guidance on indicator definitions, data and evidence
TRANSCRIPT
Welsh European Funding Office
Guidance on Indicator Definitions, Data and Evidence Requirements
ERDF: Priority Axis 3: ENERGY
Version: 1.2 March 2016
3
Version Control
Version 1.0 - First Published – April 1st
Version 1.1 - Minor Amendments:
Page 3 - [email protected] changed to
Version 1.2 March 2016
Page 9: Clarification of ‘Number of Enterprises receiving non-financial support’.
Page 10: Clarification of definition ‘ new to firm’ products
4
Contents
Glossary ............................................................................................... 1
Thematic Objectives and Investment Priorities ........................................... 3
Result Indicators and Specific Objectives ................................................... 4
Specific Objective 3.1 (WWV) ........................................................................................... 5
Specific Objective 3.2 (WWV) 3.1 (EW) ............................................................................ 6
Specific Objective 3.3 (WWV) 3.2 (EW) ............................................................................. 7
Indicator Definitions..................................................................................... 8
Number of enterprises receiving non-financial support ....................................................... 9
Number of enterprises supported to introduce new to the firm products ........................... 10
Additional capacity of renewable energy production ......................................................... 11
Number of pilot projects completed .................................................................................. 12
Community energy schemes ........................................................................................... 13
Energy support site preparation schemes ........................................................................ 14
Number of renewable energy prototypes tested ............................................................... 15
Number of households with improved energy consumption classification ......................... 16
Estimated decrease in GHG ............................................................................................ 17
ANNEX A: Enterprise Data Requirements ................................................ 18
1
Glossary
1 EC Concepts and Recommendations ERDF March 2014 2 C(2014) 3282 Framework for state aid for research and development and innovation
3 S 82 Energy Act 2004
Enterprise
Organisation producing products or services to satisfy market needs
in order to reach profit. The legal form of enterprise may be various
(self-employed persons, partnerships, etc.) 1
Advisory
Services
Support
Consultancy, assistance and training in the fields of knowledge
transfer, acquisition, protection and exploitation of intangible
assets, use of standards and regulations embedding them.2
Micro-
generation
The use for the generation of electricity the capacity of which
does not exceed 50KW3
Scheme Systematic plan, organisation or arrangement for achieving
specified objectives
Site A specific identifiable area or physical place/space relevant to
the project.
Support
Services
The provision of office space, data banks, libraries, market
research, laboratories, quality labelling, testing and
certification for the purpose of developing more effective
products, processes or services.2
SME As defined recommendation 2003/362/EC. A category of
micro, small and medium-sized enterprise employing fewer
than 250 persons and which has an annual turnover not
exceeding EUR 50 million, and/or an annual balance sheet
total not exceeding EUR 43 million.
SMEs can be autonomous, partner or linked enterprises.
Guidance on the definition of these categories and on
calculating headcount and turnover can be found at:
http://ec.europa.eu/growth/smes/business-friendly-
environment/sme-definition/index_en.htm
2
Social
Enterprise
An enterprise with primarily social objectives whose surpluses
are principally reinvested for that purpose in the enterprise or
in the community, rather than being driven by the need to
maximise profit for shareholders and owners.
3
Thematic Objectives and Investment Priorities
Thematic
Objectives
4. Supporting the Shift to a low-carbon economy in all sectors
Investment
Priority 4a)
Promoting the production and distribution of energy
derived from renewable sources
SO 3.1
SO 3.2
(WWV)
Investment
Priority 4c)
Supporting energy efficiency, smart energy
management and renewable energy use in public
infrastructures, including public buildings and the
housing sector
SO 3.3
(WWV)
SO3.2
(EW)
4
Result Indicators and Specific Objectives
The result indictor is intended to represent the change anticipated as a direct
consequence of the intervention(s) linked to each specific objective. The rationale for
the selection of the result indicators and programme targets are set out in the
respective Operational Programmes.
Operations, in accordance with their operation logic tables, should focus on their
contribution to the result indicator associated with the specific objective.
The selection of output indicators, as defined in this guidance, should be derived
from the intervention logic for each operation and be aligned with the respective
result indicators, specific objectives and investment priorities.
Evidence will need to be provided to demonstrate the links between the aims and
objectives, activities and indicators. The evidence that will be provided will be set out
and agreed in the Business Plan.
Monitoring Data:
Data will need to be provided to support claims. Annex A sets out the mandatory
data requirements for WEFO funded operations.
Beneficiaries should collect additional monitoring data to enable evaluation of the
effectiveness and impact of the Operation.
The data should be uploaded via WEFO online as a part of the claims process. A
template for provision of data is available on the WEFO website.
The Operational Programmes are available at: http://wefo.wales.gov.uk
These set the overall aims of the programmes within which operations will take
place, and in many cases will provide examples of the types of activities envisaged
under each SO.
Useful Contacts for queries and advice:
[email protected] Queries relating to Research Monitoring and
Evaluation
[email protected] Queries relating to Cross Cutting
Themes
[email protected] Queries relating to audit and evidence
If a query relates directly to an approved operation then the first point of contact
should be the project development officer.
5
Specific Objective 3.1 (WWV)
4 Digest of UK statistics table 6.4
5 Tons CO2 equivalent
To increase the number of wave and tidal energy devices being tested in Welsh
waters and off the Welsh Coast, including multi-device array deployments, thereby
establishing Wales as a centre for marine energy production.
Targets
WWV
(2023)
Result
Indicator
Installed capacity in wave and tidal (MW) Additional
204
Additional capacity of renewable energy production (MW) 20
Number of pilot projects completed 4
Energy support site preparation schemes 2
Number of renewable energy prototypes tested 8
Estimated decrease in GHG5
6
Specific Objective 3.2 (WWV) 3.1 (EW)
6 The OP excludes micro-generation. Sites must be generating electricity. 7 DUKES (DECC) Report on Renewable electricity in Scotland, Wales, NI and regions of England.
Measured as increase above baseline figure sin OP
To increase the number of small scale renewable energy schemes established
Targets
WWV
(2023)
Targets
EW
(2023)
Result
Indicator
Number of sites6 generating electricity from
renewable sources (excluding PV)
+ 377 + 3-6
Output
Indicators
Number of enterprises receiving non-
financial support
150 70
Number of enterprises supported to
introduce new to the firm products
75 35
Additional capacity of renewable energy
production (MW)
8
Number of pilot projects completed 4 3
Community Energy Schemes 37 3
Energy support site preparation schemes 2 1
Number of renewable energy prototypes
tested
8 3
Estimated decrease in GHG
7
Specific Objective 3.3 (WWV) 3.2 (EW)
8 Increase energy performance by 2 EPC ratings
To increase the energy efficiency of the existing Welsh housing stock, particularly in
areas of fuel poverty
Targets
WWV
Targets
EW
Result
indicator
Energy Efficiency rating of households facing
severe fuel poverty
+ 10%8
baseline
+ 10%8
baseline
Output
indicators
Number of households with improved energy
consumption classification
5,500 4,200
Estimated decrease of GHG 10 5
8
Indicator Definitions
9
Number of enterprises receiving non-financial support
The number of enterprises receiving support that is neither ‘grant’ nor
‘financial support other than grants’. The support can be standalone or as part
of a cooperation. Enterprises can only be counted once for each operation.
The amount of support should be calculated on a cumulative basis. The
support encompasses only advisory work and does not include travel time.
A minimum of 1 day (6 hours activity) which was delivered through a business
diagnostic or equivalent that results in an action plan OR 2 days (12 hours)
support through active innovation advisory or innovation services. A business
diagnostic should result in an action plan.
An enterprise recorded as receiving support under this indicator can also be
recorded as receiving grants and receiving financial support if they receive
relevant support through different activities. Enterprises can also be counted
as ‘enterprises cooperating with supported research institutions’
Unit:
Enterprises
Data Requirements:
Data on all enterprises supported should be submitted when they are included
on a claim. Evidence should be available when the claim is made. A
complete list of fields is given in the Annex.
Suggested Evidence:
The evidence of eligibility, activities and outputs should be set out within the
Business Plan and agreed with WEFO. Evidence will need to be provided of
the SME status of every enterprise receiving support.
ERDF supported enterprises can use the model declaration form in the EC
SME user guide to establish SME status:
http://ec.europa.eu/DocsRoom/documents/10109/attachments/1/translations/e
n/renditions/pdf . Alternatively, evidence might come from company accounts;
companies house records; databases such as MINT; cross-reference to other
information held by WG or in the public domain etc.
Evidence should be provided with details of the supported enterprise’s
activities prior to the support, details of the support activities undertaken and
how these relate to the outputs and results.
Number of enterprises supported to introduce new to the firm products
The indicator measures the number of enterprises that have received support to
develop a 'new to the firm' product. This includes process innovation as long as the
process contributes to the development of the product. Projects without the aim of
actually developing a (new to firm) product are excluded. If an enterprise introduces
several products or receives support for several projects, it is still counted as one
enterprise. In the case of cooperation projects, the indicator measures each
participating enterprise.
A product is new to the firm if the enterprise did not produce a product with the same
functionality or the production technology is fundamentally different from the
technology of already produced products. An example of ‘new to firm’ might be the
purchase/licensing of IP which is then used to improve the enterprises’ products or
processes.
Products can be tangible or intangible (incl. services and processes).
If a product is new both to the market and to the firm, the enterprise should be
counted against both new to firm and new to market indicators.
Enterprises included in this indicator should also be recorded as receiving
grants/financial / non-financial support and new enterprises.
While most classic innovations lead to products new both to the market and to the
firm, it is possible that the product is new to the firm but not new to the market, e.g.
certain technology transfers.
Unit:
Enterprises
Data requirements:
Data on all enterprises supported should be submitted when they are included on a
claim. Evidence should be available when the claim is made. A complete list of
fields is given in the Annex.
Suggested Evidence:
Baseline diagnostic evidence at the start of the support to identify current enterprise
activity and products and processes followed. Detailed documentary evidence of
what changes in process and/or products have developed as a result of the support
and activity of the project.
11
Additional capacity of renewable energy production
Increase in energy production capacity of facilities using renewable energy
resources, built /equipped by the project. Includes electricity and heat energy.
Renewable energy resource: Any energy source that is not fossil or nuclear.
This indicator should be used with Estimated Decrease in GHG.
Unit:
MW
Suggested Evidence:
The data should be provided upon completion of the project, i.e. the
installation is operational.
Baseline evidence of renewable energy capacity.
Evidence of procurement process, technical specification for capacity of
installation.
Evidence that installation has been completed and is operational.
12
Number of pilot projects completed
A project planned as trial designed to test a given approach for a limited group
of beneficiaries over a limited period; intended to attract future activity in the
field/discipline or sector. 9
A pilot project can be deemed to be completed when a technical assessment
has been completed.
Unit:
Pilots completed
Suggested Evidence:
The data should be provided upon completion of the project.
Baseline evidence – proof of concept.
Cooperation agreement
Evidence of procurement process, technical specification
Evidence that pilot and technical assessment. have been completed
Evaluation
9 (DCLG ERDF 2007-13 Output Definitions)
13
Community energy schemes
Community based collective action to reduce, purchase, manage and
generate energy.
Activities envisaged under this definition include: capacity development for
local groups; advice and guidance on setting up small scale renewable energy
generation schemes; support for collaborative working with developers on
community supported schemes; investments tailored to address barriers to
accessing finance for small and community schemes supporting a low carbon
transition and development and implementation of low Carbon strategies
supporting the demonstration of benefits for a specific geographical area.
Unit:
Number of schemes
Suggested Evidence:
Business Plan, terms of reference or articles of association demonstrating the
activities undertaken.
Evaluation to demonstrate how activities link the objectives to the aims and
the impact of the funded operation.
14
Energy support site preparation schemes
Schemes for the installation and commissioning / deployment of pre-
commercial wave, tidal and renewable electricity generating devices. The
emphasis is in preparation of the ground for significant long term private
investment in the sector.
Infrastructure investments and preparatory work to remove barriers, reduce
risks and maximise investor confidence. These investments should be aimed
at encouraging deployment of pre commercial marine devices for testing and
demonstration.
For example: site preparation, shore-based facilities, connections, access,
surveys.
Unit:
Number of Schemes
15
Number of renewable energy prototypes tested
This indicator is intended to measure activities to support the deployment of
marine energy technology (tidal, wave and wind).
The types of action supported under this indicator are set out in the
Operational Programme.
Business Plans should outline the testing activity.
Unit:
Number
Suggested Evidence:
This output should be recorded upon completion of testing.
Baseline: proof of concept.
Environmental impact study; documents evidencing the procurement process
Evidence of contract for works and authorised certificated payments.
Documentary evidence of completion of testing
16
Number of households with improved energy consumption classification
Number of households with an improved energy classification as a direct
result of ERDF funding10.
Non - ERDF funded works must be excluded.
The increase in energy performance should be by 2 ratings.
Unit:
Number
Suggested Evidence:
Baseline evidence of energy classification (Energy Performance Certificate)
Evidence of works carried out; tender documents, contract award.
Evidence of completion of works
Evidence of revised energy classification (Energy Performance Certificate).
10 Directive 2010/31/EU
17
Estimated decrease in GHG
This indicator is applicable to interventions directly aiming to increase
renewable energy production and is mandatory where ‘additional capacity of
renewable energy production’ or ‘number of households with improved energy
consumption’ are used.
The indicator will show the total estimate of annual decrease by the end of
the period, not the total decrease throughout the period.
In case of renewable energy production, the estimate is based on the amount
of primary energy produced by supported facilities in a given year (either one
year following project completion or the calendar year after project
completion). Renewable energy is supposed to be GHG neutral and replacing
non-renewable energy production. GHG impact of non renewable energy is
estimated through the Member State MS total GHG emission per unit of non-
renewable energy production.
In the case of energy saving measures, the estimate is based on the amount
of primary energy saved in a given year by supported operations (either one
year following project completion or the calendar year after project
completion). Saved energy is supposed to be replacing non-renewable energy
production. GHG impact of non-renewable energy is estimated through the
MS total GHG emission per unit of non-renewable energy production.
Calculations for energy savings measures are based on the energy
performance certificate (EPC) of buildings (see Art.12.1.b of Directive
2010/31/EU). Value will be calculated from the energy certificates issued
before and after the measures are installed.
Unit:
Tons CO2 equivalent
Suggested Evidence:
Tonnes of carbon saved should be measured using Department for
Environment, Food and Rural Affairs (DEFRA) and Department of Energy
and Climate Change (DECC) GHG Conversion Factors for Company
Reporting
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ANNEX A: Enterprise Data Requirements
Current versions of the Enterprise micro-level database (PDF and Excel
versions) can be found using the following links:
ENGLISH: http://gov.wales/funding/eu-funds/2014-2020/delivering-your-
project/erdf-indicators/?lang=en
CYMRAEG: http://gov.wales/funding/eu-funds/2014-2020/delivering-your-
project/erdf-indicators/?skip=1&lang=cy
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Enquiries Helpdesk 0845 010 3355
For more information:
www.gov.wales/eu-funding
@wefowales / @wefocymru