Scottish Bus Emissions Abatement Retrofit Programme - Phase 1 Assessment Process Guidance - Energy Saving Trust
←
→
Page content transcription
If your browser does not render page correctly, please read the page content below
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
Disclaimer
Applicants should be aware that as the Scottish Bus Emissions Abatement Retrofit Programme
Phase 1 (BEAR Phase 1) is a new grant fund, this guidance will be reviewed as the programme
evolves and therefore may be subject to change. Transport Scotland reserves the right to amend
the published guidance during the period of the programme.
The Energy Saving Trust and/or Transport Scotland reserves the right to reject an application
where:
an application is submitted late, is completed incorrectly, is materially incomplete or fails
to meet any submission requirements which have been notified to the applicants; and/or
the applicant (including any partners) are guilty of a material misrepresentation or false
statement in relation to its application and/or the application process.
The Energy Saving Trust and/or Transport Scotland reserves the right at any time:
not to consider applications other than those submitted in accordance with the
requirements of the application process;
to issue amendments or modifications to the application documents during the application
process;
to require an applicant (including any partners) to clarify their application in writing and/or
provide additional information (failure to respond adequately may result in an application
being rejected);
alter the timetable of any aspect of the application process;
to not award any grant funding under the BEAR Phase 1; and/or
to cancel the application process at any time.
Any costs or expenses incurred by an applicant (including any partners) or any other person in
participating in the application process will not be reimbursed by the Energy Saving Trust and/or
Transport Scotland. The Energy Saving Trust, Transport Scotland and/or any of their
representatives or advisors will not be liable in any way to any applicant (including any partners)
or any other person for any costs, expenses or losses incurred by any applicant (including any
partners) or any other person in connection with this application process.
Version Control
Date Issue Status Author Authorised by
21/02/2018 V6 FINAL Energy Saving Trust Transport Scotland
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
IICONTENTS
1 Purpose of this document .......................................................................................................... 1
2 Summary ............................................................................................................................... 1
2.1 The need for an assessment process .............................................................................. 2
2.2 BEAR Phase 1 strategic aims ......................................................................................... 2
3 Overview of assessment process ........................................................................................... 4
4 Timelines ............................................................................................................................... 5
5 Pre-panel assessment process.................................................................................................. 6
5.1 Screening........................................................................................................................ 6
5.2 Eligibility check................................................................................................................ 6
5.3 Monitoring Requirements ................................................................................................ 9
5.4 Fund Requirements......................................................................................................... 9
5.5 State aid ....................................................................................................................... 12
5.6 Scoring ......................................................................................................................... 13
5.7 RAG rating ........................................................................................................................ 13
5.8 Preparation of material for Assessment Panel ............................................................... 14
5.8.1 Case Papers .......................................................................................................... 14
5.8.2 Summary Paper ..................................................................................................... 14
6 Assessment Panel ............................................................................................................... 15
6.1 Role of the Assessment Panel ...................................................................................... 15
6.2 Membership of the Assessment Panel .......................................................................... 15
7 Awards and due diligence .................................................................................................... 16
ANNEX 1: Screening checklist .................................................................................................... 17
ANNEX 2: Eligibility checklist ....................................................................................................... 18
ANNEX 3: Fund requirements ..................................................................................................... 20
ANNEX 4: State aid checklist ...................................................................................................... 21
ANNEX 5: Scoring framework ......................................................................................................... 22
ANNEX 6: Example Case Paper ................................................................................................. 27
ANNEX 7: Conflict of interest procedure ...................................................................................... 30
ANNEX 8: Scotland’s Air Quality Management Areas .................................................................... 31
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
III1 Purpose of this document
This document sets out the approach for taking BEAR Phase 1 applications through a process of
assessment in order to allocate grant funding to projects that support the strategic aims of BEAR
Phase 1.
This document has been prepared by Energy Saving Trust (EST) which has been appointed to
administer BEAR Phase 1 on behalf of Transport Scotland.
2 Summary
There are three key stages to the assessment of BEAR Phase 1 applications. The flow chart
below summarises these stages.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
12.1 The need for an assessment process
Transport Scotland and EST will ensure the BEAR Phase 1 assessment process is open,
transparent and fair for all applicants. A robust assessment process will ensure that:
If BEAR Phase 1 is oversubscribed, the allocation of grant funding is fair and supports
a range of projects most likely to support the strategic aims of the programme.
If the fund is undersubscribed, grant funding is not awarded to projects that do not
meet the criteria of the fund.
2.2 BEAR Phase 1 strategic aims
In order to be considered for funding, applications need to identify projects that deliver benefits
directly in line with the core strategic aims of BEAR Phase 1. The strategic aims of BEAR Phase
1 are to:
Support licenced bus operators (including community transport operators) to reduce
nitrogen dioxide (NOx) and particulate matter (PM) emissions of existing eligible fleet
vehicles operating on routes within, or located primarily within, one of Scotland’s cities
identified in the Programme for Government 2017 LEZ commitment (i.e. Aberdeen,
Dundee, Edinburgh and Glasgow) and/or one of Scotland’s Air Quality Management
Areas (AQMAs) through the installation of Clean Vehicle Retrofit Accreditation
Scheme (CVRAS) accredited retrofit technology measures.
To demonstrate and evidence the effectiveness of retrofit technology to Scottish bus
operators through an effective monitoring framework collecting, analysing and sharing
operational data to demonstrate real world emissions reduction from the use of the
retrofit technology and identify and assess any associated impact on fuel consumption
and efficiency, and contributing to LEZ monitoring and enforcement. Subsequent
phases of the BEAR programme will also support work to establish the Scottish
Engine Retrofitting Centre.
Specifically, BEAR Phase 1 aims to deliver a minimum of:
55 existing buses/coaches fitted with CVRAS accredited selective catalytic reduction
(SCR) and diesel particulate filter (DPF) retrofit technology measures, with up to five
of these vehicles also fitted with electric fan units (EFans).
Monitoring and evaluation identifying evidence of the effectiveness of retrofit
technology to Scottish bus operators by sharing operational data to demonstrate real
world emissions reduction from the use of the retrofit technology and identifying and
assessing any associated impact on fuel consumption and efficiency.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
2Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
33 Overview of assessment process
The assessment process will occur in three distinct stages. This process will be completed by 30
March 2018 (see timeline in section 4).
Process/Activity
Screening (see section 5.1)
Screening Checklist (Annex 1) completed for each applicant.
Eligibility check (see section 5.2)
Stage 1
Eligibility Checklist (Annex 2) completed for each applicant. Applications determined to be
ineligible will not be assessed any further.
Fund Requirements & State Aid (see sections 5.4 and 5.5)
Applications will be assessed against fund requirements (see Annex 3)
During this process clarification can be sought from applicants if required.
Scoring (see section 5.6)
Applications will be scored using framework described in section 5.6 and Annex 5.
Stage 2
During this period clarification can be sought from applicants if required.
Case Papers will be prepared for each project, as well as a Summary Paper – which will
provide a strategic view of the applications reviewed, an explanation of the scoring
process, and recommended package of proposals for the Assessment Panel to consider
Assessment Panel (see section 6 )
Assessment Panel receive copies of the completed application forms, Case Papers for
each project and Summary Paper.
Assessment Panel tests and ratifies the recommendations in Summary Paper. The
Assessment Panel will either ratify recommended applications, or agree to fund alternative
applications.
Preparation and circulation of Assessment Panel report for confirmation.
Stage 3
Assessment Panel report sent to Transport Scotland for final approval.
Awards (see section 7)
Conditional offers of funding drafted. Successful and unsuccessful applicants notified of
outcome. Unsuccessful applicants will be offered feedback on their application.
If relevant, final due diligence undertaken to ensure all outstanding issues have been
addressed.
Funding awards announced.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
44 Timelines
January February March
26 29 30 31 1 2 5 6 7 8 9 12 13 14 15 16 19 20 21 22 23 26 27 28 1 2 5 6 7 8 9 12 13 14 15 16 19 20 21 22 23 26 27 28 29 30
F M T W T F M T W T F M T W T F M T W T F M T W T F M T W T F M T W T F T M T W T F M T W T F
BEAR Phase 1 announced
BEAR Phase 1 open for applications
n Engagement event Applications due
Screening/Eligibility check/Fund requirements/State aid
n Scoring
n Panel reviews assessments
Panel meets
n Conditional offers
Awards announced
n
n Meetings between Transport Scotland and EST, including engagement event and Panel meeting
The Assessment Panel will meet in the week beginning 19 March 2018. Conditional offers will be made from the 22 March 2018, and final awards will be
announced on 30 March 2018.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
55 Pre-panel assessment process
During the pre-panel assessment process applications will undergo initial screening and an
eligibility check. Then those determined to be eligible (or partially eligible) will be assessed further
and scored against the assessment framework outlined below.
Each assessment will produce a score out of 30 and a Case Paper will be produced outlining how
this score was reached (see Annex 5 for the scoring framework and Annex 6 for an example
Case Paper). The Assessment Panel will receive a Case Paper for each project as well as a
Summary Paper presenting a strategic overview that assesses all the applications received
against the available grant funding and the strategic aims of the BEAR Phase 1 programme.
5.1 Screening
Applicant organisations are expected to provide full details of their proposed project on the BEAR
Phase 1 application. EST will screen all applications to ensure that they meet the following
criteria:
The application form has been received before or on the deadline.
The application form is complete.
The required supporting information has been provided.
The application form has been signed and dated by someone within the applicant
organisation with the authority to do so.
The Screening Checklist (Annex 1) will be used to check that an application is valid. Where
material is missing the applicant will be contacted via email and asked to provide the required
material within 2 working days. If the material is not received within 2 working days, the
application will not be progressed. Applicant organisations will not be provided with an
opportunity to rework any element of their application.
Applications received after 2 March will not be considered, unless under exceptional
circumstances.
5.2 Eligibility check
EST will complete an eligibility check that will assess all applications against BEAR Phase 1
eligibility criteria i.e. the applicant organisation, vehicles and measures. Questions on the
Eligibility Checklist (Annex 2) will be answered ‘yes’, ‘no’ or in some cases ‘partial’. Applications
must have either ‘yes’ or ‘partial’ for each eligibility criteria to progress to the next stage.
‘Partial’ eligibility will apply in circumstances where the application has an ineligible element, or a
potentially ineligible element, and it is judged that the project is likely to remain viable if certain
conditions are met.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
6EST will administer BEAR Phase 1 based on set criteria and agreed with Transport Scotland:
Grant of up to 100% and commercial loan funding to make up any difference will only
be open to licenced bus operators (including community transport operators)
operating eligible vehicles based on routes within or located primarily within a local
authority with one of Scotland’s AQMAs within its geographical area. Priority (by
means of application scoring, see below) will be given to applications from licenced
public transport operators operating eligible vehicles on routes that pass through
one of Scotland’s AQMAs and/or one of Scotland’s cities identified in the
Programme for Government 2017 LEZ commitment (i.e. Aberdeen, Dundee,
Edinburgh and Glasgow). Details of all of Scotland’s AQMA’s can be found in
Annex 8 of this document and details and maps can be found on the Scottish Air
Quality website: http://www.scottishairquality.co.uk/laqm/aqma.
Grant and loan funding will only be open to vehicles that meet the following
eligibility criteria:
Eligibility criteria Requirements
Vehicle Buses and coaches operated under a Public Service
Vehicle operator licence or used for voluntary,
community or other non-profit making purposes
Age Less than 13 years old
Remaining service life A remaining service life of at least five years
Emissions standard Euro III, IV and V. If vehicle is not fitted with an ad-blue
system it will need to be fitted as part of the retrofit
Data At least 12 consecutive months of fuel consumption data
for each specific vehicle in order to effectively monitor
and evaluate any associated impact on fuel consumption
and efficiency resulting from retrofit installation
Environmental A statement from operator outlining how services will
commitment be delivered in an LEZ and/or AQMA.
If a vehicle is poorly maintained, then it is possible that retrofit technology will not
operate effectively and applicants will therefore be required to demonstrate a history
of effective maintenance (scored as part of the application evaluation) and commit
to an agreed maintenance cycle as part of the application process. Bus retrofit
technology manufacturers currently support some, but not all, bus models operating
in Scotland that meet these eligibility criteria. The engine configurations currently
CVRAS accredited are as follows:
Product Technology Approved vehicle applications
Eminox Retrofit Double Deck Buses Single Deck Buses
SCRT® exhaust Cummins ISBe 6.7 litre Scania DC901 9.0
after- Euro IV & V powered litre Euro III powered
treatment Volvo D5F 4.8 litre Cummins ISBe 5.9
system Euro IV & V powered litre Euro III powered
Volvo D9B 9.4 litre
Euro IV & V powered
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
7HJS Retrofit Double Deck Buses Single Deck Buses
SCRT exhaust Cummins ISBe 6.7 litre Cummins ISBe
35,36,40, after- Euro IV & V powered 4.5litre Euro IV & V
41 treatment Cummins ISBe 4.5 litre powered
42, 44 system Euro IV & V powered
hybrid
Volvo D5F Euro IV & V
powered
Volvo D9B 9.4litre
Euro IV & V powered
Baumot Retrofit Double Deck Buses Single Deck Buses
BNOx exhaust Cummins ISBe 6.7 litre Cummins ISBe
after- Euro IV & V powered 4.5litre Euro IV & V
treatment powered
system Cummins ISBe 6.7
litre Euro IV & V
powered
More vehicle/engine configurations are being tested and will be added as test data is
provided. There is also the possibility for CVRAS to assess approval extensions on a
case by case basis dependent on bus fleet composition and applications required.
The retrofit supply industry is currently assessing the market needs of the Scottish
bus fleet to understand the vehicle/engine combination requirements for retrofit
emissions reduction solutions.
Grant and loan funding will only fund retrofit technology measures accredited by the
Clean Vehicle Retrofit Accreditation Scheme (CVRAS)1. EST and the Low Carbon
Vehicle Partnership (LowCVP) jointly launched CVRAS in mid-2017. CVRAS
provides a detailed list of accredited retrofit technology providers to the bus sector.
A number of bus models operating in Scotland may not have an accredited retrofit
technology because the technology has yet to be tested on these specific bus
models. BEAR Phase 1 grant and loan funding will be available for the following
CVRAS accredited technologies:
o Selective Catalytic Reduction (SCR) units that reduce NOx emissions by
reacting with ammonia over a catalyst resulting in emitting harmless
emissions of nitrogen and water.
o Diesel Particulate Filters (DPF) that reduce the particulate matter
emissions from an exhaust.
1 http://www.energysavingtrust.org.uk/business/transport/clean-vehicle-retrofit-accreditation-scheme-cvras
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
85.3 Monitoring Requirements
As retrofit technology has not been deployed in Scottish bus fleets before on any scale a key
objective of BEAR Phase 1 will be to establish an effective monitoring framework to:
Demonstrate and evidence the effectiveness of retrofit technology to Scottish bus
operators.
Obtain feedback from Scottish bus operators on the use of bus retrofit technology.
Understand the logistics of installing bus retrofit technology, to create early findings that
will inform subsequent BEAR phases and the creation of Scotland’s Bus Retrofitting
Centre.
Test and, where necessary, refine the funding model to support subsequent BEAR
phases.
Collect, analyse and share operational data from emissions monitoring equipment
(including the fitting of low-cost diffusion tubes to vehicles to create ‘mobile labs’) and
vehicle telematics to demonstrate real world emission reduction from the use of the retrofit
technology and support CVRAS accreditation.
Identify and assess any associated impact on fuel consumption and efficiency resulting
from retrofit installation to inform bus operators and subsequent BEAR phases.
Support LEZ monitoring and enforcement.
Because monitoring and evaluation is a key objective of BEAR Phase 1, the provision of data by
BEAR Phase 1 grant recipients will be an absolute requirement. As a minimum BEAR Phase 1
grant recipients will be required to provide a record of specific fuel consumption, distances driven,
hours operated, daily average NOx and PM emissions reductions for each vehicle funded.
Applicants will therefore be required to agree to the installation of additional emissions and air
quality monitoring equipment on vehicles sufficient to allow vehicles emissions to be monitored,
the performance of retrofit technology to be monitored and accredited where necessary, and to
enable mobile air quality monitoring. Applicants will also be required to agree to a monitoring
process that will involve the collection, analysis and dissemination of associated data to help
inform Transport Scotland, Scottish Ministers, Scottish bus operators and other key stakeholders
on the impact of the programme. This additional monitoring equipment is not subject to State Aid
and will be funded separately from grant and loan awards to successful applicants.
Working with the commercial and bus sectors, the Energy Saving Trust and LowCVP, Transport
Scotland aims to establish an Engine Retrofitting Centre in Scotland to support the delivery of
LEZs, creating new jobs and with the goal of winning business from outwith Scotland. Transport
Scotland is currently developing detailed proposals for the development of the Scottish Engine
Retrofitting Centre in 2018. Data collected BEAR Phase 1 will be used to support the
development of the Scottish Retrofitting Centre and will be made available on the Centre’s
website.
5.4 Fund Requirements
BEAR Phase 1 will provide successful applicants with grant or grant and loan funding of up to a
maximum of £25,000 per vehicle. Retrofitting technology equipment and installation costs vary
depending on the manufacturer, but typically cost c£15,000 per bus. Once additional ancillary
costs over the life-cycle of the bus following installation such as maintenance costs for installed
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
9equipment, associated technical training, short term hire of replacement vehicles during retrofit,
additional vehicle telematics to support monitoring, warranty costs and potentially an approximate
~5% rise in fuel costs are also accounted for, the cost per bus is likely to rise to approximately
£25,000 per bus (based on feedback provided by bus operators).
Applicants will be required to identify and provide evidence of primary and ancillary costs in their
application and these will be assessed and reported to the Assessment Panel. If an application
receives a ‘no’ for any of these questions and is ultimately successful, it is likely that a condition
of funding will be providing additional evidence.
BEAR Phase 1 grant funding constitutes State Aid within the context of the European Union
rules. Applicants therefore have the option of applying for BEAR Phase 1 grant funding either
under the European Commission’s De Minimis Regulations, or under the General Block
Exemption Regulation (GBER) requirements.
De Minimis grant funding allows organisations to receive up to €200,000 (or €100,000 for
organisations in the road freight transport sector) of De Minimis state aid over any three year
fiscal period.
GBER grant funding this allows organisations to receive funding of between 40% and 60% of the
total eligible costs (i.e. primary and ancillary costs of up to £25,000 per vehicle). Small and
medium enterprises (SMEs) can receive funding to cover 60% of the total eligible costs and large
enterprises can receive funding to cover 40% of the total eligible costs.
The definition of SMEs used in the State aid area is as follows:
A medium-sized enterprise is an enterprise satisfying all of the following criteria:
- has fewer than 250 employees and
- has either an annual turnover not exceeding €50 million, and/or a balance-sheet
total not exceeding €43 million.
A small enterprise is an enterprise that satisfies all of the following criteria:
- has fewer than 50 employees and
- has either an annual turnover and/or a balance-sheet total not exceeding €10
million.
A micro- enterprise is an enterprise that satisfies all of the following criteria:
- has fewer than 10 employees and
- has either an annual turnover and/or a balance-sheet total not exceeding €2
million.
The criteria must be applied to the company as a whole (including subsidiaries located in
other Member States and outside the EU). The Regulation provides definitions of an
autonomous enterprise, partner enterprise and linked enterprise in order to assess the
real economic position of the SME in question.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
10Illustrative examples of the BEAR Phase 1 funding options are provided below.
Example 1: Bus Company A is a small enterprise and has a fleet of eight vehicles it
wishes to have retrofitted and has not received any De-Minimis funding in the last
three financial years. Bus Company A has a choice of two funding options:
Option 1 De-Minimis Bus Company A can apply for De-Minimis funding of up to
funding: €200,000 and can apply for funding to retrofit seven of its
eight vehicles (7 x £25,000 = £175,000 or €196,000).
Option 2 GBER Bus Company A can apply for GBER funding to retrofit all
funding: eight of its vehicles. GBER cover under Article 36 will
allow Bus Company A to fund up to 60% (40% plus an
additional 20% for a small company) of the cost of
retrofitting its eight vehicles (8 x £25,000 = £200,000 x
60% = £120,000).
Bus Company A has the option of also applying for a
Commercial Loan funded by Transport Scotland and
administered by EST for the remaining 40% (£80,000).
Example 2: Bus Company B is a large enterprise and has a fleet of 20 vehicles it
wishes to retrofit and has received €142,000 in De-Minimis funding in the last three
fiscal years. Bus Company B has a choice of two funding options:
Option 1 De-Minimis Bus Company B can apply for De-Minimis funding of up to
funding: €58,000 and can apply for funding to retrofit two of its 20
vehicles (2 x £25,000 = £50,000 or €56,000).
Option 2 GBER Bus Company B can apply for GBER funding to retrofit 20
funding: of its vehicles. GBER cover under Article 36 will allow Bus
Company B to fund up to 60% (40% for a large enterprise)
of the cost of retrofitting its 20 vehicles (20 x £25,000 =
£500,000 x 40% = £200,000).
Bus Company B has the option of also applying for a
Commercial Loan funded by Transport Scotland and
administered by EST for the remaining 60% (£300,000).
Any funding required in addition to GBER grant funding can be applied for as a Commercial Loan
funded by Transport Scotland and administered by EST.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
11In order to avoid State Aid in a publicly funded loan agreement BEAR Phase 1 loans will be
offered at a market rate, or in its absence a proxy market rate, established in the following way:
If information on comparable loans for similar debt transactions is available on the private
finance market it will be used to set an interest rate.
In the absence of empirical market information on a specific debt transaction compliance
with market conditions may be established on the basis of a comparison with comparable
market transactions.
When a comparable market transaction is not available to establish a market rate a proxy
rate for the market rate will be calculated using the current UK base rate from the
Commission website2 and basis points will be added depending on the rating of the
undertaking concerned and the collateral offered.
Rating category Collateralisation
High Normal Low
Strong (AAA – A) 60 75 100
Good (BBB) 75 100 220
Satisfactory (BB) 100 220 400
Weak (B) 220 400 650
Bad/financial difficulties (CCC and below) 400 650 1000
Example: if the UK base rate is 0.73 and Bus Company A has a good credit rating (BBB)
and low collateralisation (220) the interest rate will be calculate at a proxy market rate of
2.93%. (2.20 + 0.73 = 2.93%).
Applicants can only apply for either De Minimis or GBER funding. If applicants opt for GBER
funding they are not required to also apply for commercial loan funding.
Grant offer letters to successful applicants will specify a payment schedule based on the specific
conditions of the award and the timescales specified application.
See Annex 3 for an explanation of how these questions will be assessed.
Additional considerations YES NO
Does the application comply with the maximum grant or grant and loan funding of
£25k per vehicle?
Does the application provide a breakdown and evidence of primary equipment costs?
Does the application provide a breakdown and evidence of ancillary costs?
5.5 State aid
Each application will undergo an assessment to document State Aid. EST will complete a State
Aid checklist (see Annex 4) and submit their findings to the assessment panel who will review
and determine if they agree. Where further advice is required, the application will be reviewed by
the State Aid Unit at the Scottish Government for decision. BEAR Phase 1 grant funding
constitutes State Aid within the context of the European Union rules and the presence of State
Aid does not make a project ineligible for funding.
2 http://ec.europa.eu/competition/state_aid/legislation/reference_rates.html
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
12The Case Paper for each project will provide a comment on State aid as follows:
State aid YES NO Comment
Is State aid present? [If yes, comment will outline how this is to be addressed,
e.g. has the appropriate GBER Article being selected and
relevant aid intensity applied to total project costs.]
5.6 Scoring
There are five project impact criteria that will be assessed and scored for each project. Scores
will be determined based on the information provided in the application form. Any supplementary
documents provided to support the application will not impact the score of an application. EST
may contact applicants throughout the assessment process to seek clarification on specific
elements of the application; however, any information provided to EST subsequent to the
submission of the application form will provide context only and will not impact scoring. Applicants
should ensure that all project impact criteria have been addressed in the application form.
Each criterion will be weighted equally and given a score out of five – meaning that total scores
will be out of 25. EST assessors will provide a short comment with a justification for the score. All
criteria will be weighted equally. The five criteria that will be assessed and scored are:
Project rationale
Strategic fit
Additionality
Deliverability
Financial viability
For an explanation of each of these criteria and how they will be assessed see Annex 5.
5.7 RAG rating
In addition to an overall score, each project will also be assigned a red, amber or green (RAG)
rating. The purpose of the RAG rating is to highlight any risks or issues identified during the
assessment to the Assessment Panel. An explanation or justification of the RAG rating will be
provided in the Case Paper based on both objective (e.g. annual vehicle mileage within an AQMA
or LEZ) and subjective criteria (e.g. stated environmental commitment).
RED Projects that receive a red RAG rating are considered high risk, or where a
significant issue has been identified.
Projects that receive an amber RAG rating are considered medium risk, or where
AMBER an issue has been identified and at the time of the Assessment Panel remains
unresolved.
GREEN Projects that receive a green RAG rating are considered low risk, and will have no
unresolved issues.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
13Ineligible projects (i.e. those that do not undergo full assessment) will not be scored and therefore
will not be included in this RAG rating process. A red RAG rating, therefore, does not mean that
the project is ineligible; it means that the project is eligible, but high risk.
5.8 Preparation of material for Assessment Panel
5.8.1 Case Papers
The Assessment Panel will receive a copy of each eligible application form, a Case Paper for
each eligible application, and a Summary Paper that provides a strategic view, an explanation of
scoring process, and recommendations of applications to be funded. See Annex 6 for an example
Case Paper.
5.8.2 Summary Paper
The Summary Paper will provide a ‘roadmap’ for the Assessment Panel discussion. The paper
will recommend a number of applications to be funded, with options for discussion, and it will then
be the responsibility of the Assessment Panel to test and ratify these recommendations. The
outline of the Summary Paper is as follows:
An overview of the strategic aims of BEAR Phase 1.
A complete list of all projects and their respective scores and RAG ratings.
A list of recommended applications to be funded, with options for funding package
variants (if applicable).
An explanation of the rationale behind the recommendations, i.e. an assessment of
overall alignment to strategic aims of BEAR Phase 1, value for money etc.
Proposed key areas of discussion.
An explanation of the scoring process and project impact criteria.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
146 Assessment Panel
6.1 Role of the Assessment Panel
The Assessment Panel will be responsible for testing and ratifying the assessments presented to
them in the project Case Papers and the recommendations made in the accompanying Summary
Paper prepared by EST.
The Assessment Panel will discuss the relative scores of the applications as well as issues and
risks associated with the projects, and, importantly, how various combinations of applications will
achieve the strategic aims of BEAR Phase 1 (see section 2.2).
The Assessment Panel will have discretion to recommend awarding funding to a combination of
applications that may not necessarily represent the highest ranked, but will deliver on strategic
aims – such as geographic spread across Scotland’ AQMAs, number of operators introducing
retrofit technology, etc. Options for best delivering on these strategic objectives will be presented
to the Assessment Panel in the Summary Paper. The Assessment Panel’s decisions will be
reflected in a report following the meeting and this will be submitted to Transport Scotland for final
approval.
6.2 Membership of the Assessment Panel
The specific individuals who will be asked to serve on the Assessment Panel are yet to be
confirmed. However the principles on which it will be established are that the number of
individuals on the Assessment Panel will be sufficient to ensure:
A good balance of opinions and perspectives is represented.
Membership will also be as inclusive and diverse as possible.
Membership will be voluntary and unpaid.
Travel costs and expenses will be reimbursed to enable attendance at a full day Assessment
Panel meeting.
Members will be independent of the project applications proposed. Assessment Panel members
will be required to review and complete the conflict of interest procedure before reviewing any
applications (see Annex 7). Where any links exist between Assessment Panel members and an
application, the member will be asked not to join the discussion of that particular project, and will
not be able to make a contribution to the final funding decision for that project. The Assessment
Panel will be chaired by a senior representative from Transport Scotland and EST will provide
secretariat support to the Assessment Panel.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
157 Awards and due diligence
Following the Assessment Panel, and once Transport Scotland has given final approval, letters
providing conditional offers of funding will be issued to the successful applicants. Letters will
include all conditions set by the Assessment Panel and requests for any outstanding information
to support any final due diligence necessary.
Due diligence will ensure the information provided by the applicant organisation is accurate and
complete, for example financial information, legal status, vehicle eligibility. It will also ensure that
any concerns raised by the Assessment Panel have been addressed.
Unsuccessful applicants will be informed of the outcome and offered feedback on their
application.
Final announcements of awards will be embargoed until all further due diligence has been
satisfactorily completed.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
16ANNEX 1: Screening checklist
On receipt of application this form will be used by EST to check that each application is complete
and valid before it progresses to the next stage of assessment.
Application Screening questions YES NO Note
Form Section
- Was the application form received before or on the Note capturing
deadline? why/why not met
- Is the application form complete?
1 Has the applicant answered ‘Yes’ to all of the
questions in the Self-Assessment checklist (section
1 of the application form)?
9.1 Is the application signed and dated by someone
within the applicant organisation with the authority
to do so?
4 Has the applicant provided a financial quotation of
cost from their specified retrofit technology
installer?
- Has the applicant attached any additional
information referred to in the body of the
application form, e.g. additional vehicle data, a
breakdown of project costs, etc.?
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
17ANNEX 2: Eligibility checklist
This form will be used by EST to conduct an eligibility check of all the applications against the
following eligibility requirements. If an application receives a ‘No’ for any of these criteria, it will
not progress to the next stage of assessment. Where an application receives a ‘Partial’ mark for
any of the criteria, this will inform the conditions the Assessment Panel may wish to attach to the
funding in the event that the project is approved.
Application Eligibility requirement YES PARTIAL NO
Form Section
Applicant eligibility
2.1 Is the applicant organisation a licenced bus n/a
operator/community transport operator?
2.1 Does the applicant organisation operate eligible vehicles n/a
on routes within or located primarily within a local
authority with one of Scotland’s AQMAs3 within its
geographical area?4
3.1 Does the applicant organisation operate eligible vehicles n/a
on routes that pass through one of Scotland’s AQMAs
and/or one of Scotland’s cities identified in the 2018-19
Programme for Government LEZ commitment?5
3.1 Can the applicant organisation provide figures for the n/a
number of miles travelled per annum by the vehicles for
which grant funding has been applied for operating
specific bus route(s) and within LEZ and/or AQMA
area(s)?
Vehicle eligibility
3.2 Are the vehicles for which the applicant organisation is n/a
applying for less than 13 years old (i.e. Euro III, IV and
V emission standards), fitted with or to be fitted with an
ad-blue system and with a remaining service life of at
least five years?
3.2 Can the applicant organisation provide at least 12
consecutive months of fuel consumption data for each
specific vehicle applied for?
Eligible measures
3.2 Are the specific retrofit measures the applicant n/a
organisation is applying for Selective Catalytic Reduction
3 I.e. Aberdeen City Council, City of Edinburgh Council, Dundee City Council, East Dunbartonshire Council,
East Lothian Council, Falkirk Council, Fife Council, Glasgow City Council, Highland Council, Midlothian
Council, North Lanarkshire Council, Perth & Kinross Council, Renfrewshire Council, South Lanarkshire
Council and West Lothian Council.
4 Verification may be sought from constituent local authorities to confirm the accuracy of the information
provided.
5 I.e. Aberdeen, Dundee, Edinburgh and Glasgow.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
18Application Eligibility requirement YES PARTIAL NO
Form Section
(SCR) and/or Diesel Particulate Filters (DPF)?
3.3 Are the specific retrofit measures the applicant
organisation is applying for accredited by the Clean
Vehicle Retrofit Accreditation Scheme (CVRAS)?
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
19ANNEX 3: Fund requirements
The following additional considerations will be marked as ‘yes’ or ‘no’. This will not form part of
the score of the project (or RAG rating), but will be noted for the Assessment Panel.
Application Additional consideration How this will be marked
Form Section
4.1 Does the application comply Applications will be marked ‘yes’ if the application
with the maximum grant or complies with the £25,000 per vehicle funding limit.
grant and loan funding of
£25,000 per vehicle?
4.2 Does the application provide a Applications will be marked ‘yes’ if the application
breakdown and evidence of provides a breakdown and evidence of primary
primary equipment costs? equipment costs.
4.2 Does the application provide a Applications will be marked ‘yes’ if the application
breakdown and evidence of provides a breakdown and evidence of ancillary
ancillary costs? costs.
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
20ANNEX 4: State aid checklist
This checklist will be used by EST to determine and document whether State aid is present in the
proposed project at both organisation and beneficiary level.
State aid assessment YES NO ments
(application form section 7.4)
1 Has the applicant or any partner If No, refer to point 2.
declared it is involved in an economic If Yes , refer go to point 5
activity on the project?
2 If the applicant has declared No - If No, please refer to point 4
Are you are satisfied that the applicant If Yes , refer to point 3.
or any partner is not an undertaking?
3 If you are satisfied that the applicant or n/a n/a Note – Please consider Beneficiary
any partner is not an undertaking there of project and complete State aid
is no need to assess the measure for Checklist at this level to determine
State aid at this level. whether State is present.
4 Has the applicant provided sufficient If No,seek further information from
evidence to support the response? applicant.
If yes, refer to point 5.
5 Has the applicant applied the 4 State aid If No, refer applicant to the SG State
tests and determined the possible aid guidance and ask them to apply
presence of State aid? the 4 State aid tests and provide the
result of this assessment.
If Yes , refer to point 6.
6 Has the applicant declared whether If No, refer to point 7.
there is any State aid present? If Yes , refer to point 8.
7 Has the applicant explained how the If No, request applicant provides this
project activities have been assessed evidence in order to proceed with
against the four State aid tests and application.
provided evidence to support a finding of If Yes, refer to point 9.
‘No State aid’?
8 Has the applicant made an assessment If No, request applicant does this and
of whether the State aid present is provides evidence to confirm findings.
compliant under the appropriate GBER If Yes , refer to point 10.
scheme?
9 Complete State aid Compliance n/a n/a Once project has been approved and
template Grant Award letter issued insert details
of project onto BEAR Programme
project tracking spreadsheet for
monitoring and State aid review.
10 Check that the GBER Article selected is If No, application should be withdrawn.
appropriate and advise applicant of the If Yes , refer to point 9.
relevant aid intensity applied to total
project costs and confirm whether
applicant wish to proceed with
application/project.
Does the applicant wish to continue?
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
21ANNEX 5: Scoring framework
The following scoring framework will be used to assess applications. There are six project impact criteria that will be scored out of five – the total
score for a project will be out of 30.
0= No evidence to address criteria
1= Significantly deficient against the criteria
2= Addresses some of the criteria but is deficient
3= Satisfies the criteria
4= Satisfies the criteria well
5= Satisfies the criteria exceptionally well
Please note that the ‘what will assessors consider’ column provides an indication of the sorts of questions assessors will consider. It is not
necessarily exhaustive, nor will every question be relevant to every application.
Project impact criteria
Application Key Question What will assessors consider Sco re Comments and justification
Form Section
Project Rationale
1. 5.1 Does the proposed project fit How does the project rationale align with the
with the strategic aims of the BEAR Phase 1 aims? I.e. has the application
BEAR Phase 1? demonstrated how the project will reduce NOx
and PM emissions of existing buses operating on
routes within, or located primarily within, one of /5
Scotland’s AQMAs?
Is the proposed project likely to achieve these
stated aims based on the description of the
project?
Strategic fit
2. 5.2 Will the proposed project Does the application details of specific vehicles
/5
contribute to reducing NOx employed on one or more specific named routes?
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
22Project impact criteria
Application Key Question What will assessors consider Score Comments and justification
Form Section
and PM emissions of existing How long are the specific vehicles identified likely
buses? to be employed following the installation of retrofit
Will the proposed project technology? I.e. the length of time the vehicles
support reducing NOx and could potentially contribute to improved air quality.
PM emissions within one of Is the project likely to demonstrate and evidence
Scotland’s AQMAs? the effectiveness of retrofit technology to Scottish
Will the proposed project bus operators?
support reducing NOx and
PM emissions within an
AQMA in one of Scotland’s
four largest cities?
Emissions reduction
3. 3.1 Does the applicant Do mileage figures indicate that vehicle retrofit
organisation provide figures would have an appreciable impact on emissions in
for the number of miles LEZ and/or AQMA area(s)?
travelled per annum by the Do mileage figures indicate that vehicle retrofit /5
vehicles for which grant would have an appreciable impact on emissions
funding has been applied on identified bus route(s)?
for?
Additionality
4. 5.3 Does the proposal provide Does the application propose new or additional
clear evidence of added activity? E.g. in addition to the installation,
value of the project? operation and monitoring of retrofit technology
such as enhancement to existing services, /5
additional information sharing to demonstrate the
viability of retrofit technology, etc.
Has the applicant organisation identified any
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
23Project impact criteria
Application Key Question What will assessors consider Sco re Comments and justification
Form Section
anticipated additional outputs and outcomes as a
result of the proposed project?
Has the application identified how it would
contribute to the development of the Scottish
Retrofitting Centre?
Deliverability
5. 4.1 Can the project be delivered Project Management
5.4 by December 2018? Does the application provide realistic costs,
targets and timeframes for delivery? Have
appropriate milestones have been identified and
target dates set? E.g. can retrofitting be
contractually agreed by the end of March 2018?
Are the use of appropriate management tools and
techniques demonstrated?
Have risks been identified and assessed? How
risks will be addressed in relation to prevention,
reduction, and contingency and avoidance? /5
Has the organisation put in place an appropriate
governance structures for delivery?
Ownership and permission
Are there any ownership issues and lease
agreements in place that might affect the delivery
of the project? E.g. an operator leasing rather
than owning fleet vehicles identified for retrofitting.
Organisational Capacity
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
24Project impact criteria
Application Key Question What will assessors consider Sco re Comments and justification
Form Section
Does the applicant demonstrate it has the
capacity required to deliver the project, and the
on-going reporting commitments? E.g. can
vehicles be taken off the road to enable retrofitting
without impact to service delivery?
Has the applicant organisation provided evidence
of effective fleet management and fleet
maintenance?
Compliance
Does the applicant demonstrate an understanding
and a commitment to the requirements of on-
going reporting?
Financial viability
6 2.1 Is this project financially Has the application demonstrated eligibility for the
3.1 viable? requested grant funding?
3.2 Is the lead applicant Is project expenditure realistic? Does the
3.3 organisation financially application provide sufficient evidence to justify
viable? requested grant funding?
4.1
4.2 Is the applicant financially viable? Are there any
5.4 risks to the viability of the lead applicant /5
organisation?
Has the applicant demonstrated it can continue to
operate vehicles equipped with retrofit technology
on an on-going basis beyond the duration of
BEAR Phase 1?
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
25Project impact criteria
Application Key Question What will assessors consider Score Comments and justification
Form Section
Total score /30
Scottish Bus Emissions Abatement Retrofit Programme – Phase 1 Assessment Process Guidance
26ANNEX 6: Example Case Paper
Case Paper: [Ref # – Project title]
Applicant [Applicant name] No. vehicles [Number]
applied for
Type of [Licenced public transport operator/Licenced Technology [SCR/DPF,
organisation Community Transport Operator, etc.] installed etc.]
Local authority [Details of local authority area(s) and AQMA(s) RAG
area(s), within which vehicles operate and route(s) rating Green
AQMA(s) and vehicles identified for retrofit operate]
bus route(s) Score 31/45
Project overview [From Project Summary section of application form]
Assessor’s Comments
[This is where the assessor provides an overall view of the project, including any particular issues or
risks that the Assessment Panel should discus. The comment will also provide a justification for the
RAG rating.]
Proposed conditions
[This will capture and address any issues with eligibility (i.e. if an application received a ‘partial’ for
any of the eligibility criteria). Conditions may include requests to provide further evidence that match
funding is secured, or a new project plan that removes an ineligible element etc.]
Assessment
Eligibility YES PARTIAL NO Comment
Applicant [If partial or no, provide explanation]
27Vehicle(s)
Measures
Fund requirements YES NO
Does the application comply with the maximum grant funding of £25,000 per vehicle?
Does the application provide a breakdown and evidence of primary equipment costs?
Does the application provide a breakdown and evidence of ancillary costs?
State aid YES NO Comment
Is State aid present? [If yes, comment will outline how this is to be
addressed, e.g. has the appropriate GBER Article
being selected and relevant aid intensity applied to
total project costs.]
Project impact criteria Score Comment and justification
Project rationale /5
Strategic fit /5
Additionality /5
Deliverability /5
Financial viability /5
Total /25
28For completeness, the Assessment Panel will be provided with the following details on ineligible projects.
Below is an example of a Case Paper for a project determined to be ineligible.
Case Paper: [Ref # – Project title]
Applicant [Applicant name] No. vehicles [Number]
applied for
Type of [Licenced public transport operator/Licenced Technology [SCR/DPF,
organisation Community Transport Operator, etc.] installed etc.]
Local authority [Details of local authority area(s) and AQMA(s)
area(s), within which vehicles operate and route(s)
AQMA(s) and
INELIGIBLE
vehicles identified for retrofit operate]
bus route(s)
Project overview [From Project Summary section of application form]
Assessor’s Comments
This project was determined to be ineligible for funding from BEAR Phase 1 for the reasons outlined
below. It did not undergo a full assessment.
Eligibility YES PARTIAL NO Comment
Applicant Applicant is ineligible as they are not a licenced
public transport operator.
Vehicle(s)
Measures
29ANNEX 7: Conflict of interest procedure
The following Conflict of Interest Procedure is to be used by members of the Assessment Panel. It also
covers the process for identifying conflicts of interest and what will happen in the Assessment Panel
meeting.
Members of the BEAR programme Phase 1 Assessment Panel are expected to review any applications
to the Fund in an objective manner. The applications may contain confidential information, which cannot
be passed on outside of the Assessment Panel. Members must not make use of information that they
have been given access to in order to further their organisations’ activities unless this is agreed with EST
and Transport Scotland, and this will only be under specific circumstances (e.g. beneficial stakeholder
linking between two projects).
When members receive the list of BEAR programme Phase 1 applications, they must first review the
projects listed and identify if you have any potential conflicts of interest at the following three levels:
They are directly involved in an application, either as the project lead, or as a project partner.
Their organisation is involved in an application, either as the project lead, or as a project partner.
They have other links to the project (e.g. their organisation is a potential stakeholder, or were
involved in a feasibility study).
Any potential conflict of interest must be reported back to EST prior to the Assessment Panel meeting.
During the Assessment Panel meeting, when each project is discussed, EST will review the submitted
conflict of interest statements from each Assessment Panel member. Any Assessment Panel member
with a conflict of interest will be asked not to join the discussion of that particular project, and will not be
able to make a contribution to the final funding decision for that project. If a conflict of interest is
identified as being potentially commercially sensitive in nature, discussion will take place without the
Assessment Panel member being present.
Assessment Panel members will be asked to complete and return the following conflict of interest
statement when you have reviewed the list of applications to BEAR@est.org.uk.
---------------------------------------------------------------------------------------------------------------------------
Name:
Organisation:
Please enter any projects where you have a potential conflict of interest in the table below:
Project ref # Project Name Lead Organisation Description of Conflict of
Interest
30You can also read
