation. In addition, single actions might also be decided Deliveries and outputs expected The analytical activities of projects financed under Priority 1 will have to address territorial elements, types and phenomena in a given socio-economic context. Projects will have to approach the issues raised in the project specification developed for each 2

183 project, by providing solid analysis demonstrating a clear understanding of territorial structures, trends, perspectives and impacts in relation to the socio-economic reality. Project results shall reflect current scientific knowledge and methodological standards should be presented in such a way to ensure their practical use. Project teams will be requested to strictly follow the given timetable for the implementation of the project in order to coordinate and fit into the relevant political agenda. The geographical coverage of projects will normally include all the regions and countries taking part in the ESPON 2013 Programme with as much detail as possible, depending on the availability of comparative data. However, the MC might decide to launch a limited number of analysis and studies focusing on smaller geographical entities. It might also initiate projects zooming-out in territorial terms to receive information on a wider context and/or on regions and neighbouring countries or continents not participating in the ESPON 2013 Programme. Regarding the inclusion of EU candidate countries (i.e. Croatia, the former Yugoslav Republic of Macedonia, Turkey) and/or the other countries of the Western Balkans (i.e. Bosnia and Herzegovina, Serbia, Montenegro, Albania, Kosovo under UN Security Council Resolution 1244) in applied research projects, Transnational Project Groups (TPGs) will be asked to assess the respective data situation for the specific research issue they are working on, and to report on that in their inception report. If the data situation allows so, these countries would be covered as well. The following deliveries are expected from project teams conducting applied research projects: - Presentations of the status-quo of the applied research at ESPON seminars which will be organised twice per year 1. - Data and maps produced within the framework of the research projects have to be delivered in a format which allows their inclusion in the ESPON Scientific Platform (for maps this should be in a vector format stored in.eps,.pdf or.ai files, whereas for databases this can be in any MS Access compatible format). Maps should be created in two separate layers so that they lend themselves better to further use. The first layer should consist of the map itself, i.e. geographical limits, colours, symbols used in the map, etc. The second layer refers to the legend and captions of a map that could be translated by Member States and Partner States to their respective language to ensure a better dissemination to regional and/or local stakeholders. The maps have to be delivered both in a resolution format which is suitable for presentations, web services, etc., and in a high-resolution format (minimum 300 dpi) which can be easily used for printing. 1 If this seems reasonable, depending on the period of time the project will have been underway by the time of the first ESPON seminar within the project s period of implementation (at least 5-6 months). Depending on the nature of the ESPON seminar internal seminar or one open to all those interested in the programme and its achievements the presentations will have to address different aspects of the project. (Whereas in an internal seminar individual steps of project development and advancement will be interesting for the audience, in the framework of an external seminar the eventual findings should be in the focus of the presentation.) 3

184 Regarding the development of new data and maps and/or the use of existing data, TPGs working on projects under Priority 1 should in any case closely cooperate with the TPG being in charge of the development of the ESPON 2013 Database. - Delivery of models developed within the framework of the research project to be included in the ESPON tool box and be made accessible to others. - Dissemination of project results in the framework of international conferences and seminars, e.g. transnational activities of the ESPON Contact Point (ECP) Network, events organised by the CU. Dissemination activities must be foreseen in the project proposal and be included in a specific work package number 3 Dissemination which implementation should run at least six months after the delivery of the project s final report. However, project teams should consider that their core activity is applied research. The allocation of resources across all work packages shall consequently reflect this aspect. In addition, to ensure the consistency of a project s dissemination activities with respective activities organised at Programme level, the project team should take into consideration the objectives and actions of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking, make use of these facilities and opt for complementarity. In addition to the above, the following series of outputs is compulsory: - An Inception report, consisting of max. 20 pages (plus annexes if relevant), based on the approach outlined in the project proposal, and to be submitted twelve weeks after the Kick-off Meeting. The Inception report consists of two parts. In its content part it should provide a more detailed overview of the research approach to be applied, the methodology and hypothesis for further investigation, as well as the main literature, data sources, etc. In addition, it should reveal the distribution of work packages among partners. Furthermore, in its financial part - with the completion of the template provided by the Programme - the Inception report should as well detail the break down of the project s budget on the individual partners per budget line. It should be demonstrated by the TPG how the individual work packages are going to be synthesised to produce a coherent project report. The Inception report should throughout the lifetime of the project serve as a basis for assessment of project development. Whenever progress reports or Interim report(s) are submitted they should be checked in relation to the Inception report to see whether progress is being made on the content within the timeframe foreseen. - One or two Interim report(s) depending on the project duration, consisting of max. 50 pages (plus annexes if relevant), and containing an executive summary, outline of methodology, presentation of main results achieved so far, and description of further proceeding. - Draft final report, consisting of max. 50 pages (plus an executive summary of max. 10 pages) of the main results, an analysis of the results including description of territorial development trends and resulting impacts, both short term and long term, interpretation of newly produced maps and in the case the research addresses themes being dealt with by ESPON 2006 and produces opposing results - an 4

185 explanation of these differences, and a presentation of proposals for further European applied research, case studies, etc. - Final report, as a revised and improved version of the draft final report on the basis of comments received from the MC, the Sounding Board 2 and the CU. Please note that the Final report of max. 50 pages is considered as the main output of the applied research project. All above mentioned reports will have to be delivered both, in a printed version via mail directed to the postal address of the ESPON CU as well as digitally by directed to the ESPON CU (in case the size of the files does not allow for sending by the reports can de delivered by upload on the dedicated programme intranet.) Aiming at full transparency the CU will upload reports received on the ESPON website. Deadlines for the submission of the above mentioned reports will be indicated in the project specifications and in the Subsidy Contract and will coincide with the deadlines for the submission of progress reports whose approval will allow for the release of the reimbursement of the incurred costs Application procedure All applied research projects financed under this priority will be subject to calls for proposals. For each thematic issue a project specification will be compiled responding to the research framework described above. As soon as the launch of a particular call for proposals will have been decided upon by the MC, a pre-announcement of the call will be issued, providing information on the themes that will be included in the call. The pre-announcement will be widely published by adding it to the ESPON website, in the ESPON newsletter as well as in the Official Journal of the European Commission, C series. At the same time, the Member and Partner States participating in the ESPON 2013 Programme will be informed about the planned call so that the information can be nationally disseminated to potential Lead and Project Partners. The pre-announcement will normally be issued eight weeks prior to the publication of the call for proposals. The pre-announcement procedure is supposed to facilitate the submission of a proposal at a later stage, by giving interested beneficiaries the chance to prepare on beforehand. The pre-announcement offers an opportunity to incorporate ideas of all partners equally, thus ensuring a high level of commitment to the project. As an additional advantage, partners can test how the cooperation works during this preparatory phase before starting implementing actual project activities. Upon the publication of the call for proposals via the same channels as the preannouncement the respective project specifications will be made available on the website of the ESPON CU ( outlining the thematic scope of the project, 2 For each applied research project a Sounding Board will be set up, accompanying the project throughout its life cycle and giving advice to the TPG on both, scientific issues as well as relevance for policy makers. Sounding Boards will normally be made up of one scientist and one practitioner. Their tasks will consist of assessing project proposals, giving continuous feedback to TPGs and commenting on their reports. 5

186 its general objectives, and primary research issues envisaged as well as expected results and a timetable for deliveries. Calls for proposals will usually be kept open for two months (40-45 working days). Proposals should be submitted according to the application requirements provided and specified in application packs. Standardised application forms will be provided by the ESPON 2013 Programme. Automatic registration of proposals will be ensured Selection procedure The selection procedure starts immediately after the deadline set for submitting project proposals. It consists of two distinct assessment parts, an eligibility check and an evaluation. The two parts will time-wise run in parallel. The MC will first decide on the eligibility of proposals received before addressing the results of the content related evaluation resulting in a ranking of the best proposals. The MC will select the best eligible proposal according to the ranking resulting from the content related evaluation. The MC takes the final decision on project approval. Eligibility criteria Project proposals will be checked against the eligibility criteria in order to ensure that they fulfil the technical requirements of the Programme. The eligibility assessment will be performed by the CU. The check of the eligibility criteria will be documented by ticking boxes of yes or no, depending on whether the respective evidence has been provided or not. Each project proposal to be assessed has to fulfil the following criteria: ELIGIBILITY CRITERIA 1. Application has been submitted in due time in original and electronic version. 2. Application is complete and includes the requested administrative forms, supporting documents as well as an anonymous project proposal (the list of supporting documents required will be provided in the specific call), all properly filled in according to the instructions (no error messages appear in the document). 3. The content of the proposal relates to the topic(s) set out in the call. 4. The partnership involves at least the minimum number of participants given in the specific call. 5. All partners are eligible (including that solvency of private partners involved is confirmed by the respective Member/Partner State) 6. The budget limits have been respected. 6

187 In case the CU should detect, during the eligibility check phase, one or more of the following omissions in applications received within the deadline given, which would lead to the application being deemed ineligible, the respective Lead Partner will be informed in written by fax and offered a maximum of five working days (counting from the day following the day of receipt of the fax as documented by the transmission report) to correct the omission(s). The correctable omissions are the following: Missing supporting documents as requested in the call. Missing signature and/or missing stamp on a document Correction of discrepancies in the electronic version of the proposal submitted compared to the paper version sent to the MA (CU) by post, which is considered the valid application in legal terms. In the first two cases, the listed missing and/or corrected documents, duly signed and stamped, shall be faxed to the CU (to the fax number that will be indicated in the communication) within five working days (counting from the day following the day of receipt of the fax as documented by the transmission report). Original versions shall in any case be dispatched to the CU by registered mail within the same deadline as indicated above. In case of discrepancies between the electronic and the paper version of the submitted application, the electronic version corresponding to the paper version submitted shall be sent by to the CU (to the address indicated in the communication) within five working days (counting from the day following the day of receipt of the fax as documented by the transmission report). Any document delivered after the deadline given will not be considered. The Lead Applicants of ineligible applications will receive a notification letter specifying the non-fulfilled eligibility criteria. Evaluation criteria In parallel with the eligibility check, the evaluation of all project proposals takes place. The Evaluation Committee will be made up of MC members or experts nominated by the MC, representative(s) of the European Commission and a representative of the relevant Sounding Board, normally a scientist. MC members should be prepared to participate in an Evaluation Committee on a rotating basis. The check of compliance with the evaluation criteria is based on a scoring system and results in a ranking list of all project proposals received. This step in the selection procedure serves to assess the relevance of the proposals regarding the priorities and objectives of the ESPON 2013 Programme and of the specific call to which they respond. It also looks into the impact of each proposed project, i.e. its importance for stakeholders involved in territorial development on EU, national and regional level. The evaluation will be based on three types of selection criteria: 7

188 - Content related criteria, referring to the anonymous scientific part of the proposal; - Management related criteria, and - Partnership related criteria. 8

189 Content Related Criteria 1. Sound concept and quality of the objectives and deliveries (e.g. can the objectives be realistically achieved through the proposed approach and methodology?). 2. Position/innovation in relation to the state-of-the-art in scientific excellence (e.g. do the approach and the results aimed at bring a clear added value compared to other current or past initiatives?). 3. Contribution to advancement of knowledge (e.g. is the project of complementary character to existing research and will not duplicate existing work?). 4. Quality and effectiveness of scientific methodology and associated work plan (e.g. are the components of the work plan logically interlinked?). 5. Contribution to the expected results and impacts of the programme (e.g. how many themes and policies have been deepened and widened within each project compared to ESPON 2006 results?). 6. Appropriateness of measures for the dissemination of project results (e.g. are they conceived in such a way that the adequate target group can be reached?). Management Related Criteria 1. Appropriateness and clarity of the management structure and the plan for project implementation (e.g. is the Lead Partner experienced in project management? Are procedures for decision-making and monitoring transparent? Is the timing for individual work packages and the overall work plan convincing?). 2. Transparency of procedures related to ERDF requirements (e.g. are the required audit procedures, that need to be established, in place and are all project partners aware of them?). 3. Appropriateness of the allocation and justification of the resources (budget and staff) among the different work packages and project partners (e.g. is the break down of budget to partners adequate?). Partnership Related Criteria 1. Quality and relevance of the presented competences/expertise and of the transnational project group as a whole (e.g. do the relevant partners involved, contribute the required knowledge and experience and are their specific fields of expertise taken account of?). 2. Quality and relevance of experience of the individual partners (e.g. does the accumulated academic and professional background of the team enable them to deal with the thematic and methodological challenges of the project?). 9

190 Each criterion will be awarded a score between 0 5. Half marks can be given, too. The scores indicate the following with respect to the criterion under examination: 0 - The proposal fails to address the criterion under examination or cannot be judged due to missing or incomplete information. 1 - Very poor. The criterion is addressed in a cursory and unsatisfactory manner. 2 - Poor. There are serious inherent weaknesses in relation to the criterion in question. 3 - Fair. While the proposal broadly addresses the criterion, there are significant weaknesses that would need correcting. 4 - Good. The proposal addresses the criterion well, although certain improvements are possible. 5 - Excellent. The proposal successfully addresses all relevant aspects of the criterion in question. Any shortcomings are minor. Each group of selection criteria has a total number of points. No weighting will be applied. However each criterion should be scored with a value of at least 3. Proposals that fail to achieve the minimum score will not be further considered in the selection procedure. The Evaluation Committee will convene after the closure of the call. Evaluators will assess and mark the proposals exactly as they are described and presented. The evaluation will follow a two step approach: assessment and scoring of (1) the anonymous content related part and (2) the management and partnership related part. Evaluators will not make assumptions or interpretations about the project in addition to what is in the proposal. Concise and explicit concluding justification will be given for each proposal as well as comments to scores, where relevant for the evaluator. Evaluation forms with no concluding comments will be declared inadmissible. Recommendations for improvements to be discussed as part of a possible contracting will be given, if needed. Once all the members of the Evaluation Committee have completed their individual assessments, the evaluation proceeds to a consensus discussion, supposed to represent the common views and comments of the evaluators. The consensus discussion, which also includes a ranking of proposals, is moderated by the CU who also writes a consensus report containing recommendations for improvements of proposals suggested by the Evaluation Committee. Consensus reports with hand-written corrections of scoring will be declared inadmissible. Provided that several proposals score equally, other factors might as well be taken into account: - A reasonable geographical distribution of project partners. - A reasonable involvement of partners from Member States having entered the EU after 1 January The CU is responsible for a final review of the consensus report for each project specification included in the call. The main objectives of this process are: 10

191 - To review cases where a minority view was recorded in the consensus report; - To recommend a priority order for proposals to the MC on the basis of the consensus report in the case where the Evaluation Committee could not reach a consensus on the best proposal and/or in the case of equal scoring of several proposals that will require the MC to consider the additional factors mentioned above. Taking into account the importance of the TPG s managerial capabilities for the correct project implementation, the Managing Authority (MA) will, through the CU, separately assess the Management Related Criteria of the submitted proposals. Should the result of this separate and independent assessment be different from or add to the one obtained by the Evaluation Committee, the recommendations of the CU to the MC will take this opinion of the MA into account. By signing confidentiality agreements (using no-conflict-of-interest forms) members of the Evaluation Committee guarantee their independence and impartiality during the assessment as well as that the privacy and confidentiality of all proposals will be kept. Declarations of no-conflict-of-interest with negligence mistakes are declared inadmissible. The content of the proposals should not be published or forwarded to persons or institutions which are not directly engaged in the evaluation or decision making. The project idea itself, as well as the description and concept of the project and the structure of the application, remain the property of the project applicant. Decision making As indicated in the previous section, the decisions on approved projects will be made by the MC of the ESPON 2013 Programme, based on the results of the eligibility and evaluation processes. For each theme, the MC will approve the best eligible proposal resulting from the ranking of the content related evaluation (only one proposal will be approved for each of the theme). This decision will be notified to all Lead Applicants soon after the MC decision All the Lead Partners of the approved projects will receive a letter from the MA(CU) stating the decision of the MC as well as the total ERDF, EU Member States and eventually Partner States national funds approved. The MC decision may include certain conditions, recommendations and/or suggestions for improvements. In this case, the process of contracting, managed by the CU, will include a necessary revision/amendment of the project proposal. The result of this procedure will be the basis for concluding a Subsidy Contract. All the Lead Applicants of the non-approved projects will receive a notification letter with a brief explanation related to the assessment results. In case Lead Partners of nonapproved proposals are not satisfied with the decision of the MC, they may put forward an appeal (for more details on the appeal procedure, please refer to chapter 8.12 of the Programme Manual) Contract and duration The proposals that are selected for funding and that fulfil the conditions set by the MC will receive a Subsidy Contract, closed between the MA and the respective Lead Partner of the project. The Subsidy Contract shall determine the rights and responsibilities of the 11

192 Lead Partner and the MA, the scope of activities to be carried out, terms of funding, requirements for reporting and financial controls, etc. A model of the Subsidy Contract is available on the Programme website ( Budget TPGs conducting an applied research project will be granted a subsidy covering 100% of the real eligible costs incurred for carrying out the project approved. Funding will be made available by the ERDF, the national co-financing will be ensured by EU Member States at programme level and, eventually, by Partner States. Each call will indicate the maximum budget available related to individual project specifications included in the call. 2.2 Knowledge Support System Within the framework of Priority 1 of the ESPON 2013 Programme, a Knowledge Support System (KSS) will be set up to make sure that projects of applied territorial research will have a sound scientific base and meet a sufficient degree of scientific quality. The KSS will be implemented as a project led by the Managing Authority. The KSS will materialise in several independently operating Sounding Boards, each of which will be responsible for one research project under Priority Composition and role of the Sounding Board in Priority 1 actions A Sounding Board will be made up of two experts, ideally one scientist and one practitioner, both experienced in the respective thematic field of research. This composition shall ensure that both, a high scientific quality as well as the user perspective of practitioners will be catered for. Experts in a Sounding Board will play an advisory role, providing continuous feedback and guidance to the transnational project group (TPG). By doing that, the Sounding Board ensures that projects pursue the approach outlined in the Inception report, and that eventually the expectations underlying the call for proposals will be met. In order to make best use of the expertise of the Sounding Board from an early stage on, one representative should be involved in the evaluation of project proposals. The CU will make a proposal to the MC on who of the two Sounding Board members should be in the Evaluation Committee. Since an important aspect of the evaluation is to assess the scientific quality of the proposed research approaches, it would normally be the more scientific member of the Sounding Board taking part in the Evaluation Committee. Sounding Boards will closely follow the progress made by the TPGs and their work will be coordinated by the CU. The main activities of the project Sounding Boards are: 1. Assessing the project proposals, 2. Giving advice to TPGs, 3. Assessing the results of the applied research projects. 12

193 2.2.2 Expertise needed Experts (i.e. scientists and/or practitioners) taking part in a Sounding Board must have a verifiable sufficient professional experience in a specific field of applied territorial research of the ESPON 2013 Programme. They shall prove their competence by their CV, stating the different stages of their professional career and the main issues they have been dealing with, either in the form of applied research projects being involved in or in the form of research conducted and courses of higher education taught. If applicable, they should add a list of relevant publications they wrote or contributed to. As mentioned above, the ideal Sounding Board will consist of one scientist from within the field of research addressed by a particular project and one practitioner. While the scientist would concentrate on providing feedback on e.g. research approach, methodologies, etc., the practitioner would focus on keeping a close link between the research going on and the applicability of its results in practice. Against this background, scientists taking part in a Sounding Board need to demonstrate the following expertise: - Research experience within the precise thematic scope of the project, including insight in relevant territorial structures and territorial trends in the EU 27, candidate and neighbouring countries; - Research knowledge and expertise in European territorial development, EU Cohesion Policy, as well as all relevant Community policies; - Profound knowledge of the results of the ESPON 2006 Programme; - Sound analytical skills and competence in assessing outcomes of research; - Experience of working in a multidisciplinary team in a transnational setting. Practitioners, however, should have a comprehensive overview of the information need of stakeholders in the particular field of research to continuously feed that into the project. Acquaintance with the ESPON 2006 Programme and its results would be an additional benefit. All experts participating in the KSS have to demonstrate very good oral and written communication skills in English, especially regarding text drafting. They should also be prepared to work with deadlines, give advice to project partners, and be easily reached by phone and . Finally, potential experts should be familiar with the ESPON 2013 Programme, its objectives, priorities and structure Tasks and outputs expected from Sounding Boards Sounding Boards are expected to be active in specific moments of the project life cycle, as outlined below, and to produce the following outputs: 1. Assessment of content and partnership in submitted project proposals In order to achieve a high quality level of projects, one of the two Sounding Board experts will be involved in the evaluation of submitted project proposals. The expert will be expected to present strengths and weaknesses regarding the content of the proposals as well as the partnership behind, in relation to the evaluation criteria. 13

194 2. Meetings with TPG Sounding Boards are expected to meet with the TPG at specific moments of the project life cycle. In principle, Sounding Boards and TPGs are expected to meet and discuss: a) Following the submission of the Inception Report; b) Following the submission of the Draft Final Report. The meetings should serve the purpose of discussing and clarifying the project reports and results. The exact number of meetings will depend on the project s duration and consequently on the number of reports to be delivered. To make sure that the advice of the Sounding Board can be taken into account by the TPG it will be included, together with comments from the MC, in a CU response to the TPG on the respective report. 3. Commenting project reports Experts will be asked to give comments in written on the Interim, the Draft Final and Final reports. The exact number of assessments will depend on the number of reports delivered. Comments on reports will be directed to the CU who will compile all comments received, i.e. from the MC, from ECPs, and forward them to the TPG. 4. Assessment of Final report At the end of the project life cycle, Sounding Boards will be asked to assess the final report submitted by the respective TPG. The following table gives an overview of the indicative involvement of the Sounding Board at the different stages of project development: Working days required Evolution of project Involvement of (in total for both SBmembers) Sounding Board Yes assessment (one SB Project proposals 1 member) Inception report Yes - commenting 2 Meeting TPG - Sounding Board Yes 2 Interim report 3 Yes commenting 2 Draft Final report Yes commenting 2 Meeting TPG - Sounding Board Yes 2 Final report Yes assessment Normally, only one interim report is foreseen per project. 14

195 2.2.4 Application procedure Experts with a specific thematic background will be selected through a call for expression of interest procedure. However, in case of not receiving enough qualified applications, the MC might take a decision on nominating external experts. Obviously, that kind of decision should be properly justified and the selection be made transparent for audit purposes. Therefore, a scoring procedure will be applied. Only candidates achieving a minimum of 60% of the total score and at least 50% in each of the three evaluation criteria can be considered as qualified enough to be an expert in the ESPON KSS. It is expected that a call for expression of experts interest will be launched once every 2-3 years. A list of the specific themes and territorial issues that are relevant within the ESPON 2013 Programme will be included in the call for interest to indicate the expertise needed. The call for interest will be published via the ESPON website, the ESPON newsletter and the Official Journal of the European Commission, C Series. At the same time, the Member and Partner States participating in the ESPON 2013 Programme will be informed about the call so that the information can be nationally disseminated. An application pack will be made available by the CU via the ESPON website. The calls for expression of interest will normally be opened at least 2 months prior to the launch of a call for project proposals, so respective Sounding Boards will be up and running by the time submitted project proposals will need to be selected. Calls for expression of interest by experts will be kept open for two months (40-45 working days). Experts interested in being member of a Sounding Board will be asked to send their application form, their CV and any relevant supporting documents to the CU, both by and in hard copies (one original and one copy). Automatic registration of applications will be ensured. Experts who will have successfully passed the selection procedure will be included in a database, hosted and maintained by the CU. The exact expertise gathered in the database as well as the availability of experts at the time needed will also influence the frequency and the total number of calls for experts interest. Experts for Sounding Boards will be selected in two steps: Firstly, a pre-selection of experts will be made by the CU (MC) from the pool of experts established via calls for expression of interest. The pre-selected experts will be informed about the timing of the relevant evaluation session. Secondly, following the closure of the subsequent call for proposals for applied research projects, the ESPON CU will check submitted proposals for potential conflict of interest with regard to an affiliation of the pre-selected experts to partners behind project proposals. Thereafter, the composition of Sounding Boards will be confirmed by nominating the respective experts and proceeding their contracting. Applicants for the ESPON KSS should be aware that their participation in a Sounding Board will routinely be deemed impossible if they are legally employed by an institution involved in a proposal submitted for the project that they should follow. During evaluations of proposals for applied research projects, all selected experts will be asked to sign declarations of no-conflict-of-interest. 15

196 2.2.5 Selection procedure The selection procedure starts immediately after the deadline set for submitting expressions of interest. It consists of two distinct assessment parts, an eligibility check and an evaluation, and will be concluded with a ranking list of experts that is forwarded to the MC which takes the final decision. Eligibility criteria The check of the eligibility criteria will be documented by ticking boxes of yes and no, depending on whether the respective evidence has been provided or not. Each expression of interest to be evaluated has to fulfil the following criteria: ELIGIBILITY CRITERIA 1. Expression of interest has been submitted in due time in original and electronic version. 2. Expression of interest is complete and includes the requested administrative forms, as well as supporting documents, fully and properly filled in according to the instructions (no error messages appear in the document), 3. The content of the expression of interest relates to the themes and territorial issues set out in the ESPON 2013 Programme, Annex V Applicants fulfil the eligibility criteria specified in the call for interest. In case the CU should detect, during the eligibility check phase, one or more of the following omissions in applications received within the deadline given, which would lead to the application being deemed ineligible, the respective applicant will be informed in written by fax (in case of non-availability of a fax by registered mail) and offered a maximum of five working days (counting from the day following the day of receipt of the fax as documented by the transmission report respectively the day following the day of receipt of the registered mail) to correct the omission(s). The correctable omissions are the following: Missing supporting documents as requested in the call. Missing signature and/or missing stamp (if available) on a document and/or failure in not using the official letter paper of the applicant (if applicable). Correction of discrepancies in the electronic version of the proposal submitted compared to the paper version sent to the MA (CU) by post, which is considered the valid application in legal terms. In the first two cases, the listed missing and/or corrected documents, duly signed and stamped (if applicable), shall be faxed (in case of non-availability of a fax sent by registered mail) to the CU (to the fax number respectively the postal address that will be 16

197 indicated in the communication) within five working days (counting from the day following the day of receipt of the fax as documented by the transmission report). Original versions shall in any case be dispatched to the CU by registered mail within the same deadline as indicated above. In case of discrepancies between the electronic and the paper version of the submitted application, the electronic version corresponding to the paper version submitted shall be sent by to the CU (to the address indicated in the communication) within five working days (counting from the day following the day of receipt of the fax as documented by the transmission report). Any document delivered after the deadline given will not be considered. Evaluation criteria The second phase of the assessment starts normally following the decision of the MC on the eligibility outcome. This second step in the selection procedure serves to assess the relevance and quality of the expressions of interest regarding the specific call to which they respond. The evaluation is based on a scoring system and results in a ranking list of the applications submitted. Evaluation Criteria 1. Excellence in research/research management or in policy development and/or implementation (e.g. number of years of professional experience in territorial development/planning as researcher, consultant or practitioner).* 2. International project experience (e.g. number and scale of transnational (research) projects the applicant was involved in).* 3. Expertise in the specific thematic field the applicant expresses his/her interest for (e.g. number of publications in the field, number of years of practical experience in the theme). Each criterion will be awarded a score between 0 5. Half marks can be given, too. The scores indicate the following with respect to the criterion under examination: 0 - The proposal fails to address the criterion under examination or cannot be judged due to missing or incomplete information. 1 - Very poor. The criterion is addressed in a cursory and unsatisfactory manner. 2 - Poor. There are serious inherent weaknesses in relation to the criterion in question. 3 - Fair. While the proposal broadly addresses the criterion, there are significant weaknesses that would need correcting. 4 - Good. The proposal addresses the criterion well, although certain improvements are possible. 17

198 5 - Excellent. The proposal successfully addresses all relevant aspects of the criterion in question. Any shortcomings are minor. The first two evaluation criteria (marked with *) should be scored with a value of at least 3. Expressions of interest that fail to achieve the minimum score for these two criteria will not be further considered in the selection procedure. Regarding the third evaluation criterion, a score below 3 in one or more thematic fields selected by the applicant can be accepted if there is at least one thematic field for which the applicant receives the minimum score of 3. Those thematic fields for which an applicant would receive a score below 3 would not be considered as fields of expertise of the applicant. Therefore, the applicant would, upon approval of the MC, only be recorded in the KSS database for the thematic fields in which she/he would have received the minimum score of 3. The expressions of interest will be marked and assessed exactly as they are described and presented. No assumptions or interpretations will be made in addition to what is in the application. Concise but explicit justification will be given for each score. Evaluation forms with no concluding comments will be declared inadmissible. Equally, evaluation forms carrying handwritten corrections of scoring are declared inadmissible if they are not accompanied by handwritten initials. The assessment will be prepared for the MC by the CU. Once the CU will have completed the individual assessment, the evaluation proceeds to a consensus stage, representing the common views of those having taken part in the assessment of applications. In this framework, the CU will also propose ideal combinations of experts for Sounding Boards, taking into account their theoretical and practical background as well as geographical balance. A consensus report covering both, a ranking list of individual experts as well as a suggestion for specific Sounding Boards will be produced and forwarded to the MC for their selection of experts. Consensus reports with handwritten corrections of scoring will be declared inadmissible. Provided that two or more experts score equally in the same theme, other factors might as well be taken into account: - A reasonable geographical distribution of experts. - A reasonable involvement of experts from Member States having entered the EU after 1 st of January The content of the expressions of interest should not be published or forwarded to persons or institutions which are not directly engaged in the evaluation or decision making. Decision making Based on the consensus report provided by the CU, the MC will select the best combination of experts for Sounding Boards related to applied research projects. Besides, the MC will indicate experts who will be involved in the evaluation of project proposals. The MC will also approve a reserve list of experts who might be contracted in case of any problem of signing the contracts with originally elected experts. The decision of the MC will be notified to all applicants having submitted an expression of interest soon after the MC meeting. 18

199 Those experts, who will have passed the evaluation but will not immediately be selected to participate in a specific Sounding Board, will be recorded in a database by the CU. Once experts are recorded in this database for potential Sounding Board members they will remain there until the end of the programming period, unless they ask for deletion Contract and duration The MA will conclude individual service contracts with each of the selected experts. Contracts between experts and the MA will outline the obligations of experts as well as their relations to the TPG and the CU. The contract will be valid throughout the lifetime of the applied research project, for some experts also covering the project selection procedure. Experts contract duration will depend on the particular project the expert is responsible for Budget The total contracted sum will depend on the number of expected working days (depending on the length of the applied research project the Sounding Board is going to advice) and the number of outputs that are going to be requested. In any case, the contracted sum would be limited to 750 per working day all taxes included. Furthermore, costs incurred for travelling and accommodation in relation to Sounding Board tasks will be reimbursed by the CU according to the travel reimbursement rules that will be communicated to the experts. However, subsistence costs must not exceed the usual thresholds set by the ESPON 2013 Programme. Travel reimbursement rules and thresholds are available on the ESPON website ( Payments (interim and final) to the experts will be made upon submission of the relevant invoice accompanied by a short activity report listing the tasks accomplished, the meetings attended and copies of comments/assessments/deliveries provided to the CU during the relevant period covered by the invoice. Payments will be released within 45 days from the approval of the activities and relevant deliveries by the MA of the ESPON 2013 Programme. 19

200 The ESPON 2013 Programme APLICATION PACK Priority 2 for researchers Project specifications How to apply Call for Proposals for Targeted Analyses (2 Projects)

201 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Targeted Analysis Based on User Demand 2013/2/5 Potential of Rural Regions (PURR) ( ) (o) Targeted analyses within the ESPON 2013 Programme The ESPON 2006 Programme provided integrated analysis and long-term spatial scenarios which enriched the European policy debate and knowledge base. Tying in with the achievements of the previous programme period, the ESPON 2013 Programme continues conducting applied research on European territorial development, competitiveness and cohesion. At the same time, a new type of projects is carried out in the form of targeted analyses based on specific demands expressed by stakeholders and making use of existing ESPON results. The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success in the development of regions. Crossthematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective on development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be undertaken to develop current achievements and make use of existing indicators, data and tools. 1

202 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will make the evidence and knowledge already developed operational through raising awareness and involving stakeholders in the results and practical application of them. Targeted analyses under Priority 2 enable stakeholders to obtain customised and up-todate information on their particular territorial context and opportunities for development which can be used for policy development. Given the targeted focus of these projects on specific territorial entities, targeted analyses will contribute to the use of ESPON results in practise and to the involvement of policy makers, practitioners and scientists in a joint synergetic process. (i) General objectives of targeted analyses under Priority 2 The general objectives of targeted analyses within the ESPON 2013 Programme are the following: Provision of evidence and knowledge based on ESPON results on the strengths and weaknesses of individual regions and/or larger territories seen from a European perspective, or a global context, giving European regions the option to compare themselves to other regions and hereby finding competitive advantages for development and cooperation. Improvement of the usefulness of ESPON results by testing new, experimental and innovative options such as (1) analysis of themes of interest for groups of regions, partly based on case studies, (2) methodological frameworks for translating territorial development goals and policy aims into concrete actions and (3) technical, methodological and analytical support to territorial planning processes and spatial programming and visions. Provision of analytical support and evidence based on ESPON results on thematic priorities in cooperation with other Structural Funds Programmes. The aim is to carry through targeted analyses in partnership with policy makers and/or practitioners showing an interest in gaining awareness of European evidence, information, experience and/or knowledge on common challenges related to their territorial and/or urban development. The individual targeted analysis shall support better informed policy decisions by: Integrating ESPON findings with more detailed information and practical know-how, either from a territorial part of Europe or from a sector authority. Contributing to a sound knowledge of territorial development perspectives/trends through new understanding of future development potentials and challenges for the respective territorial and/or urban development. 2

203 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 This project shall contribute to these objectives during its implementation by ensuring a close cooperation and partnership with the stakeholders who expressed their need for this targeted analysis. (ii) Types of Action under Priority 2 Projects under Priority 2 can have different foci and accordingly vary in their content. In order to have a clear distinction between the various possible project orientations, each project needs to be clearly allocated to one of the following types of action: 1) Integrated studies and thematic analysis This type of action is foreseen to follow a traditional analytical approach using existing results of ESPON applied research and other studies. The analysis can integrate several themes relevant for certain types of territories, regions and/or cities or they can be less comprehensive in the approach by focusing on one or a few themes. The main objectives are: a) To provide added value for territorial development of specific types of territories 1 by offering new comparative insight and understanding on territorial potentials and challenges from a European perspective; b) To ensure that other (similar) types of territories/regions can benefit from the output of the analysis. 2) Knowledge support to experimental and innovative actions This type of action clearly allows for the implementation of projects that differ from the mainstream of the ESPON 2013 Programme by being more experimental and/or innovative in character. It is in a way a laboratory for developing ways of meeting main territorial challenges that Europe is confronted with. The objectives are: a) To support experimental and innovative actions carried through in partnership with stakeholders with European knowledge on territorial structures, trends, perspectives and policy impact; b) To provide methodological support to experiments and innovative efforts. 3) Joint actions related to other Structural Funds Programmes The joint actions related to other Structural Funds Programmes take a geographical starting point in the area covered by these programmes, be it transnational, crossborder, interregional, regional or urban territories. The content of these actions can be 1 Types of territories codified for the territorial dimension, include urban, rural-mountains, rural-islands, rural-area (sparsely and very sparsely populated), rural-other, former external border, area dependant on fisheries, outermost regions, transnational cooperation areas, cross-border cooperation areas and interregional cooperation areas (as listed in the ESPON 2013 Programme, p. 9). 3

204 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 integrated and thematic analyses or they can be experimental and innovate of nature (as described above). A main prerequisite is that they are justified by supporting Structural Funds Programme implementation. The objectives are: a) To provide information and analyses on the European position of these areas, their comparability with other similar areas, and their potentials and challenges, useful for Structural Funds Programmes (regional, cross-border, transnational, interregional and urban); b) To provide methodological support for strategic processes, including visions and scenarios for spatial development and planning. Independent of the type of action, each project should have a European perspective (i.e. supporting the understanding of the wider European context), a clear transferable character and a concrete implementation part, focusing on specific territories. The analytical approach can provide integrated, cross-thematic analyses, study individual themes or sectors, or focus on a specific type of territories. At any rate, ESPON findings shall be integrated and supplemented with more detailed information and practical knowhow, either from a territorial part of Europe or from a sector authority. Analysis can include/be based on case studies. The geographical coverage will normally have a more limited territorial coverage than the entire European territory. This project belongs to the second type of action taking an experimental and innovative approach. Thus the challenge is to imagine and test new ways of doing territorial analysis that meets the needs of practitioners from different parts of Europe. (iii) Scope and rationale of the targeted analysis ESPON has identified demographic and economic change in peripheral rural regions as an issue of European concern. The ESPON Scenarios project 3.2 showed that a range of external influences will have an impact on these regions, and that innovative actions would be needed. The innovative approaches towards territorial development of such regions are key issues for achieving territorial cohesion. The aim of the proposed study is to create and test new ways to explore the territorial potentials of some rural areas and small and medium-sized towns in peripheral parts of Europe around the North Sea, the Irish Sea and the Baltic Sea. These places face problems such as ageing, migration, poor accessibility, restructuring of traditional industries and are further threatened by rising energy costs. However, they also possess some territorial assets related to their natural and cultural heritage and in the sense of identity that many have. The analysis will use ESPON results to benchmark the stakeholder regions in their European context and will develop and apply methodologies for identifying and realising territorial potentials in these places. 4

205 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 Main characteristics of the territory to be addressed The analysis will deal with Notodden (NO), Cēsis (LV), North Yorkshire (UK), the Cambrian mountains of Wales (UK) and Dumfries and Galloway (UK). These are rural regions that are all outside the Pentagon, regions that are peripheral and sparsely populated and generally have rather poor accessibility. These regions also face problems of ageing and out-migration of young people. Some of these regions and small towns have co-operated in transnational networks to tackle common problems. Although there are shared challenges, there is also some diversity amongst these regions. The five partner regions that provide the focus for study in the PURR targeted analysis are all places where the urban influence is relatively weak, though there are parts of rural Wales and North Yorkshire that are attractive to commuters to large urban areas. Typically the partner regions are places with market towns serving an agricultural hinterland, and so the relation between these towns and their countryside is important. Within each region there are variations in accessibility, with extensive areas not connected to major road or rail networks. An outline of each region that is a partner in this project is provided below: Notodden municipality and town are situated in Telemark County in the heart of south eastern Norway, 110 kilometres from the capital Oslo. About 400 people commute into Notodden and more or less the same number commutes out, mainly to Kongsberg. The waterways from Hardangervidda, Norway s mountain plateau run through Notodden. They were an important energy source and infrastructure during the industrialisation of Norway. The international company Norsk Hydro was established in Notodden in In addition the municipality also had a ferro-silisium plant run by Tinfos AS. Both industrial companies shut down their activity in Notodden in the late 1980s, which resulted in more than 1000 people being without work. Apart from the lakes and the rivers that produce waterpower, the landscape is characterised by forests and agriculture. The municipality is today best known as The Norwegian Blues Capital and the municipality where the medieval Heddal stave church is situated. The town has a big industrial park with a multitude of SMEs, and a big waterfront area that needs to be further developed. Telemark County covers a total area of km², and people are currently living in the County. Notodden municipality covers 918,9 km 2 and has a current population of , more than of them living in the town. Some indicator values for Nottoden are: Unemployment rate: 2.2% Labour force: 67% of total Incapacitated rate in population: 16,4% Non-western immigrants: 2.9% 5

206 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 More than 70% of the labour force is engaged in service industries of some kind. The biggest sectors are health care and education. Only 2.6% of the labour force is engaged in agriculture. Cēsis District lies in the historical Vidzeme Region, 90 km northeast of Latvia s capital city of Riga, and is surrounded by Gauja National Park. The total area of Cēsis District is km² and it is the third largest District in Latvia it comprises 4.8% of all of Latvia. Forests cover 48% of the District and 34.2% of the area is used for agriculture. Because of its rich historical and cultural background, the Cēsis District is a natural tourist destination. There are inhabitants in the District with of them in Cēsis town. 85% of the district`s inhabitants are Latvian, and the other approximately 15% are Russian, Belarussian, Ukranian and Polish. The unemployment rate in the district is between %, though in the town of Cēsis it is 3.8%. 2 Agriculture continues to be a strong factor in the region s economy with 20% of the region s population being employed in this sector. The region benefits from the successful development of the following industries: Wood-working (timber) industry, furniture industry Brick and tile industry Printing industry Construction industry Food producing industry The Cēsis District is dominated by the service and retail industries. These companies are generally small and employ between 5-20 employees. Examples include shops, cafes, restaurants, hotels, salons, and guest houses. North Yorkshire County Council is home to around people who are spread across a land area of km² (England s largest county), giving an average density of 74 per km². The county includes two large settlements the holiday resort of Scarborough (49.400) and the spa town of Harrogate (73.700). However, the largest town, York ( ), though surrounded by the county, is not administratively a part of it. There are some other large settlements on the edge of the county: Middlesborough to the north, and Leeds and Bradford to the south-west, to which there is commuting from the county. There are 7 Districts within the county these are the equivalents of municipality / commune level of administration. The UK s main East Coast (north-south) railway passes through North Yorkshire, and York is a major interchange for east-west connections. In addition, there is a major national north-south road (the A1), though areas outside this corridor have much less accessibility. There are several special nature areas or protected landscapes in North Yorkshire. 2 Figures from 01/03/2007 6

207 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 Wales is predominantly rural (using the OECD definition), though there are some large towns in the south: Cardiff, Newport and Swansea. The gross value added (GVA) per head was at 79% of the UK average over the period There have been large gross inflows and outflows of population leading to a small net migration figure of 1% but there has been a 5% outflow in the age category which is affecting the age profile of rural Wales. At best, average earnings in rural Wales are only 94% of the UK figure in Some 72% of people in rural Wales are employed, and the unemployment rate is 3.9%. Some farmers, in receipt of the CAP Single Payment, are dependent on making an economic living from 1.6m hectares of agricultural land. Overall employment directly associated with agriculture is estimated at Average farm size is some hectares, relatively small compared to the rest of the UK, and dominated by family run farm enterprises. There are a significant number of farmers who cannot rely on farming as their sole income source. The management of woodland provides jobs in the harvesting and processing of timber and in the growing sporting, leisure and tourism sectors. Wales is characterised by its mountain ranges with more than half of the km 2 land area above 200m and much over 600m. Much of the land area comprises habitats and species of particular wildlife value; this is illustrated by the fact that some 70% of its coastal environment has been designated at a European level. The Cambrian Mountains, the case study area for the PURR project, are probably the most deeply rural part of Wales. The peaks rise to 700m and most of the Welsh rivers originate here. There is excellent scenery and some small historic towns such as Llandrindod Wells and Builth Wells (both former spa towns). However, communications are not good and the range of rural challenges that Wales faces can be observed here. Dumfries and Galloway is in the south-west of Scotland, with the Irish Sea on its west coast and the Solway Firth on its southern coast. Inland the area consists of hills, lochs and valleys and small towns. The population is roughly but this is spread over a wide area of km 2. The overall population density is around 23 persons per km 2. The largest town is Dumfries ( inhabitants), which is the regional centre and where there are some growth pressures. The small town of Gretna is the gateway to Scotland from the north-west of England. Stranraer ( inhabitants) is the main centre in the west, and the main port, with important freight and passenger connections to Northern Ireland and Ireland. There are 5 harbours along the 320km coastline. From Stranraer a major road route (A75) runs east to connect to the main UK motorway network. The main west coast UK railway runs through the east of Dumfries and Galloway and serves the town of Lockerbie. There are also railway connections to Glasgow through the west of the region. Economically the area remains very dependent on a few key industries. Agriculture and forestry remain important along with light industries and tourism. Unemployment is highest in the west and north, and lowest in the south-east which has better accessibility. The small towns and villages are the focus for services of general needs but these are 7

208 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 under pressure from commercialisation and rationalisation. However, the quality of the natural and built environment is one of Dumfries and Galloway s greatest assets and is the basis for tourism and a key element in quality of life for residents. There are several nature reserves. Dumfries and Galloway is a unitary local authority, responsible for the full range of local government services. Although the last three regions are all situated within the United Kingdom, the UK government has devolved substantial powers over issues affecting rural development to elected parliaments in Scotland and Wales and Northern Ireland. Thus North Yorkshire (in England), the Welsh Assembly Government (of Wales) and Dumfries and Galloway (in Scotland), are all under different national systems of government. Thematic scope for the targeted analysis Rural areas cover up to 90% of the EU s territory depending on the definition used. However, as ESPON research has shown, there is great diversity amongst these rural regions. In particular a distinction can be made between areas that have strong urban influence and those which have weak urban influence. The former typically face development pressures linked to commuting and opportunities linked to dispersal of economic and recreational activities, whereas the latter mainly face challenges of retaining people (especially young people) and jobs, in a post-production countryside following the restructuring of agriculture. However, beyond these generalisations, each region is unique, with its own specific assets, environment, communications, services of general needs and urban-rural relations. The EU s Territorial Agenda stresses the connection of territorial cohesion to regional identities, potentials and diverse characteristics. This message is especially important in relation to regions such as those in this project, which are outside the core at both European and national scales. How can the base of evidence and territorial analysis in ESPON help regions such as these to develop and implement development policies that can contribute to cohesion within the region and between the region and the rest of the nation and EU? The answer to this question is intimately linked to territorial governance in a number of ways. For example, in rural areas there is an endemic tension between the economies of scale that can be expected through large territorial units of government covering an extensive area and the sense of local ownership, democracy and accountability that comes from small units. There is also the issue of policy integration (and policy vehicles to deliver it, such as integrated rural development strategies) both horizontally but also vertically between EU, national and local levels. The diversity of the partners to this project allows these issues to be explored within it. Thus the Welsh Assembly Government is effectively a national level, with rural 8

209 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 development policies across its territory. Cēsis and Notodden, on the other hand, are as towns quite small territorial units, but they are also parts of larger administrative units, which like Dumfries and Galloway along with North Yorkshire are sub-national authorities that encompass both towns and an extensive countryside. How do these different arrangements influence territorial potential and what lessons can be learned and applied? Furthermore, how do the different partners work with the private sector, and how can such partnerships help to build territorial cohesion? The central focus of this project is to develop innovative approaches to identify and exploit rural potential. The project seeks to connect research already undertaken or being undertaken within ESPON on the specific features of the regions that are partners in the proposal. In this respect it is like a laboratory for developing ways of meeting crucial territorial challenges, namely how to make the concept of territorial potential operational, and demonstrate its use in practical terms in ways that meet the demands of users. Thus the project aims to produce: A benchmarking of each of the five partner regions in their European context in relation to their current development; Innovative methods that are applied to explore the territorial potential of these five regions, and that can be used by these partner regions, and by similar regions across Europe, as part of their territorial development work; A review of the territorial development policy options for each of the regions, based on the application of the innovative methods to explore territorial potential; Insights from practitioners and policy-makers that can add value to existing ESPON knowledge and to innovative results of the PURR targeted analysis, especially in relation to rural regions and small and medium-sized towns; A suggestion on how research and applications of the idea of territorial potential in rural regions can be taken forward after the project is ended. Objective of the targeted analysis The objectives of the PURR targeted analysis are as follows: To perform a cross-thematic review of relevant ESPON findings in relation to each of the partner regions, so as to benchmark each of the regions in a European context, based on their existing development and assets. To liaise with each partner region so as to collect further, more detailed information relevant to their territorial potential, including more detailed information on territorial assets, governance and policy integration. To develop one or more innovative methodologies to assess territorial potential and to test the methodology/methodologies in an experimental way by applying it/them to each of the five partner regions. 9

210 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 Based on the benchmarking and on the assessment of territorial potential, to develop a set of policy options for sustainable territorial development of each of the partner regions. To explain how methodologies for assessing territorial potential might be developed and applied in other parts of Europe. Thus the main feature of the targeted analysis is that it is experimental and seeking to build and test an innovative methodology to assist in the development of territorial policies for rural regions across Europe. This might include a combination of datasets and indicators, mapping tools, but it should also look for scope for synergies between sectors in a region and for integration of policy, both within the region, but also with national and EU policies. For example, the Common Agricultural Policy is important to the four regions that are in EU member states, and Pillar 2, which focuses on rural development, opens opportunities for development within these regions. However, this is only indicative as the actual development of the methodology would be a central task for the TPG in dialogue with the stakeholders. The project would also generate a PURR dataset within the ESPON 2013 database. This dataset would be created initially from ESPON data but then be complemented by finer-grained data, which would in part be contributed by the stakeholders. ESPON is seeking to develop a procedure in order to generalise it to other types of territory. The process of developing the dataset with stakeholder involvement should be structured so as to create discussion amongst the stakeholders about European comparisons in respect of their towns and regions, including comparisons of the data available to them for developing territorial policy and the use they currently make of such data. The TPG will be assisted in this process by a contact person from each partner, who will be the point of entry to the information and personnel within the partner authority. The first task is to draw together the relevant findings from previous ESPON projects about the regions in this project, and to make some comparative analysis of them, so as to benchmark each of the partner regions. This would include e.g. the ESPON projects on Demography, Accessibility, Urban-Rural Relations, SMESTOs, the Scenarios project, those on Cultural and Natural Heritage, and some of those looking at EU sector policies. This would enable the stakeholders to gain a clearer and comparative base of information about the challenges and opportunities that they face in a European context. There will also need to be dialogue with the currently running ESPON projects of applied research on Rural Areas Development, Demography, Climate Change and Energy Prices, to draw data from those into the PURR project. This data will be a basis for discussion with the stakeholders. However, this ESPON data will only be down to NUTS 3 level, and so a key area of dialogue between the TPG and the stakeholders would be about further data needs. The data and benchmarking of the European context needs to be complemented by data of local detail. The stakeholders will provide the existing data they hold that would assist this stage of the work. This will be in English for the UK partners, but in Norwegian for Notodden and Latvian for Cesis. The Norwegian and Latvian partners are both small rural authorities and, while their Contact 10

211 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 Persons will have good English language skills, they do not have the staff capacity to provide translation of documents or interviews. This should be kept in mind during the process of TPG formation. The Contact Persons will assist the TPG, e.g. by arranging local interviews, but will not be expected to undertake original data collection and translation for the TPG. One of the benefits of the project will be to compare the availability and use of data among the partners. This could highlight the scope for the partners to use common key indicators and to understand their region in the context of typologies. At this stage it is anticipated that these additional data needs from the regions would mainly be about: Local demographic mapping down to LA2 scale; Inventories of cultural and environmental assets; Public services meeting general needs; Further probing of accessibility measures and measures of connectivity with a particular emphasis on the role of small towns and urban-rural relations. Governance is a critical factor in rural development. Not only are governance processes a fundamental aspect of the analysis of territorial potential, governance is crucial for the application and use of the findings from the project. Thus governance needs to be addressed throughout the project, not least when reviewing policy options for each of the partners in the light of the assessment of territorial potential. It will be important to explore what kind of government relations (e.g. between tiers of government and/or between adjoining territorial units) can best support strategies to make effective use of territorial potentials. In order to address the specific user demand behind this project, careful thought needs to be given to developing policy options for each partner region that reflect its territorial potential and governance context. Key general questions for the analysis are the following: How decentralised are the systems of government and does this influence matters like service provision and local capacity? How do the local government structures of partners in the stakeholder consortium affect the potential for urban-rural partnerships? How can forms of co-operation - through urban-rural partnerships, national/regional policy instruments, and transnational networking, for example - enable rural regions across Europe to better realise their territorial potentials? (iv) Implementation methodology and project governance Partnership in the project implementation is vital in order to achieve useful results. This applies to both, the partnership between the ESPON Programme and stakeholders, as well as between the team of researchers (TPG) and the stakeholder representatives. 11

212 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 Stakeholder involvement is essential throughout the project s life-cycle and has started off with the definition and development of the specific theme for the targeted analysis. During the implementation phase of the targeted analysis, stakeholders play an active role by providing and giving access to information relevant for the project, as well as by steering and guiding the work of the TPG. The Lead Stakeholder will be Notodden Municipality, Norway. It will be represented by Bjørn Frode Moen, International Adviser. The other four partners will each nominate a Contact Person for the project. These five representatives of the partners will form a Steering Group that will also include the ESPON Coordination Unit (CU) that on behalf of the ESPON Monitoring Committee bears the contractual responsibility for the PURR targeted analysis. The Steering Group will link the stakeholder consortium, the ESPON CU and the TPG and be the basis for formal responses from the stakeholders and ESPON to the outputs from the TPG. The Steering Group will thus liaise with the TPG at all stages of the project. It is the intention of the stakeholders to invite other agencies or administrations or networks to provide observers or corresponding members to the Steering Group. In particular this is seen as a means to provide additionality and to enhance dissemination. For example, a small Polish town in a rural region, Suwalki, has expressed interest in being closely associated with the project and kept informed of the progress. Suwalki is a member of the Innovation Circle network in the Baltic Sea, along with Notodden and Cēsis. Similarly, networks of rural authorities in the UK are keen to take part in dissemination. As well as representing their authority on the Steering Group and being the direct point of contact between the TPG and their authority, each Contact Person will also be expected to liaise with the respective national/regional governments and rural development networks in their country so as to advance the project and develop means of wider national dissemination. The stakeholders will ensure that their Contact Person is well-briefed about the project and its importance. The Contact Person will facilitate access to information held by the stakeholders, and will assist in setting up such interviews with staff in the stakeholders organisation as the TPG may need. Each partner will send the Contact Person to a Kickoff meeting with the successful TPG, to scope the research and build contacts. Similarly, each Contact Person will focus the attention of key policy-makers from her/his authority and other relevant administrations on the findings and policy options from the project, so as to facilitate use of the findings and practical application of results. The Lead Stakeholder s Contact Person will be involved in the evaluation of project proposals and will oversee the working of the Steering Group. Furthermore, the Lead Stakeholder will attend ESPON seminars and workshops where this project features. The Lead Stakeholder and also Cēsis District Council will share findings with their partners in their proposed Baltic Sea Region INTERREG project Trans-in-form that was submitted in January 2009 (if that gets approved). 12

213 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 After the Final Report will have been produced, each of the partners will hold a local event to which they will invite policy-makers (e.g. local mayors or other political leaders) and officials from their own council and others in their region, along with practitioners in other relevant local/regional agencies. This event will aim to raise awareness of the findings amongst those participating, and provide a basis for building future action within the region. Dissemination is also planned through the partners websites as well as through the ESPON website. The partners to the proposal will also work through their various networks and through devolved administrations in the UK to ensure wider dissemination of the PURR methodology. They will target press releases at local and professional media. Summaries of findings will be put into local languages. (v) Envisaged results of the targeted analysis The project is foreseen to deliver knowledge support to experimental and innovative actions. It is about taking ESPON a stage further by directly linking its European analysis to use by practitioners and policy makers in local government. In particular, this project is directly addressing pressing challenges for rural areas in many parts of Europe by looking in some detail at how the five partner regions might better realise their territorial potential. The intention is that the results of the project will be of practical value to these partner regions but also of interest to rural regions across Europe as a whole. Similarly, the innovative methodology/methodologies that the project is seeking to develop can make a major contribution to putting the EU s Territorial Agenda into practice and thus empowering local stakeholders as active agents for territorial cohesion. ESPON and the stakeholder consortium would like to receive the following analytical results: A methodology or methodologies for assessing territorial potential. A worked example of the application of the territorial potential methodology for each participating region. A dataset built through the project, that combines existing ESPON data for these regions with additional data collected from them during the project. A set of policy options for each partner region based on the results of the analysis of territorial potential. A synthesis of results for the project as a whole, including commentary that is informed by discussion with the practitioners. The synthesis should include each participant region as a case study and recommendations for how work on territorial potential of rural regions might be taken forward. 13

214 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 (vi) Operational use of the targeted analysis Stakeholders will make use of the expected analytical results in their respective actions on territorial development, notably in the following ways: The analysis of their territorial potential will be used as an input into policymaking by all the stakeholders; The methodology and PURR dataset will be drawn upon in further development of their approaches; Each partner will ensure that this European perspective is used to inform their policy-making; By bringing the stakeholders together, the project will allow for in-depth comparisons of policy and governance approaches. Thus it will combine qualitative and quantitative analysis, previous ESPON data and new information, and all within a clear European perspective. More specifically, the stakeholders plan to ensure that there is a briefing for policymakers and practitioners on the findings at the end of the project. In addition they plan to use their extensive networks to disseminate findings to others, both locally and across Europe. The Contact Persons, both individually and collectively as the Steering Group, are charged with active dissemination and championing application and use of the results. (vii) Outputs and timetable The outputs and the indicative timetable foreseen for the Targeted Analysis look as follows: March/April 2010 Kick-off and Steering Group meeting involving both, the TPG and representatives of the partner regions. The meeting will build contacts and review actions and requirements. It will include presentations by each of the partner regions to familiarise the TPG with their situations. Partners will disseminate news of the project and outcomes from the meeting around their networks and on their web sites. June/July 2010 Inception Report. In this the TPG should review their approach and in particular discuss how they will address the development of the methodology to assess territorial potential. Some preliminary commentary on the existing ESPON data in relation to the five regions and the development of the project s dataset should be given. September - October 2010 The TPG will undertake interviews and data collection in the partner regions. If the Trans-in-form INTERREG project 14

215 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 should have been approved there will be a briefing by the TPG Lead Partner at a Trans-in-form conference in the Baltic Sea Region. January/February 2011 Interim Report. It is envisaged that this report will include preliminary results, particularly in relation to: - Relevant ESPON data for these regions and a benchmarking assessment of them in a European context; - Data collected from the partners; - The first presentation of the dataset being developed within the project; - A preliminary review of each partner region, in particular noting key features of its territorial development and governance; - A discussion of the methodology to be used in assessing territorial potential, and of progress in any pilot testing of it; - First indications of conclusions and policy relevant options that seem likely to emerge from the project. March/April 2011 Steering Group Meeting in the UK, back-to-back with a oneday Mid-way Seminar. The Seminar will involve the TPG, the ESPON Contact Points of the countries involved in the project, the ESPON CU and other representatives of the partner regions, along with other practitioners and researchers invited by the partners from their networks including policy-makers and practitioners from national and regional level governments. The aim will be to focus practitioner and policy-maker inputs on work so far and to provide responses to the proposed methodology to assess territorial potential. It will include presentations from each partner region on how they plan to make operational use of the analysis. April/May July/August Application by the TPG of the methodology/ methodologies to assess territorial potential in each of the regions. This is likely to include discussions by members of the research team in each of the partner regions. August/September 2011 Draft Final Report. The report will include the following elements: - Executive Summary (maximum 5 pages) reflecting the content of the main report and covering the main aims and results from the project, and recommendations to ESPON (in relation to further research needs and European implications of findings) and to the partner regions in relation to application of the findings. - The main report (maximum 50 pages) including: - An explanation of the scope and aims of the project; - A discussion of the idea of territorial potential and an explanation of how it was made operational within the project; - An explanation of the methodology/methodologies developed to assess territorial potential and a discussion of how they were applied in each of the partner regions; 15

216 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September A summary of key features of the dataset developed in the project, with comments on how the ESPON data and the local data add value to each other and how similar datasets might be built in other parts of Europe; - Key findings of relevance to ESPON, other European regions and governments, and for the partner regions; - A set of recommendations about how this research might be taken forward, both by ESPON and through use of the methodology in the policy-making of the partner regions. - A Scientific Appendix, including a full description of the methodology for assessing territorial potential, the dataset, relevant maps, and a case study of each of the partner regions, including a review of the policy options for each region. September/October 2011 Steering Group Meeting back-to-back with Findings and Action meeting in Cēsis. This meeting will bring together the TPG and policy-makers (e.g. local mayors) and practitioners from the partners regions to discuss findings and explore ways forward. The event should be more like a workshop than an academic conference and include an opportunity for interaction and active learning about how to use the tool and for discussion of policy options. December 2011/January 2012 Final report. Revision of the Draft Final Report on the basis of comments received. January June 2012 A local event in each partner region to raise awareness of the findings amongst those participating, and provide a basis for building future action within the region. In addition, for the duration of the project, the TPG may be expected to give 1 or 2 presentations on progress to internal or external ESPON seminars. Allowance for travel expenses related to the project implementation and dissemination should be made in the TPG s budget. The TPG will also be expected to disseminate work on the project through publications, papers and/or presentations at national or international conferences, seminars etc. In addition the ESPON Contacts Points (ECPs) should seek opportunities through their national networks and through ECP Transnational Networking Activities to disseminate findings. The partners will actively disseminate findings through their websites and their national and transnational networks, and the Norwegian and Latvian partners will provide short summaries of the project in their national languages. 16

217 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 (viii) Budget for the targeted analysis The maximum budget foreseen amounts to , including VAT if applicable. Proposals exceeding this value will not be considered. Steering Group meetings and the events mentioned above. ESPON projects are generally conducted in a partnership of several bodies from at least three EU Member and Partner States (from three different countries taking part in the ESPON 2013 Programme). However this requirement does not apply to projects with a budget up to (incl.). (ix) Existing access points The access points listed below serve the purpose of providing the TPG with useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful as background information. ESPON Documents: Urban-Rural relations Demography Natural Cultural heritage Small & Medium Cities CAP impact Energy Structural Funds impact Territorial effects of the Pre-Accession Aid Environment 3.2. Scenarios All available at: In the ESPON 2013 Programme links can be perceived to some applied research projects, e.g. on Rural Areas Development, Demographic and Migratory Changes, Energy Prices and also Climate Change. Documents provided by stakeholders: Scottish Government (2009) Second National Planning Framework. Scottish Government (2004) National Planning Framework. Dumfries and Galloway Structure Plan,

218 ESPON 2013 Programme Project Specifications Project 2013/2/5 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 Welsh Assembly Government (2008) People, Places and Futures - Wales Spatial Plan Welsh Assembly Government (2007) Rural Development Plan for Wales The Yorkshire and Humber Plan 2008 ( VASAB (2001) VASAB Spatial Development Action Programme For Notodden: National plans for regional and municipal development are found at the Ministry of Local Government and Regional Development web pages. The plans are in Norwegian language, with summaries in English. _og_distriktspolitikk.html?id=1238 Notodden municipality has different kinds of plans that are important for PURR. All plans are in Norwegian and can be found electronically on our webpage. (Vedtatte planer) The most important plans are: Mål for utviklingen and Arealdelen i kommuneplanen. Telemark County make regional plans that are important for regional and municipal development. These plans are to be found on Telemark County web pages and they are all written in Norwegian. Latvia s National development plan , at Also available in English Development plan of Vidzeme region It is partly translated into English. It will soon be found on Development strategy for Cēsis District ( 2012) In Latvian, at Cēsis City development programme in Latvian European Policy Documents: European Commission, DG Agriculture and Rural Development (2006): Rural Development in the European Union. Statistical and Economic Information. Report Brussels Territorial Agenda of the EU 18

219 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 Version 31 August 2009 SPECIFICATION ESPON Targeted Analysis Based on User Demand 2013/2/7 Transnational Support Method for European Cooperation (TranSMEC) (2010) (o) Targeted analyses within the ESPON 2013 Programme The ESPON 2006 Programme provided integrated analysis and long-term spatial scenarios which enriched the European policy debate and knowledge base. Trying in with the achievements of the previous programme period, the ESPON 2013 Programme continues conducting applied research on European territorial development, competitiveness and cohesion. At the same time, a new type of projects is carried out in the form of targeted analyses based on specific demands expressed by stakeholders and making use of existing ESPON results. The priorities describing the work-programme of the ESPON 2013 Programme are structured in four strands: 1. Applied research on territorial development, competitiveness and cohesion: Evidence on European territorial trends, perspectives and policy impacts The applied research projects will create information and evidence on territorial challenges and opportunities for success in the development of regions. Crossthematic applied research will be a major activity integrating existing thematic analysis and adding future analysis of new themes. Territorial impact studies of EU policies will be another focus under this priority. 2. Targeted analysis based on user demand: European perspective on development of different types of territories This priority responds to a clear demand of practitioners for user and demand driven actions within the ESPON 2013 Programme. By convening an analytical process where ESPON findings are integrated with more detailed information and practical know-how, new understanding of future development opportunities and challenges may arise, which could be transformed into projects and actions. 3. Scientific platform and tools: Territorial indicators and data, analytical tools and scientific support The scientific platform and analytical tools built up within the ESPON 2006 Programme will be maintained and further expanded. New actions shall be undertaken to develop current achievements and make use of existing indicators, data and tools. 1

220 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September Capitalisation, ownership and participation: Capacity building, dialogue and networking Under this priority, actions are foreseen that will make the evidence and knowledge already developed operational through raising awareness and involving stakeholders in the results and practical application of them. Targeted analyses under Priority 2 enable stakeholders to obtain customised and up-todate information on their particular territorial context and opportunities for development which can be used for policy development. Given the targeted focus of these projects on specific territorial entities, targeted analyses will contribute to the use of ESPON results in practise and to the involvement of policy makers, practitioners and scientists in a joint synergetic process. (i) General objectives of targeted analyses under Priority 2 The general objectives of targeted analyses within the ESPON 2013 Programme are the following: Provision of evidence and knowledge based on ESPON results on the strengths and weaknesses of individual regions and/or larger territories seen from a European perspective, or a global context, giving European regions the option to compare themselves to other regions and hereby finding competitive advantages for development and cooperation. Improvement of the usefulness of ESPON results by testing new, experimental and innovative options such as (1) analysis of themes of interest for groups of regions, partly based on case studies, (2) methodological frameworks for translating territorial development goals and policy aims into concrete actions and (3) technical, methodological and analytical support to territorial planning processes and spatial programming and visions. Provision of analytical support and evidence based on ESPON results on thematic priorities in cooperation with other Structural Funds Programmes. The aim is to carry through targeted analyses in partnership with policy makers and/or practitioners showing an interest in gaining awareness of European evidence, information, experience and/or knowledge on common challenges related to their territorial and/or urban development. The individual targeted analysis shall support better informed policy decisions by: Integrating ESPON findings with more detailed information and practical knowhow, either from a territorial part of Europe or from a sector authority. Contributing to a sound knowledge of territorial development perspectives/trends through new understanding of future development potentials and challenges for the respective territorial and/or urban development. 2

221 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 This project shall contribute to these objectives during its implementation by ensuring a close cooperation and partnership with the stakeholders who expressed their need for this targeted analysis. (ii) Types of Action under Priority 2 Projects under Priority 2 can have different foci and accordingly vary in their content. In order to have a clear distinction between the various possible project orientations, each project needs to be clearly allocated to one of the following types of action: 1. Integrated studies and thematic analysis This type of action is foreseen to follow a traditional analytical approach using existing results of ESPON applied research and other studies. The analysis can integrate several themes relevant for certain types of territories, regions and/or cities or they can be less comprehensive in the approach by focusing on one or a few themes. The main objectives are: a. To provide added value for territorial development of specific types of territories 1 by offering new comparative insight and understanding on territorial potentials and challenges from a European perspective; b. To ensure that other (similar) types of territories/regions can benefit from the output of the analysis. 2. Knowledge support to experimental and innovative actions This type of action clearly allows for the implementation of projects that differ from the mainstream of the ESPON 2013 Programme by being more experimental and/or innovative in character. It is in a way a laboratory for developing ways of meeting main territorial challenges that Europe is confronted with. The objectives are: a. To support experimental and innovative actions carried through in partnership with stakeholders with European knowledge on territorial structures, trends, perspectives and policy impact; b. To provide methodological support to experiments and innovative efforts. 3. Joint actions related to other Structural Funds Programmes The joint actions related to other Structural Funds Programmes take a geographical starting point in the area covered by these programmes, be it transnational, crossborder, interregional, regional or urban territories. The content of these actions can be integrated and thematic analyses or they can be experimental and innovate of nature 1 Types of territories codified for the territorial dimension, include urban, rural-mountains, rural-islands, rural-area (sparsely and very sparsely populated), rural-other, former external border, area dependant on fisheries, outermost regions, transnational cooperation areas, cross-border cooperation areas and interregional cooperation areas (as listed in the ESPON 2013 Programme, p. 9). 3

222 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 (as described above). A main prerequisite is that they are justified by supporting Structural Funds Programme implementation. The objectives are: a. To provide information and analyses on the European position of these areas, their comparability with other similar areas, and their potentials and challenges, useful for Structural Funds Programmes (regional, cross-border, transnational, interregional and urban); b. To provide methodological support for strategic processes, including visions and scenarios for spatial development and planning. Independent of the type of action, each project should have a European perspective (i.e. supporting the understanding of the wider European context), a clear transferable character and a concrete implementation part, focusing on specific territories. The analytical approach can provide integrated, cross-thematic analyses, study individual themes or sectors, or focus on a specific type of territories. At any rate, ESPON findings shall be integrated and supplemented with more detailed information and practical knowhow, either from a territorial part of Europe or from a sector authority. Analysis can include/be based on case studies. The geographical coverage will normally have a more limited territorial coverage than the entire European territory. This project belongs to the third type of action. By using, inter alia, existing ESPON results, the project aims at developing transferable analytical and methodological tools that will help INTERREG Programmes in both, the development of and capitalisation on projects. (iii) Scope and rationale of the targeted analysis The European Territorial Cooperation objective, also known as INTERREG, is financed by the European Regional Development Fund (ERDF) and supports cross-border, transnational and interregional co-operation programmes. The budget of 8.7 billion for this objective constitutes 2.5% of the total allocation for the EU Cohesion Policy. The main aim of the INTERREG Initiative is to encourage regions and cities from different EU Member States to work together and learn from each other through joint programmes, projects and networks. As regards the transnational strand of the INTERREG Initiative, there are 13 different transnational cooperation programmes established throughout the EU. Although the INTERREG programmes vary in size, geographical and thematic scope, they have developed a common way of working. In the INTERREG tradition, projects are developed bottom-up, i.e. they are triggered by the expressions of interest of relevant stakeholders. The advantage of such a way of working is that it responds to the territorial needs of each region in question. 4

223 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 However, this bottom-up approach seems to jeopardise the overall coherence of the transnational cooperation programmes. As project ideas are developed independently, INTERREG interventions are addressed in different ways and do not always link to each other. INTERREG programmes feel a strong need to have a systemised aggregated picture of individual project results against the backdrop of territorial evidence (as structures, developments, trends, and perspectives) that is relevant for the respective cooperation area. This information should allow them to better capitalise and communicate the overall added value of project results and to steer project and programme development in a more strategic way. In this context, the INTERREG IVB North West Europe (NWE) Programme has expressed its interest for this targeted analysis. Main characteristics of the territory to be addressed North West Europe (NWE) is a transnational cooperation area that brings together regions of eight countries, i.e. Belgium, France, Germany, Ireland, Luxembourg, the Netherlands, United Kingdom and Switzerland. The area of NWE has a strong position within Europe, represented by its high economic performance, high density of population, high levels of accessibility as well as its wealth of diverse natural and cultural heritage and landscape. Alongside such a remarkable list of strengths that characterise the area, a series of threats and weaknesses still call for intervention. The INTERREG NWE Programme continuously contributes to a more cohesive, balanced and sustainable development of the transnational cooperation area by co-financing projects that tackle its territorial challenges. For further reading on the territorial characteristics of North West Europe please refer to the INTERREG IVB NWE Operational Programme website ( In the TranSMEC targeted analysis it is envisaged that only geographically representative regions of the NWE cooperation area will be studied in detail. They will be selected at the spatial level NUTS 2 and 3, depending on the availability of pertinent data. The targeted regions will be chosen for analyses after a preliminary study of the most relevant material and available findings of the ESPON and INTERREG NWE Programmes as well as on the basis of an agreement between the stakeholder 2, the experts and the ESPON Coordination Unit (CU) at an early stage. 2 In the framework of this ESPON targeted analysis stakeholders are understood as those who expressed an interest in obtaining customised information as a result of the project, in this case public authorities responsible for the implementation of programmes under Structural Funds As far as the TranSMEC targeted analysis is concerned, the role of a stakeholder is formally played by the INTERREG NWE IVB Managing Authority that acts on behalf of all the member countries of the Programme. Such a meaning of stakeholders differs from the common understanding of stakeholders as project promoters and other actors affected by the INTERREG Programme. 5

224 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 Thematic scope for the targeted analysis INTERREG programmes are considered as important drivers for territorial development and cooperation. Projects financed by those programmes have a real territorial impact as they are developed bottom-up. Nevertheless, the lack of clear links between those projects calls for a better global overview and streamlining of the funded operations at the programme level. The INTERREG NWE Programme is confronted with the important challenge to capitalise on project results. It lacks the means and territorial evidence to aggregate territorial outputs delivered by the different projects in a systematic way in order to make them more visible to the external world. It also needs a better understanding of how available territorial evidence can be applied for cooperation programmes in order to systemise the capitalisation and dissemination of project results. Aggregated and systemised information should help the programme in its further strategic development of projects and programme related considerations. The basic question that this targeted analysis should address is: How can available territorial evidence be applied for territorial cooperation programmes in order to support the capitalisation and dissemination of project results, and strategic project and programme development? Right now it is a good time to reflect upon achievements of the INTERREG NWE Programme. Projects financed by the INTERREG IIIB NWE Programme have been completed. At the same time new projects are being developed and implemented under the current IVB programming period and in response to the NWE Operational Programme SWOT analyses. The scope of the targeted analysis should cover all relevant fields of the INTERREG IIIB Programme by addressing the five priorities: P1: An attractive and coherent system of cities, towns and regions P2: External and internal accessibility P3: Sustainable management of water resources and prevention of flood P4: Sustainable development, prudent management and protection of other natural resources and cultural heritage P5: Promoting the maritime potential of NWE and its territorial integration across seas. Additional priorities like Innovation that have been taken up in the IVB Programme are also to be addressed. The project should be based on a combined analysis of ESPON results and INTERREG IIIB NWE project and programme outputs. The project should provide a synthetic analysis resulting in a method and tools that could be used in the process of capitalisation on INTERREG IIIB NWE results in its territorial context and that are transferable to the current INTERREG IV programmes. The combined analysis should also result in ideas 6

225 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 and options for strategic project and programme development, for instance by providing relevant information for the new programming period after Objectives of the targeted analysis The main aim of the TranSMEC targeted analysis is to specify the territorial context of deliverables of the INTERREG NWE projects and to define those in a comparable way. That should lead to the development of tools for capitalisation on INTERREG NWE results and thus support strategic project and programme development in the future. It is expected that a general method for the development of tools to be delivered in the course of the targeted analysis will be directly applied to the NWE and implemented through two pilots. General method The general method is to provide guidance on how ESPON results can add value to and/or present synergy with national and regional knowledge (e.g. data, trends, perspectives) in the development of tools to support territorial cooperation programmes in capitalisation and considerations on future strategic project development. The general method is to deliver a set of the different (analytical) tools that can be used and the different aims they might serve. The following elements of ESPON results seem relevant in this respect and are to be considered: ESPON provides a European and global perspective that can help transnational territorial cooperation areas in for instance spatial positioning, comparing and benchmarking. ESPON provides an innovative knowledge base that can help transnational territorial cooperation areas in better understanding and approaching policy relevant topics. ESPON provides territorial based typologies and scenarios that can help transnational territorial cooperation areas in targeting actions and territorial relevant representation of results. The NWE Programme will contribute to this analysis with qualified information on the EU knowledge-base. The project is also expected to make use of the SWOT trends as presented in the NWE Operational Programme and to build further on the existing NWE maps on spatial level of NUTS 2 and 3 (delivered in May 2009) that already show some geographical gaps in the implementation of the INTERREG IIIB projects against the programme s objectives and priority areas. 7

226 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 The method embraces at least the development of two types of tools for transnational cooperation programmes: Tools for capitalization and dissemination: These tools are to contribute to coherent and structured representation of the output of INTERREG programmes by using the territorial structures and processes as exposed by ESPON, the spatial distributions and differences as detected by ESPON and the geographical/regional classifications and typologies as developed by ESPON. The tools should in particular pay attention to the use of maps. Tools for strategic project development: These tools are to contribute to an evidence based elaboration of the priorities and objectives of INTERREG programmes by using the territorial structures and processes as exposed by ESPON, the spatial distributions and differences as detected by ESPON and the geographical/regional classifications and typologies as developed by ESPON. The elaboration builds on the aggregated framework used for the capitalisation tools and is to take place against the backdrop of the integrated, multilevel and the future-oriented evidence that ESPON provides. The tools should in particular pay attention to the use of maps. The method is expected to provide practical guidance for transnational territorial cooperation programmes rather than to give a theoretical framework. It should support transnational programmes in proper aggregation of programme results against the backdrop of available European territorial evidence, strengthen the visibility of individual projects and the programme as a whole and help in the process of capitalisation of results and further strategic project and programme development. Direct applications for NWE The method will be for an important part based upon the experiences of NWE projects and facilitate development of tools for transnational cooperation in the NWE area related to capitalisation and strategic project development. The outputs and results of projects under the INTERREG IIIB programming period will be available for the purpose of this study. They should provide the basis for an exercise that leads to an effective capitalisation and dissemination of the INTERREG IIIB achievements. In the first step, the project is expected to create a territorial information base for the NWE cooperation area that is to be presented in written and even more important by maps. The information base should include at least the following elements: - Position of NWE in the European context The information should on the basis of ESPON evidence position NWE in the European context and pinpoint the particular regions within NWE facing specific territorial potential and/or challenges. Taking into account the NWE SWOT analyses, this information is expected to show the performance of the NWE area compared to other transnational cooperation zones. Also, on the basis of ESPON findings a joint 8

227 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 impact of actions undertaken under INTERREG IIIB, IIIA and IIIC should be analysed for a representative region within the NWE and a specific topic. - Overview of development trends The information should on the basis of ESPON evidence show the most important territorial development trends in the NWE area. It should be investigated up to what extent realised projects have addressed development trends both in function of capitalisation and in function of strategic project development. The targeted analysis information base should focus on the effective aggregation of results of projects already implemented and offer additional facts and knowledge to be used by the INTERREG NWE Programme. The information base is considered as an important output as such but also forms a point of departure for the second step: the development of applied tools on the basis of the general method for capitalisation and strategic project development (including support in programme development after 2013). (iv) Implementation methodology and project governance Partnership in the project implementation is vital in order to achieve useful results. This applies to both, the partnership between the ESPON Programme and stakeholders, as well as between the team of experts and the stakeholder representatives. Stakeholder involvement is essential throughout the life-cycle of the project and starts off with the definition and development of the specific theme for the targeted analysis. During the implementation phase of the targeted analysis, stakeholders play an active role by providing and giving access to information relevant for the project, as well as by steering and guiding the work of experts. The Nord-Pas de Calais Regional Council (based in Lille, France) as the INTERREG NWE Managing Authority (MA) is the Lead Stakeholder behind the TranSMEC project. It formally represents member countries and interests of the INTERREG NWE Programme area, i.e. Belgium, France, Germany, Ireland, Luxembourg, the Netherlands, UK and Switzerland. The Ministry of Sustainable Development and Infrastructures in Luxembourg acting as Managing Authority for the ESPON 2013 Programme is the contracting party for the targeted analysis. It formally represents all 27 EU Member States plus the Partner States Iceland, Liechtenstein, Norway and Switzerland. The administrative tasks related to the implementation of the project will be carried out in close cooperation between the INTERREG NWE Joint Technical Secretariat (JTS) and the ESPON Coordination Unit (CU) on behalf of their respective Managing Authorities. 9

228 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 The NWE and the ESPON Monitoring Committees will through the JTS and the CU provide the operational guidance and take key decisions on the direction of the project. In principle, full reporting shall be provided at meetings of the NWE MC as well as towards the ESPON MC. A working group representing the NWE MC may be formed to closely follow the project. The organisational structure of the TranSMEC project will involve representatives of the INTERREG NWE MA/JTS and the ESPON MA/CU. All actors shall closely cooperate to ensure a proper implementation of the project. No umbrella organisation or association will be involved to facilitate interaction between them. At the INTERREG NWE JTS relevant staff members have been appointed to supervise the targeted analysis in cooperation with the ESPON CU. They will stay in regular contact with the ESPON CU and the experts. In particular, they will take part in the steering of the project through systematic meetings with the experts (e.g. Kick-off/ intermediate/ final meeting) and by providing relevant information that can be of use for the experts (e.g. detailed data on the INTERREG NWE projects, qualitative output/ result/ impact indicators at the programme and project level, complementing data as in the programme strategic documents). In case additional information is required, promoters of the INTERREG NWE approved projects will be requested by the JTS to provide data. Also, policy makers, field experts and other key actors in the NWE area shall be directly contacted by the experts for a search of other relevant data, if necessary. Findings of the targeted analysis delivered at different stages as well as its final results will be broadly disseminated through a number of events, e.g. ESPON Seminars, the INTERREG NWE 2010 annual event and programme meetings. Outputs of the analysis will be also communicated in the form of leaflets, newsletters, etc. The final report will be published in four languages of the INTERREG NWE Programme area, i.e. English as the first language before translation into French, German and Dutch. (v) Envisaged results of the targeted analysis The "Transnational Support Method for European Cooperation shall result in: A general method that provides guidance to transnational cooperation programmes on how ESPON results can be used for capitalisation and communication of INTERREG results and strategic project and programme development. A territorial information base for the NWE area including its position in the European, national and regional context and an overview of relevant development trends. Development of a set of tools (maps, guidance, clustering of projects, criteria, overlays) that are applied for the NWE context in order to better capitalise and communicate programme and project results and to better steer project and 10

229 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 programme development. The tools should be transferable to other cooperation programmes. Identification of cross-linkages between the NWE SWOT analysis (already available) and the performance of the programme area. Identification of key issues for future transnational cooperation in the NWE area as they emerge from ESPON territorial evidence. The method focuses on the capitalisation and dissemination of the results of the INTERREG IIIB NWE Programme and shall on this basis also provide guidance for future development of projects and the programme itself, including directions for the programming period after The results should be of benefit for the INTERREG NWE Programme (increased capacity of aggregated results) as well as for project promoters in the NWE area (better visibility). (vi) Operational use of the targeted analysis The findings of the TranSMEC project will serve as supporting tools to further elaborate the INTERREG IVB NWE Programme s communication strategy and eventually to steer a better project development in the future. They are seen as potentially providing a complementary direction to more strategic projects and a stronger presence of more evident outcomes of the INTERREG NWE. TranSMEC will act as a pilot for using, if possible, ESPON results in transnational cooperation programmes. It is expected to create synergies between ESPON, INTERREG Programmes and INTERACT (KEEP Initiative) and to pave the way for further collaboration. TranSMEC is expected to take forward the NWE SWOT analyses and to work alongside the Strategic Initiatives work as developed under the INTERREG IVB NWE Programme. Strategic Initiatives relate to a more top-down project development effort on a number of important NWE topics. These projects will promote a cross-sectoral approach and involve a wide strategic partnership, by bringing together key relevant actors with the capacity to deliver and make practical use of the results. The aim is to create focused clusters of such projects which will have a close working relationship at the strategic level as well as at operational levels to maximise their impact. More detailed information is to be found in the Operational Programme and the INTERREG IVB NWE website The results of the targeted analysis will also act as pilots for further targeted analyses on other topics and for other cooperation areas. 11

230 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 (vii) Outputs and timetable The TranSMEC targeted analysis shall start in March/April 2010 and last for approximately 9 months. It is foreseen that specific outputs will be produced at different stages of the implementation phase, including final deliverables at the end of the analysis. The project shall deliver a set of maps of the NWE as well as two reports an interim and a final one where findings of the targeted analysis will be presented. The project is expected to present the reports at 2 or 3 events within the framework of the INTERREG IVB NWE Programme that will be defined in an early stage of the project implementation. Also dates of other meetings, e.g. the Kick-off meeting with representatives of the ESPON and INTERREG NWE programmes will be agreed at an early stage. Due attention will be paid to any INTERACT events in order to facilitate maximum synergies across programmes. (viii) Budget for the targeted analysis The maximum budget foreseen amounts to , including VAT if applicable. Proposals exceeding this value will not be considered. This amount will include all the experts costs for completing the study including travel expenses and attendance at meetings with the stakeholder and the ESPON CU, as well as participation in the above mentioned events. ESPON projects are generally conducted in a partnership of several bodies from at least three EU Member and Partner States (from three different countries taking part in the ESPON 2013 Programme). However this requirement does not apply to projects with a budget up to (incl.). (ix) Existing access points The access points listed below serve the purpose of providing the experts with useful information for preparing a proposal. It is by no means meant to be exhaustive, but should be considered as information that can be helpful as background information. ESPON Documents: ESPON The Spatial Effects and Management of Natural and Technological Hazards in Europe ESPON project Territorial trends of the Management of the Natural Heritage ESPON The Territorial Impact of EU Research and Development Policies ESPON The Territorial Effects of the Structural Funds 12

231 ESPON 2013 Programme Project Specifications Project 2013/2/7 Priority 2: Call for Proposals for Targeted Analyses - 16 September 2009 ESPON 3.2 Spatial Scenarios and Orientations in relation to the ESDP and Cohesion Policy ESPON 3.3 Territorial dimension of the Lisbon-Gothenburg strategy ESPON INTERACT Environmental Hazards and Risk Management: Thematic Study of INTERREG and ESPON activities Documents provided by the INTERREG NWE: INTERREG IIIB Programme Complement INTERREG IVB NWE Operational Programme Projects documentation (Application Forms, Activity/ Progress Reports, projects promotional material) Spatial Vision Studies (2005) INTERREG IIIB NWE Programme retrospective Opportunities for Territorial Challenge Analysis of the 99 implemented projects under INTERREG IIIB NWE (2009) Relevant documentation on the INTERACT KEEP Initiative BBR Study (2008) Preparation of strategic projects of transnational cooperation: Description of strategic attributes Report of the Strategic Initiative workshops on Innovation European policy documents: COM (2008)616 final Green Paper on Territorial Cohesion General Regulation (EC) No 1083/2006 ERDF Regulation (EC) No 1080/2006 Implementation Regulation (EC) No 1828/

232 Programme Manual Chapter 3 Version 16 September Priority 2: Targeted analysis upon demand Priority 2 offers a framework for a new type of projects within the ESPON Programme, supporting the use of existing results in partnership with different groups of stakeholders. Introducing a new approach to the generation of project ideas as well as to the implementation of projects, it provides an opportunity to stakeholders for (1) enhancing their understanding of the larger territorial context, (2) making comparisons to other territories, regions and cities, and (3) hereby providing a European perspective to considerations on the development of their territories. 3.1 Basics of the targeted analyses and their implementation What can stakeholders gain? Stakeholders engaging in targeted analyses delivered by ESPON will obtain customised and up-to-date information that they can make use of for policy development, the set up of strategies, and/or implementation measures related to their territorial reality. The targeted analytical input should be of particular interest to stakeholders wanting to add a European dimension to the information and knowledge about their territorial context and opportunities for development. Who are the stakeholders? The particular stakeholders that can be considered by the Monitoring Committee (MC) are: Public authorities at European level and on all administrative levels of EU Member States and ESPON Partner States involved in processes implementing EU Cohesion Policy, i.e. the Territorial Cohesion objective, including the Community Strategic Guidelines and National Strategic Reference Framework strategies as well as territorially relevant aspects of Structural Funds Programmes under the objectives of Convergence and Competitiveness. Authorities responsible for implementing Structural Funds Programmes under Objective 1, 2, and 3, including programmes dealing with crossborder, transnational and interregional cooperation as well as INTERACT and URBACT. Groups of public authorities at regional/local level representing regions and/or cities from at least three countries participating in the ESPON 2013 Programme and having a common interest in support from ESPON analyses for the purpose of gaining European perspective/context experience and/or knowledge on common challenges related to their territorial and/or urban development. Only public authorities located in the EU territory or situated in a country participating in the ESPON 2013 Programme (Iceland, Liechtenstein, Norway or Switzerland) are eligible stakeholders. In the framework of the third type of actions, and in the case of cross-border cooperation programmes along external EU borders in Programmes under Structural Funds (SF), the eligible stakeholder will be the Managing Authority of the cross-border programme (located in the EU territory). However, public authorities representing the regional/local/ 1

233 national authorities involved in the cross-border programme, can also be involved in the steering of the Targeted Analysis and participate in meetings and events organised by the project stakeholder(s). Organisations representing (types of) regions and cities as well as international networks related to EU regional policy or other policy areas cannot be considered as potential stakeholders. Representatives from such bodies can, in their capacity to facilitate cooperation between different stakeholders, be involved in the implementation of targeted analyses as members of Steering Committees or in a similar way. Partnership and input of stakeholders Partnership in the project implementation is vital in order to achieve useful results. This applies to both, the partnership between the ESPON Programme and stakeholders, as well as between the team of experts and the stakeholder representatives. Stakeholder involvement is essential throughout the project s life-cycle. This will encompass elements such as: Definition and development of the targeted analysis. Selection of the most appropriate team of experts to conduct the analysis. Steering and guidance of the targeted analysis and the group of experts. Provision of information to the analysis (e.g. detailed data; qualitative inputs). Applying the analytical output in practise and dissemination of project results. The success of projects on targeted analysis highly depends on stakeholders commitment to work together with researchers and to engage them in making use of the targeted analytical outputs provided within their daily work on matters and policies related to regions, cities and larger territories. The team of experts being engaged for carrying through a targeted analysis will be carefully selected ensuring their preparedness and willingness to work in partnership with stakeholders. This may imply a different approach towards their usual research and analytical work, as stakeholders needs and specific interests have to be taken into account. In this respect, Priority 2 projects will contribute to the use of ESPON results in practise and to the involvement of policy makers, practitioners and scientists in a joint synergetic process. Operational results The project implementation shall ensure operational results in relation to the specific type of action (see chapters to 3.3.3). This may imply an involvement of stakeholders, e.g. as members of a steering group. The commitment of key stakeholders needs to be ensured in order to reach this objective. The analysis shall make use of existing ESPON results both, of the previous and the current programme period, and be enriched by more detailed information and practical know-how provided by stakeholders. 1

234 The ESPON projects shall have a European-wide relevance, i.e. be of interest beyond the actual stakeholders involved. A mechanism for dissemination of results will therefore be an integral part of the project implementation. Existing European networks provide wider audiences that should be included in the transfer of the results and use of the targeted analysis. A two-step procedure towards targeted analyses The stakeholders considered eligible for this type of projects include public authorities either (1) at European level and in EU Member States and ESPON Partner States (Iceland, Liechtenstein, Norway and Switzerland) dealing with territorial matters, or (2) involved in Structural Funds Programmes or (3) representing groups of regions and cities (see chapter 3.1 for a definition of groups of regions and cities). Setting up the actions under this priority follows a two-step process: (1) In a first step, stakeholders are invited to voice their interest for information/knowledge in relation to one of the three types of action under Priority 2 (see below) by submitting expressions of interest including project ideas. Expressions of interest selected by the ESPON MC will be the basis for project specifications for the targeted analyses that will be delivered by ESPON. These specifications will be set up with the active involvement of the stakeholders who submitted the respective expressions of interest. (2) As the second step, these project specifications will be published in the framework of a call for proposal/tender for targeted analysis which will result in the selection of the best proposal/tender submitted and through this the TPG/team 1 of experts that entail the analytical capacity necessary. The TPG/team of experts will implement the targeted analysis in a partnership process with the stakeholders behind the selected projects. No direct financial contributions or co-financing will be requested from stakeholders in implementing selected actions. However, stakeholders will be expected to cover personnel and travel costs for their own active involvement in the implementation and use of the targeted analysis provided. 1 Depending on the budget of the project please refer to chapter

235 What is the difference to ESPON applied research? The distinction between Priority 1 and Priority 2 projects can be seen from the following overview: Priority 1 Priority 2 Project idea ESPON MC Policy makers & practitioners Process One-step process (Call for proposal) Two-step process (Call for expression of interest; Call for proposal) Project approach Applied research providing new European wide results 3 Use of existing ESPON results, integrating them with practical knowhow of and detailed information from stakeholders Actors TPG (researchers only) TPG/Team of experts & stakeholders in partnership Relationship Results may feed Priority 2 actions 3.2 Objective of the targeted analysis Results should feed operational use and may reveal needs for applied research under Priority 1 The aim is to carry through targeted analyses in partnership with policy makers and/or practitioners showing an interest in gaining awareness of European evidence, information, experience and/or knowledge on common challenges related to their territorial and/or urban development. The individual targeted analysis shall support better informed policy decisions by: Integrating ESPON findings with more detailed information and practical knowhow, either from a territorial part of Europe or from a sector authority. Contributing to a sound knowledge of territorial development perspectives/trends through new understanding of future development potentials and challenges for the respective territorial and/or urban development. On the basis of the interest and ideas expressed by stakeholders in calls for expression of interest, the MC will be responsible for selecting actions of targeted analyses to be carried through by TPGs or teams of scientists/experts. The target groups for the results of the user driven targeted analytical deliveries based on ESPON results are: (1) Policy makers and practitioners involved in carrying through programme and project activities outside and within Structural Funds funded programmes; (2) Research institutes and universities carrying through the analysis. The main difference between targeted analyses under Priority 2 and the rest of the ESPON 2013 Programme is the purpose of user involvement and the use of existing ESPON results.

236 3.3 Types of actions Projects under Priority 2 can have different foci and accordingly vary in their content. In order to have a clear distinction between the various possible project orientations, each project needs to be clearly allocated to one of the following types of action: 1) Integrated studies and thematic analysis; 2) Knowledge support to experimental and innovative actions; 3) Joint actions related to other Structural Funds Programmes. Independent of the type of action, each project should have a European perspective (i.e. supporting the understanding of the wider European context), a clear transferable character and a concrete implementation part, focusing on specific territories. The analytical approach can provide integrated, cross-thematic analyses, study individual themes or sectors, or focus on a specific type of territories. At any rate, ESPON findings shall be integrated and supplemented with more detailed information and practical knowhow, either from a territorial part of Europe or from a sector authority. Analyses can include/be based on case studies. The geographical coverage will normally have a more limited territorial coverage than the entire European territory Integrated studies and thematic analysis This type of action is foreseen to follow a traditional analytical approach using existing results of ESPON applied research and other studies. The analysis can integrate several themes relevant for certain types of territories, regions and/or cities or they can be less comprehensive in the approach by focusing on one or a few themes. Objectives The main objectives are: 1) To provide added value for territorial development of specific types of territories 2 by offering new comparative insight and understanding on territorial potentials and challenges from a European perspective; 2) To ensure that other (similar) types of territories/regions can benefit from the output of the analysis. It is expected that groups of regions and/or cities across Europe as well as national authorities that are facing common challenges will be interested in territory specific and yet transferable analyses giving insight in their position in a European territorial context, e.g. how territories, types of regions and cities with similar challenges best develop their policies and strategies. Studies or analyses could, for instance, look into a specific theme or potentials of certain types of regions, and assess their position in the European context. Contributing to the 2 Types of territories codified for the territorial dimension, include urban, rural-mountains, rural-islands, rural-area (sparsely and very sparsely populated), rural-other, former external border, area dependant on fisheries, outermost regions, transnational cooperation areas, cross-border cooperation areas and interregional cooperation areas (as listed in the ESPON 2013 Programme, p. 9). 4

237 assessment of the position of a region in a larger territorial context, cross-thematic studies can be of particular importance. Furthermore, this type of action offers the opportunity to break down existing ESPON results to a lower level, and to enrich them with specific regional/local knowledge/evidence. ESPON results can thereby be made more easily accessible and comprehensible for stakeholders below the national level. They can also provide an additional dimension to the development of strategies and policy making for the stakeholders involved. Outputs expected The outputs expected are integrated analyses providing insights in the state of development, the challenges and potentials of particular territories/types of regions/cities by including a number of sectors and addressing potential synergies. Results can also concentrate on a particular theme. In both cases, the outcome of the interaction between the European perspective/dimension and the national/regional/local one is expected to deliver added value to the stakeholders involved. Results shall lend themselves to practical application/use by the stakeholders involved in the project Knowledge support to experimental and innovative actions This type of action clearly allows for the implementation of projects that differ from the mainstream of the ESPON 2013 Programme by being more experimental and/or innovative in character. It is in a way a laboratory for developing ways of meeting main territorial challenges that Europe is confronted with. Objectives The objectives are: 1) To support experimental and innovative actions carried through in partnership with stakeholders with European knowledge on territorial structures, trends, perspectives and policy impact; 2) To provide methodological support to experiments and innovative efforts. Project activities should go beyond a traditional format of analyses and case studies and proactively explore new avenues of creating territorial development, meeting main challenges and proposing innovative actions. They could inspire strategy building and planning processes and/or, particularly through their innovative approach, stimulate creativity on new ideas for applied research projects under Priority 1 of the ESPON 2013 Programme. Innovative actions can in principle include actions improving the economic, social and environmental situation and performance of the territory in question. They can, for instance, relate to more comprehensive territorial visions and strategies including the larger territorial context. The actions can as well relate to governance issues related to implementing territorial cooperation in practice and to training efforts related to the use of ESPON results e.g. how to work with visions and scenarios, how to read regional relevance out of ESPON maps, how to use methodologies and techniques applied in ESPON, or how to relate in practice to a European perspective in regional/local efforts to shape development. Finally, an action could also be considered to be innovative and/or of 5

238 experimental character, if stakeholders of different regions work together for the first time. Outputs expected Outputs expected include analytical/methodological inputs to visions, scenarios and strategies for the development of certain territories/types of territories as well as proposals for actions to be carried out by stakeholders which support innovative measures for the territory in question. Outputs can as well include new avenues to deal with major territorial challenges facing Europe, its regions, cities and larger territories. Even though more experimental and innovative in character, results shall lend themselves to practical application/use by the stakeholders involved in the project. In the approach to major territorial challenges priority would be given to experimental and innovative project ideas meeting territorial challenges addressed by European policy orientations, such as: Demography: Fertility, ageing and migration processes. Economy: Globalisation, increasing global pressure to restructure and modernise, new emerging markets & technological development. Climate change: New hazard patterns, changing potentials. Energy supply and efficiency: Increasing energy prices. Transport and accessibility/mobility: Saturation of euro-corridors, urban transport. Geography: Territorial concentration of activities, mainly economic, in the core area of Europe, the process of metropolisation and further EU enlargements. These challenges may impact on different types of regions, cities and larger territories in different ways and require diverse policy responses Joint actions related to other Structural Funds Programmes The joint actions related to other Structural Funds Programmes take a geographical starting point in the area covered by these programmes, be it transnational, cross-border, interregional, regional or urban territories. The content of these actions can be integrated and thematic analyses and they can be experimental and innovate of nature (as described above in chapters and 3.3.2). A main prerequisite is that they are justified by supporting Structural Funds Programme implementation. Objectives The objectives are: 6

239 1) To provide information and analyses on the European position of these areas, their comparability with other similar areas, and their potentials and challenges, useful for Structural Funds Programmes (regional, cross-border, transnational, interregional and urban); 2) To provide methodological support for strategic processes, including visions and scenarios for spatial development and planning. It is expected that project results will support decisions on concrete actions such as documents on strategic development or Structural Funds actions involving several stakeholders from regions and cities as well as national level. Projects should have a particular collaborative approach between actors from different countries. Outputs expected Outputs expected include support to programme implementation and ideas for definition of projects providing added value to the development of the territory covered by the Structural Funds Programme in question. The following table gives a brief overview on the three types of action under Priority 2: Eligible stakeholders Key aspects to consider Outputs Type of action 1 Type of action 2 Type of action 3 Groups of regions and/or cities (i.e. a partnership of at least 3 public authorities at regional/local level representing 3 different countries participating in ESPON 2013 Programme); Public authorities at national administrative levels (no minimum representation of different countries participating in ESPON) More reactive, traditional approach, based on existing ESPON results, though not necessarily limited to these Analyses of specific territorial potentials from a European perspective Groups of regions and/or cities (i.e. a partnership of at least 3 public authorities at regional/local level representing 3 different countries participating in ESPON 2013 Programme); Public authorities at national administrative levels (no minimum representation of different countries participating in ESPON) More proactive, experimental and/or innovative approach Analytical input to territorial visions/ strategies/scenarios/ tools or to dealing with major territorial challenges Authorities responsible for implementing Structural Funds Programmes Objective 1, 2 and 3 Either of the two approaches but focused on existing Structural Funds Programme Either of the two outputs but focused on Structural Funds Programme area 7

240 3.4 Mapping the demand of stakeholders In the course of programme implementation, ESPON will invite potential users through calls for expression of interest to propose project ideas. After the screening of the proposals received, a selected number of project ideas will be chosen by the MC and developed into project specifications/terms of references in close partnership with the respective stakeholders. The project specifications/terms of reference will be the basis for calls for proposals/tenders from TPGs or transnational teams of researchers/experts for carrying through the analysis requested. Screenings of demand for targeted analyses by stakeholders shall be carried through at least 2-3 times during the implementation of the programme General principles In principle, the generation of project ideas for Priority 2 actions is conceived as a bottom-up approach, i.e. policy makers and practitioners shall voice their information and knowledge needs by expressions of interest that shall then be met by respective actions. The results of these actions shall, in turn, be put into use by afore mentioned stakeholders. The MC will decide the timing of subsequent expressions of interest. Project ideas of stakeholders may be appropriate for a project under Priority 2 if an analysis of the proposed issue can contribute to policy development of the territories in question. The most prevailing territorial challenges at this point in time are known, however new themes will obviously appear on the policy agenda. Themes vary according to the territorial diversity in Europe. Therefore, it has not been considered appropriate to concentrate a call for interest on certain thematic issues, as there must be enough flexibility, also to cater for new needs occurring until the end of the current programme period Application Procedure A call for expression of interest will normally be launched in the framework of a public event where comprehensive information will be given on the application procedure. Stakeholders will also be informed about the call for expression of interest via the ESPON newsletter, the ESPON website as well as the Official Journal of the European Commission, C series. At the same time, the Member and Partner States participating in the ESPON 2013 Programme will be informed about the call so that the information can be nationally disseminated to stakeholders. The publication of the call for expression of interest will include information on the type(s) of action for which proposals are requested and the general objectives of this type of projects. In order to offer guidance for the formulation of the expression of interest an application form will be provided on the website of the ESPON 2013 Programme. Expressions of interest should be submitted by stakeholders as defined in chapter 3.1 (see above). In the case of type of action 1 and type of action 2, these can be either a group of regions and/or cities, i.e. a partnership of at least three public authorities at regional/local level representing three different countries participating in the ESPON 2013 Programme, 8

241 or a public authority at national administrative level (i.e. no minimum representation of different countries participating in ESPON). In the case of type of action 3, stakeholders should be Managing Authorities for Structural Funds Programmes Only public authorities located in the EU territory or situated in a country participating in the ESPON 2013 Programme (Iceland, Liechtenstein, Norway or Switzerland) are eligible stakeholders. In the framework of the third type of actions, and in the case of cross-border cooperation programmes along external EU borders in Programmes under Structural Funds (SF), the eligible stakeholder will be the Managing Authority of the cross border-programme (located in the EU territory). However, public authorities representing the regional/local/ national authorities involved in the cross-border programme, can also be involved in the steering of the Targeted Analysis and participate in the meetings and events organised by the project stakeholder(s). In case of thematic or territorial intersections/overlaps among two or more expressions of interest submitted, it may be proposed that the respective stakeholders cooperate and form a larger grouping of stakeholders. Calls for expression of interest will usually be kept open for two months (40-45 working days). Interested stakeholders will be asked to forward their expression of interest in both, hardcopies (one original and one copy) and digital format to the attention of the CU, making use of the standard application form for that particular purpose provided via the ESPON website. A lead partner principle shall be applied in situations when several stakeholders are behind an expression of interest Selection Procedure The selection procedure starts immediately after the deadline set for submitting project ideas. It consists of two distinct assessment parts, an eligibility check and an evaluation, and will be concluded with a short-list of project ideas that is forwarded to the MC which takes the final decision on approval of ideas for targeted analyses to be carried through in partnership. Eligibility criteria At first, expressions of interest will be checked against the eligibility criteria in order to ensure that they fulfil the technical requirements of the Programme. The eligibility assessment will be performed by the CU. The check of the eligibility criteria will be documented by ticking boxes of yes and no, depending on whether the respective evidence has been provided or not. Each project idea to be evaluated has to fulfil the following criteria: 9

242 ELIGIBILITY CRITERIA 1. Expression of interest has been submitted in due time in original and electronic version. 2. Expression of interest is complete and includes the requested administrative forms and supporting documents (the list of supporting documents required will be provided in the specific call), all properly filled in. 3. The content of the expression of interest relates to the type of action set out in the call. 4. All stakeholders involved are public authorities at local/regional/national level or Managing Authority of programmes under Structural Funds. 5. All involved partners fulfil the eligibility criteria specified in the call for interest (e.g. minimum number of public authorities at regional/local level in the case of the first two types of actions) In case the CU should detect, during the eligibility check phase, one or more of the following omissions in applications received within the deadline given, which would lead to the application being deemed ineligible, the respective Lead Stakeholder will be informed in written by fax and offered a maximum of five working days (counting from the day following the day of receipt of the fax as documented by the transmission report) to correct the omission(s). The correctable omissions are the following: Missing supporting documents as requested in the call. Missing signature and/or missing stamp on a document and/or failure in not using the official letter paper of the stakeholders institution. Correction of discrepancies in the electronic version of the application submitted compared to the paper version sent to the MA by post, which is considered the valid application in legal terms. In the first two cases, the listed missing and/or corrected documents, duly signed and stamped, shall be faxed to the CU (to the fax number that will be indicated in the communication) within five working days (counting from the day following the day of receipt of the fax as documented by the transmission report). Original versions shall in any case be dispatched to the CU by registered mail within the same deadline as indicated above. In case of discrepancies between the electronic and the paper version of the submitted application, the electronic version corresponding to the paper version submitted shall be sent by to the CU (to the address indicated in the communication) within five working days (counting from the day following the day of receipt of the fax as documented by the transmission report). 10

243 Any document delivered after the deadline given will not be considered. If the content of an expression of interest should not relate to the type of action set out in the call, it can be further considered in the selection procedure for the type of action it fits to, given that (1) this particular type of action was also covered by a call for expression of interest at the same time; and (2) subject to approval of the stakeholder(s) having submitted the expression of interest. In the event that the type of action, the application should actually be allocated to, was not subject of a call for expression of interest at that specific point in time, the application will be considered ineligible and the respective applicant will be notified accordingly. The outcome of the eligibility checks has to be confirmed by the MC. Only those expressions of interest that will have fulfilled the eligibility criteria will be subject to the subsequent qualitative evaluation. Stakeholders that submitted ineligible applications will receive a notification letter specifying the non-fulfilled eligibility criteria. Evaluation criteria The evaluation is based on a scoring system and results in a list of expressions of interest that is forwarded to the MC for decision. This second step in the selection procedure serves to assess the relevance of the expressions of interest regarding the existing knowledge available, primarily within the ESPON Programme, and of the specific call to which they respond. It also looks into the impact of each proposed project idea, i.e. its importance and operational use for stakeholders involved in territorial development on EU, national and regional level. The general evaluation criteria that need to be met by all expressions of interest, independent of the type of action they address, are the following: 11

244 GENERAL EVALUATION CRITERIA 1. Presence of a European perspective/dimension in the targeted analysis. 2. Degree of transferability and added value of expected results (e.g. geographical coverage of stakeholders involved should be typical for a certain typology of cities/regions). 3. Operational use and implication of the analytical results envisaged by the stakeholders involved (e.g. how are the results related to stakeholder processes?). 4. Degree of competent involvement of stakeholders in the targeted analysis (e.g. how do they intend to provide appropriate know-how and give access to all necessary data and documents for analysis to the team of experts?). 5. Measures for the dissemination of the experience made with project results (e.g. are they conceived in such a way that a wide target group can be reached?). 6. Contribution to the expected results and impacts of the ESPON 2013 Programme (e.g. has the theme/topic already been covered by another action under Priority 2?). In addition, one specific criterion will be taken into account for each of the three types of action: SPECIFIC EVALUATION CRITERIA Depending on Type of Action 1. Integrated studies and thematic analysis Degree to which the action provides new comparative insight and understanding of the state, trends, perspectives and/or policy impacts from a European perspective for the territories, regions and cities involved. 2. Knowledge support to experimental and innovative actions Degree of innovative and/or experimental character of the action and ability to approach major territorial challenges (e.g. has the approach/methodology been applied before in this particular type of territory?). 3. Joint actions related to other Structural Funds Programmes Depending on whether the action is supposed to be of more traditional character or more innovative character, one of the two above mentioned criteria will apply. Stakeholders should, when expressing an interest, give a brief presentation of the territory for which the analysis should be conducted (incl. key data on size, population, economic strength, challenges). 12

245 Stakeholders submitting an expression of interest should nominate one representative that will function as Lead Partner. Each criterion will be awarded a score between 0 5. Half marks can be given, too. The scores indicate the following with respect to the criterion under examination: 0 - The proposal fails to address the criterion under examination or cannot be judged due to missing or incomplete information. 1 - Very poor. The criterion is addressed in a cursory and unsatisfactory manner. 2 - Poor. There are serious inherent weaknesses in relation to the criterion in question. 3 - Fair. While the proposal broadly addresses the criterion, there is space for improvement. 4 - Good. The proposal addresses the criterion well. 5 - Excellent. The proposal addresses convincingly all relevant aspects of the criterion in question. Each criterion should be scored with a value of at least 3. Expressions of interest that fail to achieve the minimum score will not be further considered in the selection procedure. The expressions of interest will be marked and assessed exactly as they are described and presented. No assumptions or interpretations about the project idea will be made in addition to what is in the application. Concise but explicit justification will be given for each score. Evaluation forms with no concluding comments will be declared inadmissible. Equally, evaluation forms carrying handwritten corrections of scoring are declared inadmissible if they are not accompanied by handwritten initials. Any recommendations for improvements to be proposed to the stakeholders will be included as well. The assessment will be prepared for the MC by the CU. Once the individual assessments are completed, the evaluation proceeds to a consensus discussion, integrating the views of those having taken part in the assessment. A consensus report will be produced, also including any proposals for improvements. Consensus reports with hand-written corrections will be deemed inadmissible. The content of the assessment will not be published or forwarded to persons or institutions which are not directly engaged in the evaluation or decision making. The project idea itself included in the expression of interest, as well as the description, concept and structure of the idea for a targeted analysis remains the property of the stakeholder(s) behind the idea. Decision making Decisions on project ideas for targeted analysis will finally be made by the MC of the ESPON 2013 Programme, based on the results of the eligibility check and of the evaluation of the EoI. All EoI will be evaluated and the result of the evaluation will generate a ranking of the EoI received for the call in question. After having decided on the eligibility of EoI, the MC will approve the best applications resulting from the ranking of EoI. 13

246 The number of EoI that will be approved will be decided by the MC prior to the launch of a call for EoI. This will be done either as a specific number of EoI or as a total budget allocation for the implementation of the related Targeted Analyses. The decision of the MC will opt at a selection of EoI that ideally includes actions from the three different types of actions. The result of this exercise will be made transparent by providing the MC with a list including all expressions of interest received and the information below: The scoring resulting from the evaluation and the result of the eligibility check. A compilation of suggestions for improvements from the assessment of the expressions of interest that could include proposals for merging expressions of interest and/or improve the content of the targeted analysis envisaged. For the approval of the best EoI, provided that the above conditions are met (i.e. eligibility and evaluation criteria), the following factors might as well be taken into account by the MC in case of equality in scoring: Relevance of the proposed project idea with respect to the type of action(s) covered by the call and with respect to the programme. A reasonable involvement of partners from Member States having entered the EU after 1 st of January Following the decisions of the MC, all stakeholders, having submitted an expression of interest, will be informed in written about the outcome of the selection procedure. All stakeholders whose expression of interest could not be approved will receive a notification letter with brief information on the assessment results. Similarly, all stakeholders behind approved expressions of interest will receive a letter from the MA (CU) stating the decision of the MC as well as a maximum budget foreseen for the targeted analysis. The decision may include certain recommendations for improvements deriving from the results of the evaluation assessment, which will be discussed with the stakeholder when setting up the project specification. Selected project ideas will at a next stage be developed into project specifications/terms of reference for a call for proposal/tender. 3.5 Setting up the analysis Role of the stakeholders in the setting up phase Stakeholders whose project ideas have been accepted by the MC will be considered partners in the further specification and setting up of the targeted analysis. This involvement will include the elaboration of detailed project specifications/terms of reference as well as the assessment of proposals/tenders from potential TPG/team of experts supporting the decision of the MC on the most suitable project and TPG/group of researchers/expert. Stakeholders will be fully involved in carrying through targeted analysis, not only by taking part in the development of the action but also by providing information to the analysis, such as detailed data and qualitative inputs. The involvement of stakeholders 14

247 will provide for knowledge support and can be organised in the form of a Steering Committee following the implementation of the action. Stakeholder organisations at European level, e.g. organisations representing (types of) regions and cities as well as international networks related to EU regional policy or other policy areas, can eventually be invited on their own expenses to participate in the steering of the project should the stakeholder(s) wish so Elaboration of Project Specifications/Terms of reference On basis of the financial volume allocated by the MC, project specifications or terms of references will be elaborated. The stakeholders behind the selected project ideas will be involved in specifying the analytical delivery to be provided by the project. This will ensure the highest possible usefulness of results and the commitment by the involved stakeholders. The drafting of project specifications/terms of reference will be supported by the CU. The ESPON Concertation Committee can give advice in the process of elaboration Cooperation agreement with stakeholders Once the project specifications/terms of reference are tabled for MC decision, a Stakeholder Cooperation Agreement on the targeted analysis shall be concluded between stakeholder(s), represented by a Lead Stakeholder, and the ESPON MA. This agreement will be signed by both sides before the launch of a call for proposal and should provide for the following aspects: - The intention of use of the results from the targeted analysis. - The commitment of representative(s) of the stakeholders in setting up the project specification/terms of reference. - Their involvement in the assessment of the best proposal/tender. - Their active participation in the steering of the project including meetings with the selected team of experts (i.e. kick-off meeting, intermediate meetings, final meeting). - The obligation of stakeholders to submit a report at the latest 12 months after the final delivery of the targeted analysis, evaluating and giving evidence of its usefulness and application as well as any shortcomings, etc. - The commitment of stakeholders to disseminate widely the experience from the targeted analysis, including key messages translated in the language(s) of the stakeholder(s). - The provision of human resources and funds necessary for the stakeholder involvement in the partnership. The Stakeholder Cooperation Agreement is necessary as a commitment of stakeholders to the project and as basis for the MC s decision to allocate funds to the targeted analysis. 15

248 3.5.4 Partnership between stakeholders and TPGs/teams of researchers As outlined above, a close partnership between stakeholders and researchers is important for achieving successful results of the targeted analysis. In the setting up of the analysis it will be sought to meet the following requirements: Persons with solid competences, both from the stakeholder and the researcher side. The cooperation must be based on mutual trust and respect and be oriented towards the requested outputs. Communication is a key word. Individual solutions for each project are therefore necessary, depending on the partners and the character of work. The stakeholders will be responsible for providing their practical knowledge and input on their needs. They should also make efforts to facilitate data not readily available. Stakeholders should respect the requirement for the results to be of European relevance. They are obliged to participate in the dissemination of results and must commit to the necessary involvement throughout and particularly after finalisation of the analyses. The TPG/team of experts must accept that targeted analyses are more applied than applied research in the sense that they take their starting point from user demand. Therefore they may be comparatively far away from traditional research. A combination of a good understanding of the subject matter, willingness to listen to users and ability to address users needs in a practical language is necessary. The language issue concerns both, the ability to communicate in an easily understandable manner as well as the use of the languages most appropriate for the end-users. Cooperation between the TPG/team of experts and stakeholders is a key factor for the use of the results of Priority 2 projects. The results must be scientifically solid and the stakeholders must feel confidence in the accuracy of project results. Conclusions must be expressed in a non-technical language, and delivered in time to be fed into policy development processes Deliveries and outputs expected The targeted analyses financed under Priority 2 will have to approach the issues raised in the project specification/terms of reference developed for each project, by providing solid and targeted analysis of relevant territorial structures, trends, perspectives and impacts in relation to the socio-economic reality. The concrete deliveries and outputs of each project will be specified in the respective project specifications/terms of reference. The deliveries will concentrate on (1) the output from the targeted analysis to be provided by the TPG/team of experts and (2) supporting events (e.g. workshops) during project implementation that can contribute to the usefulness of the analysis for the stakeholders. The analytical delivery shall reflect current scientific knowledge and methodological standards and should be presented in such a way as to ensure the practical use. The TPG/team of experts will be requested to strictly follow the given timetable for the implementation of the project defined together with the stakeholders involved in order to coordinate towards and fit into the latter s relevant agenda. 16

249 The project specifications/terms of reference for each project elaborated together with stakeholders will define the detailed project implementation, inputs from stakeholders to the project, the exact outputs and deliveries and their optimal timing. The size and length of the individual project will influence the outputs and deliveries. However, as a general indication, the following outputs will normally be the minimum requirements for team of experts conducting a targeted analysis: - An Inception report, consisting of max. 20 pages (plus annexes if relevant), based on the approach outlined in the project proposal/tender, and to be submitted normally twelve weeks after the Kick-off Meeting will have taken place. The inception report consists of two parts. In its content part it should provide a more detailed overview of the analytical approach to be applied, the methodology and hypothesis for further investigation, as well as the main literature, data sources, etc. The inception report should throughout the lifetime of the project serve as a basis for assessment of project development. Furthermore, in its financial part - with the completion of the template provided by the Programme - the Inception report should as well detail the break down of the project s budget on the individual partners per budget line. - Interim report(s) depending on the project duration, consisting of max. 50 pages (plus annexes if relevant), and containing an executive summary, outline of methodology, presentation of main results achieved so far, and description of further proceeding. - Draft final report, consisting of max. 50 pages (plus an executive summary of max. 10 pages) of the main results, covering the analytical delivery, its (prospects of) operational use and the elaboration process conducted together with stakeholders. - Final report, as a revised and improved version of the draft final report on the basis of comments received from the stakeholders involved, the MC and the CU. The Final report is considered the main analytical output of the project. However, stakeholders use in practice of the knowledge provided is a main objective for the targeted analysis as well. Deadlines for the submission of the above mentioned reports will be specified in the project specifications/terms of reference and in the subsidy/service contract and will coincide with the deadlines for the submission of progress reports/invoices whose approval will allow for the release of the reimbursement of the incurred costs. Related to the targeted analytical delivery the TPG/team of experts will have (as far as relevant) to comply with the following series of compulsory deliveries: - Delivery of data and maps produced within the framework of the targeted analysis for their inclusion in the ESPON scientific platform (for maps this should be in a vector format stored in.eps,.pdf or.ai files, whereas for databases this can be in any MS Access compatible format). Maps should be created in two separate layers so that they lend themselves better to further use. The first layer should consist of the map itself i.e. geographical limits, colours, symbols used in the map, etc. The second layer refers to the legend and captions of a map that could be translated by Member States to their respective language to ensure a better dissemination to regional and/or local stakeholders. The maps have to be delivered both in a resolution format which is 17

250 suitable for presentations, web services, etc., and in a high-resolution format (minimum 300 dpi) which can be easily used for printing. Considering the development of new data and maps and/or the use of existing data, all experts working on projects under Priority 2 should ensure a close cooperation with the experts being in charge of the development of the ESPON 2013 Database. - Delivery of models developed within the framework of the targeted analysis to be included in the ESPON tool box and be made accessible to others. - Dissemination of the analytical project results in the framework of international conferences and seminars, e.g. transnational activities of the ECP Network, events organised by the CU. Dissemination activities must be foreseen in the project proposal and be included in a specific work package number 3 Dissemination. However, project teams should consider that their core activity is implementing a targeted analysis. The allocation of resources across all work packages shall consequently reflect this aspect. In addition, to ensure the consistency of a project s dissemination activities with respective activities organised at Programme level, the project team should take into consideration the objectives and actions of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking, make use of these facilities and opt for complementarity. - Presentations of the status-quo of their project at ESPON seminars which will be organised twice per year 3. Reports have to be delivered both as a printed version via mail directed to the postal address of the ESPON CU as well as digitally by (or the most adequate media) directed to the ESPON CU (in case the size of the files does not allow for sending by e- mail the reports can de delivered by upload on the dedicated programme intranet.). Aiming at full transparency, the CU will upload reports received on the ESPON website. Deadlines for the submission of the above mentioned report will be specified in the project specifications and in the subsidy contract and will coincide with the deadlines for the submission of progress reports whose approval will allow for the release of the reimbursement of the incurred costs Application procedure All projects of targeted analysis financed under this priority will be subject to calls for proposal, with the exception of projects which budget is estimated not to exceed The latter will be commissioned as service contracts according to EU and Luxembourgish public procurement legislation. The information provided below and in the following 3 If this seems reasonable, depending on the period of time the project will have been underway by the time of the first ESPON seminar within the project s period of implementation (at least 5-6 months). Depending on the nature of the ESPON seminar internal seminar or one open to all those interested in the programme and its achievements the presentations will have to address different aspects of the project. (Whereas in an internal seminar individual steps of project development and advancement will be interesting for the audience, in the framework of an external seminar the eventual findings should be in the focus of the presentation.) 18

251 chapters is relevant only for calls for proposals. General information on the tendering procedure process will be provided in chapter As soon as the launch of a particular call for proposal will have been decided by the MC, a pre-announcement of the call will be issued, providing information on the themes that will be included in the call. The pre-announcement will be widely published on the ESPON website, in the ESPON newsletter as well as in the Official Journal of the European Commission, C series. At the same time, the Member and Partner States participating in the ESPON 2013 Programme will be informed about the planned call for the information to be nationally disseminated to potential Lead and Project Partners. The pre-announcement will normally be issued eight weeks prior to the publication of the call for proposal. The pre-announcement procedure is supposed to facilitate the submission of a proposal at a later stage, by giving interested beneficiaries a chance to prepare on beforehand. Normally, TPGs/teams of experts, composed by competent eligible beneficiaries of the programme/ researchers/experts, are foreseen to provide the targeted analysis. The preannouncement of the targeted analysis gives an opportunity to incorporate ideas of all partners equally, thus ensuring a high level of commitment to the project. As an additional advantage partners can test during this preparatory phase how the cooperation works before eventually starting implementing actual project activities. Upon the publication of the call for proposal via the same channels as the preannouncement - the respective project specifications/terms of reference will be made available on the website of the ESPON CU ( outlining the thematic scope of the project, its general objectives, and primary research issues envisaged as well as expected results and a timetable for deliveries. Calls for proposal will be usually kept open for two months (40-45 working days). Proposals should be submitted according to the application requirements provided and specified in the relevant application pack. Standardised application forms will be provided by the ESPON 2013 Programme. Automatic registration of proposals will be ensured Selection procedure The selection procedure starts immediately after the deadline set for submitting project proposals. It consists of two distinct assessment parts, an eligibility check and an evaluation. The two parts will time-wise run in parallel. The MC will first decide on the eligibility of proposals received before addressing the results of the content related evaluation resulting in a ranking of the best proposals. The MC will select the best eligible proposal according to the ranking resulting from the content related evaluation. The MC takes the final decision on project approval. Eligibility criteria Project proposals will be checked against the eligibility criteria in order to ensure that they fulfil the technical requirements of the Programme. The eligibility assessment will be performed by the CU. 19

252 The check of the eligibility criteria will be documented by ticking boxes of yes or no, depending on whether the respective evidence has been provided or not. Each project proposal to be evaluated has to fulfil the following criteria: ELIGIBILITY CRITERIA 1. Application has been submitted in due time in original and electronic version. 2. Application is complete and includes the requested administrative forms and supporting documents requested as well as the anonymous proposal (the list of supporting documents required will be provided in the specific call) properly filled in. 3. The content of the proposal relates to the topic(s) set out in the call. 4. The partnership involves at least the minimum number of participants given in the specific call. 5. All partners are eligible (including that solvency of private partners involved is confirmed by the respective Member/Partner States) 6. The budget limits have been respected. In case the CU should detect, during the eligibility check phase, one or more of the following omissions in applications received within the deadline given, which would lead to the application being deemed ineligible, the respective Lead Partner will be informed in written by fax and offered a maximum of five working days (counting from the day following the day of receipt of the fax as documented by the transmission report) to correct the omission(s). The correctable omissions are the following: Missing supporting documents as requested in the call. Missing signature and/or missing stamp on a document Correction of discrepancies in the electronic version of the proposal submitted compared to the paper version sent to the MA (CU) by post, which is considered the valid application in legal terms. In the first two cases, the listed missing and/or corrected documents, duly signed and stamped, shall be faxed to the CU (to the fax number that will be indicated in the communication) within five working days (counting from the day following the day of receipt of the fax as documented by the transmission report). Original versions shall in any case be dispatched to the CU by registered mail within the same deadline as indicated above. In case of discrepancies between the electronic and the paper version of the submitted application, the electronic version corresponding to the paper version submitted shall be sent by to the CU (to the address indicated in the communication) within five 20

253 working days (counting from the day following the day of receipt of the fax as documented by the transmission report). Any document delivered after the deadline given will not be considered. After completion of the eligibility check and following the decision of the MC on the final eligibility outcome, the evaluation takes place. The Evaluation Committee will be made up of two MC members or experts nominated by the MC, a representative of the European Commission and a representative of the Stakeholder Consortium. MC members should be prepared to participate in an Evaluation Committee on a rotating basis. The Lead Applicants of these ineligible applications will receive a notification letter specifying the non-fulfilled eligibility criteria. Only those proposals that will have fulfilled the eligibility criteria will be subject to the subsequent quantitative evaluation. Evaluation criteria In parallel with the check based on the eligibility criteria, the evaluation of all project proposals will take place. The Evaluation Committee will be made up of MC members or experts nominated by the MC and representative(s) of the European Commission as well as a representative of the respective stakeholder consortium, normally the Lead Stakeholder. MC members should be prepared to participate in an Evaluation Committee on a rotating basis. The check of compliance with the evaluation criteria is based on a scoring system and result in a ranking list of all project proposals received. This step in the selection procedure serves to assess the relevance of the proposals regarding the priorities and objectives of the ESPON 2013 Programme and of the specific call to which they respond. It also looks into the impact of each proposed project, i.e. its importance for stakeholders involved in territorial development on EU, national and regional level. The evaluation will be based on three types of selection criteria: - Content related criteria, referring to the anonymous scientific part of the proposal; - Management related criteria, and - Partnership related criteria. 21

254 Content Related Criteria 1. Sound concept and quality of the objectives and deliveries (e.g. can the objectives be realistically achieved through the proposed approach and methodology?). 2. Position/innovation in relation to the state-of-the-art in scientific excellence (e.g. does the approach and the results aimed at bring a clear added value compared to other current or past initiatives?). 3. Contribution to advancement of knowledge (e.g. is the project of complementary character to existing research and will not duplicate existing work?). 4. Quality and effectiveness of scientific methodology and associated work packages (e.g. are components of the analysis logically interlinked?). 5. Contribution to the expected results and impacts of the programme (e.g. how many themes, topics and experiments will be covered by the actions realised? How many types of specific territories are covered by the actions realised? To which degree will the outcomes of the actions be cited in publications at European, national and regional level?). 6. Appropriateness of measures for the dissemination of project results (e.g. are they conceived in such a way that the adequate target group can be reached and transfer of results achieved?). Management Related Criteria 1. Appropriateness and clarity of the management structure and the plan for project implementation (e.g. is the Lead Partner experienced in project management? Are procedures for decision-making and monitoring transparent? Is the timing of work packages convincing?). 2. Transparency of procedures related to ERDF requirements (e.g. are the required audit procedures, that need to be established, in place and are all project partners aware of them?). 3. Appropriateness of the allocation and justification of the resources (budget and staff) among the different work packages and project partners (e.g. is the break down of budget to partners adequate?). Partnership Related Criteria 1. Quality and relevance of the competences/expertise present and of the transnational project group as a whole (e.g. are the relevant partners involved, contributing the required knowledge and experience and are their specific fields of expertise taken account of?). 2. Quality and experience of the individual partners (e.g. does the accumulated academic and professional background of the team enable to deal with the thematic and methodological challenges of the targeted analysis? Do the partners provide sufficient experience for ensuring smooth partnership with stakeholders?). 22

255 Each criterion will be awarded a score between 0 5. Half marks can be given, too. The scores indicate the following with respect to the criterion under examination: 0 - The proposal/tender fails to address the criterion under examination or cannot be judged due to missing or incomplete information. 1 - Very poor. The criterion is addressed in a cursory and unsatisfactory manner. 2 - Poor. There are serious inherent weaknesses in relation to the criterion in question. 3 - Fair. While the proposal/tender broadly addresses the criterion, there are significant rooms for improvement that would need to be included. 4 - Good. The proposal/tender addresses the criterion well. 5 - Excellent. The proposal/tender successfully addresses all relevant aspects of the criterion in question. Each group of selection criteria has a total number of points. No weighting will be applied. However each criterion should be scored with a value of at least 3. Proposals that fail to achieve the minimum score will not be further considered in the selection procedure. The Evaluation Committee will convene after the closure of the call. However, taking into account the time needed for the correctable omissions and the necessity of the final approval of the eligibility outcome by the MC, slight delays might occur. Evaluators will assess and mark the proposal exactly as it is described and presented. The evaluation will follow two steps of assessment and scoring: (1) the anonymous content related part and (2) the management and partnership related part. Evaluators will not make assumptions or interpretations about the project in addition to what is in the proposal. Concise and explicit concluding justification will be given for each proposal as well as comments to scores, where relevant for the evaluator. Evaluation forms with no concluding comments will be deemed ineligible. Equally, evaluation forms carrying handwritten corrections of scoring are declared inadmissible if they are not accompanied by handwritten initials. Recommendations for improvements to be discussed as part of a possible contracting will be given, if needed. Once all the members of the Evaluation Committee have completed their individual assessments, the evaluation proceeds into a consensus discussion, supposed to represent common views and comments of the evaluators. The consensus discussion, which also includes a ranking of proposals, is moderated by the CU who also establishes a consensus report containing as well the recommendation for improvements suggested by the Evaluation Committee. Consensus reports with hand-written corrections of scoring will be declared ineligible. Provided that several proposals score equally, other factors might as well be taken into account: - A reasonable geographical distribution of project partners. - A reasonable involvement of partners from Member States having entered the EU after 1 st of January

256 The CU is responsible for a final review of the consensus reports for each project specification included in the call. The main objectives of this process are: - To review cases where a minority view was recorded in the consensus report; - To recommend a priority order for proposals to the MC on the basis of the consensus report in the case where the Evaluation Committee could not reach a consensus on the best proposal and/or in the case of equal scoring of several proposals that will require the MC to consider the additional criteria mentioned above. Taking into account the importance of the TPG/team of experts managerial capabilities for the correct project and programme implementation, the MA will, through the CU, separately assess the Management Related Criteria of the submitted proposals. Should the result of this separate and independent assessment be different from or add to the one obtained by the Evaluation Committee, the recommendations of the CU to the MC will take this opinion of the MA into account. By signing confidentiality agreements (using no-conflict-of-interest forms) members of the Evaluation Committee guarantee their independence and impartiality during the assessment as well as that the privacy and confidentiality of all proposals will be kept. Declarations of no-conflict-of-interest with negligence mistakes are declared inadmissible. The content of the proposals should not be published or forwarded to persons or institutions which are not directly engaged in the evaluation or decision making. The proposal on the targeted analysis itself, as well as the description and concept of the project and the structure of the application, remain the property of the project applicant. Decision making As indicated in the previous section, the decisions on approved projects will be made by the MC of the ESPON 2013 Programme, based on the results of the eligibility and evaluation processes. For each theme, the MC will approve the best eligible proposal resulting from the ranking of the content related evaluation (only one proposal will be approved for each of the themes). This decision will be notified to all Lead Applicants soon after the MC decision. All the Lead Applicants of the approved projects will receive a letter from the MA (CU) stating the decision of the MC as well as the total ERDF, EU Member States and eventually Partner States national funds approved. The MC decision may include certain conditions, recommendations and/or suggestions for improvements. In this case, the process of contracting, managed by the CU, will include a necessary revising/amending of the proposal for the targeted analysis. The result of this procedure will be the basis for concluding a Subsidy Contract. All the Lead Applicants of the non-approved projects will receive a notification letter with brief information on the assessment results. In case Lead Partners of non-approved proposals are not satisfied with the decision of the MC, they may put forward an appeal (for more detail on the appeal procedure, please refer to chapter 8.12 of the Programme Manual). 24

257 3.5.8 Contract and duration The proposals that are selected for funding and that fulfil the conditions set by the MC will receive a Subsidy Contract, concluded between the MA and the respective Lead Partner of the project. The Subsidy Contract shall determine the rights and responsibilities of the Lead Partner and the MA, the scope of activities to be carried out, terms of funding, requirements for reporting and financial controls, etc. A model of the Subsidy Contract is available on the Programme website ( The size and duration of projects can vary depending on the user demand for targeted analysis and the timing of the use of results envisaged Budgetary details TPG/team of experts conducting a targeted analysis under Priority 2 will be granted a subsidy covering 100% of the real eligible costs incurred for carrying out the project approved. Funding will be made available by the ERDF, the national co-financing will be ensured by EU Member States at programme level and, eventually, by Partner States. Each call will indicate the maximum budget available related to individual project specifications included in the call. The ESPON 2013 Programme will be able to financially support the analytical part of the collaboration, but not the coordination of the actors themselves Procedures related to projects up to Projects with a budget up to can be contracted directly by the ESPON MA as a MA led project. In practice this means the MA will launch of a call for tender based on a decision of the MC on the content of the service to be provided. The MA will follow a tendering procedure including all necessary elements of publication, submission of tenders, selection, award and contracting following the rules set out in the Luxembourg public procurement law and related implementation provision as well as EU legislation. 4 4 Luxembourgish law of 30 June 2003, Règlement Grand Ducal (RGD) of 7 July

258 The ESPON 2013 Programme APLICATION PACK Priority 1 and 2 for researchers Programme Manual on Implementation Subsidy Contract Template Partnership Agreement Template Requirements for Private Partners

259 Programme Manual Chapter 8 Version 16 September Project application, management and implementation 8.1 Application and selection The application should be developed in close cooperation with the future project partners, as this is a requirement for projects financed under the European Territorial Cooperation objective of Structural Funds Programmes in the period The preparation of a good application goes beyond the answer to the specific elements that are subject of the call and is based on the principles of joint development and joint implementation, where joint refers to the entire partnership. Partners should carefully study the Programme documents and the information provided in this Programme Manual. Applications have to be completed in English as this is the working language of the programme. Applications submitted in another language will be considered as ineligible. The Application Form will be provided by the Coordination Unit. The Application Form consists of a standardised Excel and Word forms as well as separate annexes which type and number will depend on the legal status of the partner(s) forming the partnership and the type of project you will be applying for. The standardised Excel form is characterised by a number of automatic links and formulas. Thanks to these functionalities, error messages will appear in the form if this is not properly filled in. The protection of the Excel document must not be removed. This will significantly reduce the risk of submitting ineligible applications. Detailed instructions on how to fill in the Application Form are provided in the Application Form itself. Applications can be submitted at any time between the launching of the call and its closing date. The characteristics of each call have to be carefully checked by applicants on the programme s website The Application Form must be submitted: Electronically by AND In two paper versions, one duly signed ORIGINAL and one COPY of the original (unbound hard copy) by post. These paper versions will be considered as the official application. The above documents have to be sent to the Coordination Unit within the set deadline for the call for proposals. The electronic version of the application has to be submitted at the latest by the end date of the call. Similarly, the paper versions signed, stamped and dated has to be sent at the latest by the same date. This eligibility criterion will be checked through the date of the postal stamp on the envelope. In case further assistance is required on project development and/or the application procedure, applicants should not hesitate to contact the Coordination Unit. All the relevant information for project development and application including contact details for the Coordination Unit and for the ESPON Contact Points can be found on the programme s website 1

260 The CU will regularly organize individual consultations or workshops for potential applicants. Information will be provided on the ESPON website. Eligible bodies Following the decision of the MC on 17 March 2009, call for proposals are open to (1) public bodies and bodies governed by public law 1 as well as to (2) private bodies 2. According to Article 6 (4) of the Agreement, the CU, when assessing the eligibility of the application, will ask Member States and Partner States to verify that any Project Partner under private law meets all the established legal conditions. In particular member States and Partner States will have to certify, on the basis of documents provided as part of the application procedure, the solvency of any private partner involved. This condition is considered as an eligibility criterion and proposals including private partner(s) whose solvency will not be positively confirmed will be declared not eligible. The updated list of country specific documents that have to be provided by each private partner will be made available on the ESPON 2013 website at the moment of the preannouncement of the call for proposals. Projects can only involve contributing partners. It is not possible to participate with an observer status. It is neither possible to participate as a sub-partner and to receive ERDF funding through another partner organisation/umbrella organisation officially listed in the Application Form. Any organisation that contributes to the implementation of the project and receives programme funding has to be listed as a formal project partner. In all other cases, any form of participation in the project would be considered as sub-contracting by one of the formal partners and requires the respect of national and European procurement rules and a full payment from the partner on the basis of a contract and invoices before asking the reimbursement of this cost by including it in a Project Progress Report. 8.2 Contracting Subsidy contracts A Subsidy Contract governing the obligations of the Transnational Project Group (TPG) and its relation to the ESPON 2013 Programme will be signed between the Lead Partner, as representative of the TPG, and the ESPON Managing Authority. The contract is concluded in Euro. To ensure a sound and efficient implementation of the project, the Subsidy Contract may only be concluded after the MA has received the confirmation that adequate control 1 According to Directive 2004/18/EC, Art. 1 2 Taking into account the different and higher responsibility of Lead Partner in relation to the implementation of the projects, private partners are advised to carefully consider the opportunity to take up the LP role. 1

261 systems according to Article 16 of Regulation (EC) No 1080/2006 have been set up in the respective Member States, as set out in 1 (3) and 5(2), and after the ultimate financial liability according to Article 17 of Regulation (EC) No 1080/2006 has been confirmed for the beneficiary by the respective Member State Partnership agreement Partner institutions/bodies in each TPG are required to sign a Partnership Agreement (in English language) laying down the division of mutual responsibilities and rights of partners and ensuring a smooth work mechanism. A template will be provided by the ESPON CU. The value added of having such an agreement is, on the one hand, to reinforce each partners commitment to cooperate on a contractual and legally binding basis, and to ensure compliance with decision-making procedures as well as with EU and national legislation. On the other hand, the Partnership Agreement lays the basis for an optimal understanding of duties and responsibilities by all signatories. A template for the Partnership Agreement is available on the ESPON website ( The template provides mandatory clauses (Part A) and leaves then space for the partnership to add more details in Part B). Part A is mandatory and cannot be amended or changed. Part B is to be implemented by the partnership, but can by no way limit any clauses in Part A. The Partnership Agreement has to be signed by the Lead Partner and all the Project Partners. A copy of the signed Partnership Agreement must be submitted together with the Inception Report to the Managing Authority within twelve weeks from the kick-off meeting organised by the ESPON Coordination Unit. 8.3 Partnership in a Transnational Project Group (TPG) General partnership requirements ESPON projects are generally conducted in a partnership of several public, public equivalent and/or private bodies from at least three EU Member and/or Partner States (from three different countries taking part in the ESPON 2013 Programme). However, this requirement does not apply to projects with a budget up to for which a partnership is not required and proposals can be submitted by a single eligible body. Ideally, partners are experienced in cooperating in a transnational project setting and are acquainted with conducting applied research on a transnational level. In general, eligible bodies of all Member and Partner States of the ESPON 2013 Programme can take part in a TPG to conduct an ESPON project. Bodies from Third Countries that are not Member or Partner States can only be included in a TPG as external experts/suppliers of services and goods in case their specific expertise is required by the project. Participation as external experts/suppliers of services and goods is always possible, but in all cases, relevant public procurement rules shall be respected. 2

262 The maximum number of project partners is up to the TPG. In order to guarantee a sound and efficient management, though, TPGs might consider restricting themselves to a total number of five partners. However, a higher number of partners might be necessary as competences can be better covered that way and/or if partners are already experienced in cooperating with one another and have done so successfully. Outsourcing to external experts or suppliers of services and goods is an option for minor and clearly defined tasks related to the project. Finally, the TPG consortium should provide proof of the presence of sound management skills and awareness of EU Regulations and associated reporting, control and audit procedures Partnership requirements for projects under Priority 1, Priority 2 and Priority 3 The bodies making up a team should dispose of the required knowledge, analytical and research experience, resources and capacity to fulfil the task. The TPG undertaking an applied research project, targeted analysis and projects building the ESPON scientific platform should be well informed on the actual policy context of EU Cohesion Policy and territorial development (including in depth knowledge of relevant documents such as the ESDP, the CEMAT Guiding Principles for Sustainable Spatial Development, the Fourth Cohesion Report, the Green Paper on Territorial Cohesion as well as the Territorial Agenda of the EU and upcoming documents). In addition, staff members participating in the TPG should be familiar with all relevant Community policies and strategies (including the Lisbon/Gothenburg Strategy), and ideally with respective national policies, that are related to and/or have an impact on territorial development. The TPG should accumulate expertise in such a way, that the entire ESPON territory can be analysed in terms of its geographical coverage, as well as its national and regional characteristics, development policies and languages. The project team should encompass a multidisciplinary competence to ensure that both territorial and socio-economic analysis can be carried out with sufficient levels of expertise. Preferably, partners taking part in a TPG should come from different countries participating in the ESPON 2013 Programme, which will help to meet the above mentioned requirements regarding geographical coverage, etc Partnership requirements for Transnational Networking Activities under Priority 4 Calls for proposals for transnational activities will be opened to the confirmed members of the ECP Network. Proposals will have to be submitted by a grouping of at least 3 ECPs and be formulated in the form of a strategy with objectives and a package of compulsory actions and, eventually, additional activities as indicated in section of this Programme Manual. The Lead Partner principle will apply to this type of actions Role and responsibilities of Lead and Project partners Each project must follow the so-called Lead Partner principle, which means that among the number of partners who carry out the project, one is appointed to act as Lead Partner (LP) and thus to form the link between the project and the CU/MA. 3

263 The Lead Partner takes over the responsibility for management, communication, implementation and co-ordination of activities among the involved partners. The Lead Partner Principle does not confer all project responsibilities to the LP. The latter is considered as the administrative link between the project and the programme, namely the project expert in charge at the Coordination Unit as well as the Sounding Board (if relevant) assisting the project. The LP is responsible for reporting progress to the ESPON 2013 Programme and transferring the programme fund to the project partners. However, the project partners are responsible for the correctness of their own actions and related expenditure. The following list gives an overview of the LP s responsibilities ( 3 ) in preparing, implementing and closing the project: - Signs and submits the Application Form on behalf of the partnership; - Should the project be approved, signs a Subsidy Contract with the Managing Authority for the total amount of the subsidy; - Establishes a Partnership Agreement (mandatory) setting mutual rights, obligations and duties between project partners; - Ensures the implementation of the entire ESPON project being responsible for the division of tasks among the partners involved in the project and ensures that these tasks are subsequently fulfilled in compliance with the Application Form and Subsidy Contract, - Ensures an efficient internal management and control system; - Makes sure that the project reports timely and correctly to the CU and that the expenditures presented by the beneficiaries participating in the project have been incurred for the purpose of implementing the project and correspond to the activities agreed between those beneficiaries; - Verifies that the expenditures presented by the beneficiaries participating in the project have been validated by the controllers; - Requests and receives payments of programme funding; - Transfers programme funding to the partners without delays in compliance with the amounts reported in the Project Progress Report and approved by the Programme. Project Partners through their Lead Partners have to provide confirmation to the MA/CU on reception of the funds in the Partner Progress Reports. All partners in a TPG should play an active role in developing and implementing the project. Key conclusions, changes to the project s strategy and other important decisions should be made jointly. Every partner is responsible for: - Carrying out those activities assigned to it in the approved proposal and further 3 According to Article 20.1 of the ERDF Regulation (EC) 1080/2006 4

264 outlined in the inception report; - Ensuring that expenditure has been certified by the approved controller. Additionally, project partners are required to sign the Partnership Agreement. The draft is provided by the ESPON 2013 Programme (see above ) The partners must provide adequate ancillary and support staff to back up the LP and the management team assigned to performing the service so as to ensure high-quality services and products. The Lead Partner is responsible for the overall project delivery of the results. The LP must make sure at the beginning of the project that the duties and requirements for implementation of the project in terms of validation and/or certification of expenditure by project partners are clear and communicated to all project partners. Moreover, it is advisable for the LP to tailor the financial management structure according to these requirements and the individual project partner profiles (size of budget, types of expenditures involved, types of audits required etc.). It is of greatest importance that the regular input to required Project Progress Reports is guaranteed and that the project partners transfer the information in time to the LP. In order to ensure this, project partners shall add a respective clause in the Partnership Agreement according to which they have to transmit to the LP the necessary documents (e.g. First level financial control documents, Partner(s) Progress Report) by at the latest two months before submitting the Project Progress Report. In addition, the LP should inform all partners about the filing requirements and the storage of project accounting evidence. Lastly, it is important to adhere to project specific requirements. The full administrative, financial and legal responsibility for the operation is with the Lead Partner. In order to ensure these tasks, the Lead Partner has to set up an efficient and reliable: Management and control system; Co-ordination system; Audit trail. For this purpose each operation should appoint or sub-contract the following two positions for project management: - A coordinator The coordinator is responsible for the organisation of the project s work. The coordinator should be qualified in management of transnational projects as well as in the thematic priority of the project. The coordinator should be able to act as a driving force in the partnership and to mobilise the partners in order to achieve the objectives laid down in the application within the given time. - A financial manager The financial manager is responsible for the accounts, financial reporting, internal handling of Programme financing. The financial manager should work in close 5

265 contact with the coordinator, the partners and the first level controllers in order to enable efficient financial management of the operation. The financial manager should be familiar with accounting rules, international transactions, EU and national legislation for the management of ERDF, public procurement and financial control. The financial manager of the Lead Partner as well as the financial managers of each project partner will have to attend the compulsory training organized by the CU upon financial matters. The travel expenditure incurred in relation to the training are eligible and can be included in the project budget. Both the coordinator and financial manager should be fluent in English for all communication with the CU and other bodies involved in the programme management. Additionally, in order to set up an audit trail within the TPG, the LP and the project partners can ask for the advice and support of the first level controllers, who are responsible for the validation of the expenditure respectively at LP s and at project partners level. The procedure for selecting the first level controller is described in Chapter 8.6. The LP of a project funded by ESPON can be either located in a Member or a Partner State. Lead Partners located in Partner States are not entitled to use ERDF funding for own expenditure. They may receive ERDF funding from the Certifying Authority only for the purpose of administering and transferring it to other partners participating in the respective project Partners from Partner States Upon invitation of the EU Member States, Norway, Switzerland, Iceland and Liechtenstein accepted to participate in ESPON 2013 as Partner States. As such, they will be considered full members of the programme and participate in decisions of the Monitoring Committee. Agreements have been established between the Managing Authority and the Partner States (see also chapter 7 on Programme Management, c. Agreement with Member States and Partner States). Eligible bodies from Partner States participate in the ESPON 2013 Programme under the same conditions as eligible bodies from EU Member States Bodies from Third Country Partners During the programme implementation it is the intention to consider involving further countries in the applied research and targeted analysis. EU Candidate Countries and direct neighbours of the EU will be primarily taken into account. Such countries are considered as Third Country Partners. Bodies located in these countries cannot take part in the activities as partners. Nevertheless, they can participate in a TPG as external experts on service contract base in case their specific expertise is needed by the project. Potential Lead Partners should contact the ESPON CU on this issue prior to including any individual or institution from 6

266 a Third County as external expert or supplier of services. The involvement of external experts or suppliers is subject to the respect of the relevant public procurement legislation. 8.4 Project budget It is important that projects consider financial issues from the very beginning. This approach requires the involvement of all partners in the preparatory work and planning meetings during the development of the project application. Time invested prior to the submission of the application results in strong partnerships with clear responsibilities and well justified budget allocations. Good preparation is one of the main factors to ensure a quick start of project activities after approval and smooth project implementation. The detailed budget should always be prepared on the basis of the activities needed to meet the projects objectives and the resources required to carry out these activities within the time allowed. The Application Form requires a budget: With a breakdown per budget line (BL); With a breakdown per Work Package (WP): there will be three work packages, WP1 for Coordination, WP2 for Activities and WP3 for Dissemination; With a breakdown per reporting period (payment forecast); With a breakdown per partner (PP). The CU strongly advises every project to develop a budget breakdown on Work Packages for each partner on a six-month period basis. This would ease the duty of the Lead Partner to build the budget for the whole partnership in the application phase and to monitor the partners performance in the implementation phase. 7

267 Figure 1 - Cost budgeting (Source: Interact Point Qualification and Transfer: Financial Management Handbook ; 2006; p. 80) 1. After having filled in the project time plan, the Lead Partner has an overview of the main activities by work package, the start date and end date of a project activity and the outputs. 2. The Lead Partner should precisely identify the partners which will be involved in carrying out the activities mentioned in the time plan. 3. It is advised to identify then a) the resources needed by each partner to complete the activities by work package; b) to approximate the related cost and to forecast the payment date; c) to reorganise these figures by budget line. 4. This leads to the detailed budget by partner, work package, budget line and sixmonth period. 5. By aggregating the partners detailed budgets, the Lead Partner gets the total estimated amount per budget line, work package and six-month period for the whole partnership for the Application Form Eligibility period With the exception of Preparation Costs (see hereunder), costs for the operations are eligible from the date of approval by the Monitoring Committee 4 to the end date of the 4 If a project is approved under conditions, the costs can still be eligible from the decision date of the Monitoring Committee (MC) provided that the project is finally approved later on. The implementation of 8

268 project. The Monitoring Committee is expected to select and approve the preferred proposal within 5 months after the end date of each call. Projects should normally be ready to start implementation at the latest within 2 months following the date of approval by the Monitoring Committee. End date of the project The project will have two official end dates which will be specified in the Subsidy Contract: - End date for content related activities (WP 2 Activities and WP3 Dissemination) and - End date for financial management duties (WP1 Coordination). In the application form the project will be asked to determine the end date of the content related activities. The application form will determine automatically the end date of the project by adding three months to the end date for content-related activities. This second date will have to be used by the project to close all administrative duties related to the financial management of the project closure (e.g. preparation of the Final Project Progress Report, payments of invoices, first level control of the expenditure, payment of the first level controller, etc.). All payments of the TPG have to be made before this second date in order to be eligible, otherwise the non-declared expenditure will be de-committed due to the fact that the programme as such is subject to an n+2 and n+3 automatic de-commitment rules. The last call for proposals will be launched on time to close all projects activities by 31 December 2014, as according to Regulation (EC) 1083/2006 Article 56, the programme has to end on 31 December Preparation costs Successful projects approved by the Monitoring Committee can receive programme funding for their costs related to the preparation of a project. Preparation Costs have to show a direct and demonstrable link to the development of the project. Typical activities during the preparation phase of a project are the following: - Development of the project idea and partner search in the Programme web site, - Meetings with the project partners, - Completion of the Application Form, - Participation in events organized in relation to the call and to the preparation of the proposal, individual consultation with members of the CU. These costs can be reported only under the budget lines (BL) Staff, Administration, Travel and accommodation, External Expertise and services The preparation costs must be further described in the Application Form and broken down into the same budget lines as the other components of the project. The activities the project activities in the period between MC approval and fulfilment of the conditions is thus undertaken at the project s own risk because it could theoretically happen that the project does not fulfil the conditions and thus is finally not approved. 9

269 must have taken place and the related costs incurred in the period between the publication of the pre-announcement of the call and the date on which the Application Form has been submitted to the programme. These costs must be paid out before they are reported in the first Project Progress Report. The eligible preparation costs cannot exceed the 5% of the total project costs as stated in the Subsidy Contract Budget lines The budget table in the Application Form foresees a sub-division into the following budget lines (BL): - Staff - Administration - Travel and accommodation - Equipment - External expertise and services For the personnel employed by the partner institutions officially listed in the Application Form For details please refer to section here below. Staff The staff budget line involves personnel costs for the time that the partner organisations staff spends on carrying out the project activities in accordance with the Application Form (full-time or a certain percentage of total working time). The persons whose staff costs are budgeted and later on reported must be directly employed by the partner organisations officially listed in the Application Form (e.g. internal project coordinator, financial manager, and financial controller) in compliance with country specific control requirements. It is not possible to report any staff costs of personnel external to the official partner organisations in this budget category. If the operation uses an external project coordinator, financial manager or external independent controller, the costs have to be specified, budgeted and reported under the budget line External expertise and services. Reporting staff costs While for budgeting purposes it is possible to use average rates and estimates, the reporting of staff costs has to follow the following principles: - The calculation has to be based on the actual salary rate (employee s gross salary + compulsory employer s charges in accordance with the national legislation) of the individual employee who is actually involved in the project activities. The calculation excludes any administration overheads. - If the staff is working less than 100% of its actual working time for the operation, the calculation must be based on the hourly rate resulting from the actual salary rate divided by the total number of hours workable by the staff member (on a yearly basis) for the partner institution. This hourly rate is then 10

270 multiplied by the number of hours actually worked on project activities (as registered in the time sheets of the staff member). - Staff costs must be supported by documents that permit the identification of the employment relationship with the partner organisation (working contract), the real costs by employee (pay slips, payment proofs, calculation evidence for the determination of the hourly rate), the overall workable time (according to national legislation) and the worked hours, spent on carrying out activities in the context of the operation (record of tasks, project specific time sheets). First level controllers must be provided with all these documents and must check their compliance before validating the expenditure. Staff costs are considered as a cash contribution as they are actually paid by the partner institution. Example The project coordinator is employed by the Lead Partner from January 2009 to December 2010 (two year contract). She will be working 100% of her time in the project only. The gross salary and compulsory charges for the employee amount to euro/year. Since the Lead Partner is located in Germany, the national legislation allows a maximum amount of workable hours of 1760 per year. The hourly rate for the coordinator will thus be: euro : 1760 hours= 25,57 euro This amount will have to be multiplied by the number of worked hours reported each month in the time sheet, in order to report the eligible cost. January: from the time sheet the total worked hours are 120 hours. Total cost per January is 25,57x 120=3068,4 euro. May: from the time sheet total worked hours are 19 hours. Total costs per May are 25,57x 19=485,83 euro. In November 2009 the project coordinator has her salary revised by the Management Board. The total charges for the employer increase from to euro per year. The hourly rate will have to be recalculated on a yearly basis, in order to account correctly the costs of November 2009 and December The hourly rate for the coordinator will thus be: euro : 1760 hours= 28,41 euro November: from the time sheet the worked hours are 122. Total costs per November are 28,41 x 122=3466,02 euro. December: from the time sheet the worked hours are 90. Total costs per December are 28,41 x 90=2556,90 euro. 11

271 Administration costs Administration Costs may include cost items such as Stationary; Photocopying; Mailing, postage; Telephone, fax and Internet; Heating, electricity; Maintenance of the premises where staff working on the project is located 5 ; Office rent. These costs may be: Direct general costs or Indirect general costs. While direct general costs can be identified as belonging directly to the project, indirect general costs (overheads related to the project activities) are calculated on a pro-rata basis. Please see the grey box here below for Calculation of indirect general costs. Administration costs linked to services provided by external experts must be included in the budget line External expertise and services. Administration costs (the sum of direct general costs and indirect general costs) cannot exceed 25% of the total staff costs. This threshold must be taken into consideration both in the application phase and in the reporting phase. This threshold applies both at partner level and project level. Reporting administration costs (direct and indirect) Administration costs have to fulfil the following criteria: They have to be eligible according to national rules and European regulations (in particular Regulations (EC) no. 1083/2006 Art. 56; no. 1080/2006 Art. 7; no. 1828/2006 Art. 48 to 53); They must be calculated on the basis of actual costs and capable of verification, i.e. based on factual elements in the accounting system which can be verified by an auditor. No lump sums, overall estimations or arbitrary keys are allowed! They must show a direct link to the operation s activities; They mustn t have already been financed from other EU-funds; They mustn t have already been included in other budget lines or cost items. 5 Examples of maintenance costs: cleaning services, services provided by caretakers, housekeepers, IT maintenance etc. 12

272 When it comes to reporting these costs, it has to be demonstrated that the administration costs reflect only costs which - Were really borne by the organisation, and - Were necessary for project implementation. If there have been problems with the reporting of administration costs in the past, it often resulted from partners trying to stretch the above-mentioned principles into grey areas. The reported administration costs have been artificially inflated through the inclusion of overhead cost categories which lacked a clear project link. In case of doubt, it can only be advised to exclude the cost categories in question from the calculation to avoid problems later on. Costs that cannot be reported under administration costs: office furniture, clothing, chauffeurs, maintenance cost for cars belonging to the institution (non exhaustive list). Calculation of indirect general costs In the case of indirect general costs (overheads related to the operation s activities) this means that the calculation is done pro-rata on the basis of the actual costs according to a duly justified, fair and equitable method that should remain the same during the whole implementation period. This means that the costs are charged to the operation to the extent that they represent a fair apportionment of the organisation s actual administration costs and have been necessary for the successful completion of the operation. The allocation of the organisation s eligible administration costs to the operation can be done for example on the basis of the following ratio: the ratio total number of people employed for the operation / total number of people employed by the organisation. This ratio should be properly documented and periodically reviewed. Travel and accommodation This cost category refers to travel and accommodation costs for employees of the partners incurred due to their participation in meetings, seminars, conferences taking place on the territory of the Member and Partner States. Any trip must be clearly motivated by the project activities and necessary for the successful project implementation. Travel and accommodation costs for EU partners for travelling outside the Member and Partner territory can be eligible if they: - Are for the benefit of the operation, - Are explicitly mentioned and justified in the approved application. Travel and accommodation costs for non partner organizations travelling to the EU can also be co-financed in the context of the project if the costs are budgeted, paid and definitely borne by one of the partners located in a Member or Partner State. 13

273 Travels from and outside the Member and Partner States are subject to prior approval of the CU/MA. Please note that approval will be given only in exceptional and duly justified cases. Travel and accommodation costs should be budgeted taking account of the national and/or internal rules of the respective partner organisation for reporting these costs later on. As a general rule the most economic way of transport and accommodation has to be chosen. Daily allowances for travel and accommodation are possible as long as the allowance is actually paid by the partner body to the employee and this is in line with the national or institutional conditions set for this partner body. Similarly to the Staff and Administration budget lines, the travel and accommodation budget is also reserved to the personnel employed by the partner organisations officially listed in the Application Form. The travel costs of any external experts participating in project activities and to be financed by the project have to be budgeted under External expertise and services. Reporting of the travel costs When it comes to reporting of the travel costs, it is necessary to keep proper documentation that provides justification for the travel: - Agenda of the meeting/conference/seminar; - Invitation to the meeting/conference/seminar; - List of participants; - Travel report related to the meeting/conference/seminar. For the accounting of the costs, it is necessary to keep proof of the: - Per diems, daily allowances; - Travel costs (e.g. boarding cards, tickets); - Invoices, receipts; - Records of the payments. Equipment This budget line refers to the depreciation of equipment necessary for the successful implementation of the project. This category usually refers to IT equipment such as a computer or a printer necessary for project activities and management. As project partners should already have the necessary equipment to implement the activities described in the application form, the purchase of equipment should remain exceptional. The breakdown for this BL will have to be specified in the application phase: the nature of the equipment to be depreciated, the partner responsible for it and the budget envisaged. The same level of detail will be monitored in the reporting phase. 14

274 Reporting equipment costs Equipment items that have been initially planned in the Application Form must be reported by depreciating the cost of the equipment, by applying national accounting regulations. It has to be ensured that the items: - Have not already been financed by other subsidies (e.g. EU, national or regional), and - Have not already been fully depreciated; - Are not already included as indirect costs in another category such as the administration budget line. The amount for equipment has to reflect the actual use of these items in the context of the project. If it is not exclusively used for project purposes, only a share of the depreciation quota can be allocated to the project. This share has to be calculated according to a fair, justified and equitable method. An inventory of the purchased items as well as the documentation of the method for reporting them (depreciation method according to national legislation) has to be kept for accounting, control and audit purposes. External expertise and services The term external expertise and services is applied to expenses paid by the partners on the basis of Contracts/agreement and Invoices/request for reimbursement to external service providers who carry out certain tasks for the operation because the partners lack the resources to carry them out themselves. These might include, for example: External project coordination or financial management, External independent financial control (in compliance with country specific control requirements), Website design and hosting, Writing, lay out, printing of promotion material, External event organisation, Meeting room rental and catering, Interpretation/translation, Studies and surveys, Data-sets, 15

275 External speakers and external participants in project meetings and events if the added-value of their participation and taking over the costs can be clearly demonstrated and the cost will be definitely paid and borne by partners officially listed in the Application Form. There are no fixed rates or ceilings established by the programme for budgeting and reporting external expertise and service costs. Normal market rates must be taken into consideration. The contracting of experts and service suppliers must comply with the public procurement rules applicable to the project partner (see Chapter 8.4.4). The external expertise or service has to be specified in the Application Form. In particular, the following elements should be described: the nature of the expertise or service, the partner responsible for contracting, the budget Eligibility of expenditure In order to be considered eligible, the costs must comply with the legal framework set by the following documents: - The Community rules at large (e.g. on public procurement, equal opportunities, environmental protection, competition on the common market etc.), and in particular the European Community Structural Funds regulatory framework i.e. Council regulation (EC) No 1083/2006, Commission Regulation (EC) No 1828/2006, Regulation (EC) No 1080/ The national rules applicable in the countries where the project partners are located 6. - The Programme Manual and programme rules at large, included guidelines and any provision originating from the Authorities of the programme. - The Project Specification for the respective call. - The approved and contracted Application Form. - The provisions of the Subsidy Contract. - The content of the Partnership Agreement. In case of discrepancies, the stricter rule applies Public procurement The procurement rules aim at securing transparent and fair conditions for competition on the common market. 6 In case of doubt on national applicable eligibility rules Lead and project partners should contact their appointed first level financial controller. 16

276 At the European Union level, a call for tender procedure is compulsory for contracts over a certain amount awarded by a public sector body (public supply, works or service contracts). At the level of each member state, other rules may exist, and may be more binding, notably with regard to the amount of the contract which requires the issuing of a call for tender. In any event, in the case of a project implemented with financial assistance from the ESPON 2013 Programme, the European regulations must apply to all such contracts awarded within the framework of the project ( 7 ). The purchase of goods and of services, as well as the order for public works, by public services or other public bodies is subject to Community and international/national rules. Thus all project partners and lead partners must comply with public tender/procurement regulations whenever they intend to contract an external organisation. Only costs based on public procurement procedures will be considered eligible for funding. These rules must also be applied by all the organizations listed as project partners in the application, if they are going to claim the costs in their Partner Progress Reports and want to receive funding from ESPON 2013 Programme on these costs. In practice this means that all project partners must apply the European regulations to all such contracts awarded within the framework of the project ( 8 ). In case national/regional rules set stricter requirements, then the stricter rules must be applied. For amounts below the thresholds set by the stricter rules, the CU advises projects to request at least three offers from three different providers before selecting the supplier. The European Commission has issued a Guidance Document determining the financial corrections that will be applied to expenditure co-financed by the Structural Funds for non compliance with the rules on public procurement. The document specifies the types of irregularities both in case of contracts regulated by EC public procurement directives and contracts outside the scope of EC public procurement directives. Lead and Project Partners are advised to take careful note of this document which is available on the ESPON 2013 Website under the section Legal Framework. Call for tender procedure on a European level The levels that trigger the obligation to issue a call for tender procedure are the following: Call for tender on a European level A call at European level is necessary whenever the amount of a public service contract is equal to or greater than the relevant threshold. Note that the rules differ depending on the kind of goods and/or services that are purchased as well as the value of the purchase. 7 Directive 2004/18/EC of the European Parliament and of the Council of 31 March Directive 2004/18/EC of the European Parliament and of the Council of 31 March

277 There are various thresholds set up based on the value of the purchase, and consequently various procedures to apply depending on these thresholds. Further information on the European rules concerning public procurement can be found in the Guides to the Community rules in the area of public procurement (supply contracts, public works, services), which can be downloaded from the following link: Call for tender procedure on a regional/national level Please consult your first level controller, the Internal market web site (see link below) and/or your national public procurement authority for further information. A detailed list of the applicable national rules related to public procurement will be provided by the Member and Partner States of the Programme on the web site of the Programme Other eligibility considerations When projects prepare their budget, it is important to take into account the eligibility rules for ERDF funded expenditure defined in - Regulation (EC) No 1083/2006, Art. 56, - Regulation (EC) No 1080/2006, Art. 7; - Regulation (EC) No 1828/2006 Articles 48 to 53 and - The rules laid out in the Programme Manual. In this context, the following points should be highlighted: a) VAT VAT does not constitute eligible expenditure unless it is genuinely and definitely borne by the partner. VAT which is recoverable by whatever means cannot be considered as eligible even it is not actually recovered by the partner. In the application phase partners will be asked to provide a confirmation about their VAT status. In reporting, first level controllers will have to confirm if the VAT has been really borne by the controlled project partner. b) Financial Charges Charges for transnational financial transactions are eligible but charges for national transactions, interest on debt are not. Bank charges for opening and administering the project account are also eligible. Fines, financial penalties foreign exchange losses are not eligible. Eligible costs can be reported under the budget line Administration costs. c) Revenue generation ESPON Projects in principle are not supposed to lead to any revenue generating activities. However, projects which total costs exceeds ,00 generates revenue for example through services, conference participation fees, sales of brochures or books, it must be deducted from eligible costs in full or pro-rata depending on whether it was 18

278 generated entirely or only partly by the co-financed operation. The ERDF funding is calculated on the basis of the total cost after deduction of the revenue. 9 d) Expenditure already supported by other EU or other national or regional subsidies Expenditure which is already co-financed from another EU-funding source is not considered an eligible cost for this Programme. If an expenditure item is already fully supported by another national or regional subsidy, it is not considered eligible, as it would result in double-financing. e) Fees for auditing Legal consultancy fees, notaries fees, costs of technical and financial experts, and accountancy and audit costs are eligible, provided that they are directly linked to the cofinanced operation and are necessary for its preparation or implementation or, in the case of accounting and audit costs, if they relate to requirements imposed by the MA/CU. These costs can be reported under the budget line External experts and services. f) Guarantees The costs of guarantees provided by a bank or other financial institution are eligible to the extent to which the guarantees are required by national or Community legislation. These costs can be reported under the budget line Administration costs Publicity and information requirements All operations must comply with the publicity and information requirements laid down in the Commission Regulation (EC) No 1828/2006 (Articles 8 and 9) and its Annex I. The Regulation can be downloaded from the ESPON Web site. All communication materials and tools produced within the framework of the project (e.g. articles, reports, seminars and workshop programmes, Power Points, attendance lists, promotional items etc.) must carry the following: 1. Emblem of the EU (the flag) AND 2. Reference to the European Union AND 3. Reference to the contribution of the European Regional Development Fund AND 4. Investing in your future statement, which has been chosen by the Managing Authority to highlight the added value of the intervention of the European funds The following box shall be inserted centred at the bottom of the first page only of the document: 9 Guidance note on Art. 55 of Council Regulation (EC) No. 1083/2006: Revenue-Generating Projects; Council Regulation (EC) No 1341/2008: amending Regulation (EC) No 1083/

279 In addition to the requirements set by the Regulations, projects must also implement the ESPON publicity requirements: 5. ESPON 2013 Logo AND 6. The wording ESPON 2013 Programme AND 7. The disclaimer sentence quoted in Chapter 8 of the Subsidy Contract The ESPON logo shall be placed in centre position at the top of the first page and on this page only. None of the two (ESPON logo or EU publicity measures) may ever be used alone. For small promotional items only points 1, 2 and 5 apply. Project-related websites must contain, in addition to the above mentioned measures, hyperlinks to other related Commission websites and websites of the ESPON 2013 Programme and related projects. Use of the EU logo is also obligatory when using any other emblem. The EU emblem should be at least the same size as the other emblems being used. The EU and the ESPON 2013 logos are available for download on the ESPON website. A link to the official website of the European Union where different versions of the EU emblem can be downloaded is also provided here. Should any of the above conditions not be met by any of the project partners, this would imply a recovery of the funds unduly paid. The recovery will be applied in percentage to the aid given, according to the table reported in the Guidelines for determining financial corrections to be made to expenditure co-financed by the Structural Funds or the Cohesion Fund for non-compliance with the rules on public procurement, available on the web site of the Programme. It is strongly advised that each operation designs an internal plan for information and publicity activities in order to ensure proper dissemination of information. In this context, the objectives and actions of Priority 4 of the ESPON 2013 Programme Capitalisation, ownership and participation: Capacity building, dialogue and networking, make use of these facilities and opt for complementarity Payment forecast Programmes need to know how much will be claimed and when for two purposes: 1. Every year on 30 April, the CU has to provide the European Commission with a spending forecast. 2. The programme financial tables indicate the ERDF allocations per year, which have to be spent within a certain time frame or will otherwise be lost (de-commitment rule). The projects payment forecasts give information on the contribution each project will make towards meeting the financial targets each year. If sufficient ERDF commitments are made already at an early stage of the programme and the projects report as forecast, the programme should not have any major problems in meeting these targets. 20

280 The Decommitment Rule (n+3/n+2) At the beginning of every year the Commission allocates a certain ERDF amount to the ESPON 2013 programme. For the allocations of the years 2007, 2008, 2009, the ERDF amounts have to be spent within four years of the year when it is committed (n+3, where n is the year of commitment) For the allocations of the years 2010, 2011, 2012, 2013, the ERDF amounts have to be spent within three years of the year when it is committed (n+2). Any of these allocations which at the end of 3/2 years are not covered by programme expenditure will be lost. If this loss results from certain projects lagging behind their spending targets, the programme will be obliged to reduce the budget of these projects. Therefore, the payment forecast becomes part of the Subsidy Contract, which also foresees that any amounts which are not reported in time and in full may be lost. The spending forecasts should take into consideration the following elements: - The reporting periods are contracted with the projects and might vary from project to project; - The spending forecast should be an estimation of the actual payments to be done in a certain period. Therefore, it only partly reflects the activities taking place in a certain period. Indeed, if an activity is carried out close to the end of a reporting period, the related payment risks to be done only in the following period and the costs should thus be budgeted only for the following reporting period. Projects will be monitored on the basis of the payment forecast. If the programme does not meet its annual spending target because some projects are lagging behind their spending forecast or do not report in full and in time, it is likely that these projects will lose funds. It is therefore important that projects: - Carefully prepare a realistic spending forecast, - Are ready to start project implementation very quickly after project approval, - Monitor this effectively during implementation and - Ensure regular, timely and full reporting. 8.5 Reporting As a basic rule, only costs incurred by organizations listed in the Application Form as partners are eligible for funding. The period of project implementation is subdivided into six-month periods. The sixmonth periods schedule is defined in the Subsidy Contract. For each six-month period, a Project Progress Report related both to activities and to finances has to be submitted by the LP to the CU. For this purpose the CU sends out partly pre-filled forms to the Lead Partner. The Project Progress Report has to be returned to the CU both electronically as well as in paper form within four months after the end of the reporting period. 21

281 8.5.1 Procedure The Project Progress Report consists of an activity part and a financial part. It has to be also accompanied by the following documents issued by the first level controllers: - Control Certificate-Lead Partner - Control Certificate(s)-Project Partner - Control checklist(s) - Control report(s) For those Lead and Project Partners located in Member/Partner States implementing a decentralised First Level Control system, the Designation Checklist and Certificate(s) used for the approval of the First Level Financial Controller have also to be attached to the Project Progress Report. For further details on the above documents please consult Chapter The Project Progress Report has to be provided both in digital and paper version to the CU. The paper version has to carry the signature and stamp of the Lead Partner and Lead Partner s first level controller. The reporting procedure can be summarised as follows: a) Each partner sends its Partner Progress Report to the Lead Partner within the deadlines agreed with the Lead Partner (by at the latest two months before submitting the Project Progress Report) and ensures that its part of the reported activities and expenditure has been independently validated by a first level controller in compliance with the country specific requirements. For the full list of the documents that project partners have to send to the Lead Partner, please refer to Chapter b) On the basis of the individual Partner Progress Report, the Lead Partner compiles the Project Progress Report for the whole partnership. c) The Lead Partner s first level controller performs the checks on Lead Partner s activities and expenditure. d) Taking into account that the Lead Partner should ensure that both the expenditure presented by each of the beneficiaries participating in the operation has been incurred for the purpose of implementing the operation and corresponds to the activities agreed between those beneficiaries, and that the expenditure presented by each of the beneficiaries participating in the operation has been validated by the controllers, the controller of the LP therefore include a verification of how the lead beneficiary has complied with these obligations 10. e) The Lead Partner s first level controller verifies that the partners information has been accurately reflected in the Project Progress Report. 10 As indicated in the European Commission Guidance document on management verifications to be carried out by Member States on projects co-financed by the SF and CF for the programming period. 22

282 f) For the audit trail the Lead Partner retains copies of the inputs to the Partner Progress Report received from the partners. g) The Lead Partner submits the Project Progress Report to the CU, who checks it and if necessary sends requests for clarification to the Lead Partner ( 11 ). h) Once all points have been clarified, the Project Progress Report is approved by the CU and sent to the Managing Authority. i) The Managing authority sends it to the Certifying Authority. j) The Certifying Authority executes payment to the Lead Partner. k) The Lead Partner transfers the funds to the partners. Figure 2 Reporting Procedure Use of the Euro Project accounting of the Lead Partner must be held in EURO, also in states not belonging to the EURO-zone. Financial reporting of the project from the Lead Partner to the CU will have to be made in EURO. 11 Please note that as a general rule, LP should always keep copy of what has been sent to the CU. 23

283 In case of expenditure incurred in currency other than EURO: - The amounts of expenditure must be directly converted into EURO. Partners located outside the EURO-zone cannot convert the expenditure to their own currency and then again into EURO. - Invoices reporting amounts in EURO must be reported in the Project/Partner Progress Reports as such (no conversion into national currency and back to EURO). The amount must be converted into EURO using the monthly accounting exchange rate of the European Commission in the month during which the expenditure was registered in the accounts of the project partner ( 12 ). This rate is published electronically by the European Commission each month under: Accounting and filing reporting documents The partners must ensure that all accounting documentation related to the project is available and filed separately, even if this leads to a dual treatment of accounts (for example if it is necessary to file accounting documents centrally). It is the Lead Partner s responsibility to ensure an adequate audit trail which implies that the Lead Partner has an overview of: - Who paid, - What was paid, - When was it paid, - Who verified, - Where the related documents are stored. The Lead Partner must ensure that all partners store the documents related to the project in a safe and orderly manner at least until 2020, if not longer, in case there are national rules that require a longer archiving period. The documents are archived either as originals or as certified copies on commonly used data media (in compliance with national regulations). If deemed appropriate, the Lead Partner may ask for copies of accountancy documents from the partners. 12 In compliance with Council Regulation (EC) No 1083/2006, Art.81 24

284 Accounting documents The following list gives an overview of the documents that should be available for financial control and audit purposes and retained at least until 2020: Approved Application Form; Subsidy Contract; Partnership Agreements; Relevant project correspondence (financial and contractual) ; Project/Partner Progress Reports; First level control documents (Control certificates, control checklists and control reports, designation checklist and certificates); List of declared expenditure; Bank account statements proving the reception and the transfer of Programme funds; Invoices/receipts; Bank account statements / proof of payment for each invoice; Staff costs: calculation of hourly rates, information on actual annual working hours, labour contracts, payroll documents and time sheets of personnel working for the project; List of subcontracts and copies of all contracts with external experts and/or service providers; Calculation of administrative costs, proof and records of costs included in overheads; Documents relating to public procurement, information and publicity; Public procurement note, terms of reference, offers/quotes, order form, contract; Proof for delivery of services and goods: studies, brochures, newsletters, minutes of meetings, translated letters, participants lists, travel tickets, etc.; Records of assets, physical availability of equipment purchased in the context of the project; For travels: boarding cards, travel tickets and all documents reported under in the description of the budget line Travel and accommodation. It must be possible to clearly identify which expenditure has been allocated and reported in the context of the project and to exclude that expenditure is reported twice (in two different budget lines, reporting periods, projects/funding schemes). This clear identification must be ensured by complying to the following compulsory requirements: - The opening of a specific bank account or subaccount or unique codification for the project payments. 25

285 - The introduction of project specific cost-accounting codes to record project costs by budget line, component and payment date/reporting period in the accounting system. - Recording costs in expenditure lists by budget line, component and reporting period. - Noting the allocation (project title and project number) directly on the invoices/equivalent documents. Expenditure can only be reported if the following principles are fulfilled: - The calculation is based on actual costs. - The costs are definitely borne by the partner and would not have arisen without the project. - The expenditure has actually been paid out. Expenditure is considered to be paid when amount is debited from the partner institution s bank account. The payment is usually proven by the bank statements. The date when the invoice was issued, recorded or booked in the accounting system does not count as payment date. - The expenditure is directly linked to the project. Costs related to activities that are not described in the Application Form are generally ineligible. 8.6 First level financial control In the programming period of , the terms audit and control (and thus auditor and controller) are not interchangeable since they refer to two different categories of controls. The word control refers to the check performed by the first level controller (FLC) in compliance with Art.16 of Regulation of the European Parliament and Council (EC) No. 1080/2006 (ERDF Regulation). The main duty of the first level controllers designated by the Member and Partner states is to validate the expenditure declared by each beneficiary participating in the operation ( 13 ). The word audit (or second level auditing (SLA)) refers to the checks performed in compliance with Art. 62, (1), a and b of Council Regulation (EC) No 1083/2006. The duty of the second level auditors is to carry out the audits on operations on the basis of an appropriate sample to verify the expenditure declared. The word controlled beneficiary refers to the terminology used by Art. 16(1) of Regulation of the European Parliament and Council (EC) No. 1080/2006 (ERDF Regulation). The term beneficiary thus addresses both LP and project partners First level controls established by Member and Partner States Member/Partner States participating in the programme have set up their systems for the first level controls: A description of their national systems is available in the web site of the programme ( Please consult these pages and verify the nature, 13 The term operation stands for project. The two terms, operation and project, are by all way equivalent. 26

286 features and costs of the first level control system established in each Member/Partner State. Please consult these pages also for the instructions given for the designation of the first level controllers for the project: The first level controllers at the PP and LP level must be chosen according to the rules that have been set by the countries where the PP and LP are located respectively, otherwise the validation provided is considered inadmissible. There are two different first level control system applied by the countries that participate in the ESPON 2013: - Centralized system; - Decentralized system. Centralized system In centralized systems a central body is appointed by the Member/Partner State to carry out the first level controls in accordance with Art. 16 Regulation (EC) No 1080/2006. This body can be designated at a federal, national, or both federal and national level and acts under the supervision of a governmental body (e.g.: ministry). First level controllers are civil servants working within the designated organization or might also be external controllers appointed for this specific mission by the Member/Partner State. Only the designated controllers working for the designated organization can certify the expenditure and sign the first level control documents for the validation of the expenditure required in each project/partner progress report. First level controllers hold the qualifications required by the Member/Partner State and in the performance of their duties are obliged to fulfil the requirements for the first level controls laid down in the Structural Funds regulatory framework and in the national legal framework. Lead/Project partners must submit their Project/Partner Progress Report to the designated organization in order to have their expenditure validated. The list of the Member/Partner states participating in the programme that have decided to implement a centralized control system is available on the Programme web site Decentralized system In decentralized systems, the partners are free to select their controller and to propose the name to the Central Approbation Body, which is established at the central level by the Member/Partner State. The Central Approbation Body has the duty to check if the controller fulfils the requirements set by the Member/Partner States for being designated as such. If the controller proposed matches the requirements, the Central Approbation Body designates it and delivers the designation to the controller and to the project that has proposed him/her. The Central Approbation Body holds a list of the first level controllers designated in accordance with Art. 16 Regulation (EC) No 1080/2006. The list is available for public consultation and is regularly submitted to the CU and the Audit Authority (AA). 27

287 The controller must in all cases fulfil the following conditions: He/she must be independent from the controlled beneficiary; He/she must hold the qualifications and fulfil the requirements set by the Central Approbation Body; He/she must perform the first level control in compliance with the requirements set by the Central Approbation Body, by the Programme and the legal framework mentioned in chapter In this system it is the Central Approbation Body of the Member/Partner State that monitors and controls the performance of the first level controllers in its territory and thus guarantees that the first level controllers are acting in compliance with the Structural Funds regulatory framework and in the national legal framework for the validation of the expenditure and activities of the controlled beneficiary. The list of the Member/Partner states participating in the programme that have decided to implement a decentralized control system is available on the Programme web site Qualifications of first level controllers The first level controller validates the expenditure incurred at the beneficiary s. Controllers can be either internal (e.g. employed by the project partner) or external (e.g. not employed by the project partner, but hired according to an external contract) to the organization subject to control. In order to check and validate the expenditure, the first level controller must be properly qualified. More specifically: - He/she must hold professional skills and experience in international and national auditing standards and accountancy in general. - He/she must hold professional skills and experience in the field of control of projects co-financed by EU-funds (Structural Funds and ERDF in particular). - He/she must hold knowledge of the ESPON 2013 programme manual, operational programme, control guidelines and any document that the Programme might consider binding for the projects. - He/she must hold sufficient knowledge of the English language, in order to read and understand all relevant documents. - He/she must be professionally independent from the unit dealing with the activities and finances (accounting, salary calculations and payment orders). This implies that the controller must not be involved in project approval, project activities (incl. signing the project report as project partner), project finances (project accounting and payment orders). - He/she must ensure that his/her work is properly documented and accessible to ensure an efficient review of the work in a way that any other controller/auditor can perform again the control with the only use of the control file. 28

288 - He/she must ensure that the work will be carried out within 2 months after receipt of the documents from the controlled partner ( 14 ). In addition to the above requirements, there are some requirements that vary depending on if the controller is external or internal. If the controller is external: - He/she can be either a private or a public controller. - He/she must be registered as a member of a professional organisation (this requirement is mandatory for private external auditors). - He/she must perform his/her tasks according to a professional code of conduct or other rules defining his/her function and independence. - There must be a basis for the controller to carry out the control (e.g. a service contract, a mandate, or contracting document). - All experts working as tax advisors or financial/accounting advisors (or similar categories of advisors) cannot be considered qualified controllers, since the same term that is defining their status, advisors, is not providing assurance of their independence from the controlled organization. If the controller is internal: He/She must be independent both from the unit involved in the project management and from the unit involved in activities implementation. This requirement must be absolutely ensured in the terms of reference indicated by the European Commission ( 15 ). Please note that an organizational chart must be provided to give evidence of compliance with the above requirements. Additionally: - The controller s independence must be regulated by law or local or internal rules in the country where the controlled partner is located (e.g. rules regarding internal controller s function, code of conduct). - An organisational chart must be provided where it is shown that the controller is absolutely independent from the units where the activities and finances are managed, where the payments are ordered and where the control is carried out. - There are no relationships by blood or marriage between the controller and employees/managers of the unit in charge of project activities and finance. 14 Three months are requested by the regulation 1080/2006, but the Lead Partner will also need two months after reception of the certification from the Project Partners to establish its own certification. This will allow the project to present a reimbursement claim four months after the completion of the six months reporting period). 15 European Commission recommendation on statutory auditors independence in the EU: a set of fundamental principles according to 2002/590/EC; International standard on quality control N 1 (IFAC); Code of ethics of the INTOSAI, Chapter II-2.2.Standards with Ethical significance. 29

289 - The controller must be independent of mind, meaning that he/she doesn t feel dependent on the entity/unit to be controlled. Example of a correct positioning of the first level controller (yellow box). CORRECT! Institution Management Board (Directorate) 1 st Level Chief Unit 1 Chief Unit 2 Financial Unit Financial Unit Implementing Implementing 30

290 Any other situation of the following type must be considered not acceptable. WRONG! Institution Management Board (Directorate) Chief Unit 1 Chief Unit 2 Financial Unit Financial Unit Implementing 1 st Level 1 st Level Implementing Figure 3 Position of the first level controller The first level controller must maintain a close contact with the CU in order to ask for assistance whenever there are doubts linked to the above points. Special additional requirements on qualification of first level controllers designated in each Member/Partner State are published at the programme s website Validation of the expenditure by first level controllers Despite the control system chosen by the Member/Partner State, it is the first level controller s duty to validate the expenditure declared by each beneficiary participating in the operation and its activities. The validation by the FLC follows a two-step approach: - Validation of expenditure declared by the project partners in the respective reports at the project partner level (validation at PP level); - Validation of the expenditure declared by the project in the respective report at the lead partner level (validation at LP level). Validation must be based on a control of the total reported expenditure and it must be based on on-the-spot checks whenever necessary. 31

291 The detailed procedure for the validation of the expenditure is listed below. Each project/partner progress report is made up of two parts: the activity part and the financial part. The controller validates both parts of the report with its certificate. Figure 4 Validation of the FLC at the PP and LP level Validation at the PP level All expenditure and activities must be validated at a project partners level by national first level controllers. First level controllers of the project partners will be appointed according to the provision set by the Member/ Partner State where the partners are located and must perform their controls on the basis of the first level controlling system established in that particular Member/ Partner State. First level controllers at the project partner level are required to: - Validate the expenditure incurred by the controlled project partner. - Validate the contents of both the activity and financial component of the Partner Progress Report. - Draft a report and a checklist on the control performed (Control Checklist and Control Report). 32

292 - Sign the declaration of the validation of the expenditure (Control Certificate- Project Partner). - Provide the Project Partner with the following documentation in order to be able to submit it to the Lead Partner: the declaration of the validation (Control Certificate-Project Partner), the Control Checklist, the Control Report, the signed and stamped Partner Progress Report (financial and activity reports). As a general rule, a copy of the documents sent to the LP should also be archived at the PPs premises. Validation at the LP level The first level controller of the LP must perform a control on the LP share of expenditure and of the LP activities according to the provisions set by the Member/Partner State where the Lead partner is located. Taking into account that the Lead Partner should ensure that both the expenditure presented by each of the beneficiaries participating in the operation has been incurred for the purpose of implementing the operation and corresponds to the activities agreed between those beneficiaries, and that the expenditure presented by each of the beneficiaries participating in the operation has been validated by the controllers, the scope of the work of the controller responsible for the lead beneficiary should therefore include a verification of how the lead beneficiary has complied with these obligations. Once the first level controller finalizes its control, the LP has to submit to the CU the following documentation: - The overall Project Progress Report which is composed of a financial report s sections (excel sheets: Checklist for Submission to the ESPON CU, A, B, C, D) and an Activity Report; - The individual Partner Progress Reports with the bookkeeping list of expenses of the LP and of the PPs with entries in English (excel sheets: Checklist for Submission to the Lead Partner, Partner Financial Claim, D1, E, F, G, H, I, of the Partner Progress Report s financial part); - The declaration of validation of the LP expenditure (Control Certificate-Lead Partner); - The declarations of the validation of the PPs (Control Certificate-Project Partner); - Control checklists of LP and PPs; - Control reports of LP and PPs; - Any other document the CU might request for in depth checks. In case the first level control system is decentralized in any of the participating partners states in a way that the control is undertaken through internal or external controller who is proposed by the project partner and approved at national level the following document is also necessary to be submitted by the LP to the CU together with the Project Progress Report: 33

293 - Designation Checklist and Certificate for designation of the FLC of each PP; - Designation Checklist and Certificate for designation of the FLC of the LP; Tools The Member/Partner States in cooperation with the CU have developed tools for the financial management and for the validation of the expenditure by the first level controllers: - Template for partner and project progress reports (financial report s sections and activity report); - Template for declaration of the validation of the expenditure (control certificate) - Template for control checklist. - Template for control report. - Template for designation of the FLC (designation checklist and certificate) In addition, the detailed procedure for the validation is explained in the Guidelines for Certification According to Art. 16 of Reg. 1080/2006. These documents cannot be modified. All templates and the guidelines are available on the Programme web site Monitoring Monitoring of the Project Progress Report Each project progress report is monitored by a project expert and a financial expert within the CU. The project and financial experts of the CU monitor the project progress reports submitted by the LP in all its components (e.g. control certificates, control reports and checklists, description of the activities, listing of the expenditure) by cross checking the coherence of the activity report and the financial report (plausibility checks) and that what the first level controller has validated complies with the provisions of the Subsidy Contract, the Programme documents and the contracted application form. The CU reserves its right to ask the LP and the first level controllers to provide more indepth documentation (e.g. the detailed list of all the expenditure incurred, copies of the invoices and bank transfers etc.). After the closing of the clarifications, a second financial manager is checking again the whole report in order to validate it. The validated report is then sent to the Managing Authority. 8.8 Project changes According to the Subsidy Contract, the Lead Partner is obliged to request approval from the Managing Authority if any change in the set up of the project occurs. 34

294 Changes related to contact details such as address, phone number, and to the bank account must be communicated timely to the CU (by simply submitting the modified Application Form Part A in an electronic version). Changes that affect activities, outputs, partnership (partners dropping out or joining the TPG) are subject to a formal request to the MA and must be negotiated with the MA and the Monitoring Committee and are subject to the approval of the MA or MC, depending on the content of the change. When approved, an addendum to the Subsidy Contract will be released and will have to be signed by the LP and the MA. Changes that might concern the extension of the period needed for the financial closure of the project, or that are related to budgetary issues, or might affect the spending schedule (payment forecast) require a formal request to the MA and are subject to the approval of the MA. It is important to note that modifications in the payment forecast might affect the programme target and expose the project to decommitment of funds. Thus asking for a delay in the spending schedule is at project s own risk. The CU is responsible for the practical administration of changes within the running operations. As a general rule, Lead Partners should inform the CU timely about the possibility to request a change in written. Form for the request for budget reallocation is available in the programme web site Changes concerning budgetary issues The budget in the Application Form should be as precise as possible. However, as projects are not static entities, changes may become necessary during project implementation. It is therefore important to know that the ESPON 2013 Programme provides the following rules for budget reallocations and thus gives some budget flexibility. Shift of budgets between different budget lines, between different work packages and between different partners are allowed as long as the following conditions are all fulfilled: The maximum amount of funding awarded remains the same; No budget line, work package or partner budget drops down to zero; Overall projects and individual partners budget line Administration stays within the threshold of 25% of the total staff costs. a. Changes without prior request to MA/CU (flexibility rule) During the implementation of the activities, the Lead Partner is entitled to reallocate between: a) The project budget lines, b) The work package budgets, c) The project partners budgets The excess in spending must be limited to a maximum of 20,000 EUR, or up to 10 % of the budget line/work package/partner budget respectively contracted amount, 35

295 whichever is the higher. The limits are calculated on the basis of the latest approved budget. If changes stay within these limits they do not have to be notified to MA/CU but will be just reported in the project progress reports indicating all components of the changed budget. Flexibility rule: /10 % overspending Budget line Administration costs Original amount in the approved application form Maximum possible overspending on this line Explanation 50,000 20,000 As 10 % of the original amount (i.e. 10% of 50,000 euro is 5,000 euro) is smaller than 20,000 this budget line can be exceeded by a maximum of 20,000. The project can thus report up to 50,000+20,000=70,000 euro in its project progress report. No request to the MA/CU will be necessary. The increase of this BL must stay within the threshold of 25% of total staff costs. Staff costs 500,000 50,000 As 10 % of the original budget (i.e. 10% of 500,000 euro is 50,000 euro) is higher than 20,000, this budget line can be exceeded by 50,000 euros The project can thus report up to 500,000+50,000=550,000 euro in its project progress report. No request to the MA/CU will be necessary. If the changes exceed the limits reported above, a request for approval has to be submitted to the MA/CU. The procedure is described in the paragraph here below. Be aware that in case your spending is going to exceed the 20,000/10% threshold, it is the duty of the Lead Partner to submit a formal request to the CU for a budget 36

296 reallocation, following the procedure listed in the next paragraph. The request will be evaluated by the CU and only in case of positive assessment the overspending can be allowed. b. Changes with prior request to MA/CU The LP is entitled to reallocate the budget between: 1. Work packages 2. Partners 3. Budget lines As explained in the above paragraph, if the changes exceed the 20,000/10% threshold, the Lead Partner has to submit a formal request to the MA/CU for a budget reallocation before the changes are implemented. The request will be evaluated by the MA/CU and only in case of positive assessment the reallocation can be allowed. Reallocation up to 20% of the total costs is accepted. Please note that a project can ask for this kind of changes only twice in its lifetime, adding up to a maximum of 20% of the total cost stated in the Subsidy Contract. Here you find three examples of shifts among work packages (example 1), partners (example 2) and budget lines (example 3). 20 % budget reallocation If the operation needs to deviate from the original budget by more than what is allowed by the /10% flexibility rule, then the Lead Partner should ask for a budget reallocation. In the case of a budget reallocation, the shifts allowed to increase work packages, budget lines and partners budgets (using the under-spending of other budget lines/workpackages/partners) are of a maximum of 20 % of the total costs as stated in the Subsidy Contract. Example 1: Shifting budget from one work package to another During the project implementation the partnership realizes that in WP2 there is a strong under spending while in WP1 and WP3 there is need for more funds. The partnership would be interested in reallocating the 20% of the total budget between WPs, within the limit given by the rule of the 20%. In this case, since 800,000 euro is the total budget, the 20% is 160,000 euro. The solution adopted in the case here below is the following: WP2 is decreased of 160,000 euro and this amount is redistributed to WP1 and WP3 by adding 100,000 euro to WP1 and 60,000 to WP2. 37

297 Work packages Original amount in the approved application form Spending situation WP 1 250,000 Spending higher than expected, need of more budget WP 2 500,000 Under spending WP 3 50,000 Spending higher than expected, need of more budget How to apply the 20% rule This component can be increased by a maximum of 160,000. This component can be decreased by a maximum of 160,000 in order to allocate more budget to the other WPs This component can be increased by a maximum of 160,000. Total 800,000 The total shifted amount cannot be higher than euro New budget 250, ,000 = 350, , ,000= 340,000 50,000+60,000= 110, ,000 The reallocated budget can again be subject to deviations within the limits of the flexibility rule. Example 2: Shifting budget from one PP to another PP The total budget of the project is 2 million euro. Originally the budget was divided as follows: PP1: 1,000,000 PP2: 500,000 PP3: 500,000 But PP1 is not able to spend its whole budget, while PP2 and PP3 are in need of more budget than expected. The partnership decides to reallocate 20% of the total budget of the project (20% of 2 million euro= 400,000 euro) by decreasing the budget of PP1 of 400,000 and by increasing the PP2 and PP3 budget of 200,000 euro each. 38

298 PP Original budget in the approved application form Spending situation 1 1,000,000 Under spending 2 500,000 Spending higher than expected, need of more budget How to apply the 20% rule This partner budget can be decreased by a maximum of 400,000 in order to allocate more budget to the other partners This partner budget can be increased by a maximum of 400,000 New budget 1,000, ,000= 600, , ,000= 700, ,000 Spending higher than expected, need of more budget This partner budget can be increased by a maximum of 400, , ,000= 700,000 Tota l 2,000,000 The total shifted amount cannot be higher than 400,000 euro 2,000,000 In this case a new addendum to the Subsidy Contract will have to be signed by MA and LP. Example 3: shifting budget from one Budget Line to another Budget Line The partnership realizes that there is need for more budget in BL5 External expertise and that there are some savings in BL4 Travel and accommodation. Considered that the total budget of the project is 2 million euro, there is the possibility to reallocate from BL4 to BL5 a maximum of 400,000 euro (i.e. 20% of 2 million euro). 39

299 BL Original budget in the approved application form Spending situation 4 600,000 Under spending 5 500,000 Spending higher than expected, need of more budget How to apply the 20% rule This budget line can be decreased by a maximum of 400,000 in order to allocate more budget to the other budget line This budget line can be increased by a maximum of 400,000 New budget 600, ,000= 200, , ,000= 900,000 The reallocated budget can again be subject to deviations within the limits of the flexibility rule. Documents to be submitted to the MA/CU for requesting a reallocation: Form for the request, signed and stamped by the LP. Cover letter with the justification of the changes Full digital version of the Application Form. Print-outs of the changed Application Form, signed and stamped by the LP. Whichever document the CU might request to prepare an assessment of the request. Depending on the extent of the changes, a decision will be taken by the MA or in written procedure by the ESPON Monitoring Committee. After the approval, the Lead Partner will receive a notification. The change will enter into force from the date of the request and will be attached to the Subsidy Contract as an addendum. 8.9 Project closure With regards to project closure, it is important to be aware of the following points: - End date for the eligibility of expenditure: all activities must be finalised and the related expenditure paid out (including payment for the financial control of the final project progress report) before the end of the month stated as finalisation month in the Application Form in order to be eligible. 40

300 - Final Project Progress Report: as for all other reporting periods, projects also have to submit a certified project progress report for the last reporting period. This last project progress report has to be submitted within four months following the end date of the activities. - Information and publicity requirements (see also section 4.4): the rules laid down in Regulation (EC) 1828/2006 Articles 8 and 9 on information and publicity must be respected for all products produced with the assistance from ESPON 2013, also after closure of the operation. - Archiving of documents: The Lead Partner is at all times obliged to retain for audit purposes all files, documents and data about the operation on customary data storage media in a safe and orderly manner at least until 31 December Other possibly longer statutory retention periods, as might be stated by national law, remain unaffected Specific requirements Ownership Any substantial modification of the project within five years from the project completion must be avoided ( 16 ). More in details, the project must not undergo any substantial change: Affecting its nature or its implementation conditions or giving to a firm or a public body an undue advantage; and Resulting either from a change in the nature of ownership of an item of infrastructure or the cessation of a productive activity. The partnership agreement must clearly state the ownership of outputs. Conditions set by these documents must be kept for five years from the project completion. With the last Project Progress Report, the Lead Partner will be asked to submit to the CU a declaration where he/she will guarantee the fulfilment of the above conditions by the whole partnership for a period of five years after the project closure. The text for this declaration can be downloaded from the web site of the programme Should any of the above conditions be met by any of the project partners, this would imply a recovery of the funds unduly paid ( 17 ). Revenue generation ESPON projects should, in principle, not generate revenues as all results are public. However, revenues might be generated from any activity (e.g. sales, rent or any other provision of services against payment). A project can be revenue-generating, though the generated revenues must be deducted from the total expenditure before submitting the 16 Council Regulation (EC) No 1083/2006 Article 57 (1) 17 Council Regulation (EC) No 1083/2006, Articles 98 to

301 reimbursement claim. The Programme financing will be thus calculated on the total expenditure cleared from any revenue created during the reporting period ( 18 ). Additionally, projects are requested to give evidence of the revenue that might be generated within five years from the closure of the project. The revenue generated within five years from the completion of the project must be communicated to the CU. The revenue generated will have to be deducted from the total expenditure declared by the project and the correspondent amount of funding will have to be timely repaid to the CA via the CU ( 19 ). With the Final Project Progress Report, the Lead Partner will be asked to submit to the CU a declaration where he/she will guarantee the fulfilment of the above conditions by the whole partnership for a period of five years after the project closure. The text for this declaration can be downloaded from the web site of the programme Keeping records All accounting documents (book-keeping) and supporting documents (e.g. Subsidy Contract, application form, service contracts, public procurement documentation, rental agreements/contracts, important communication with CU/MA), documents related to the expenditure, controls, audits, and audit trail have to be identified and must be retrievable and accessible. These documents must be grouped together, archived and preserved at the LP premises until 31st December 2020 for Programme purposes. The accounting and supporting documents related to the PPs must be kept at the PPs premises for an equal period of time. The LP must also preserve copies of all supporting documents which have been submitted by PPs so that they can be shown in the case of controls or audits. The documents can be kept either in the form of originals or in versions certified to be in conformity with the original on commonly accepted data carriers ( 20 ).The procedure for the certification of the conformity of these documents held on data carriers with the original documents must be in line with the provisions set by the national authorities and must ensure that the versions held comply with the national legal requirements and can be relied on for audit and control purposes. In case of retaining the documents electronically internationally accepted security standards must be met ( 21 ). Representatives of the MA, CU, CA, AA, GoA, intermediate bodies, auditing bodies of the Member states, authorized officials of the Community and their authorized representatives, European Commission and the European Court of Auditors ( 22 ) are entitled to examine the project and to access all relevant documentation and accounts of the project. 18 Council Regulation (EC) No 1083/2006, Art.55 (1) to (2).; According to Council Regulation (EC) No 1341/2008: amending Regulation (EC) No 1083/2006 only projects with a total budget exceeding ,00 will have to report and deduct generated revenues. 19 Council Regulation (EC) No 1083/2006, Art.55 (3). 20 As defined in Commission Regulation (EC) No 1828/2006 Article 19(4). 21 Commission Regulation (EC) No 1828/2006 Article 19(6). 22 Commission Regulation (EC) No 1828/2006 Article 19(2). 42

302 Expenditure already supported by other EU or other national or regional subsidies During the period running from the 1 st January 2007 and the 31 st December 2015 the project may receive funding under only one operational programme at a time and more extensively project must not receive any financial assistance from any other Community financial instrument (e.g. Framework Programme for Research and Development, other INTERREG funding, other Structural Funds funding )( 23 ). In this sense, projects will be asked to declare to the CU: - In the application form, other sources of funding they are going to apply for (should this apply). - In each Project Progress Report, other sources of funding that have been received to cover the total expenditure of the project. Donations and sponsoring In case the project receives donations from sponsors or donors and this does not correspond in an increase of the activities at the project level, the amount of the donation will have to be deducted from the total eligible costs. Funding will be thus decreased proportionally Other controls Coordination Unit on-the-spot checks The CU is also entitled to perform quality checks on behalf of the MA at the project level to ensure that a sound management and control system has been implemented. These quality checks will be done on-the-spot, on the basis of a risk analysis. The selected project/lead partners are obliged to give full cooperation to the CU in the performance of its duties, to give access to premises and documentation and to provide requested documentation. The aim of the check is to ensure that the implementation is in accordance with the criteria applicable to the ESPON 2013 Programme and that the project complies with the applicable Community and national rules for the entire implementation period. More specifically, checks will be performed in order to check compliance with Commission Regulation (EC) No 1083/2006, Art.60 a), b), c), d), e), f), j) and to verify that a proper management and control system and an audit trail is in place. Additionally, the CU might also be involved by the Member States in quality checks in order to verify the efficiency of the management and control system set-up at Member State level. This implies that some quality checks might be performed by the CU and the MS representatives jointly on projects. 23 Council Regulation (EC) No 1083/2006, Art.54 (3) and (5). 43

303 Other controls In the programming period new auditing bodies have been introduced in the management and control system of Structural Funds programmes: the Audit Authority (AA) and the Group of Auditors (GoA). In compliance with the Art.62 of Council Regulation (EC) No 1083/2006, the AA of this Programme is responsible for: - Ensuring the effective functioning of the management and control system in the Programme, by performing audits on the MA, CA, CU and on the first level controllers and - Ensuring that audits are carried out on the operations on the basis of a sample, in order to verify the expenditure that has been declared. In these tasks, the AA is supported by the Group of Auditors, a group comprising the representatives of each Member and Partner State participating in the programme and carrying out the duties of the second level auditing ( 24 ). According to the Structural Funds regulatory framework, the auditors must be independent of the first level control system implemented in compliance with Art. 16 of Regulation (EC) No 1080 ( 25 ). Second level auditing The provisions of the Art. 62 of Council Regulation (EC) No 1083/2006 imply that the operations might undergo a second level auditing in case they are sampled. Every year between 2008 and 2015, sample checks on operations will be carried out to verify if the projects correctly declared expenditure in the Project Progress Reports. In case a project is sampled, the project will be checked both at the LP and PP level by the national competent auditors. The national auditor of the country where the LP is located (lead auditor) will be in charge of leading the audit and organizing the schedule of the audits at the PPs level: Each national auditor will be responsible for auditing the partners located in its territory, unless agreed differently by the GoA. The audit starts when the lead auditor launches the audit and informs the Lead Partner about the aim and schedule of the checks. The national auditors involved will get in contact with the project partners and schedule audits accordingly. The audits implies both desk checks and on the spot checks. It is the duty of the LP and of all the PPs involved in the sampled project to facilitate the audit activities and to provide requested documentation and accesses to locations and premises. 24 Art. 14 (2) Regulation (EC) No 1080/2006 of the European Parliament and of the Council. 25 Art. 14 (2) Regulation (EC) No 1080/2006 of the European Parliament and of the Council. 44

304 Auditors will check: - Compliance of the implementation with the approved conditions; - Compliance with rules of the regulatory framework of the Structural Funds, of the national legislation and of programme rules; - Soundness of the management and control system implemented at a project level; - Soundness of the first level controls performed. After closing of the desk checks and on the spot checks each audited partner will receive a report from its national auditor and will have a limited period of time to debate upon the auditors findings. This procedure is named the contradictory procedure, its length might vary in time according to the rules set by the GoA. Comments from the audited partner will be reported in the auditors reports. Once all the contradictory procedures have been closed, the lead auditor will compile the lead auditor report and inform the AA, the GoA and the CU/MA/CA about the outcomes and suggest follow up actions, if needed. The CU/MA will address the Monitoring Committee (MC) of the programme for the approval of necessary follow up actions. The follow up actions approved by the members of the MC will be implemented by the CU/MA/CA. The CU/MA will relate directly to the LP in the follow up process and also channel the proper data to the CA. Costs incurred during the second level auditing by the LP and PP might be reported to the CU and considered eligible for funding, within the thresholds set by the budget of the project and if complying with the eligibility rules set in this Programme Manual. Other checks might also be performed on projects by other auditing bodies of the European Commission services, the European Court of Auditors, other auditing bodies of the participating Member and Partner States or other national public auditing bodies. The Managing and Certifying Authority of this Programme are also entitled to perform checks at the project level to ensure that a sound management and control system has been implemented. The projects are obliged to give full cooperation to these bodies in the performance of their duties and to offer accessibility to premises and documentation Irregularities and follow-up actions If during the first level controls, the second level audits, the CU on-the-spot checks or other controls an irregular use of granted funds is detected, the following actions could be adopted with respect to the project: Cancelling the whole subsidy, Cancelling part of the subsidy, Recovering of subsidy. In case there is a suspicion of an irregularity, fraud or bankruptcy, or detection of a systemic error in reporting, the MA and CA are entitled to withhold the payment of the funding. 45

305 According to the Subsidy Contract, the Lead Partner is financially responsible for the management of the project and liable for any infringements pursued by the partnership. In case of confirmed irregularities, the Member States where the liable project partners are located will have to decide upon a cancelling of the subsidy or a recovery. The MA and the CA, supported by the CU, will undertake the necessary follow-up actions with respect to the Lead Partner to pursue the Member States decision. Recovery of funding will be done in accordance with the provisions laid down in Art of the Commission Regulation (EC) No 1828/2006. Cancelling of whole or part of the subsidy will have to be pursued according to the Art.98 to 102 Commission Regulation (EC) No 1803/2006. In the case Member States decide to release the Lead Partner from any repayment of the subsidy, the losses will be borne by the Member States. It will be then up to the Member States to seek to recover the losses from the negligent partners located in their territories Appeal procedure In case an application is not approved, the Lead Partner (LP) will get a rejection letter advanced by fax and send as well by registered mail. The LP, in case it is not satisfied with the decision of the Programme Authorities, has the possibility to appeal the rejection of the application, by asking the Monitoring Committee (MC) to assess the rejection of the project application. The right to appeal is limited to the formal procedure established for the evaluation and decision making for the approval of proposals as described in the application pack provided. An appeal should be lodged by the LP by addressing a communication in writing to the MA (by fax and registered mail, faxing as well a copy to the Coordination Unit) within 5 working days counting from the day following the receipt of the faxed copy of the rejection letter. The appeal shall include an argumentation about where the LP sees a violation of a procedure. Following an appeal lodged within the given deadline, the Coordination Unit (CU) will reassess the procedure followed in the evaluation process of the call for proposals, including both the evaluation and decision making process leading to the rejection of the proposal. The reassessment will be done within 7 working days starting from the day following the receipt of the appeal by fax. The MA and CU will forward the reassessment to the Monitoring Committee and ask the Committee for a formal decision through a short written procedure of 7 working days. The MA will inform by fax and registered mail the LP about the decision of the MC within 21 working days after the submission of the appeal by fax by the LP. In case that the MC finds that a procedural error occurred, the MC will re-open the evaluation procedure starting from the MC decision on the eligibility of the relevant proposals submitted for the project theme in question. An appeal is possible only once per project proposal per call. The decision of the MC following a request for appeal and the relevant follow-up will be published on the web site of the Programme at 46

306 Version 17 September 2009 Member and Partner States Document Requirements for the Solvency Check of Private Applicants According to Article 6(4) of the ESPON 2013 Agreement, Member and Partner States shall verify that private applicants possess the solvency conditions to carry out the project properly. In this framework, Member and Partner States have provided a list of documents that will have to be supplied by private applicants at the moment of application. Private applicants from Malta are however notified that some clarifications are still ongoing between the Managing Authority and the respective Member States representatives. Private applicants from Malta are therefore requested to contact the ESPON 2013 Coordination Unit in order to be informed about the latest developments related to the conditions for their participation in project proposals. Country Belgium Capital Region Belgium Wallonia Bulgaria Denmark Estonia Finland Germany Ireland Latvia Lichtenstein Lithuania Netherlands Norway Poland Portugal Slovenia Spain Sweden Austria Documents required 1. Financial statement of the last three years 2. Excerpts from the national company register 3. Declaration of no-bankruptcy 1. Audited financial statement of the last three years, including balance sheets and profit/loss accounts 2. Excerpt from national company register 3. Declaration of honour, not being in a situation as listed in Article 93(1) of the Financial Regulation No 1605/2002

307 Belgium Flanders Czech Republic 1. Financial statement of the last three years 2. Excerpts from the national company register 3. Declaration of no-bankruptcy 4. National Social Security Office - Certificate for public procurement. (RSZ attest openbare aanbestedingen). 1. Excerpt from the national Company Register or other relevant registers. - original or certified copy - valid and not older than 3 months*) 2. Corporate rights / trade certificate, statutes / foundation charter, which prove the legal status of the applicant organization, statutory bodies and research activities. - copies - valid 3. Statement from locally responsible Regional Court, that the applicant organization is not under bankruptcy, sequestration, moratorium or was not abolished. - original or certified copy - valid and not older than 3 months*) 4. Excerpt from the Crime Register, referring to the accredited representative of the applicant and to the members of statuary bodies. - original or certified copy - valid and not older than 3 months*) 5. Tax Authority confirmation showing that the applicant is free of debts. - original or certified copy - valid and not older than 3 months*) 6. Financial statement a) Simplified financial statement - with profit, liquidity and indebtedness calculation (template in annex). b) Final accounts including balance sheet and profit and loss statement for 3 closed years*). OR Tax evidence including statement of assets and liabilities and income and expense statement for 3 closed years**). PLUS c) Annual Report for 3 closed years**). d) Financial Plan for the year of submission of the application. - copies 7. Self declaration (template in annex) 2

308 Cyprus a) that the applicant as legal person is not under dissolution process; b) that the applicant is free of debts in relation to health insurance, social insurance, insurance for state employment policy; wages of organisation employees, Government authorities, state funds, EU and its Member States; c) that the applicant did not commit financial or public procurement irregularities; d) that the applicant does not receive any other public resources for the same project. - valid and not older than 3 months*) 8. Excerpt from the bank account showing the security deposit of financial resources equivalent to the amount of subsidy requested for the period of project duration till payment to the Lead Partner. OR The bank commitment for granting a loan. - original or certified copy - valid and not older than 3 months*) Documents shall be submitted in Czech language. *) To the date of submission. **) In case the organisation was established in the period shorter than three years, provide us with the statements for closed years, but minimum one closed year. 1. Financial status for the last 3 years 2. Annual budget 3. Financing status of non-profit making organisations governed by public law 4. Signed declaration that they: - are not bankrupt or being wound up, or having their affairs administered by courts, or have entered into an arrangement with creditors, or have suspended business activities, or are the subject of proceedings concerning those matters, or are in any situation arising from a similar procedure provided for in national legislation or regulations; - have not been convicted of an offence concerning professional conduct by a judgement which has the force of res judicata (i.e., against which no appeal is possible); - are not guilty of proven grave professional misconduct; - have fulfilled obligations relating to the payment 3

309 France Greece Hungary Iceland of social security contributions or the payment of taxes in accordance with the legal provisions of the Republic; - have not been the subject of a judgment which has the force of res judicata for fraud, corruption, involvement in a criminal organisation or any other illegal activity detrimental to the Republic s financial interests; - have not been declared to be in serious breach of contract for failure to comply with their contractual obligations in connection with a procurement procedure or other grant award procedure financed by State budget. 1. Identification of the organisation - For enterprises: excerpt from Kbis or from the proper register - For associations (NGOs): publication in the official journal or receipt of declaration in the Prefecture 2. Financial statements of the last 3 year 3. Statements of income for the last 3 years 4. Declaration of honour of the regularity of the situation regarding the payment of taxes and social security charges. 1. Financial statements (Balance sheets and P&L accounts) of the last three years 2. Excerpts from the national company register 3. Declaration of no-bankruptcy 4. Appropriate statements from banks 5. Tax clearance certificate 6. Social security/national insurance clearance certificate 1. Excerpt from national company register (not older than 30 days) 2. Certification of proper signature (not older than 30 days) 3. Certified declaration of no-bankruptcy and no outstanding debts (not older than 30 days) 4. Financial statement and references for the last three years 1. Audited financial statement of the last three fiscal years (audited by independent auditors, in compliance with Icelandic and European law.) 2. Statement from the national company register 3. Declaration of no-bankruptcy (a financial clean bill of health, provided by an independent agency [Lanstraust/Creditinfo]) 4

310 Italy Luxembourg Malta Romania 1. Financial statement of the last three years; 2. Excerpt from the national company register; 3. Declaration of no-bankruptcy. Should declarations/ statements be false, the private applicant is liable to prosecution as per Italian National Law DPR 445/ Financial statement of the last three years 2. Except from the national register of companies and trade 3. Sworn declaration of no-bankruptcy 1. Financial statements (possibly audited) of the last three years 2. Certificate issued by the Registrar of Companies confirming existence of company 3. Certificate issued by the Registrar of Companies confirming that no notice has been received that a winding up application has been made to the Court for the reason that the company is unable to pay its debts. Please remember to contact the ESPON CU (info@espon.eu) in order to be informed about the latest developments related to the conditions for private applicants participation in project proposals. 1. Registration certificate in the National Company Register and Excerpt from the National Company Register/Registration certificate in the Register of Association and Foundations - copy; 2. Justification certificate issued by the Office of Company Register of the Court in which area the institution has its Social Registered Office. The document has to contain the following information: dates of identification, single identification code, legal representatives, main and secondary field of activity, legal status of the firm, secondary offices and work points - original; 3. Fiscal attestation certificate on the fulfilment of the payment obligations to the local budget issued by the Department of Local Tax of the local administrative territorial unit in which area the institution has its Social Registered Office (the certificate has to mention that the institution has no debts at the local budget or that net payment obligations does not exceed 1/12 from the total payment obligations for the last 12 months. The document should be valid at the date of 5

311 submission of the project proposal- original/copy; 4. Fiscal attestation certificate on the fulfilment of the payment obligations to the general budget issued by the Fiscal Administrative Body in of the Administrative Territorial Unit in which area the institution has its Social Registered Office (the certificate has to mention that the institution has no debts at the general budget or that the payment obligations does not exceed 1/6 from the total payment obligations for the last 6 months. The document should be valid at the date of the submission of the project proposal - original/copy; 5. Certificate of fiscal record issued by the Territorial Bodies of the Ministry of Public Finances. The certificate should be valid at the date of the submission of the project proposal - original; 6. Financial balance sheet of the last three years registered and signed by the Public Finance Administration or other institutions or bodies responsible for receiving financial balance sheets, including the account of patrimonial result/account of the result of the financial exercise/account of profit and loss and dates on the last financial exercise copy; 7. Decision of the Managing Body (General Assembly, Administrative Board, etc.), stating that the institution guarantees: (1) the financial resources for the implementation of the project, (2) Reimbursement of irregularities in case any irregularity is detected during or after the closure of the project signed and stamped - original, signed and stamped by the legal representative/empowered person; 8. Statement on the Article 181 of Government Emergency Ordinance no. 34/2006 regarding the award of public procurement contracts, public works concession contracts and services concession contracts, with later amendments (form attached). Please note that all the copies of the documents shall be submitted in a certified form: verified against original signed and stamped by the legal representative/empowered person. The documents mentioned at point 3 and 4 shall be 6

312 Slovakia submitted in original to the Romanian National Authority after the approval of the project. Please find one form regarding the solvency check of private applicants from Romania annexed. The document still needs a final confirmation. Private applicants are therefore asked to contact the ESPON CU (info@espon.eu) in order to receive the most updated information. 1. An excerpt from the penal register not older than three months of the applicant s statutory body (excerpts for all members of the statutory body are to be attached who are authorised to act on behalf of the project partner) the annex is not relevant for budgetary and contributory organisations (i.e. those fully or partially publicly funded); 2. A certificate of the competent branch of the Social Insurance Agency that the project partner does not have any arrears of contributions to the pension security, sickness insurance and unemployment insurance, not older than 3 months; 3. A certificate of all health insurance agencies in which the project partner employees are insured, indicating that the project partner does not have any arrears of contributions to the mandatory public health insurance, not older than 3 months; 4. A sworn statement of the project partner that none of his employees are insured in any other health insurance agency; unless the project partner has submitted certificates of all health insurance agencies operating in the Slovak Republic; 5. Financial statements for a year preceding the year of the application submission applies to all applicants (all statements); 6. Statement of the Lead Partner of providing a guarantee in the value of the ESPON contribution (specification of the guarantee format) the statement is submitted by Lead Partners only; 7. A certificate not older than 3 months that the applicant is not in liquidation, is not subject to winding-up or restructuring, that bankruptcy has 7

313 Switzerland United Kingdom not been declared on his assets, that a motion to declare bankruptcy has not been rejected and bankruptcy has not been cancelled (in case of private sector entities). In case of municipalities/cities, a sworn statement is to be submitted claiming that the municipalities/cities are not under forced administration/management. That certificate is to be submitted by all applicants save municipalities/cities or regions (higher territorial units). Please find additional information regarding the solvency check of private applicants from Slovakia annexed. 1. Audited financial statement of the last three years (Revisionsbericht) 2. Statement from the national company register (Auszug aus dem Handelsregister) 3. Declaration of no-bankruptcy (Auszug aus dem Konkursregister) 4. Financial budget plan of the current year 1. Financial statements of the last three years (audited, if possible) 2. Financial statements of the private applicants s ultimate holding company (audited, if possible) 8

314 Annexes 1. Information and template for private applicants from Romania a. National list of documents that the private Romanian Lead Partners/Partners participating in ESPON project proposals have to submit for their solvency check in Romanian. b. National list of documents that the private Romanian Lead Partners/Partners participating in ESPON project proposals have to submit for their solvency check in English. c. Statement document 2. Information for private applicants from Slovakia a. Background documents necessary for performing eligibility control of Slovak project partners at the national level in the projects under ESPON 2013 Programme. 9

315 To be confirmed Information and template for private applicants from Romania RO Lista documentelor pe care partenerii privaţi din România, participaţi în proiecte ESPON, trebuie să le prezinte pentru verificarea solvabilităţii 1. Certificat de înmatriculare la Registrul Comerţului şi Extras din Registrul Comerţului/Certificat de înscriere în Registrul Asociaţiilor şi Fundaţiilor, după caz copie; 2. Certificatul constatator emis de către Oficiul Registrului Comerţului de pe lângă Tribunalul unde îşi are sediul solicitantul, care să menţioneze obligatoriu: datele de identificare, codul unic de înregistrare, reprezentanţii legali ai societăţii, domeniul de activitate principal şi domeniile de activitate secundare, situaţia juridică a societăţii, sediile secundare şi punctele de lucru - original; 3. Certificat de atestare fiscală privind îndeplinirea obligaţiilor de plată a impozitelor, taxelor locale şi altor venituri la bugetele locale eliberat de către Direcţia de Impozite şi Taxe Locale în a cărei rază instituţia are sediul social (certificatul trebuie să ateste că nu există obligaţii de plată la bugetele locale sau că obligaţiile de plată nu depăşesc 1/6 din totalul obligaţiilor datorate în ultimul semestru la bugetul local). Documentul trebuie să fie valabil la data depunerii propunerii de proiect original/copie; 4. Certificat de atestare fiscală privind îndeplinirea obligaţiilor de plată la bugetul general consolidat eliberat de către Administraţia Finanţelor Publice al unităţii administrativ - teritoriale de pe raza căreia instituţia are sediul social (certificatul trebuie să să ateste că nu există obligaţii de plată la bugetul general consolidat sau că obligaţiile de plată nete nu depăşesc 1/12 din totalul obligaţiilor datorate în ultimele 12 luni la bugetul general consolidat). Documentul trebuie să fie valabil la data depunerii propunerii de proiect original/copie; 5. Certificat de cazier fiscal, eliberat de organele teritoriale de specialitate ale Ministerului Finanţelor Publice, valabil la data depunerii propunerii de proiect - original; 6. Bilanţul contabil pentru ultimii trei ani, înregistrat şi avizat la Administraţia Finanţelor Publice sau alte instituţii sau organisme abilitate să primească bilanţuri, inclusiv contul de rezultat patrimonial/contul rezultatului exerciţiului/contul de profit şi pierdere şi datele informative pentru exerciţiul financiar precedent - copie; 7. Hotărâre/decizie a organelor de conducere (adunarea generală a acţionarilor/asociaţilor, a asociatului unic, a Consiliului de administraţie, etc.) privind participarea la proiect, şi garantarea (1) avansării resurselor financiare pentru implementarea proiectului şi (2) restituirea sumelor corespunzătoare neregulilor, în cazul identificării de nereguli în timpul sau după închiderea proiectului - în original, semnată şi ştampilată de către reprezentantul legal/persoana împuternicită; 8. Declaraţie pe propria răspundere privind neîncadrarea în situaţiile prevăzute la art. 181 din Ordonanţa de Urgenţă a Guvernului nr. 34/2006 privind atribuirea contractelor de achiziţie publică, a contractelor de concesiune de lucrări publice şi a contractelor de concesiune de servicii, cu modificările şi completările ulterioare original, conform Formularului ataşat. Notă Copiile documentelor solicitate vor fi certificate pentru conformitatea cu originalul prin semnătura şi ştampilă de către reprezentantul legal al organizaţiei. Documentele menţionate la punctul 3 şi 4 se vor prezenta în original Autorităţii Naţionale din România după aprobarea propunerii de proiect. 10

316 To be confirmed [Se introduce antetul instituţiei/organismului care participă la proiectul ESPON] [Se introduce denumirea sediul, adresa instituţiei/organismului care participă la proiectul ESPON, în situaţia în care aceste elemente nu sunt menţionate în antet] Formular Nr. [Se introduce numărul de înregistrare al documentului emis de către instituţia/organismul care participă la proiectul ESPON ]/[Se introduce data în format zz/ll/aa] Referinţa Cod şi acronim proiect Titlu proiect D E C L A R A Ţ I E Subsemnatul(a) [se introduce numele reprezentantului legal/persoanei împuternicite, astfel cum acesta apare în BI/CI], posesor al BI/CI seria [se introduce seria BI/CI], nr. [se introduce numărul BI/CI], CNP [se introduce codul numeric personal], în calitate de reprezentant legal/persoană împuternicită să reprezinte instituţia [se introduce denumirea instituţiei/organismului participant la proiectul ESPON], partener/partener principal la proiectul ESPON [se introduce codul şi acronimul proiectului] finanţat în cadrul Programului ESPON2013, pentru care Ministerul Dezvoltării Regionale şi Locuinţei îndeplineşte rolul de Autoritate Naţională, cunoscând că falsul în declaraţii este pedepsit în conformitate cu prevederile Codului Penal declar pe propria răspundere că: Activităţile realizate de către [se introduce denumirea instituţiei/organismului participant la proiectul ESPON] în cadrul proiectului [se introduce codul şi acronimul proiectului] nu au mai beneficiat de finanţare publică din surse naţionale sau europene în ultimii 5 ani de la data depunerii proiectului; [se introduce denumirea instituţiei/organismului participant la proiectul ESPON] nu se află în niciuna dintre situaţiile de mai jos: a) este în stare de faliment, lichidare ori insolvenţă, afacerile sunt conduse de un administrator judiciar sau activităţile comerciale sunt suspendate şi fac obiectul unui aranjament cu creditorii. De asemenea, nu se află într-o situaţie similară cu cele anterioare, reglementată prin lege; b) face obiectul unei proceduri legale pentru declararea în una dintre situaţiile prevăzute la lit. a); c) nu şi-a îndeplinit obligaţiile de plată a impozitelor, taxelor şi contribuţiilor de asigurări sociale către bugetele componente ale bugetului general consolidat, în conformitate cu prevederile legale în vigoare în România. d) în ultimii 2 ani s-a aflat în situaţia de a nu îndeplini sau de a îndeplini în mod defectuos obligaţiile contractuale, din motive imputabile, fapt care a fost de natură să producă grave prejudicii beneficiarilor; e) reprezentantul legal nu a fost condamnat, în ultimii trei ani, prin hotărârea definitivă a unei instanţe judecătoreşti, pentru o faptă care a adus atingere eticii profesionale sau pentru comiterea unei greşeli în materie profesională. 11

317 To be confirmed Subsemnatul declar că informaţiile furnizate sunt complete şi corecte în fiecare detaliu şi înţeleg că Autoritatea Naţională pentru Programul ESPON 2013 are dreptul de a solicita, în scopul verificării şi confirmării declaraţiilor, orice documente doveditoare de care dispunem. Subsemnatul declar că vom informa imediat Autoritatea Naţională pentru Programul ESPON 2013 cu privire la orice modificare survenită în circumstanţele sus-menţionate pe parcursul implementării proiectului. Înţeleg că în cazul în care această declaraţie nu este conformă cu realitatea sunt pasibil de încălcarea prevederilor legislaţiei penale privind falsul în declaraţii. [Se introduce numele şi prenumele reprezentantului legal/persoanei împuternicite, în clar] [Se introduce funcţia reprezentantului legal/persoanei împuternicite] [semnătura şi ştampila] 12

318 To be confirmed EN National list of documents that the private Romanian Lead Partners/Partners participating in ESPON project proposals have to submit for their solvency check 1. Registration certificate in the National Company Register and Excerpt from the National Company Register/Registration certificate in the Register of Association and Foundations - copy; 2. Justification certificate issued by the Office of Company Register of the Court in which area the institution has its Social Registered Office. The document has to contain the following information: dates of identification, single identification code, legal representatives, main and secondary field of activity, legal status of the firm, secondary offices and work points - original; 3. Fiscal attestation certificate on the fulfilment of the payment obligations to the local budget issued by the Department of Local Tax of the local administrative territorial unit in which area the institution has its Social Registered Office (the certificate has to mention that the institution has no debts at the local budget or that net payment obligations does not exceed 1/12 from the total payment obligations for the last 12 months. The document should be valid at the date of submission of the project proposal- original/copy; 4. Fiscal attestation certificate on the fulfilment of the payment obligations to the general budget issued by the Fiscal Administrative Body in of the Administrative Territorial Unit in which area the institution has its Social Registered Office (the certificate has to mention that the institution has no debts at the general budget or that the payment obligations does not exceed 1/6 from the total payment obligations for the last 6 months. The document should be valid at the date of the submission of the project proposal - original/copy; 5. Certificate of fiscal record issued by the Territorial Bodies of the Ministry of Public Finances. The certificate should be valid at the date of the submission of the project proposal - original; 6. Financial balance sheet of the last three years registered and signed by the Public Finance Administration or other institutions or bodies responsible for receiving financial balance sheets, including the account of patrimonial result/account of the result of the financial exercise/account of profit and loss and dates on the last financial exercise copy; 7. Decision of the Managing Body (General Assembly, Administrative Board, etc.), stating that the institution guarantees: (1) the financial resources for the implementation of the project, (2) Reimbursement of irregularities in case any irregularity is detected during or after the closure of the project signed and stamped - original, signed and stamped by the legal representative/empowered person; 8. Statement on the Article 181 of Government Emergency Ordinance no. 34/2006 regarding the award of public procurement contracts, public works concession contracts and services concession contracts, with later amendments (form attached). Please note that all the copies of the documents shall be submitted in a certified form: verified against original signed and stamped by the legal representative/empowered person. The documents mentioned at point 3 and 4 shall be submitted in original to the Romanian National Authority after the approval of the project. 13

319 To be confirmed [please insert the header of the body participating in an ESPON project] [please insert the name, social registered office and address of the body participating in an ESPON project] Form No. [please insert the registration number of the document issued by the body participating in an ESPON project]/[please insert the date in dd/mm/yy format] Reference Code and acronym of the project Title of the project S T A T E M E N T The undersigned [please insert the name of the legal representative/empowered person, as it appears in the ID], ID series [please insert the series of ID] and no. [please insert the number of ID], PNC [please insert the personal number code], in quality of legal representative/empowered person of [please insert name of body participating in an ESPON project], as lead partner/partner in the ESPON project [please insert project code and acronym] financed through the budget of the ESPON 2013 Programme, for which the Ministry of Regional Development and Housing acts as National Authority, acknowledging that the false declaration is punished by the Penal Code hereby declare that: The activities performed by the [please insert name of body participating in an ESPON project] in the project [please insert project code and acronym] were not previously financed from national or EU funds; [please insert name of body participating in an ESPON project] is not in any of the following situations: a) is not in status of bankruptcy or liquidation, the business is not run by an official receiver of bankruptcy and my commercial activities are not suspended nor are subject to an arrangement with creditors. Also, I am not in any other situation similar to any of the above, as regulated by the law; b) is not subject to any legal procedure that can end in me being in any of the statuses stipulated in a); c) has fulfilled all the obligations concerning payment of taxes and social security contributions to all budgets within the general consolidated budget, in accordance with the Romanian legal provisions in force in the last two years has not been in a situation of not fulfilling or wrongly-fulfilling the contractual obligations, for reasons that are imputable to me, which lead to prejudice for the other parts of the contract; d) the legal representative has not been convicted, in the last three years, by final decision of any law court, for anything concerning the professional ethic or for any professional mistakes. The undersigned declares that all the information provided is complete and correct in every detail and I understand that the National Authority for the ESPON 2013 Programme is entitled to demand, in order to check and confirm our statements, any evidential documents we have in our. 14

320 To be confirmed I understand that, in case this statement is not in accordance with the real facts, I can be prosecuted in accordance with the penal law concerning false statements. The undersigned is obliged to inform immediately the National Authority for the ESPON 2013 Programme regarding any modifications of the above-mentioned circumstances during the implementation phase of the project. [please insert the name of the legal representative/empowered person, in clear] [plese insert the position of the legal representative/empowered person within the institution] [signature and stamp] 15

321 Information for private applicants from Slovakia Background documents necessary for performing eligibility control of Slovak project partners at the national level in the projects under ESPON 2013 programme The Ministry of Construction and Regional Development of the Slovak Republic (hereinafter the Regional Development Ministry) plays the role of ESPON 2013 national contact point. The Regional Development Ministry is involved in the phase of eligibility evaluation of Slovak project partners at the national level within the framework of the call for the submission of completed project applications. 1. Legal personality of the project partner Certificate of legal personality of the project partner (memorandum of association, bylaws, valid registration decision of a district authority, an excerpt from the relevant register, charter of foundation) where a change has occurred in the legal format or, a change has occurred in the initially submitted documents providing evidence of legal personality of the project partner or, a new project partner is involved which was not involved in the partnership in step 1 of the call 2. Information about the project part implemented by the Slovak project partner and the completed annex to Part E Information about the project implemented by the Slovak project partner a mandatory annex for all project partners Submission of documents necessary to consider the economic and organisational capability of the project partner in 1 original (or a verified copy not older than three months): 1. An excerpt from the penal register not older than three months of the applicant s statutory body (excerpts for all members of the statutory body are to be attached who are authorised to act on behalf of the project partner) the annex is not relevant for budgetary and contributory organisations (i.e. those fully or partially publicly funded); 2. A certificate of the competent branch of the Social Insurance Agency that the project partner does not have any arrears of contributions to the pension security, sickness insurance and unemployment insurance, not older than 3 months; 3. A certificate of all health insurance agencies in which the project partner employees are insured, indicating that the project partner does not have any arrears of contributions to the mandatory public health insurance, not older than 3 months; 4. A sworn statement of the project partner that none of his employees are insured in any other health insurance agency; unless the project partner has submitted certificates of all health insurance agencies operating in the Slovak Republic; 5. Financial statements for a year preceding the year of the application submission applies to all applicants (all statements); 16

322 6. Statement of the Lead Partner of providing a guarantee in the value of the ESPON contribution (specification of the guarantee format) the statement is submitted by Lead Partners only; 7. A certificate not older than 3 months that the applicant is not in liquidation, is not subject to winding-up or restructuring, that bankruptcy has not been declared on his assets, that a motion to declare bankruptcy has not been rejected and bankruptcy has not been cancelled (in case of private sector entities). In case of municipalities/cities, a sworn statement is to be submitted claiming that the municipalities/cities are not under forced administration/management. That certificate is to be submitted by all applicants save municipalities/cities or regions (higher territorial units). The applications for issuing certificates are filed with the country court in the regional centre. Civic associations, foundations, non-profit organisations, noninvestment funds, interest associations of legal entities, budgetary or contributory organisations founded by higher territorial units (regions) or municipalities shall submit their application supported by evidence of their establishment or registration (for instance, a certificate of the Ministry of the Interior SR of being filed in the register of associations in case of civic associations). In the event that an entity is a project partner in several projects within the framework of a single call for the submission of ESPON 2013 projects, it shall be adequate to submit 1 original of all documents requested and provide a list of all projects in a cover letter, to which the documents apply. The above background documents are to be drafted in compliance with the information provided in the original Application Form, in the Slovak language. The information concerning background documents which are to be submitted to the end of considering the economic and organisational capabilities of a project partner from the Slovak Republic will also be published on the web site of the Ministry of Construction and Regional Development SR 17

323 Subsidy Contract Template Version 16 September 2009 Subsidy Contract for the implementation of the project Project number, Project theme of the Operational Programme ESPON 2013 The European Observation Network on Territorial Development and Cohesion between Ministry of Sustainable Development and Infrastructures of the Grand Duchy of Luxembourg, Department for Spatial Planning and Development 1, Rue de Plébiscite, L-2341 Luxembourg acting as Managing Authority of the Operational Programme ESPON 2013-The European Observation Network on Territorial Development and Cohesion, hereinafter referred to as MA and Lead Partner organisation with its office at address of the Lead Partner represented by representative of the Lead Partner (name and function of the signatory) hereinafter referred to as Lead Partner (LP), meaning the final beneficiary, as defined in Art. 20(1) of the Regulation (EC) No 1080/2006 is concluded on the basis of the following clauses and in accordance with Article 15(2) of Regulation (EC) No 1080/2006, and lays down the implementing arrangements for the project Project number, Project theme, project proposal Project title / Acronym (registration number). EUROPEAN UNION Part-financed by the European Regional Development Fund INVESTING IN YOUR FUTURE ESPON Subsidy Contract XXX/YYYY 1