| Dokumendiregister | Transpordiamet |
| Viit | 3.2-6/24/816-1 |
| Registreeritud | 24.04.2024 |
| Sünkroonitud | 26.04.2024 |
| Liik | Üldleping |
| Funktsioon | 3.2 Lepingute haldamine |
| Sari | 3.2-6 EL struktuurifondide rahastusega lepingud |
| Toimik | 3.2-6/2021 |
| Juurdepääsupiirang | Avalik |
| Juurdepääsupiirang | |
| Adressaat | |
| Saabumis/saatmisviis | |
| Vastutaja | Kaido Sipelgas (Users, Strateegilise planeerimise teenistus, Liikuvuse kavandamise osakond) |
| Originaal | Ava uues aknas |
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
CEF MGA — Multi & Mono: v1.0
EUROPEAN CLIMATE, INFRASTRUCTURE AND ENVIRONMENT EXECUTIVE AGENCY (CINEA)
CINEA.B – Sustainable networks and investments Head of Department
GRANT AGREEMENT
Project 101155876 — 23-EE-TM-EstMilMob-E67 North
PREAMBLE
This Agreement (‘the Agreement’) is between the following parties:
on the one part,
the European Climate, Infrastructure and Environment Executive Agency (CINEA) (‘EU executive agency’ or ‘granting authority’), under the powers delegated by the European Commission (‘European Commission’),
and
on the other part,
1. ‘the coordinator’:
TRANSPORDIAMET (Transpordiamet), PIC 888420576, established in VALGE 4, TALLINN 11413, Estonia,
Unless otherwise specified, references to ‘beneficiary’ or ‘beneficiaries’ include the coordinator and affiliated entities (if any).
If only one beneficiary signs the grant agreement (‘mono-beneficiary grant’), all provisions referring to the ‘coordinator’ or the ‘beneficiaries’ will be considered — mutatis mutandis — as referring to the beneficiary.
The parties referred to above have agreed to enter into the Agreement.
By signing the Agreement and the accession forms, the beneficiaries accept the grant and agree to implement the action under their own responsibility and in accordance with the Agreement, with all the obligations and terms and conditions it sets out.
The Agreement is composed of:
Preamble
Terms and Conditions (including Data Sheet)
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Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
CEF MGA — Multi & Mono: v1.0
Annex 1 Description of the action1
Annex 2 Estimated budget for the action
Annex 2a Additional information on unit costs and contributions (if applicable)
Annex 3 Accession forms (if applicable)2
Annex 3a Declaration on joint and several liability of affiliated entities (if applicable)3
Annex 4 Model for the financial statements
Annex 5 Specific rules (if applicable)
1 Template published on Portal Reference Documents. 2 Template published on Portal Reference Documents. 3 Template published on Portal Reference Documents.
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Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
CEF MGA — Multi & Mono: v1.0
TERMS AND CONDITIONS
TABLE OF CONTENTS
GRANT AGREEMENT.................................................................................................................................................... 1
PREAMBLE........................................................................................................................................................................1
TERMS AND CONDITIONS...........................................................................................................................................3
DATASHEET...................................................................................................................................................................... 8
CHAPTER 1 GENERAL..............................................................................................................................................13
ARTICLE 1 — SUBJECT OF THE AGREEMENT ..................................................................................... 13
ARTICLE 2 — DEFINITIONS........................................................................................................................13
CHAPTER 2 ACTION................................................................................................................................................. 14
ARTICLE 3 — ACTION................................................................................................................................. 14
ARTICLE 4 — DURATION AND STARTING DATE...................................................................................14
CHAPTER 3 GRANT...................................................................................................................................................14
ARTICLE 5 — GRANT...................................................................................................................................14
5.1 Form of grant......................................................................................................................................14
5.2 Maximum grant amount..................................................................................................................... 15
5.3 Funding rate........................................................................................................................................15
5.4 Estimated budget, budget categories and forms of funding.............................................................. 15
5.5 Budget flexibility................................................................................................................................15
ARTICLE 6 — ELIGIBLE AND INELIGIBLE COSTS AND CONTRIBUTIONS......................................16
6.1 General eligibility conditions............................................................................................................. 16
6.2 Specific eligibility conditions for each budget category................................................................... 17
6.3 Ineligible costs and contributions...................................................................................................... 22
6.4 Consequences of non-compliance...................................................................................................... 23
CHAPTER 4 GRANT IMPLEMENTATION............................................................................................................ 23
SECTION 1 CONSORTIUM: BENEFICIARIES, AFFILIATED ENTITIES AND OTHER PARTICIPANTS........................................................................................................................................ 23
ARTICLE 7 — BENEFICIARIES................................................................................................................... 23
ARTICLE 8 — AFFILIATED ENTITIES....................................................................................................... 25
ARTICLE 9 — OTHER PARTICIPANTS INVOLVED IN THE ACTION................................................... 25
9.1 Associated partners.............................................................................................................................25
9.2 Third parties giving in-kind contributions to the action.................................................................... 25
9.3 Subcontractors.....................................................................................................................................25
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CEF MGA — Multi & Mono: v1.0
9.4 Recipients of financial support to third parties..................................................................................26
ARTICLE 10 — PARTICIPANTS WITH SPECIAL STATUS....................................................................... 26
10.1 Non-EU participants......................................................................................................................... 26
10.2 Participants which are international organisations...........................................................................26
10.3 Pillar-assessed participants............................................................................................................... 27
SECTION 2 RULES FOR CARRYING OUT THE ACTION...........................................................................29
ARTICLE 11 — PROPER IMPLEMENTATION OF THE ACTION............................................................ 29
11.1 Obligation to properly implement the action................................................................................... 29
11.2 Consequences of non-compliance.................................................................................................... 29
ARTICLE 12 — CONFLICT OF INTERESTS.............................................................................................. 29
12.1 Conflict of interests.......................................................................................................................... 29
12.2 Consequences of non-compliance.................................................................................................... 30
ARTICLE 13 — CONFIDENTIALITY AND SECURITY............................................................................ 30
13.1 Sensitive information........................................................................................................................30
13.2 Classified information...................................................................................................................... 31
13.3 Consequences of non-compliance.................................................................................................... 31
ARTICLE 14 — ETHICS AND VALUES...................................................................................................... 31
14.1 Ethics.................................................................................................................................................31
14.2 Values................................................................................................................................................31
14.3 Consequences of non-compliance.................................................................................................... 31
ARTICLE 15 — DATA PROTECTION.......................................................................................................... 32
15.1 Data processing by the granting authority....................................................................................... 32
15.2 Data processing by the beneficiaries............................................................................................... 32
15.3 Consequences of non-compliance.................................................................................................... 32
ARTICLE 16 — INTELLECTUAL PROPERTY RIGHTS (IPR) — BACKGROUND AND RESULTS — ACCESS RIGHTS AND RIGHTS OF USE................................................................................ 33
16.1 Background and access rights to background..................................................................................33
16.2 Ownership of results.........................................................................................................................33
16.3 Rights of use of the granting authority on materials, documents and information received for policy, information, communication, dissemination and publicity purposes...................................33
16.4 Specific rules on IPR, results and background................................................................................34
16.5 Consequences of non-compliance.................................................................................................... 34
ARTICLE 17 — COMMUNICATION, DISSEMINATION AND VISIBILITY............................................ 34
17.1 Communication — Dissemination — Promoting the action........................................................... 34
17.2 Visibility — European flag and funding statement......................................................................... 35
17.3 Quality of information — Disclaimer..............................................................................................35
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CEF MGA — Multi & Mono: v1.0
17.4 Specific communication, dissemination and visibility rules............................................................36
17.5 Consequences of non-compliance.................................................................................................... 36
ARTICLE 18 — SPECIFIC RULES FOR CARRYING OUT THE ACTION............................................... 36
18.1 Specific rules for carrying out the action........................................................................................ 36
18.2 Consequences of non-compliance.................................................................................................... 36
SECTION 3 GRANT ADMINISTRATION......................................................................................................... 36
ARTICLE 19 — GENERAL INFORMATION OBLIGATIONS....................................................................36
19.1 Information requests......................................................................................................................... 36
19.2 Participant Register data updates..................................................................................................... 36
19.3 Information about events and circumstances which impact the action............................................36
19.4 Consequences of non-compliance.................................................................................................... 37
ARTICLE 20 — RECORD-KEEPING............................................................................................................ 37
20.1 Keeping records and supporting documents.................................................................................... 37
20.2 Consequences of non-compliance.................................................................................................... 38
ARTICLE 21 — REPORTING........................................................................................................................ 38
21.1 Continuous reporting........................................................................................................................ 38
21.2 Periodic reporting: Technical reports and financial statements....................................................... 38
21.3 Currency for financial statements and conversion into euros..........................................................39
21.4 Reporting language...........................................................................................................................40
21.5 Consequences of non-compliance.................................................................................................... 40
ARTICLE 22 — PAYMENTS AND RECOVERIES — CALCULATION OF AMOUNTS DUE................. 40
22.1 Payments and payment arrangements.............................................................................................. 40
22.2 Recoveries.........................................................................................................................................40
22.3 Amounts due.....................................................................................................................................41
22.4 Enforced recovery.............................................................................................................................46
22.5 Consequences of non-compliance.................................................................................................... 46
ARTICLE 23 — GUARANTEES....................................................................................................................47
23.1 Prefinancing guarantee..................................................................................................................... 47
23.2 Consequences of non-compliance.................................................................................................... 47
ARTICLE 24 — CERTIFICATES................................................................................................................... 47
24.1 Operational verification report (OVR).............................................................................................48
24.2 Certificate on the financial statements (CFS).................................................................................. 48
24.3 Certificate on the compliance of usual cost accounting practices (CoMUC).................................. 48
24.4 Systems and process audit (SPA).....................................................................................................49
24.5 Consequences of non-compliance.................................................................................................... 49
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CEF MGA — Multi & Mono: v1.0
ARTICLE 25 — CHECKS, REVIEWS, AUDITS AND INVESTIGATIONS — EXTENSION OF FINDINGS..................................................................................................................................... 49
25.1 Granting authority checks, reviews and audits................................................................................ 49
25.2 European Commission checks, reviews and audits in grants of other granting authorities..............50
25.3 Access to records for assessing simplified forms of funding.......................................................... 51
25.4 OLAF, EPPO and ECA audits and investigations........................................................................... 51
25.5 Consequences of checks, reviews, audits and investigations — Extension of results of reviews, audits or investigations.................................................................................................................... 51
25.6 Consequences of non-compliance.................................................................................................... 52
ARTICLE 26 — IMPACT EVALUATIONS................................................................................................... 53
26.1 Impact evaluation............................................................................................................................. 53
26.2 Consequences of non-compliance.................................................................................................... 53
CHAPTER 5 CONSEQUENCES OF NON-COMPLIANCE.................................................................................. 53
SECTION 1 REJECTIONS AND GRANT REDUCTION.................................................................................53
ARTICLE 27 — REJECTION OF COSTS AND CONTRIBUTIONS...........................................................53
27.1 Conditions......................................................................................................................................... 53
27.2 Procedure.......................................................................................................................................... 53
27.3 Effects............................................................................................................................................... 53
ARTICLE 28 — GRANT REDUCTION........................................................................................................ 54
28.1 Conditions......................................................................................................................................... 54
28.2 Procedure.......................................................................................................................................... 54
28.3 Effects............................................................................................................................................... 54
SECTION 2 SUSPENSION AND TERMINATION............................................................................................54
ARTICLE 29 — PAYMENT DEADLINE SUSPENSION............................................................................. 54
29.1 Conditions......................................................................................................................................... 54
29.2 Procedure.......................................................................................................................................... 55
ARTICLE 30 — PAYMENT SUSPENSION...................................................................................................55
30.1 Conditions......................................................................................................................................... 55
30.2 Procedure.......................................................................................................................................... 56
ARTICLE 31 — GRANT AGREEMENT SUSPENSION..............................................................................56
31.1 Consortium-requested GA suspension............................................................................................. 56
31.2 EU-initiated GA suspension.............................................................................................................57
ARTICLE 32 — GRANT AGREEMENT OR BENEFICIARY TERMINATION......................................... 58
32.1 Consortium-requested GA termination............................................................................................ 58
32.2 Consortium-requested beneficiary termination................................................................................ 59
32.3 EU-initiated GA or beneficiary termination.................................................................................... 60
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SECTION 3 OTHER CONSEQUENCES: DAMAGES AND ADMINISTRATIVE SANCTIONS............... 63
ARTICLE 33 — DAMAGES...........................................................................................................................63
33.1 Liability of the granting authority....................................................................................................63
33.2 Liability of the beneficiaries............................................................................................................ 64
ARTICLE 34 — ADMINISTRATIVE SANCTIONS AND OTHER MEASURES....................................... 64
SECTION 4 FORCE MAJEURE.......................................................................................................................... 64
ARTICLE 35 — FORCE MAJEURE..............................................................................................................64
CHAPTER 6 FINAL PROVISIONS...........................................................................................................................64
ARTICLE 36 — COMMUNICATION BETWEEN THE PARTIES...............................................................64
36.1 Forms and means of communication — Electronic management................................................... 64
36.2 Date of communication.................................................................................................................... 65
36.3 Addresses for communication.......................................................................................................... 65
ARTICLE 37 — INTERPRETATION OF THE AGREEMENT.....................................................................65
ARTICLE 38 — CALCULATION OF PERIODS AND DEADLINES..........................................................66
ARTICLE 39 — AMENDMENTS.................................................................................................................. 66
39.1 Conditions......................................................................................................................................... 66
39.2 Procedure.......................................................................................................................................... 66
ARTICLE 40 — ACCESSION AND ADDITION OF NEW BENEFICIARIES........................................... 67
40.1 Accession of the beneficiaries mentioned in the Preamble............................................................. 67
40.2 Addition of new beneficiaries.......................................................................................................... 67
ARTICLE 41 — TRANSFER OF THE AGREEMENT................................................................................. 67
ARTICLE 42 — ASSIGNMENTS OF CLAIMS FOR PAYMENT AGAINST THE GRANTING AUTHORITY.................................................................................................................................67
ARTICLE 43 — APPLICABLE LAW AND SETTLEMENT OF DISPUTES.............................................. 68
43.1 Applicable law..................................................................................................................................68
43.2 Dispute settlement............................................................................................................................ 68
ARTICLE 44 — ENTRY INTO FORCE.........................................................................................................68
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DATA SHEET
1. General data
Project summary:
Project summary
The “EstMilMob-E67 North” project aims to adapt the road transport infrastructure in Estonia for the civilian-defense dual use. The project target is the reconstruction of E67 Tallinn-Pärnu-Ikla road in Päädeva-Konuvere section km 62,2-64,8; km 68,2-70,2 and km 70,2-78,8 including Konuvere bridge in order to meet the European road safety and design norms, environmental standards and military mobility requirements. It seeks to improve the mobility of both civilian and military personnel, materiel, and equipment for routine activities and during crisis and conflict within and beyond the EU. The project supports the EU and Allied- led missions rapid deployment capabilities to Estonia, to the Baltic Sea region up to North to the new NATO member Finland. The project aims to remove bottleneck currently inhibiting seamless civilian-military transport and constraints for the Estonian Defense Forces while providing logistic supplies to and from South and North part of Baltic Sea region.
Keywords: not defined
Project number: 101155876
Project name: Enhancing military mobility in Estonia by improving dual-use road transport link in road E67 situated in the North Sea Baltic transport corridor connecting Baltic states and Central Europe to Finland.
Project acronym: 23-EE-TM-EstMilMob-E67 North
Call: CEF-T-2023-MILMOB
Topic: CEF-T-2023-MILMOB-WORKS
Type of action: CEF Infrastructure Projects
Granting authority: European Climate, Infrastructure and Environment Executive Agency
Grant managed through EU Funding & Tenders Portal: Yes (eGrants)
Project starting date: fixed date: 1 May 2024
Project end date: 31 December 2027
Project duration: 44 months
Consortium agreement: Yes
2. Participants
List of participants:
N° Role Short name Legal name Ctry PIC Total
eligible costs (BEN and AE)
Max grant amount
1 COO Transpordiamet TRANSPORDIAMET EE 888420576 79 060 000.00 39 530 000.00
Total 79 060 000.00 39 530 000.00
Coordinator:
– TRANSPORDIAMET (Transpordiamet)
3. Grant
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CEF MGA — Multi & Mono: v1.0
Maximum grant amount, total estimated eligible costs and contributions and funding rate:
Total eligible costs (BEN and AE)
Funding rate (%)
Maximum grant amount (Annex 2)
Maximum grant amount (award decision)
79 060 000.00 0, 50, 50 39 530 000.00 39 530 000.00
Grant form: Budget-based
Grant mode: Action grant
Budget categories/activity types:
- A. Personnel costs - A.1 Employees, A.2 Natural persons under direct contract, A.3 Seconded persons - A.4 SME owners and natural person beneficiaries
- B. Subcontracting costs
- C. Purchase costs - C.1 Travel and subsistence - C.2 Equipment - C.3 Other goods, works and services
- D. Other cost categories - D.1 Financial support to third parties - D.2 Studies - D.3 Synergetic elements - D.4 Works in outermost regions - D.5 Land purchase
- E. Indirect costs
Cost eligibility options:
- Standard supplementary payments
- Average personnel costs (unit cost according to usual cost accounting practices)
- Country restrictions for subcontracting costs
- Travel and subsistence: - Travel: Actual costs - Accommodation: Actual costs - Subsistence: Actual costs
- Equipment: full costs only
- Costs for providing financial support to third parties (actual cost; max amount for each recipient: EUR 60 000.00)
- Indirect cost flat-rate: 0% of the eligible direct costs (categories A-D, except volunteers costs and exempted specific cost categories, if any)
- VAT: No
- Country restrictions for eligible costs
- Other ineligible costs
Budget flexibility: Yes (no flexibility cap)
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CEF MGA — Multi & Mono: v1.0
4. Reporting, payments and recoveries
4.1 Continuous reporting (art 21)
Deliverables: see Funding & Tenders Portal Continuous Reporting tool
4.2 Periodic reporting and payments
Reporting and payment schedule (art 21, 22):
Reporting Payments
Reporting periods Type Deadline Type Deadline (time to pay)
RP No Month from Month to
Initial prefinancing
30 days from entry into force/
financial guarantee (if required) – whichever is the latest
1 1 24 Periodic report 60 days after end of reporting period
Interim payment 90 days from receiving
periodic report
2 25 44 Periodic report 60 days after end of reporting period
Final payment 90 days from receiving
periodic report
Prefinancing payments and guarantees:
Prefinancing payment Prefinancing guarantee
Type Amount Guarantee amount Division per participant
Prefinancing 1 (initial) 13 835 500.00 n/a 1 - Transpordiamet n/a
Reporting and payment modalities (art 21, 22):
Mutual Insurance Mechanism (MIM): No
Restrictions on distribution of initial prefinancing: The prefinancing may be distributed only if the minimum number of beneficiaries set out in the call condititions (if any) have acceded to the Agreement and only to beneficiaries that have acceded.
Interim payment ceiling (if any): 90% of the maximum grant amount
No-profit rule: Yes
Late payment interest: ECB + 3.5%
Bank account for payments:
EE891010220034796011 EEUHEE2X
Conversion into euros: Double conversion
Reporting language: Language of the Agreement
4.3 Certificates (art 24):
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Certificates on the financial statements (CFS):
Conditions:
Schedule: interim/final payment, if threshold is reached
Standard threshold (beneficiary-level):
- financial statement: requested EU contribution to costs ≥ EUR 325 000.00
4.4 Recoveries (art 22)
First-line liability for recoveries:
Beneficiary termination: Beneficiary concerned
Final payment: Coordinator
After final payment: Beneficiary concerned
Joint and several liability for enforced recoveries (in case of non-payment):
Limited joint and several liability of other beneficiaries — up to the maximum grant amount of the beneficiary
Joint and several liability of affiliated entities — n/a
5. Consequences of non-compliance, applicable law & dispute settlement forum
Suspension and termination:
Additional suspension grounds (art 31)
Additional termination grounds (art 32)
Applicable law (art 43):
Standard applicable law regime: EU law + law of Belgium
Dispute settlement forum (art 43):
Standard dispute settlement forum:
EU beneficiaries: EU General Court + EU Court of Justice (on appeal)
Non-EU beneficiaries: Courts of Brussels, Belgium (unless an international agreement provides for the enforceability of EU court judgements)
6. Other
Specific rules (Annex 5): Yes
Standard time-limits after project end:
Confidentiality (for X years after final payment): 5
Record-keeping (for X years after final payment): 5 (or 3 for grants of not more than EUR 60 000)
Reviews (up to X years after final payment): 5 (or 3 for grants of not more than EUR 60 000)
Audits (up to X years after final payment): 5 (or 3 for grants of not more than EUR 60 000)
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CEF MGA — Multi & Mono: v1.0
Extension of findings from other grants to this grant (no later than X years after final payment): 5 (or 3 for grants of not more than EUR 60 000)
Impact evaluation (up to X years after final payment): 5 (or 3 for grants of not more than EUR 60 000)
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CEF MGA — Multi & Mono: v1.0
CHAPTER 1 GENERAL
ARTICLE 1 — SUBJECT OF THE AGREEMENT
This Agreement sets out the rights and obligations and terms and conditions applicable to the grant awarded for the implementation of the action set out in Chapter 2.
ARTICLE 2 — DEFINITIONS
For the purpose of this Agreement, the following definitions apply:
Actions — The project which is being funded in the context of this Agreement.
Grant — The grant awarded in the context of this Agreement.
EU grants — Grants awarded by EU institutions, bodies, offices or agencies (including EU executive agencies, EU regulatory agencies, EDA, joint undertakings, etc.).
Participants — Entities participating in the action as beneficiaries, affiliated entities, associated partners, third parties giving in-kind contributions, subcontractors or recipients of financial support to third parties.
Beneficiaries (BEN) — The signatories of this Agreement (either directly or through an accession form).
Affiliated entities (AE) — Entities affiliated to a beneficiary within the meaning of Article 187 of EU Financial Regulation 2018/10464 which participate in the action with similar rights and obligations as the beneficiaries (obligation to implement action tasks and right to charge costs and claim contributions).
Associated partners (AP) — Entities which participate in the action, but without the right to charge costs or claim contributions.
Purchases — Contracts for goods, works or services needed to carry out the action (e.g. equipment, consumables and supplies) but which are not part of the action tasks (see Annex 1).
Subcontracting — Contracts for goods, works or services that are part of the action tasks (see Annex 1).
In-kind contributions — In-kind contributions within the meaning of Article 2(36) of EU Financial
4 For the definition, see Article 187 Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (‘EU Financial Regulation’) (OJ L 193, 30.7.2018, p. 1): “affiliated entities [are]: (a) entities that form a sole beneficiary [(i.e. where an entity is formed of several entities that satisfy the criteria for
being awarded a grant, including where the entity is specifically established for the purpose of implementing an action to be financed by a grant)];
(b) entities that satisfy the eligibility criteria and that do not fall within one of the situations referred to in Article 136(1) and 141(1) and that have a link with the beneficiary, in particular a legal or capital link, which is neither limited to the action nor established for the sole purpose of its implementation”.
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Regulation 2018/1046, i.e. non-financial resources made available free of charge by third parties.
Fraud — Fraud within the meaning of Article 3 of EU Directive 2017/13715 and Article 1 of the Convention on the protection of the European Communities’ financial interests, drawn up by the Council Act of 26 July 19956, as well as any other wrongful or criminal deception intended to result in financial or personal gain.
Irregularities — Any type of breach (regulatory or contractual) which could impact the EU financial interests, including irregularities within the meaning of Article 1(2) of EU Regulation 2988/957.
Grave professional misconduct — Any type of unacceptable or improper behaviour in exercising one’s profession, especially by employees, including grave professional misconduct within the meaning of Article 136(1)(c) of EU Financial Regulation 2018/1046.
Applicable EU, international and national law — Any legal acts or other (binding or non-binding) rules and guidance in the area concerned.
Portal — EU Funding & Tenders Portal; electronic portal and exchange system managed by the European Commission and used by itself and other EU institutions, bodies, offices or agencies for the management of their funding programmes (grants, procurements, prizes, etc.).
CHAPTER 2 ACTION
ARTICLE 3 — ACTION
The grant is awarded for the action 101155876 — 23-EE-TM-EstMilMob-E67 North (‘action’), as described in Annex 1.
ARTICLE 4 — DURATION AND STARTING DATE
The duration and the starting date of the action are set out in the Data Sheet (see Point 1).
CHAPTER 3 GRANT
ARTICLE 5 — GRANT
5.1 Form of grant
5 Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union’s financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).
6 OJ C 316, 27.11.1995, p. 48. 7 Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities
financial interests (OJ L 312, 23.12.1995, p. 1).
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The grant is an action grant8 which takes the form of a budget-based mixed actual cost grant (i.e. a grant based on actual costs incurred, but which may also include other forms of funding, such as unit costs or contributions, flat-rate costs or contributions, lump sum costs or contributions or financing not linked to costs).
5.2 Maximum grant amount
The maximum grant amount is set out in the Data Sheet (see Point 3) and in the estimated budget (Annex 2).
5.3 Funding rate
The funding rate for costs is 50% of the eligible costs for studies (if any), 0% of the eligible costs for works in outermost regions (if any) and 50% of the eligible costs for the other cost categories.
Contributions are not subject to any funding rate.
5.4 Estimated budget, budget categories and forms of funding
The estimated budget for the action is set out in Annex 2.
It contains the estimated eligible costs and contributions for the action, broken down by participant and budget category.
Annex 2 also shows the types of costs and contributions (forms of funding)9 to be used for each budget category.
If unit costs or contributions are used, the details on the calculation will be explained in Annex 2a.
5.5 Budget flexibility
The budget breakdown may be adjusted — without an amendment (see Article 39) — by transfers (between participants and budget categories), as long as this does not imply any substantive or important change to the description of the action in Annex 1.
However:
- changes to the budget category for volunteers (if used) always require an amendment
- changes to budget categories with lump sums costs or contributions (if used; including financing not linked to costs) always require an amendment
- changes to budget categories with higher funding rates or budget ceilings (if used) always require an amendment
- addition of amounts for subcontracts not provided for in Annex 1 either require an amendment or simplified approval in accordance with Article 6.2
8 For the definition, see Article 180(2)(a) EU Financial Regulation 2018/1046: ‘action grant’ means an EU grant to finance “an action intended to help achieve a Union policy objective”.
9 See Article 125 EU Financial Regulation 2018/1046.
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- other changes require an amendment or simplified approval, if specifically provided for in Article 6.2
- flexibility caps: not applicable.
ARTICLE 6 — ELIGIBLE AND INELIGIBLE COSTS AND CONTRIBUTIONS
In order to be eligible, costs and contributions must meet the eligibility conditions set out in this Article.
6.1 General eligibility conditions
The general eligibility conditions are the following:
(a) for actual costs:
(i) they must be actually incurred by the beneficiary
(ii) they must be incurred in the period set out in Article 4 (with the exception of costs relating to the submission of the final periodic report, which may be incurred afterwards; see Article 21)
(iii) they must be declared under one of the budget categories set out in Article 6.2 and Annex 2
(iv) they must be incurred in connection with the action as described in Annex 1 and necessary for its implementation
(v) they must be identifiable and verifiable, in particular recorded in the beneficiary’s accounts in accordance with the accounting standards applicable in the country where the beneficiary is established and with the beneficiary’s usual cost accounting practices
(vi) they must comply with the applicable national law on taxes, labour and social security and
(vii) they must be reasonable, justified and must comply with the principle of sound financial management, in particular regarding economy and efficiency
(b) for unit costs or contributions (if any):
(i) they must be declared under one of the budget categories set out in Article 6.2 and Annex 2
(ii) the units must:
- be actually used or produced by the beneficiary in the period set out in Article 4 (with the exception of units relating to the submission of the final periodic report, which may be used or produced afterwards; see Article 21)
- be necessary for the implementation of the action and
(iii) the number of units must be identifiable and verifiable, in particular supported by records and documentation (see Article 20)
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(c) for flat-rate costs or contributions (if any):
(i) they must be declared under one of the budget categories set out in Article 6.2 and Annex 2
(ii) the costs or contributions to which the flat-rate is applied must:
- be eligible
- relate to the period set out in Article 4 (with the exception of costs or contributions relating to the submission of the final periodic report, which may be incurred afterwards; see Article 21)
(d) for lump sum costs or contributions (if any):
(i) they must be declared under one of the budget categories set out in Article 6.2 and Annex 2
(ii) the work must be properly implemented by the beneficiary in accordance with Annex 1
(iii) the deliverables/outputs must be achieved in the period set out in Article 4 (with the exception of deliverables/outputs relating to the submission of the final periodic report, which may be achieved afterwards; see Article 21)
(e) for unit, flat-rate or lump sum costs or contributions according to usual cost accounting practices (if any):
(i) they must fulfil the general eligibility conditions for the type of cost concerned
(ii) the cost accounting practices must be applied in a consistent manner, based on objective criteria, regardless of the source of funding
(f) for financing not linked to costs (if any): the results must be achieved or the conditions must be fulfilled as described in Annex 1.
In addition, for direct cost categories (e.g. personnel, travel & subsistence, subcontracting and other direct costs) only costs that are directly linked to the action implementation and can therefore be attributed to it directly are eligible. They must not include any indirect costs (i.e. costs that are only indirectly linked to the action, e.g. via cost drivers).
6.2 Specific eligibility conditions for each budget category
For each budget category, the specific eligibility conditions are as follows:
Direct costs
A. Personnel costs
A.1 Costs for employees (or equivalent) are eligible as personnel costs if they fulfil the general eligibility conditions and are related to personnel working for the beneficiary under an employment contract (or equivalent appointing act) and assigned to the action.
They must be limited to salaries, social security contributions, taxes and other costs linked to the
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remuneration, if they arise from national law or the employment contract (or equivalent appointing act) and be calculated on the basis of the costs actually incurred, in accordance with the following method:
{daily rate for the person
multiplied by
number of day-equivalents worked on the action (rounded up or down to the nearest half-day)}.
The daily rate must be calculated as:
{annual personnel costs for the person
divided by
215}.
The number of day-equivalents declared for a person must be identifiable and verifiable (see Article 20).
The total number of day-equivalents declared in EU grants, for a person for a year, cannot be higher than 215.
The personnel costs may also include supplementary payments for personnel assigned to the action (including payments on the basis of supplementary contracts regardless of their nature), if:
- it is part of the beneficiary’s usual remuneration practices and is paid in a consistent manner whenever the same kind of work or expertise is required
- the criteria used to calculate the supplementary payments are objective and generally applied by the beneficiary, regardless of the source of funding used.
If the beneficiary uses average personnel costs (unit cost according to usual cost accounting practices), the personnel costs must fulfil the general eligibility conditions for such unit costs and the daily rate must be calculated:
- using the actual personnel costs recorded in the beneficiary’s accounts and excluding any costs which are ineligible or already included in other budget categories; the actual personnel costs may be adjusted on the basis of budgeted or estimated elements, if they are relevant for calculating the personnel costs, reasonable and correspond to objective and verifiable information
and
- according to usual cost accounting practices which are applied in a consistent manner, based on objective criteria, regardless of the source of funding.
A.2 and A.3 Costs for natural persons working under a direct contract other than an employment contract and costs for seconded persons by a third party against payment are also eligible as personnel costs, if they are assigned to the action, fulfil the general eligibility conditions and:
(a) work under conditions similar to those of an employee (in particular regarding the way the work is organised, the tasks that are performed and the premises where they are performed) and
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(b) the result of the work belongs to the beneficiary (unless agreed otherwise).
They must be calculated on the basis of a rate which corresponds to the costs actually incurred for the direct contract or secondment and must not be significantly different from those for personnel performing similar tasks under an employment contract with the beneficiary.
A.4 The work of SME owners for the action (i.e. owners of beneficiaries that are small and medium- sized enterprises10 not receiving a salary) or natural person beneficiaries (i.e. beneficiaries that are natural persons not receiving a salary) may be declared as personnel costs, if they fulfil the general eligibility conditions and are calculated as unit costs in accordance with the method set out in Annex 2a.
B. Subcontracting costs
Subcontracting costs for the action (including related duties, taxes and charges) are eligible, if they are calculated on the basis of the costs actually incurred, fulfil the general eligibility conditions and are awarded using the beneficiary’s usual purchasing practices — provided these ensure subcontracts with best value for money (or if appropriate the lowest price) and that there is no conflict of interests (see Article 12).
Beneficiaries that are ‘contracting authorities/entities’ within the meaning of the EU Directives on public procurement must also comply with the applicable national law on public procurement.
The beneficiaries must ensure that the subcontracted work is performed in the eligible countries or target countries set out in the call conditions — unless otherwise approved by the granting authority.
The tasks to be subcontracted and the estimated cost for each subcontract must be set out in Annex 1 and the total estimated costs of subcontracting per beneficiary must be set out in Annex 2 (or may be approved ex post in the periodic report, if the use of subcontracting does not entail changes to the Agreement which would call into question the decision awarding the grant or breach the principle of equal treatment of applicants; ‘simplified approval procedure’).
C. Purchase costs
Purchase costs for the action (including related duties, taxes and charges) are eligible if they fulfil the general eligibility conditions and are bought using the beneficiary’s usual purchasing practices — provided these ensure purchases with best value for money (or if appropriate the lowest price) and that there is no conflict of interests (see Article 12).
Beneficiaries that are ‘contracting authorities/entities’ within the meaning of the EU Directives on public procurement must also comply with the applicable national law on public procurement.
10 For the definition, see Commission Recommendation 2003/361/EC: micro, small or medium-sized enterprise (SME) are enterprises
- engaged in an economic activity, irrespective of their legal form (including, in particular, self- employed persons and family businesses engaged in craft or other activities, and partnerships or associations regularly engaged in an economic activity) and
- employing fewer than 250 persons (expressed in ‘annual working units’ as defined in Article 5 of the Recommendation) and which have an annual turnover not exceeding EUR 50 million, and/or an annual balance sheet total not exceeding EUR 43 million.
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C.1 Travel and subsistence
Purchases for travel, accommodation and subsistence must be calculated as follows:
- travel: on the basis of the costs actually incurred and in line with the beneficiary’s usual practices on travel
- accommodation: on the basis of the costs actually incurred and in line with the beneficiary’s usual practices on travel
- subsistence: on the basis of the costs actually incurred and in line with the beneficiary’s usual practices on travel .
C.2 Equipment
Purchases of equipment, infrastructure or other assets specifically for the action (or developed as part of the action tasks) may be declared as full capitalised costs if they fulfil the cost eligibility conditions applicable to their respective cost categories.
‘Capitalised costs’ means:
- costs incurred in the purchase or for the development of the equipment, infrastructure or other assets and
- which are recorded under a fixed asset account of the beneficiary in compliance with international accounting standards and the beneficiary’s usual cost accounting practices.
If such equipment, infrastructure or other assets are rented or leased, full costs for renting or leasing are eligible, if they do not exceed the depreciation costs of similar equipment, infrastructure or assets and do not include any financing fees.
C.3 Other goods, works and services
Purchases of other goods, works and services must be calculated on the basis of the costs actually incurred.
Such goods, works and services include, for instance, consumables and supplies, promotion, dissemination, protection of results, translations, publications, certificates and financial guarantees, if required under the Agreement.
D. Other cost categories
D.1 Financial support to third parties
Costs for providing financial support to third parties (in the form of grants, prizes or similar forms of support; if any) are eligible, if and as declared eligible in the call conditions, if they fulfil the general eligibility conditions, are calculated on the basis of the costs actually incurred and the support is implemented in accordance with the conditions set out in Annex 1.
These conditions must ensure objective and transparent selection procedures and include at least the following:
(a) for grants (or similar):
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(i) the maximum amount of financial support for each third party (‘recipient’); this amount may not exceed the amount set out in the Data Sheet (see Point 3) or otherwise agreed with the granting authority
(ii) the criteria for calculating the exact amount of the financial support
(iii) the different types of activity that qualify for financial support, on the basis of a closed list
(iv) the persons or categories of persons that will be supported and
(v) the criteria and procedures for giving financial support
(b) for prizes (or similar):
(i) the eligibility and award criteria
(ii) the amount of the prize and
(iii) the payment arrangements.
D.2 Studies
Costs for studies are eligible, if and as declared eligible in the call conditions, if they fulfil the general eligibility conditions, are calculated on the basis of the costs actually incurred and comply with the conditions set out in Points A-C for the underlying types of costs (personnel, subcontracting, purchase).
D.3 Synergetic elements
Costs for synergetic elements related to another sector of the CEF Programme (transport, energy or digital) are eligible, if and as declared eligible in the call conditions, if they fulfil the general eligibility conditions, are calculated on the basis of the costs actually incurred and allow to significantly improve the socio-economic, climate or environmental benefits of the action.
Such costs are eligible only up to 20% of the beneficiaries’ total eligble costs.
D.4 Works in outermost regions
Costs for works in outermost regions are eligible, if and as declared eligible in the call conditions, if they fulfil the general eligibility conditions, are calculated on the basis of the costs actually incurred, comply with the conditions set out in Points A-C for the underlying types of costs (personnel, subcontracting, purchase) and relate to works that are carried out in an outermost region within the meaning of Article 349 of the Treaty on the Functioning of the EU (TFEU)).
D.5 Land purchase
Costs for land purchase are eligible, if and as declared eligible in the call conditions, if they fulfil the general eligibility conditions and are calculated on the basis of the costs actually incurred.
Such costs are eligible only up to 10% of the beneficiaries’ total eligible costs.
Indirect costs
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E. Indirect costs
Indirect costs will be reimbursed at the flat-rate of 0% of the eligible direct costs (categories A-D, except volunteers costs and exempted specific cost categories, if any).
Contributions
Not applicable
6.3 Ineligible costs and contributions
The following costs or contributions are ineligible:
(a) costs or contributions that do not comply with the conditions set out above (Article 6.1 and 6.2), in particular:
(i) costs related to return on capital and dividends paid by a beneficiary
(ii) debt and debt service charges
(iii) provisions for future losses or debts
(iv) interest owed
(v) currency exchange losses
(vi) bank costs charged by the beneficiary’s bank for transfers from the granting authority
(vii) excessive or reckless expenditure
(viii) VAT (always ineligible)
(ix) costs incurred or contributions for activities implemented during grant agreement suspension (see Article 31)
(x) in-kind contributions by third parties
(b) costs or contributions declared under other EU grants (or grants awarded by an EU Member State, non-EU country or other body implementing the EU budget), except for the following cases:
(i) Synergy actions: not applicable
(ii) if the action grant is combined with an operating grant11 running during the same period and the beneficiary can demonstrate that the operating grant does not cover any (direct or indirect) costs of the action grant
(c) costs or contributions for staff of a national (or regional/local) administration, for activities that are part of the administration’s normal activities (i.e. not undertaken only because of the grant)
11 For the definition, see Article 180(2)(b) of EU Financial Regulation 2018/1046: ‘operating grant’ means an EU grant to finance “the functioning of a body which has an objective forming part of and supporting an EU policy”.
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(d) costs or contributions (especially travel and subsistence) for staff or representatives of EU institutions, bodies or agencies
(e) other :
(i) costs or contributions for activities that do not take place in one of the eligible countries or target countries set out in the call conditions — unless approved by the granting authority
(ii) costs or contributions declared specifically ineligible in the call conditions.
6.4 Consequences of non-compliance
If a beneficiary declares costs or contributions that are ineligible, they will be rejected (see Article 27).
This may also lead to other measures described in Chapter 5.
CHAPTER 4 GRANT IMPLEMENTATION
SECTION 1 CONSORTIUM: BENEFICIARIES, AFFILIATED ENTITIES AND OTHER PARTICIPANTS
ARTICLE 7 — BENEFICIARIES
The beneficiaries, as signatories of the Agreement, are fully responsible towards the granting authority for implementing it and for complying with all its obligations.
They must implement the Agreement to their best abilities, in good faith and in accordance with all the obligations and terms and conditions it sets out.
They must have the appropriate resources to implement the action and implement the action under their own responsibility and in accordance with Article 11. If they rely on affiliated entities or other participants (see Articles 8 and 9), they retain sole responsibility towards the granting authority and the other beneficiaries.
They are jointly responsible for the technical implementation of the action. If one of the beneficiaries fails to implement their part of the action, the other beneficiaries must ensure that this part is implemented by someone else (without being entitled to an increase of the maximum grant amount and subject to an amendment; see Article 39). The financial responsibility of each beneficiary in case of recoveries is governed by Article 22.
The beneficiaries (and their action) must remain eligible under the EU programme funding the grant for the entire duration of the action. Costs and contributions will be eligible only as long as the beneficiary and the action are eligible.
The internal roles and responsibilities of the beneficiaries are divided as follows:
(a) Each beneficiary must:
(i) keep information stored in the Portal Participant Register up to date (see Article 19)
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(ii) inform the granting authority (and the other beneficiaries) immediately of any events or circumstances likely to affect significantly or delay the implementation of the action (see Article 19)
(iii) submit to the coordinator in good time:
- the prefinancing guarantees (if required; see Article 23)
- the financial statements and certificates on the financial statements (CFS) (if required; see Articles 21 and 24.2 and Data Sheet, Point 4.3)
- the contribution to the deliverables and technical reports (see Article 21)
- any other documents or information required by the granting authority under the Agreement
(iv) submit via the Portal data and information related to the participation of their affiliated entities.
(b) The coordinator must:
(i) monitor that the action is implemented properly (see Article 11)
(ii) act as the intermediary for all communications between the consortium and the granting authority, unless the Agreement or granting authority specifies otherwise, and in particular:
- submit the prefinancing guarantees to the granting authority (if any)
- request and review any documents or information required and verify their quality and completeness before passing them on to the granting authority
- submit the deliverables and reports to the granting authority
- inform the granting authority about the payments made to the other beneficiaries (report on the distribution of payments; if required, see Articles 22 and 32)
(iii) distribute the payments received from the granting authority to the other beneficiaries without unjustified delay (see Article 22).
The coordinator may not delegate or subcontract the above-mentioned tasks to any other beneficiary or third party (including affiliated entities).
However, coordinators which are public bodies may delegate the tasks set out in Point (b)(ii) last indent and (iii) above to entities with ‘authorisation to administer’ which they have created or which are controlled by or affiliated to them. In this case, the coordinator retains sole responsibility for the payments and for compliance with the obligations under the Agreement.
Moreover, coordinators which are ‘sole beneficiaries’12 (or similar, such as European research
12 For the definition, see Article 187(2) EU Financial Regulation 2018/1046: “Where several entities satisfy the criteria
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infrastructure consortia (ERICs)) may delegate the tasks set out in Point (b)(i) to (iii) above to one of their members. The coordinator retains sole responsibility for compliance with the obligations under the Agreement.
The beneficiaries must have internal arrangements regarding their operation and co-ordination, to ensure that the action is implemented properly.
If required by the granting authority (see Data Sheet, Point 1), these arrangements must be set out in a written consortium agreement between the beneficiaries, covering for instance:
- the internal organisation of the consortium
- the management of access to the Portal
- different distribution keys for the payments and financial responsibilities in case of recoveries (if any)
- additional rules on rights and obligations related to background and results (see Article 16)
- settlement of internal disputes
- liability, indemnification and confidentiality arrangements between the beneficiaries.
The internal arrangements must not contain any provision contrary to this Agreement.
ARTICLE 8 — AFFILIATED ENTITIES
Not applicable
ARTICLE 9 — OTHER PARTICIPANTS INVOLVED IN THE ACTION
9.1 Associated partners
Not applicable
9.2 Third parties giving in-kind contributions to the action
Other third parties may give in-kind contributions to the action (i.e. personnel, equipment, other goods, works and services, etc. which are free-of-charge), if necessary for the implementation.
Third parties giving in-kind contributions do not implement any action tasks. They may not charge costs or contributions to the action and the costs for the in-kind contributions are not eligible.
The third parties and their in-kind contributions should be set out in Annex 1.
9.3 Subcontractors
Subcontractors may participate in the action, if necessary for the implementation.
Subcontractors must implement their action tasks in accordance with Article 11. The costs for the
for being awarded a grant and together form one entity, that entity may be treated as the sole beneficiary, including where it is specifically established for the purpose of implementing the action financed by the grant.”
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subcontracted tasks (invoiced price from the subcontractor) are eligible and may be charged by the beneficiaries, under the conditions set out in Article 6. The costs will be included in Annex 2 as part of the beneficiaries’ costs.
The beneficiaries must ensure that their contractual obligations under Articles 11 (proper implementation), 12 (conflict of interest), 13 (confidentiality and security), 14 (ethics), 17.2 (visibility), 18 (specific rules for carrying out action), 19 (information) and 20 (record-keeping) also apply to the subcontractors.
The beneficiaries must ensure that the bodies mentioned in Article 25 (e.g. granting authority, OLAF, Court of Auditors (ECA), etc.) can exercise their rights also towards the subcontractors.
9.4 Recipients of financial support to third parties
If the action includes providing financial support to third parties (e.g. grants, prizes or similar forms of support), the beneficiaries must ensure that their contractual obligations under Articles 12 (conflict of interest), 13 (confidentiality and security), 14 (ethics), 17.2 (visibility), 18 (specific rules for carrying out action), 19 (information) and 20 (record-keeping)also apply to the third parties receiving the support (recipients).
The beneficiaries must also ensure that the bodies mentioned in Article 25 (e.g. granting authority, OLAF, Court of Auditors (ECA), etc.) can exercise their rights also towards the recipients.
ARTICLE 10 — PARTICIPANTS WITH SPECIAL STATUS
10.1 Non-EU participants
Participants which are established in a non-EU country (if any) undertake to comply with their obligations under the Agreement and:
- to respect general principles (including fundamental rights, values and ethical principles, environmental and labour standards, rules on classified information, intellectual property rights, visibility of funding and protection of personal data)
- for the submission of certificates under Article 24: to use qualified external auditors which are independent and comply with comparable standards as those set out in EU Directive 2006/43/EC13
- for the controls under Article 25: to allow for checks, reviews, audits and investigations (including on-the-spot checks, visits and inspections) by the bodies mentioned in that Article (e.g. granting authority, OLAF, Court of Auditors (ECA), etc.).
Special rules on dispute settlement apply (see Data Sheet, Point 5).
10.2 Participants which are international organisations
Participants which are international organisations (IOs; if any) undertake to comply with their obligations under the Agreement and:
13 Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts or similar national regulations (OJ L 157, 9.6.2006, p. 87).
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- to respect general principles (including fundamental rights, values and ethical principles, environmental and labour standards, rules on classified information, intellectual property rights, visibility of funding and protection of personal data)
- for the submission of certificates under Article 24: to use either independent public officers or external auditors which comply with comparable standards as those set out in EU Directive 2006/43/EC
- for the controls under Article 25: to allow for the checks, reviews, audits and investigations by the bodies mentioned in that Article, taking into account the specific agreements concluded by them and the EU (if any).
For such participants, nothing in the Agreement will be interpreted as a waiver of their privileges or immunities, as accorded by their constituent documents or international law.
Special rules on applicable law and dispute settlement apply (see Article 43 and Data Sheet, Point 5).
10.3 Pillar-assessed participants
Pillar-assessed participants (if any) may rely on their own systems, rules and procedures, in so far as they have been positively assessed and do not call into question the decision awarding the grant or breach the principle of equal treatment of applicants or beneficiaries.
‘Pillar-assessment’ means a review by the European Commission on the systems, rules and procedures which participants use for managing EU grants (in particular internal control system, accounting system, external audits, financing of third parties, rules on recovery and exclusion, information on recipients and protection of personal data; see Article 154 EU Financial Regulation 2018/1046).
Participants with a positive pillar assessment may rely on their own systems, rules and procedures, in particular for:
- record-keeping (Article 20): may be done in accordance with internal standards, rules and procedures
- currency conversion for financial statements (Article 21): may be done in accordance with usual accounting practices
- guarantees (Article 23): for public law bodies, prefinancing guarantees are not needed
- certificates (Article 24):
- certificates on the financial statements (CFS): may be provided by their regular internal or external auditors and in accordance with their internal financial regulations and procedures
- certificates on usual accounting practices (CoMUC): are not needed if those practices are covered by an ex-ante assessment
and use the following specific rules, for:
- recoveries (Article 22): in case of financial support to third parties, there will be no recovery if the participant has done everything possible to retrieve the undue amounts from the third party
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receiving the support (including legal proceedings) and non-recovery is not due to an error or negligence on its part
- checks, reviews, audits and investigations by the EU (Article 25): will be conducted taking into account the rules and procedures specifically agreed between them and the framework agreement (if any)
- impact evaluation (Article 26): will be conducted in accordance with the participant’s internal rules and procedures and the framework agreement (if any)
- grant agreement suspension (Article 31): certain costs incurred during grant suspension are eligible (notably, minimum costs necessary for a possible resumption of the action and costs relating to contracts which were entered into before the pre-information letter was received and which could not reasonably be suspended, reallocated or terminated on legal grounds)
- grant agreement termination (Article 32): the final grant amount and final payment will be calculated taking into account also costs relating to contracts due for execution only after termination takes effect, if the contract was entered into before the pre-information letter was received and could not reasonably be terminated on legal grounds
- liability for damages (Article 33.2): the granting authority must be compensated for damage it sustains as a result of the implementation of the action or because the action was not implemented in full compliance with the Agreement only if the damage is due to an infringement of the participant’s internal rules and procedures or due to a violation of third parties’ rights by the participant or one of its employees or individual for whom the employees are responsible.
Participants whose pillar assessment covers procurement and granting procedures may also do purchases, subcontracting and financial support to third parties (Article 6.2) in accordance with their internal rules and procedures for purchases, subcontracting and financial support.
Participants whose pillar assessment covers data protection rules may rely on their internal standards, rules and procedures for data protection (Article 15).
The participants may however not rely on provisions which would breach the principle of equal treatment of applicants or beneficiaries or call into question the decision awarding the grant, such as in particular:
- eligibility (Article 6)
- consortium roles and set-up (Articles 7-9)
- security and ethics (Articles 13, 14)
- IPR (including background and results, access rights and rights of use), communication, dissemination and visibility (Articles 16 and 17)
- information obligation (Article 19)
- payment, reporting and amendments (Articles 21, 22 and 39)
- rejections, reductions, suspensions and terminations (Articles 27, 28, 29-32)
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If the pillar assessment was subject to remedial measures, reliance on the internal systems, rules and procedures is subject to compliance with those remedial measures.
Participants whose assessment has not yet been updated to cover (the new rules on) data protection may rely on their internal systems, rules and procedures, provided that they ensure that personal data is:
- processed lawfully, fairly and in a transparent manner in relation to the data subject
- collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes
- adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed
- accurate and, where necessary, kept up to date
- kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the data is processed and
- processed in a manner that ensures appropriate security of the personal data.
Participants must inform the coordinator without delay of any changes to the systems, rules and procedures that were part of the pillar assessment. The coordinator must immediately inform the granting authority.
Pillar-assessed participants that have also concluded a framework agreement with the EU, may moreover — under the same conditions as those above (i.e. not call into question the decision awarding the grant or breach the principle of equal treatment of applicants or beneficiaries) — rely on the provisions set out in that framework agreement.
SECTION 2 RULES FOR CARRYING OUT THE ACTION
ARTICLE 11 — PROPER IMPLEMENTATION OF THE ACTION
11.1 Obligation to properly implement the action
The beneficiaries must implement the action as described in Annex 1 and in compliance with the provisions of the Agreement, the call conditions and all legal obligations under applicable EU, international and national law.
11.2 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see Article 28).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 12 — CONFLICT OF INTERESTS
12.1 Conflict of interests
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The beneficiaries must take all measures to prevent any situation where the impartial and objective implementation of the Agreement could be compromised for reasons involving family, emotional life, political or national affinity, economic interest or any other direct or indirect interest (‘conflict of interests’).
They must formally notify the granting authority without delay of any situation constituting or likely to lead to a conflict of interests and immediately take all the necessary steps to rectify this situation.
The granting authority may verify that the measures taken are appropriate and may require additional measures to be taken by a specified deadline.
12.2 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see Article 28) and the grant or the beneficiary may be terminated (see Article 32).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 13 — CONFIDENTIALITY AND SECURITY
13.1 Sensitive information
The parties must keep confidential any data, documents or other material (in any form) that is identified as sensitive in writing (‘sensitive information’) — during the implementation of the action and for at least until the time-limit set out in the Data Sheet (see Point 6).
If a beneficiary requests, the granting authority may agree to keep such information confidential for a longer period.
Unless otherwise agreed between the parties, they may use sensitive information only to implement the Agreement.
The beneficiaries may disclose sensitive information to their personnel or other participants involved in the action only if they:
(a) need to know it in order to implement the Agreement and
(b) are bound by an obligation of confidentiality.
The granting authority may disclose sensitive information to its staff and to other EU institutions and bodies.
It may moreover disclose sensitive information to third parties, if:
(a) this is necessary to implement the Agreement or safeguard the EU financial interests and
(b) the recipients of the information are bound by an obligation of confidentiality.
The confidentiality obligations no longer apply if:
(a) the disclosing party agrees to release the other party
(b) the information becomes publicly available, without breaching any confidentiality obligation
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(c) the disclosure of the sensitive information is required by EU, international or national law.
Specific confidentiality rules (if any) are set out in Annex 5.
13.2 Classified information
The parties must handle classified information in accordance with the applicable EU, international or national law on classified information (in particular, Decision 2015/44414 and its implementing rules).
Deliverables which contain classified information must be submitted according to special procedures agreed with the granting authority.
Action tasks involving classified information may be subcontracted only after explicit approval (in writing) from the granting authority.
Classified information may not be disclosed to any third party (including participants involved in the action implementation) without prior explicit written approval from the granting authority.
Specific security rules (if any) are set out in Annex 5.
13.3 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see Article 28).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 14 — ETHICS AND VALUES
14.1 Ethics
The action must be carried out in line with the highest ethical standards and the applicable EU, international and national law on ethical principles.
Specific ethics rules (if any) are set out in Annex 5.
14.2 Values
The beneficiaries must commit to and ensure the respect of basic EU values (such as respect for human dignity, freedom, democracy, equality, the rule of law and human rights, including the rights of minorities).
Specific rules on values (if any) are set out in Annex 5.
14.3 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see Article 28).
14 Commission Decision 2015/444/EC, Euratom of 13 March 2015 on the security rules for protecting EU classified information (OJ L 72, 17.3.2015, p. 53).
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Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 15 — DATA PROTECTION
15.1 Data processing by the granting authority
Any personal data under the Agreement will be processed under the responsibility of the data controller of the granting authority in accordance with and for the purposes set out in the Portal Privacy Statement.
For grants where the granting authority is the European Commission, an EU regulatory or executive agency, joint undertaking or other EU body, the processing will be subject to Regulation 2018/172515.
15.2 Data processing by the beneficiaries
The beneficiaries must process personal data under the Agreement in compliance with the applicable EU, international and national law on data protection (in particular, Regulation 2016/67916).
They must ensure that personal data is:
- processed lawfully, fairly and in a transparent manner in relation to the data subjects
- collected for specified, explicit and legitimate purposes and not further processed in a manner that is incompatible with those purposes
- adequate, relevant and limited to what is necessary in relation to the purposes for which they are processed
- accurate and, where necessary, kept up to date
- kept in a form which permits identification of data subjects for no longer than is necessary for the purposes for which the data is processed and
- processed in a manner that ensures appropriate security of the data.
The beneficiaries may grant their personnel access to personal data only if it is strictly necessary for implementing, managing and monitoring the Agreement. The beneficiaries must ensure that the personnel is under a confidentiality obligation.
The beneficiaries must inform the persons whose data are transferred to the granting authority and provide them with the Portal Privacy Statement.
15.3 Consequences of non-compliance
15 Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39).
16 Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (‘GDPR’) (OJ L 119, 4.5.2016, p. 1).
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If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see Article 28).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 16 — INTELLECTUAL PROPERTY RIGHTS (IPR) — BACKGROUND AND RESULTS —ACCESS RIGHTS AND RIGHTS OF USE
16.1 Background and access rights to background
The beneficiaries must give each other and the other participants access to the background identified as needed for implementing the action, subject to any specific rules in Annex 5.
‘Background’ means any data, know-how or information — whatever its form or nature (tangible or intangible), including any rights such as intellectual property rights — that is:
(a) held by the beneficiaries before they acceded to the Agreement and
(b) needed to implement the action or exploit the results.
If background is subject to rights of a third party, the beneficiary concerned must ensure that it is able to comply with its obligations under the Agreement.
16.2 Ownership of results
The granting authority does not obtain ownership of the results produced under the action.
‘Results’ means any tangible or intangible effect of the action, such as data, know-how or information, whatever its form or nature, whether or not it can be protected, as well as any rights attached to it, including intellectual property rights.
16.3 Rights of use of the granting authority on materials, documents and information received for policy, information, communication, dissemination and publicity purposes
The granting authority has the right to use non-sensitive information relating to the action and materials and documents received from the beneficiaries (notably summaries for publication, deliverables, as well as any other material, such as pictures or audio-visual material, in paper or electronic form) for policy, information, communication, dissemination and publicity purposes — during the action or afterwards.
The right to use the beneficiaries’ materials, documents and information is granted in the form of a royalty-free, non-exclusive and irrevocable licence, which includes the following rights:
(a) use for its own purposes (in particular, making them available to persons working for the granting authority or any other EU service (including institutions, bodies, offices, agencies, etc.) or EU Member State institution or body; copying or reproducing them in whole or in part, in unlimited numbers; and communication through press information services)
(b) distribution to the public (in particular, publication as hard copies and in electronic or digital format, publication on the internet, as a downloadable or non-downloadable file, broadcasting by any channel, public display or presentation, communicating through press information services, or inclusion in widely accessible databases or indexes)
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(c) editing or redrafting (including shortening, summarising, inserting other elements (e.g. meta-data, legends, other graphic, visual, audio or text elements), extracting parts (e.g. audio or video files), dividing into parts, use in a compilation)
(d) translation
(e) storage in paper, electronic or other form
(f) archiving, in line with applicable document-management rules
(g) the right to authorise third parties to act on its behalf or sub-license to third parties the modes of use set out in Points (b), (c), (d) and (f), if needed for the information, communication and publicity activity of the granting authority
(h) processing, analysing, aggregating the materials, documents and information received and producing derivative works.
The rights of use are granted for the whole duration of the industrial or intellectual property rights concerned.
If materials or documents are subject to moral rights or third party rights (including intellectual property rights or rights of natural persons on their image and voice), the beneficiaries must ensure that they comply with their obligations under this Agreement (in particular, by obtaining the necessary licences and authorisations from the rights holders concerned).
Where applicable, the granting authority will insert the following information:
“© – [year] – [name of the copyright owner]. All rights reserved. Licensed to the [name of granting authority] under conditions.”
16.4 Specific rules on IPR, results and background
Specific rules regarding intellectual property rights, results and background (if any) are set out in Annex 5.
16.5 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see Article 28).
Such a breach may also lead to other measures described in Chapter 5.
ARTICLE 17 — COMMUNICATION, DISSEMINATION AND VISIBILITY
17.1 Communication — Dissemination — Promoting the action
Unless otherwise agreed with the granting authority, the beneficiaries must promote the action and its results by providing targeted information to multiple audiences (including the media and the public), in accordance with Annex 1 and in a strategic, coherent and effective manner.
Before engaging in a communication or dissemination activity expected to have a major media impact, the beneficiaries must inform the granting authority.
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17.2 Visibility — European flag and funding statement
Unless otherwise agreed with the granting authority, communication activities of the beneficiaries related to the action (including media relations, conferences, seminars, information material, such as brochures, leaflets, posters, presentations, etc., in electronic form, via traditional or social media, etc.), dissemination activities and any infrastructure, equipment, vehicles, supplies or major result funded by the grant must acknowledge EU support and display the European flag (emblem) and funding statement (translated into local languages, where appropriate):
The emblem must remain distinct and separate and cannot be modified by adding other visual marks, brands or text.
Apart from the emblem, no other visual identity or logo may be used to highlight the EU support.
When displayed in association with other logos (e.g. of beneficiaries or sponsors), the emblem must be displayed at least as prominently and visibly as the other logos.
For the purposes of their obligations under this Article, the beneficiaries may use the emblem without first obtaining approval from the granting authority. This does not, however, give them the right to exclusive use. Moreover, they may not appropriate the emblem or any similar trademark or logo, either by registration or by any other means.
17.3 Quality of information — Disclaimer
Any communication or dissemination activity related to the action must use factually accurate information.
Moreover, it must indicate the following disclaimer (translated into local languages where appropriate):
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“Funded by the European Union. Views and opinions expressed are however those of the author(s) only and do not necessarily reflect those of the European Union or [name of the granting authority]. Neither the European Union nor the granting authority can be held responsible for them.”
17.4 Specific communication, dissemination and visibility rules
Specific communication, dissemination and visibility rules (if any) are set out in Annex 5.
17.5 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see Article 28).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 18 — SPECIFIC RULES FOR CARRYING OUT THE ACTION
18.1 Specific rules for carrying out the action
Specific rules for implementing the action (if any) are set out in Annex 5.
18.2 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see Article 28).
Such a breach may also lead to other measures described in Chapter 5.
SECTION 3 GRANT ADMINISTRATION
ARTICLE 19 — GENERAL INFORMATION OBLIGATIONS
19.1 Information requests
The beneficiaries must provide — during the action or afterwards and in accordance with Article 7 — any information requested in order to verify eligibility of the costs or contributions declared, proper implementation of the action and compliance with the other obligations under the Agreement.
The information provided must be accurate, precise and complete and in the format requested, including electronic format.
19.2 Participant Register data updates
The beneficiaries must keep — at all times, during the action or afterwards — their information stored in the Portal Participant Register up to date, in particular, their name, address, legal representatives, legal form and organisation type.
19.3 Information about events and circumstances which impact the action
The beneficiaries must immediately inform the granting authority (and the other beneficiaries) of any of the following:
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(a) events which are likely to affect or delay the implementation of the action or affect the EU’s financial interests, in particular:
(i) changes in their legal, financial, technical, organisational or ownership situation (including changes linked to one of the exclusion grounds listed in the declaration of honour signed before grant signature)
(ii) linked action information: not applicable
(b) circumstances affecting:
(i) the decision to award the grant or
(ii) compliance with requirements under the Agreement.
19.4 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see Article 28).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 20 — RECORD-KEEPING
20.1 Keeping records and supporting documents
The beneficiaries must — at least until the time-limit set out in the Data Sheet (see Point 6) — keep records and other supporting documents to prove the proper implementation of the action in line with the accepted standards in the respective field (if any).
In addition, the beneficiaries must — for the same period — keep the following to justify the amounts declared:
(a) for actual costs: adequate records and supporting documents to prove the costs declared (such as contracts, subcontracts, invoices and accounting records); in addition, the beneficiaries’ usual accounting and internal control procedures must enable direct reconciliation between the amounts declared, the amounts recorded in their accounts and the amounts stated in the supporting documents
(b) for flat-rate costs and contributions (if any): adequate records and supporting documents to prove the eligibility of the costs or contributions to which the flat-rate is applied
(c) for the following simplified costs and contributions: the beneficiaries do not need to keep specific records on the actual costs incurred, but must keep:
(i) for unit costs and contributions (if any): adequate records and supporting documents to prove the number of units declared
(ii) for lump sum costs and contributions (if any): adequate records and supporting documents to prove proper implementation of the work as described in Annex 1
(iii) for financing not linked to costs (if any): adequate records and supporting documents
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to prove the achievement of the results or the fulfilment of the conditions as described in Annex 1
(d) for unit, flat-rate and lump sum costs and contributions according to usual cost accounting practices (if any): the beneficiaries must keep any adequate records and supporting documents to prove that their cost accounting practices have been applied in a consistent manner, based on objective criteria, regardless of the source of funding, and that they comply with the eligibility conditions set out in Articles 6.1 and 6.2.
Moreover, the following is needed for specific budget categories:
(e) for personnel costs: time worked for the beneficiary under the action must be supported by declarations signed monthly by the person and their supervisor, unless another reliable time-record system is in place; the granting authority may accept alternative evidence supporting the time worked for the action declared, if it considers that it offers an adequate level of assurance
(f) additional record-keeping rules: not applicable
The records and supporting documents must be made available upon request (see Article 19) or in the context of checks, reviews, audits or investigations (see Article 25).
If there are on-going checks, reviews, audits, investigations, litigation or other pursuits of claims under the Agreement (including the extension of findings; see Article 25), the beneficiaries must keep these records and other supporting documentation until the end of these procedures.
The beneficiaries must keep the original documents. Digital and digitalised documents are considered originals if they are authorised by the applicable national law. The granting authority may accept non-original documents if they offer a comparable level of assurance.
20.2 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, costs or contributions insufficiently substantiated will be ineligible (see Article 6) and will be rejected (see Article 27), and the grant may be reduced (see Article 28).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 21 — REPORTING
21.1 Continuous reporting
The beneficiaries must continuously report on the progress of the action (e.g. deliverables, milestones, outputs/outcomes, critical risks, indicators, etc; if any), in the Portal Continuous Reporting tool and in accordance with the timing and conditions it sets out (as agreed with the granting authority).
Standardised deliverables (e.g. progress reports not linked to payments, reports on cumulative expenditure, special reports, etc; if any) must be submitted using the templates published on the Portal.
21.2 Periodic reporting: Technical reports and financial statements
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In addition, the beneficiaries must provide reports to request payments, in accordance with the schedule and modalities set out in the Data Sheet (see Point 4.2):
- for additional prefinancings (if any): an additional prefinancing report
- for interim payments (if any) and the final payment: a periodic report.
The prefinancing and periodic reports include a technical and financial part.
The technical part includes an overview of the action implementation. It must be prepared using the template available in the Portal Periodic Reporting tool.
The financial part of the additional prefinancing report includes a statement on the use of the previous prefinancing payment.
The financial part of the periodic report includes:
- the financial statements (individual and consolidated; for all beneficiaries/affiliated entities)
- the explanation on the use of resources (or detailed cost reporting table, if required)
- the certificates on the financial statements (CFS) (if required; see Article 24.2 and Data Sheet, Point 4.3).
The financial statements must detail the eligible costs and contributions for each budget category and, for the final payment, also the revenues for the action (see Articles 6 and 22).
All eligible costs and contributions incurred should be declared, even if they exceed the amounts indicated in the estimated budget (see Annex 2). Amounts that are not declared in the individual financial statements will not be taken into account by the granting authority.
By signing the financial statements (directly in the Portal Periodic Reporting tool), the beneficiaries confirm that:
- the information provided is complete, reliable and true
- the costs and contributions declared are eligible (see Article 6)
- the costs and contributions can be substantiated by adequate records and supporting documents (see Article 20) that will be produced upon request (see Article 19) or in the context of checks, reviews, audits and investigations (see Article 25)
- for the final periodic report: all the revenues have been declared (if required; see Article 22).
Beneficiaries will have to submit also the financial statements of their affiliated entities (if any). In case of recoveries (see Article 22), beneficiaries will be held responsible also for the financial statements of their affiliated entities.
21.3 Currency for financial statements and conversion into euros
The financial statements must be drafted in euro.
Beneficiaries with general accounts established in a currency other than the euro must convert the
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costs recorded in their accounts into euro, at the average of the daily exchange rates published in the C series of the Official Journal of the European Union (ECB website), calculated over the corresponding reporting period.
If no daily euro exchange rate is published in the Official Journal for the currency in question, they must be converted at the average of the monthly accounting exchange rates published on the European Commission website (InforEuro), calculated over the corresponding reporting period.
Beneficiaries with general accounts in euro must convert costs incurred in another currency into euro according to their usual accounting practices.
21.4 Reporting language
The reporting must be in the language of the Agreement, unless otherwise agreed with the granting authority (see Data Sheet, Point 4.2).
21.5 Consequences of non-compliance
If a report submitted does not comply with this Article, the granting authority may suspend the payment deadline (see Article 29) and apply other measures described in Chapter 5.
If the coordinator breaches its reporting obligations, the granting authority may terminate the grant or the coordinator’s participation (see Article 32) or apply other measures described in Chapter 5.
ARTICLE 22 — PAYMENTS AND RECOVERIES — CALCULATION OF AMOUNTS DUE
22.1 Payments and payment arrangements
Payments will be made in accordance with the schedule and modalities set out in the Data Sheet (see Point 4.2).
They will be made in euro to the bank account indicated by the coordinator (see Data Sheet, Point 4.2) and must be distributed without unjustified delay (restrictions may apply to distribution of the initial prefinancing payment; see Data Sheet, Point 4.2).
Payments to this bank account will discharge the granting authority from its payment obligation.
The cost of payment transfers will be borne as follows:
- the granting authority bears the cost of transfers charged by its bank
- the beneficiary bears the cost of transfers charged by its bank
- the party causing a repetition of a transfer bears all costs of the repeated transfer.
Payments by the granting authority will be considered to have been carried out on the date when they are debited to its account.
22.2 Recoveries
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Recoveries will be made, if — at beneficiary termination, final payment or afterwards — it turns out that the granting authority has paid too much and needs to recover the amounts undue.
The general liability regime for recoveries (first-line liability) is as follows: At final payment, the coordinator will be fully liable for recoveries, even if it has not been the final recipient of the undue amounts. At beneficiary termination or after final payment, recoveries will be made directly against the beneficiaries concerned.
Beneficiaries will be fully liable for repaying the debts of their affiliated entities.
In case of enforced recoveries (see Article 22.4):
- the beneficiaries will be jointly and severally liable for repaying debts of another beneficiary under the Agreement (including late-payment interest), if required by the granting authority (see Data Sheet, Point 4.4)
- affiliated entities will be held liable for repaying debts of their beneficiaries under the Agreement (including late-payment interest), if required by the granting authority (see Data Sheet, Point 4.4).
22.3 Amounts due
22.3.1 Prefinancing payments
The aim of the prefinancing is to provide the beneficiaries with a float.
It remains the property of the EU until the final payment.
For initial prefinancings (if any), the amount due, schedule and modalities are set out in the Data Sheet (see Point 4.2).
For additional prefinancings (if any), the amount due, schedule and modalities are also set out in the Data Sheet (see Point 4.2). However, if the statement on the use of the previous prefinancing payment shows that less than 70% was used, the amount set out in the Data Sheet will be reduced by the difference between the 70% threshold and the amount used.
Prefinancing payments (or parts of them) may be offset (without the beneficiaries’ consent) against amounts owed by a beneficiary to the granting authority — up to the amount due to that beneficiary.
For grants where the granting authority is the European Commission or an EU executive agency, offsetting may also be done against amounts owed to other Commission services or executive agencies.
Payments will not be made if the payment deadline or payments are suspended (see Articles 29 and 30).
22.3.2 Amount due at beneficiary termination — Recovery
In case of beneficiary termination, the granting authority will determine the provisional amount due for the beneficiary concerned. Payments (if any) will be made with the next interim or final payment.
The amount due will be calculated in the following step:
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Step 1 — Calculation of the total accepted EU contribution
Step 1 — Calculation of the total accepted EU contribution
The granting authority will first calculate the ‘accepted EU contribution’ for the beneficiary for all reporting periods, by calculating the ‘maximum EU contribution to costs’ (applying the funding rate to the accepted costs of the beneficiary), taking into account requests for a lower contribution to costs and CFS threshold cappings (if any; see Article 24.5) and adding the contributions (accepted unit, flat-rate or lump sum contributions and financing not linked to costs, if any).
After that, the granting authority will take into account grant reductions (if any). The resulting amount is the ‘total accepted EU contribution’ for the beneficiary.
The balance is then calculated by deducting the payments received (if any; see report on the distribution of payments in Article 32), from the total accepted EU contribution:
{total accepted EU contribution for the beneficiary
minus
{prefinancing and interim payments received (if any)}}.
If the balance is positive, the amount will be included in the next interim or final payment to the consortium.
If the balance is negative, it will be recovered in accordance with the following procedure:
The granting authority will send a pre-information letter to the beneficiary concerned:
- formally notifying the intention to recover, the amount due, the amount to be recovered and the reasons why and
- requesting observations within 30 days of receiving notification.
If no observations are submitted (or the granting authority decides to pursue recovery despite the observations it has received), it will confirm the amount to be recovered and ask this amount to be paid to the coordinator (confirmation letter).
The amounts will later on also be taken into account for the next interim or final payment.
22.3.3 Interim payments
Interim payments reimburse the eligible costs and contributions claimed for the implementation of the action during the reporting periods (if any).
Interim payments (if any) will be made in accordance with the schedule and modalities set out the Data Sheet (see Point 4.2).
Payment is subject to the approval of the periodic report. Its approval does not imply recognition of compliance, authenticity, completeness or correctness of its content.
The interim payment will be calculated by the granting authority in the following steps:
Step 1 — Calculation of the total accepted EU contribution
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Step 2 — Limit to the interim payment ceiling
Step 1 — Calculation of the total accepted EU contribution
The granting authority will calculate the ‘accepted EU contribution’ for the action for the reporting period, by first calculating the ‘maximum EU contribution to costs’ (applying the funding rate to the accepted costs of each beneficiary), taking into account requests for a lower contribution to costs, and CFS threshold cappings (if any; see Article 24.5) and adding the contributions (accepted unit, flat-rate or lump sum contributions and financing not linked to costs, if any).
After that, the granting authority will take into account grant reductions from beneficiary termination (if any). The resulting amount is the ‘total accepted EU contribution’.
Step 2 — Limit to the interim payment ceiling
The resulting amount is then capped to ensure that the total amount of prefinancing and interim payments (if any) does not exceed the interim payment ceiling set out in the Data Sheet (see Point 4.2).
Interim payments (or parts of them) may be offset (without the beneficiaries’ consent) against amounts owed by a beneficiary to the granting authority — up to the amount due to that beneficiary.
For grants where the granting authority is the European Commission or an EU executive agency, offsetting may also be done against amounts owed to other Commission services or executive agencies.
Payments will not be made if the payment deadline or payments are suspended (see Articles 29 and 30).
22.3.4 Final payment — Final grant amount — Revenues and Profit — Recovery
The final payment (payment of the balance) reimburses the remaining part of the eligible costs and contributions claimed for the implementation of the action (if any).
The final payment will be made in accordance with the schedule and modalities set out in the Data Sheet (see Point 4.2).
Payment is subject to the approval of the final periodic report. Its approval does not imply recognition of compliance, authenticity, completeness or correctness of its content.
The final grant amount for the action will be calculated in the following steps:
Step 1 — Calculation of the total accepted EU contribution
Step 2 — Limit to the maximum grant amount
Step 3 — Reduction due to the no-profit rule
Step 1 — Calculation of the total accepted EU contribution
The granting authority will first calculate the ‘accepted EU contribution’ for the action for all reporting periods, by calculating the ‘maximum EU contribution to costs’ (applying the funding rate to the total accepted costs of each beneficiary), taking into account requests for a lower contribution to costs, CFS
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threshold cappings (if any; see Article 24.5) and adding the contributions (accepted unit, flat-rate or lump sum contributions and financing not linked to costs, if any).
After that, the granting authority will take into account grant reductions (if any). The resulting amount is the ‘total accepted EU contribution’.
Step 2 — Limit to the maximum grant amount
If the resulting amount is higher than the maximum grant amount set out in Article 5.2, it will be limited to the latter.
Step 3 — Reduction due to the no-profit rule
If the no-profit rule is provided for in the Data Sheet (see Point 4.2), the grant must not produce a profit (i.e. surplus of the amount obtained following Step 2 plus the action’s revenues, over the eligible costs and contributions approved by the granting authority).
‘Revenue’ is all income generated by the action, during its duration (see Article 4), for beneficiaries that are profit legal entities.
If there is a profit, it will be deducted in proportion to the final rate of reimbursement of the eligible costs approved by the granting authority (as compared to the amount calculated following Steps 1 and 2 minus the contributions).
The balance (final payment) is then calculated by deducting the total amount of prefinancing and interim payments already made (if any), from the final grant amount:
{final grant amount
minus
{prefinancing and interim payments made (if any)}}.
If the balance is positive, it will be paid to the coordinator.
The final payment (or part of it) may be offset (without the beneficiaries’ consent) against amounts owed by a beneficiary to the granting authority — up to the amount due to that beneficiary.
For grants where the granting authority is the European Commission or an EU executive agency, offsetting may also be done against amounts owed to other Commission services or executive agencies.
Payments will not be made if the payment deadline or payments are suspended (see Articles 29 and 30).
If the balance is negative, it will be recovered in accordance with the following procedure:
The granting authority will send a pre-information letter to the coordinator:
- formally notifying the intention to recover, the final grant amount, the amount to be recovered and the reasons why
- requesting observations within 30 days of receiving notification.
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If no observations are submitted (or the granting authority decides to pursue recovery despite the observations it has received), it will confirm the amount to be recovered (confirmation letter), together with a debit note with the terms and date for payment.
If payment is not made by the date specified in the debit note, the granting authority will enforce recovery in accordance with Article 22.4.
22.3.5 Audit implementation after final payment — Revised final grant amount — Recovery
If — after the final payment (in particular, after checks, reviews, audits or investigations; see Article 25) — the granting authority rejects costs or contributions (see Article 27) or reduces the grant (see Article 28), it will calculate the revised final grant amount for the beneficiary concerned.
The beneficiary revised final grant amount will be calculated in the following step:
Step 1 — Calculation of the revised total accepted EU contribution
Step 1 — Calculation of the revised total accepted EU contribution
The granting authority will first calculate the ‘revised accepted EU contribution’ for the beneficiary, by calculating the ‘revised accepted costs’ and ‘revised accepted contributions’.
After that, it will take into account grant reductions (if any). The resulting ‘revised total accepted EU contribution’ is the beneficiary revised final grant amount.
If the revised final grant amount is lower than the beneficiary’s final grant amount (i.e. its share in the final grant amount for the action), it will be recovered in accordance with the following procedure:
The beneficiary final grant amount (i.e. share in the final grant amount for the action) is calculated as follows:
{{total accepted EU contribution for the beneficiary
divided by
total accepted EU contribution for the action}
multiplied by
final grant amount for the action}.
The granting authority will send a pre-information letter to the beneficiary concerned:
- formally notifying the intention to recover, the amount to be recovered and the reasons why and
- requesting observations within 30 days of receiving notification.
If no observations are submitted (or the granting authority decides to pursue recovery despite the observations it has received), it will confirm the amount to be recovered (confirmation letter), together with a debit note with the terms and the date for payment.
Recoveries against affiliated entities (if any) will be handled through their beneficiaries.
If payment is not made by the date specified in the debit note, the granting authority will enforce recovery in accordance with Article 22.4.
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22.4 Enforced recovery
If payment is not made by the date specified in the debit note, the amount due will be recovered:
(a) by offsetting the amount — without the coordinator or beneficiary’s consent — against any amounts owed to the coordinator or beneficiary by the granting authority.
In exceptional circumstances, to safeguard the EU financial interests, the amount may be offset before the payment date specified in the debit note.
For grants where the granting authority is the European Commission or an EU executive agency, debts may also be offset against amounts owed by other Commission services or executive agencies.
(b) by drawing on the financial guarantee(s) (if any)
(c) by holding other beneficiaries jointly and severally liable (if any; see Data Sheet, Point 4.4)
(d) by holding affiliated entities jointly and severally liable (if any, see Data Sheet, Point 4.4)
(e) by taking legal action (see Article 43) or, provided that the granting authority is the European Commission or an EU executive agency, by adopting an enforceable decision under Article 299 of the Treaty on the Functioning of the EU (TFEU) and Article 100(2) of EU Financial Regulation 2018/1046.
The amount to be recovered will be increased by late-payment interest at the rate set out in Article 22.5, from the day following the payment date in the debit note, up to and including the date the full payment is received.
Partial payments will be first credited against expenses, charges and late-payment interest and then against the principal.
Bank charges incurred in the recovery process will be borne by the beneficiary, unless Directive 2015/236617 applies.
For grants where the granting authority is an EU executive agency, enforced recovery by offsetting or enforceable decision will be done by the services of the European Commission (see also Article 43).
22.5 Consequences of non-compliance
22.5.1 If the granting authority does not pay within the payment deadlines (see above), the beneficiaries are entitled to late-payment interest at the rate applied by the European Central Bank (ECB) for its main refinancing operations in euros (‘reference rate’), plus the rate specified in the Data Sheet (Point 4.2). The reference rate is the rate in force on the first day of the month in which the payment deadline expires, as published in the C series of the Official Journal of the European Union.
If the late-payment interest is lower than or equal to EUR 200, it will be paid to the coordinator only on request submitted within two months of receiving the late payment.
17 Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment services in the internal market, amending Directives 2002/65/EC, 2009/110/EC and 2013/36/EU and Regulation (EU) No 1093/2010, and repealing Directive 2007/64/EC (OJ L 337, 23.12.2015, p. 35).
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Late-payment interest is not due if all beneficiaries are EU Member States (including regional and local government authorities or other public bodies acting on behalf of a Member State for the purpose of this Agreement).
If payments or the payment deadline are suspended (see Articles 29 and 30), payment will not be considered as late.
Late-payment interest covers the period running from the day following the due date for payment (see above), up to and including the date of payment.
Late-payment interest is not considered for the purposes of calculating the final grant amount.
22.5.2 If the coordinator breaches any of its obligations under this Article, the grant may be reduced (see Article 28) and the grant or the coordinator may be terminated (see Article 32).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 23 — GUARANTEES
23.1 Prefinancing guarantee
If required by the granting authority (see Data Sheet, Point 4.2), the beneficiaries must provide (one or more) prefinancing guarantee(s) in accordance with the timing and the amounts set out in the Data Sheet.
The coordinator must submit them to the granting authority in due time before the prefinancing they are linked to.
The guarantees must be drawn up using the template published on the Portal and fulfil the following conditions:
(a) be provided by a bank or approved financial institution established in the EU or — if requested by the coordinator and accepted by the granting authority — by a third party or a bank or financial institution established outside the EU offering equivalent security
(b) the guarantor stands as first-call guarantor and does not require the granting authority to first have recourse against the principal debtor (i.e. the beneficiary concerned) and
(c) remain explicitly in force until the final payment and, if the final payment takes the form of a recovery, until five months after the debit note is notified to a beneficiary.
They will be released within the following month.
23.2 Consequences of non-compliance
If the beneficiaries breach their obligation to provide the prefinancing guarantee, the prefinancing will not be paid.
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 24 — CERTIFICATES
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24.1 Operational verification report (OVR)
Not applicable
24.2 Certificate on the financial statements (CFS)
If required by the granting authority (see Data Sheet, Point 4.3), the beneficiaries must provide certificates on their financial statements (CFS), in accordance with the schedule, threshold and conditions set out in the Data Sheet.
The coordinator must submit them as part of the periodic report (see Article 21).
The certificates must be drawn up using the template published on the Portal, cover the costs declared on the basis of actual costs and costs according to usual cost accounting practices (if any), and fulfil the following conditions:
(a) be provided by a qualified approved external auditor which is independent and complies with Directive 2006/43/EC18 (or for public bodies: by a competent independent public officer)
(b) the verification must be carried out according to the highest professional standards to ensure that the financial statements comply with the provisions under the Agreement and that the costs declared are eligible.
The certificates will not affect the granting authority's right to carry out its own checks, reviews or audits, nor preclude the European Court of Auditors (ECA), the European Public Prosecutor’s Office (EPPO) or the European Anti-Fraud Office (OLAF) from using their prerogatives for audits and investigations under the Agreement (see Article 25).
If the costs (or a part of them) were already audited by the granting authority, these costs do not need to be covered by the certificate and will not be counted for calculating the threshold (if any).
24.3 Certificate on the compliance of usual cost accounting practices (CoMUC)
Beneficiaries which use unit, flat rate or lump sum costs or contributions according to usual costs accounting practices (if any) may submit to the granting authority, for approval, a certificate on the methodology stating that their usual cost accounting practices comply with the eligibility conditions under the Agreement.
The certificate must be drawn up using the template published on the Portal and fulfil the following conditions:
(a) be provided by a qualified approved external auditor which is independent and complies with Directive 2006/43/EC19 (or for public bodies: by a competent independent public officer)
(b) the verification must be carried out according to the highest professional standards to ensure that the methodology for declaring costs according to usual accounting practices complies with the provisions under the Agreement.
18 Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts or similar national regulations (OJ L 157, 9.6.2006, p. 87).
19 Directive 2006/43/EC of the European Parliament and of the Council of 17 May 2006 on statutory audits of annual accounts and consolidated accounts or similar national regulations (OJ L 157, 9.6.2006, p. 87).
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If the certificate is approved, amounts declared in line with this methodology will not be challenged subsequently, unless the beneficiary concealed information for the purpose of the approval.
24.4 Systems and process audit (SPA)
Not applicable
24.5 Consequences of non-compliance
If a beneficiary does not submit a certificate on the financial statements (CFS) or the certificate is rejected, the accepted EU contribution to costs will be capped to reflect the CFS threshold.
If a beneficiary breaches any of its other obligations under this Article, the granting authority may apply the measures described in Chapter 5.
ARTICLE 25 — CHECKS, REVIEWS, AUDITS AND INVESTIGATIONS — EXTENSION OF FINDINGS
25.1 Granting authority checks, reviews and audits
25.1.1 Internal checks
The granting authority may — during the action or afterwards — check the proper implementation of the action and compliance with the obligations under the Agreement, including assessing costs and contributions, deliverables and reports.
25.1.2 Project reviews
The granting authority may carry out reviews on the proper implementation of the action and compliance with the obligations under the Agreement (general project reviews or specific issues reviews).
Such project reviews may be started during the implementation of the action and until the time-limit set out in the Data Sheet (see Point 6). They will be formally notified to the coordinator or beneficiary concerned and will be considered to start on the date of the notification.
If needed, the granting authority may be assisted by independent, outside experts. If it uses outside experts, the coordinator or beneficiary concerned will be informed and have the right to object on grounds of commercial confidentiality or conflict of interest.
The coordinator or beneficiary concerned must cooperate diligently and provide — within the deadline requested — any information and data in addition to deliverables and reports already submitted (including information on the use of resources). The granting authority may request beneficiaries to provide such information to it directly. Sensitive information and documents will be treated in accordance with Article 13.
The coordinator or beneficiary concerned may be requested to participate in meetings, including with the outside experts.
For on-the-spot visits, the beneficiary concerned must allow access to sites and premises (including to the outside experts) and must ensure that information requested is readily available.
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Information provided must be accurate, precise and complete and in the format requested, including electronic format.
On the basis of the review findings, a project review report will be drawn up.
The granting authority will formally notify the project review report to the coordinator or beneficiary concerned, which has 30 days from receiving notification to make observations.
Project reviews (including project review reports) will be in the language of the Agreement, unless otherwise agreed with the granting authority (see Data Sheet, Point 4.2).
25.1.3 Audits
The granting authority may carry out audits on the proper implementation of the action and compliance with the obligations under the Agreement.
Such audits may be started during the implementation of the action and until the time-limit set out in the Data Sheet (see Point 6). They will be formally notified to the beneficiary concerned and will be considered to start on the date of the notification.
The granting authority may use its own audit service, delegate audits to a centralised service or use external audit firms. If it uses an external firm, the beneficiary concerned will be informed and have the right to object on grounds of commercial confidentiality or conflict of interest.
The beneficiary concerned must cooperate diligently and provide — within the deadline requested — any information (including complete accounts, individual salary statements or other personal data) to verify compliance with the Agreement. Sensitive information and documents will be treated in accordance with Article 13.
For on-the-spot visits, the beneficiary concerned must allow access to sites and premises (including for the external audit firm) and must ensure that information requested is readily available.
Information provided must be accurate, precise and complete and in the format requested, including electronic format.
On the basis of the audit findings, a draft audit report will be drawn up.
The auditors will formally notify the draft audit report to the beneficiary concerned, which has 30 days from receiving notification to make observations (contradictory audit procedure).
The final audit report will take into account observations by the beneficiary concerned and will be formally notified to them.
Audits (including audit reports) will be in the language of the Agreement, unless otherwise agreed with the granting authority (see Data Sheet, Point 4.2).
25.2 European Commission checks, reviews and audits in grants of other granting authorities
Where the granting authority is not the European Commission, the latter has the same rights of checks, reviews and audits as the granting authority.
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25.3 Access to records for assessing simplified forms of funding
The beneficiaries must give the European Commission access to their statutory records for the periodic assessment of simplified forms of funding which are used in EU programmes.
25.4 OLAF, EPPO and ECA audits and investigations
The following bodies may also carry out checks, reviews, audits and investigations — during the action or afterwards:
- the European Anti-Fraud Office (OLAF) under Regulations No 883/201320 and No 2185/9621
- the European Public Prosecutor’s Office (EPPO) under Regulation 2017/1939
- the European Court of Auditors (ECA) under Article 287 of the Treaty on the Functioning of the EU (TFEU) and Article 257 of EU Financial Regulation 2018/1046.
If requested by these bodies, the beneficiary concerned must provide full, accurate and complete information in the format requested (including complete accounts, individual salary statements or other personal data, including in electronic format) and allow access to sites and premises for on-the-spot visits or inspections — as provided for under these Regulations.
To this end, the beneficiary concerned must keep all relevant information relating to the action, at least until the time-limit set out in the Data Sheet (Point 6) and, in any case, until any ongoing checks, reviews, audits, investigations, litigation or other pursuits of claims have been concluded.
25.5 Consequences of checks, reviews, audits and investigations — Extension of results of reviews, audits or investigations
25.5.1 Consequences of checks, reviews, audits and investigations in this grant
Findings in checks, reviews, audits or investigations carried out in the context of this grant may lead to rejections (see Article 27), grant reduction (see Article 28) or other measures described in Chapter 5.
Rejections or grant reductions after the final payment will lead to a revised final grant amount (see Article 22).
Findings in checks, reviews, audits or investigations during the action implementation may lead to a request for amendment (see Article 39), to change the description of the action set out in Annex 1.
Checks, reviews, audits or investigations that find systemic or recurrent errors, irregularities, fraud or breach of obligations in any EU grant may also lead to consequences in other EU grants awarded under similar conditions (‘extension to other grants’).
20 Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF) and repealing Regulation (EC) No 1073/1999 of the European Parliament and of the Council and Council Regulation (Euratom) No 1074/1999 (OJ L 248, 18/09/2013, p. 1).
21 Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspections carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities (OJ L 292, 15/11/1996, p. 2).
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Moreover, findings arising from an OLAF or EPPO investigation may lead to criminal prosecution under national law.
25.5.2 Extension from other grants
Results of checks, reviews, audits or investigations in other grants may be extended to this grant, if:
(a) the beneficiary concerned is found, in other EU grants awarded under similar conditions, to have committed systemic or recurrent errors, irregularities, fraud or breach of obligations that have a material impact on this grant and
(b) those findings are formally notified to the beneficiary concerned — together with the list of grants affected by the findings — within the time-limit for audits set out in the Data Sheet (see Point 6).
The granting authority will formally notify the beneficiary concerned of the intention to extend the findings and the list of grants affected.
If the extension concerns rejections of costs or contributions: the notification will include:
(a) an invitation to submit observations on the list of grants affected by the findings
(b) the request to submit revised financial statements for all grants affected
(c) the correction rate for extrapolation, established on the basis of the systemic or recurrent errors, to calculate the amounts to be rejected, if the beneficiary concerned:
(i) considers that the submission of revised financial statements is not possible or practicable or
(ii) does not submit revised financial statements.
If the extension concerns grant reductions: the notification will include:
(a) an invitation to submit observations on the list of grants affected by the findings and
(b) the correction rate for extrapolation, established on the basis of the systemic or recurrent errors and the principle of proportionality.
The beneficiary concerned has 60 days from receiving notification to submit observations, revised financial statements or to propose a duly substantiated alternative correction method/rate.
On the basis of this, the granting authority will analyse the impact and decide on the implementation (i.e. start rejection or grant reduction procedures, either on the basis of the revised financial statements or the announced/alternative method/rate or a mix of those; see Articles 27 and 28).
25.6 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, costs or contributions insufficiently substantiated will be ineligible (see Article 6) and will be rejected (see Article 27), and the grant may be reduced (see Article 28).
Such breaches may also lead to other measures described in Chapter 5.
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ARTICLE 26 — IMPACT EVALUATIONS
26.1 Impact evaluation
The granting authority may carry out impact evaluations of the action, measured against the objectives and indicators of the EU programme funding the grant.
Such evaluations may be started during implementation of the action and until the time-limit set out in the Data Sheet (see Point 6). They will be formally notified to the coordinator or beneficiaries and will be considered to start on the date of the notification.
If needed, the granting authority may be assisted by independent outside experts.
The coordinator or beneficiaries must provide any information relevant to evaluate the impact of the action, including information in electronic format.
26.2 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the granting authority may apply the measures described in Chapter 5.
CHAPTER 5 CONSEQUENCES OF NON-COMPLIANCE
SECTION 1 REJECTIONS AND GRANT REDUCTION
ARTICLE 27 — REJECTION OF COSTS AND CONTRIBUTIONS
27.1 Conditions
The granting authority will — at beneficiary termination, interim payment, final payment or afterwards — reject any costs or contributions which are ineligible (see Article 6), in particular following checks, reviews, audits or investigations (see Article 25).
The rejection may also be based on the extension of findings from other grants to this grant (see Article 25).
Ineligible costs or contributions will be rejected.
27.2 Procedure
If the rejection does not lead to a recovery, the granting authority will formally notify the coordinator or beneficiary concerned of the rejection, the amounts and the reasons why. The coordinator or beneficiary concerned may — within 30 days of receiving notification — submit observations if it disagrees with the rejection (payment review procedure).
If the rejection leads to a recovery, the granting authority will follow the contradictory procedure with pre-information letter set out in Article 22.
27.3 Effects
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If the granting authority rejects costs or contributions, it will deduct them from the costs or contributions declared and then calculate the amount due (and, if needed, make a recovery; see Article 22).
ARTICLE 28 — GRANT REDUCTION
28.1 Conditions
The granting authority may — at beneficiary termination, final payment or afterwards — reduce the grant for a beneficiary, if:
(a) the beneficiary (or a person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed:
(i) substantial errors, irregularities or fraud or
(ii) serious breach of obligations under this Agreement or during its award (including improper implementation of the action, non-compliance with the call conditions, submission of false information, failure to provide required information, breach of ethics or security rules (if applicable), etc.), or
(b) the beneficiary (or a person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed — in other EU grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant (see Article 25).
The amount of the reduction will be calculated for each beneficiary concerned and proportionate to the seriousness and the duration of the errors, irregularities or fraud or breach of obligations, by applying an individual reduction rate to their accepted EU contribution.
28.2 Procedure
If the grant reduction does not lead to a recovery, the granting authority will formally notify the coordinator or beneficiary concerned of the reduction, the amount to be reduced and the reasons why. The coordinator or beneficiary concerned may — within 30 days of receiving notification — submit observations if it disagrees with the reduction (payment review procedure).
If the grant reduction leads to a recovery, the granting authority will follow the contradictory procedure with pre-information letter set out in Article 22.
28.3 Effects
If the granting authority reduces the grant, it will deduct the reduction and then calculate the amount due (and, if needed, make a recovery; see Article 22).
SECTION 2 SUSPENSION AND TERMINATION
ARTICLE 29 — PAYMENT DEADLINE SUSPENSION
29.1 Conditions
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The granting authority may — at any moment — suspend the payment deadline if a payment cannot be processed because:
(a) the required report (see Article 21) has not been submitted or is not complete or additional information is needed
(b) there are doubts about the amount to be paid (e.g. ongoing audit extension procedure, queries about eligibility, need for a grant reduction, etc.) and additional checks, reviews, audits or investigations are necessary, or
(c) there are other issues affecting the EU financial interests.
29.2 Procedure
The granting authority will formally notify the coordinator of the suspension and the reasons why.
The suspension will take effect the day the notification is sent.
If the conditions for suspending the payment deadline are no longer met, the suspension will be lifted — and the remaining time to pay (see Data Sheet, Point 4.2) will resume.
If the suspension exceeds two months, the coordinator may request the granting authority to confirm if the suspension will continue.
If the payment deadline has been suspended due to the non-compliance of the report and the revised report is not submitted (or was submitted but is also rejected), the granting authority may also terminate the grant or the participation of the coordinator (see Article 32).
ARTICLE 30 — PAYMENT SUSPENSION
30.1 Conditions
The granting authority may — at any moment — suspend payments, in whole or in part for one or more beneficiaries, if:
(a) a beneficiary (or a person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed or is suspected of having committed:
(i) substantial errors, irregularities or fraud or
(ii) serious breach of obligations under this Agreement or during its award (including improper implementation of the action, non-compliance with the call conditions, submission of false information, failure to provide required information, breach of ethics or security rules (if applicable), etc.), or
(b) a beneficiary (or a person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed — in other EU grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant.
If payments are suspended for one or more beneficiaries, the granting authority will make partial
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payment(s) for the part(s) not suspended. If suspension concerns the final payment, the payment (or recovery) of the remaining amount after suspension is lifted will be considered to be the payment that closes the action.
30.2 Procedure
Before suspending payments, the granting authority will send a pre-information letter to the beneficiary concerned:
- formally notifying the intention to suspend payments and the reasons why and
- requesting observations within 30 days of receiving notification.
If the granting authority does not receive observations or decides to pursue the procedure despite the observations it has received, it will confirm the suspension (confirmation letter). Otherwise, it will formally notify that the procedure is discontinued.
At the end of the suspension procedure, the granting authority will also inform the coordinator.
The suspension will take effect the day after the confirmation notification is sent.
If the conditions for resuming payments are met, the suspension will be lifted. The granting authority will formally notify the beneficiary concerned (and the coordinator) and set the suspension end date.
During the suspension, no prefinancing will be paid to the beneficiaries concerned. For interim payments, the periodic reports for all reporting periods except the last one (see Article 21) must not contain any financial statements from the beneficiary concerned (or its affiliated entities). The coordinator must include them in the next periodic report after the suspension is lifted or — if suspension is not lifted before the end of the action — in the last periodic report.
ARTICLE 31 — GRANT AGREEMENT SUSPENSION
31.1 Consortium-requested GA suspension
31.1.1 Conditions and procedure
The beneficiaries may request the suspension of the grant or any part of it, if exceptional circumstances — in particular force majeure (see Article 35) — make implementation impossible or excessively difficult.
The coordinator must submit a request for amendment (see Article 39), with:
- the reasons why
- the date the suspension takes effect; this date may be before the date of the submission of the amendment request and
- the expected date of resumption.
The suspension will take effect on the day specified in the amendment.
Once circumstances allow for implementation to resume, the coordinator must immediately request
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another amendment of the Agreement to set the suspension end date, the resumption date (one day after suspension end date), extend the duration and make other changes necessary to adapt the action to the new situation (see Article 39) — unless the grant has been terminated (see Article 32). The suspension will be lifted with effect from the suspension end date set out in the amendment. This date may be before the date of the submission of the amendment request.
During the suspension, no prefinancing will be paid. Costs incurred or contributions for activities implemented during grant suspension are not eligible (see Article 6.3).
31.2 EU-initiated GA suspension
31.2.1 Conditions
The granting authority may suspend the grant or any part of it, if:
(a) a beneficiary (or a person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed or is suspected of having committed:
(i) substantial errors, irregularities or fraud or
(ii) serious breach of obligations under this Agreement or during its award (including improper implementation of the action, non-compliance with the call conditions, submission of false information, failure to provide required information, breach of ethics or security rules (if applicable), etc.), or
(b) a beneficiary (or a person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed — in other EU grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant
(c) other:
(i) linked action issues: not applicable
(ii) due to major delays, the objectives of the action risk to no longer be achieved
31.2.2 Procedure
Before suspending the grant, the granting authority will send a pre-information letter to the coordinator:
- formally notifying the intention to suspend the grant and the reasons why and
- requesting observations within 30 days of receiving notification.
If the granting authority does not receive observations or decides to pursue the procedure despite the observations it has received, it will confirm the suspension (confirmation letter). Otherwise, it will formally notify that the procedure is discontinued.
The suspension will take effect the day after the confirmation notification is sent (or on a later date specified in the notification).
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Once the conditions for resuming implementation of the action are met, the granting authority will formally notify the coordinator a lifting of suspension letter, in which it will set the suspension end date and invite the coordinator to request an amendment of the Agreement to set the resumption date (one day after suspension end date), extend the duration and make other changes necessary to adapt the action to the new situation (see Article 39) — unless the grant has been terminated (see Article 32). The suspension will be lifted with effect from the suspension end date set out in the lifting of suspension letter. This date may be before the date on which the letter is sent.
During the suspension, no prefinancing will be paid. Costs incurred or contributions for activities implemented during suspension are not eligible (see Article 6.3).
The beneficiaries may not claim damages due to suspension by the granting authority (see Article 33).
Grant suspension does not affect the granting authority’s right to terminate the grant or a beneficiary (see Article 32) or reduce the grant (see Article 28).
ARTICLE 32 — GRANT AGREEMENT OR BENEFICIARY TERMINATION
32.1 Consortium-requested GA termination
32.1.1 Conditions and procedure
The beneficiaries may request the termination of the grant.
The coordinator must submit a request for amendment (see Article 39), with:
- the reasons why
- the date the consortium ends work on the action (‘end of work date’) and
- the date the termination takes effect (‘termination date’); this date must be after the date of the submission of the amendment request.
The termination will take effect on the termination date specified in the amendment.
If no reasons are given or if the granting authority considers the reasons do not justify termination, it may consider the grant terminated improperly.
32.1.2 Effects
The coordinator must — within 60 days from when termination takes effect — submit a periodic report (for the open reporting period until termination).
The granting authority will calculate the final grant amount and final payment on the basis of the report submitted and taking into account the costs incurred and contributions for activities implemented before the end of work date (see Article 22). Costs relating to contracts due for execution only after the end of work are not eligible.
If the granting authority does not receive the report within the deadline, only costs and contributions which are included in an approved periodic report will be taken into account (no costs/contributions if no periodic report was ever approved).
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Improper termination may lead to a grant reduction (see Article 28).
After termination, the beneficiaries’ obligations (in particular Articles 13 (confidentiality and security), 16 (IPR), 17 (communication, dissemination and visibility), 21 (reporting), 25 (checks, reviews, audits and investigations), 26 (impact evaluation), 27 (rejections), 28 (grant reduction) and 42 (assignment of claims)) continue to apply.
32.2 Consortium-requested beneficiary termination
32.2.1 Conditions and procedure
The coordinator may request the termination of the participation of one or more beneficiaries, on request of the beneficiary concerned or on behalf of the other beneficiaries.
The coordinator must submit a request for amendment (see Article 39), with:
- the reasons why
- the opinion of the beneficiary concerned (or proof that this opinion has been requested in writing)
- the date the beneficiary ends work on the action (‘end of work date’)
- the date the termination takes effect (‘termination date’); this date must be after the date of the submission of the amendment request.
If the termination concerns the coordinator and is done without its agreement, the amendment request must be submitted by another beneficiary (acting on behalf of the consortium).
The termination will take effect on the termination date specified in the amendment.
If no information is given or if the granting authority considers that the reasons do not justify termination, it may consider the beneficiary to have been terminated improperly.
32.2.2 Effects
The coordinator must — within 60 days from when termination takes effect — submit:
(i) a report on the distribution of payments to the beneficiary concerned
(ii) a termination report from the beneficiary concerned, for the open reporting period until termination, containing an overview of the progress of the work, the financial statement, the explanation on the use of resources, and, if applicable, the certificate on the financial statement (CFS; see Articles 21 and 24.2 and Data Sheet, Point 4.3)
(iii) a second request for amendment (see Article 39) with other amendments needed (e.g. reallocation of the tasks and the estimated budget of the terminated beneficiary; addition of a new beneficiary to replace the terminated beneficiary; change of coordinator, etc.).
The granting authority will calculate the amount due to the beneficiary on the basis of the report submitted and taking into account the costs incurred and contributions for activities implemented before the end of work date (see Article 22). Costs relating to contracts due for execution only after the end of work are not eligible.
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The information in the termination report must also be included in the periodic report for the next reporting period (see Article 21).
If the granting authority does not receive the termination report within the deadline, only costs and contributions which are included in an approved periodic report will be taken into account (no costs/ contributions if no periodic report was ever approved).
If the granting authority does not receive the report on the distribution of payments within the deadline, it will consider that:
- the coordinator did not distribute any payment to the beneficiary concerned and that
- the beneficiary concerned must not repay any amount to the coordinator.
If the second request for amendment is accepted by the granting authority, the Agreement is amended to introduce the necessary changes (see Article 39).
If the second request for amendment is rejected by the granting authority (because it calls into question the decision awarding the grant or breaches the principle of equal treatment of applicants), the grant may be terminated (see Article 32).
Improper termination may lead to a reduction of the grant (see Article 31) or grant termination (see Article 32).
After termination, the concerned beneficiary’s obligations (in particular Articles 13 (confidentiality and security), 16 (IPR), 17 (communication, dissemination and visibility), 21 (reporting), 25 (checks, reviews, audits and investigations), 26 (impact evaluation), 27 (rejections), 28 (grant reduction) and 42 (assignment of claims)) continue to apply.
32.3 EU-initiated GA or beneficiary termination
32.3.1 Conditions
The granting authority may terminate the grant or the participation of one or more beneficiaries, if:
(a) one or more beneficiaries do not accede to the Agreement (see Article 40)
(b) a change to the action or the legal, financial, technical, organisational or ownership situation of a beneficiary is likely to substantially affect the implementation of the action or calls into question the decision to award the grant (including changes linked to one of the exclusion grounds listed in the declaration of honour)
(c) following termination of one or more beneficiaries, the necessary changes to the Agreement (and their impact on the action) would call into question the decision awarding the grant or breach the principle of equal treatment of applicants
(d) implementation of the action has become impossible or the changes necessary for its continuation would call into question the decision awarding the grant or breach the principle of equal treatment of applicants
(e) a beneficiary (or person with unlimited liability for its debts) is subject to bankruptcy
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proceedings or similar (including insolvency, winding-up, administration by a liquidator or court, arrangement with creditors, suspension of business activities, etc.)
(f) a beneficiary (or person with unlimited liability for its debts) is in breach of social security or tax obligations
(g) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has been found guilty of grave professional misconduct
(h) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed fraud, corruption, or is involved in a criminal organisation, money laundering, terrorism-related crimes (including terrorism financing), child labour or human trafficking
(i) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) was created under a different jurisdiction with the intent to circumvent fiscal, social or other legal obligations in the country of origin (or created another entity with this purpose)
(j) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed:
(i) substantial errors, irregularities or fraud or
(ii) serious breach of obligations under this Agreement or during its award (including improper implementation of the action, non-compliance with the call conditions, submission of false information, failure to provide required information, breach of ethics or security rules (if applicable), etc.)
(k) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed — in other EU grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant (extension of findings from other grants to this grant; see Article 25)
(l) despite a specific request by the granting authority, a beneficiary does not request — through the coordinator — an amendment to the Agreement to end the participation of one of its affiliated entities or associated partners that is in one of the situations under points (d), (f), (e), (g), (h), (i) or (j) and to reallocate its tasks, or
(m) other:
(i) linked action issues: not applicable
(ii) due to major delays, the objectives of the action can no longer be achieved
32.3.2 Procedure
Before terminating the grant or participation of one or more beneficiaries, the granting authority will send a pre-information letter to the coordinator or beneficiary concerned:
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- formally notifying the intention to terminate and the reasons why and
- requesting observations within 30 days of receiving notification.
If the granting authority does not receive observations or decides to pursue the procedure despite the observations it has received, it will confirm the termination and the date it will take effect (confirmation letter). Otherwise, it will formally notify that the procedure is discontinued.
For beneficiary terminations, the granting authority will — at the end of the procedure — also inform the coordinator.
The termination will take effect the day after the confirmation notification is sent (or on a later date specified in the notification; ‘termination date’).
32.3.3 Effects
(a) for GA termination:
The coordinator must — within 60 days from when termination takes effect — submit a periodic report (for the last open reporting period until termination).
The granting authority will calculate the final grant amount and final payment on the basis of the report submitted and taking into account the costs incurred and contributions for activities implemented before termination takes effect (see Article 22). Costs relating to contracts due for execution only after termination are not eligible.
If the grant is terminated for breach of the obligation to submit reports, the coordinator may not submit any report after termination.
If the granting authority does not receive the report within the deadline, only costs and contributions which are included in an approved periodic report will be taken into account (no costs/contributions if no periodic report was ever approved).
Termination does not affect the granting authority’s right to reduce the grant (see Article 28) or to impose administrative sanctions (see Article 34).
The beneficiaries may not claim damages due to termination by the granting authority (see Article 33).
After termination, the beneficiaries’ obligations (in particular Articles 13 (confidentiality and security), 16 (IPR), 17 (communication, dissemination and visibility), 21 (reporting), 25 (checks, reviews, audits and investigations), 26 (impact evaluation), 27 (rejections), 28 (grant reduction) and 42 (assignment of claims)) continue to apply.
(b) for beneficiary termination:
The coordinator must — within 60 days from when termination takes effect — submit:
(i) a report on the distribution of payments to the beneficiary concerned
(ii) a termination report from the beneficiary concerned, for the open reporting period until termination, containing an overview of the progress of the work, the financial
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statement, the explanation on the use of resources, and, if applicable, the certificate on the financial statement (CFS; see Articles 21 and 24.2 and Data Sheet, Point 4.3)
(iii) a request for amendment (see Article 39) with any amendments needed (e.g. reallocation of the tasks and the estimated budget of the terminated beneficiary; addition of a new beneficiary to replace the terminated beneficiary; change of coordinator, etc.).
The granting authority will calculate the amount due to the beneficiary on the basis of the report submitted and taking into account the costs incurred and contributions for activities implemented before termination takes effect (see Article 22). Costs relating to contracts due for execution only after termination are not eligible.
The information in the termination report must also be included in the periodic report for the next reporting period (see Article 21).
If the granting authority does not receive the termination report within the deadline, only costs and contributions included in an approved periodic report will be taken into account (no costs/ contributions if no periodic report was ever approved).
If the granting authority does not receive the report on the distribution of payments within the deadline, it will consider that:
- the coordinator did not distribute any payment to the beneficiary concerned and that
- the beneficiary concerned must not repay any amount to the coordinator.
If the request for amendment is accepted by the granting authority, the Agreement is amended to introduce the necessary changes (see Article 39).
If the request for amendment is rejected by the granting authority (because it calls into question the decision awarding the grant or breaches the principle of equal treatment of applicants), the grant may be terminated (see Article 32).
After termination, the concerned beneficiary’s obligations (in particular Articles 13 (confidentiality and security), 16 (IPR), 17 (communication, dissemination and visibility), 21 (reporting), 25 (checks, reviews, audits and investigations), 26 (impact evaluation), 27 (rejections), 28 (grant reduction) and 42 (assignment of claims)) continue to apply.
SECTION 3 OTHER CONSEQUENCES: DAMAGES AND ADMINISTRATIVE SANCTIONS
ARTICLE 33 — DAMAGES
33.1 Liability of the granting authority
The granting authority cannot be held liable for any damage caused to the beneficiaries or to third parties as a consequence of the implementation of the Agreement, including for gross negligence.
The granting authority cannot be held liable for any damage caused by any of the beneficiaries or other participants involved in the action, as a consequence of the implementation of the Agreement.
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33.2 Liability of the beneficiaries
The beneficiaries must compensate the granting authority for any damage it sustains as a result of the implementation of the action or because the action was not implemented in full compliance with the Agreement, provided that it was caused by gross negligence or wilful act.
The liability does not extend to indirect or consequential losses or similar damage (such as loss of profit, loss of revenue or loss of contracts), provided such damage was not caused by wilful act or by a breach of confidentiality.
ARTICLE 34 — ADMINISTRATIVE SANCTIONS AND OTHER MEASURES
Nothing in this Agreement may be construed as preventing the adoption of administrative sanctions (i.e. exclusion from EU award procedures and/or financial penalties) or other public law measures, in addition or as an alternative to the contractual measures provided under this Agreement (see, for instance, Articles 135 to 145 EU Financial Regulation 2018/1046 and Articles 4 and 7 of Regulation 2988/9522).
SECTION 4 FORCE MAJEURE
ARTICLE 35 — FORCE MAJEURE
A party prevented by force majeure from fulfilling its obligations under the Agreement cannot be considered in breach of them.
‘Force majeure’ means any situation or event that:
- prevents either party from fulfilling their obligations under the Agreement,
- was unforeseeable, exceptional situation and beyond the parties’ control,
- was not due to error or negligence on their part (or on the part of other participants involved in the action), and
- proves to be inevitable in spite of exercising all due diligence.
Any situation constituting force majeure must be formally notified to the other party without delay, stating the nature, likely duration and foreseeable effects.
The parties must immediately take all the necessary steps to limit any damage due to force majeure and do their best to resume implementation of the action as soon as possible.
CHAPTER 6 FINAL PROVISIONS
ARTICLE 36 — COMMUNICATION BETWEEN THE PARTIES
36.1 Forms and means of communication — Electronic management
22 Council Regulation (EC, Euratom) No 2988/95 of 18 December 1995 on the protection of the European Communities financial interests (OJ L 312, 23.12.1995, p. 1).
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EU grants are managed fully electronically through the EU Funding & Tenders Portal (‘Portal’).
All communications must be made electronically through the Portal, in accordance with the Portal Terms and Conditions and using the forms and templates provided there (except if explicitly instructed otherwise by the granting authority).
Communications must be made in writing and clearly identify the grant agreement (project number and acronym).
Communications must be made by persons authorised according to the Portal Terms and Conditions. For naming the authorised persons, each beneficiary must have designated — before the signature of this Agreement — a ‘legal entity appointed representative (LEAR)’. The role and tasks of the LEAR are stipulated in their appointment letter (see Portal Terms and Conditions).
If the electronic exchange system is temporarily unavailable, instructions will be given on the Portal.
36.2 Date of communication
The sending date for communications made through the Portal will be the date and time of sending, as indicated by the time logs.
The receiving date for communications made through the Portal will be the date and time the communication is accessed, as indicated by the time logs. Formal notifications that have not been accessed within 10 days after sending, will be considered to have been accessed (see Portal Terms and Conditions).
If a communication is exceptionally made on paper (by e-mail or postal service), general principles apply (i.e. date of sending/receipt). Formal notifications by registered post with proof of delivery will be considered to have been received either on the delivery date registered by the postal service or the deadline for collection at the post office.
If the electronic exchange system is temporarily unavailable, the sending party cannot be considered in breach of its obligation to send a communication within a specified deadline.
36.3 Addresses for communication
The Portal can be accessed via the Europa website.
The address for paper communications to the granting authority (if exceptionally allowed) is the official mailing address indicated on its website.
For beneficiaries, it is the legal address specified in the Portal Participant Register.
ARTICLE 37 — INTERPRETATION OF THE AGREEMENT
The provisions in the Data Sheet take precedence over the rest of the Terms and Conditions of the Agreement.
Annex 5 takes precedence over the Terms and Conditions; the Terms and Conditions take precedence over the Annexes other than Annex 5.
Annex 2 takes precedence over Annex 1.
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ARTICLE 38 — CALCULATION OF PERIODS AND DEADLINES
In accordance with Regulation No 1182/7123, periods expressed in days, months or years are calculated from the moment the triggering event occurs.
The day during which that event occurs is not considered as falling within the period.
‘Days’ means calendar days, not working days.
ARTICLE 39 — AMENDMENTS
39.1 Conditions
The Agreement may be amended, unless the amendment entails changes to the Agreement which would call into question the decision awarding the grant or breach the principle of equal treatment of applicants.
Amendments may be requested by any of the parties.
39.2 Procedure
The party requesting an amendment must submit a request for amendment signed directly in the Portal Amendment tool.
The coordinator submits and receives requests for amendment on behalf of the beneficiaries (see Annex 3). If a change of coordinator is requested without its agreement, the submission must be done by another beneficiary (acting on behalf of the other beneficiaries).
The request for amendment must include:
- the reasons why
- the appropriate supporting documents and
- for a change of coordinator without its agreement: the opinion of the coordinator (or proof that this opinion has been requested in writing).
The granting authority may request additional information.
If the party receiving the request agrees, it must sign the amendment in the tool within 45 days of receiving notification (or any additional information the granting authority has requested). If it does not agree, it must formally notify its disagreement within the same deadline. The deadline may be extended, if necessary for the assessment of the request. If no notification is received within the deadline, the request is considered to have been rejected.
An amendment enters into force on the day of the signature of the receiving party.
An amendment takes effect on the date of entry into force or other date specified in the amendment.
23 Regulation (EEC, Euratom) No 1182/71 of the Council of 3 June 1971 determining the rules applicable to periods, dates and time-limits (OJ L 124, 8/6/1971, p. 1).
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ARTICLE 40 — ACCESSION AND ADDITION OF NEW BENEFICIARIES
40.1 Accession of the beneficiaries mentioned in the Preamble
The beneficiaries which are not coordinator must accede to the grant by signing the accession form (see Annex 3) directly in the Portal Grant Preparation tool, within 30 days after the entry into force of the Agreement (see Article 44).
They will assume the rights and obligations under the Agreement with effect from the date of its entry into force (see Article 44).
If a beneficiary does not accede to the grant within the above deadline, the coordinator must — within 30 days — request an amendment (see Article 39) to terminate the beneficiary and make any changes necessary to ensure proper implementation of the action. This does not affect the granting authority’s right to terminate the grant (see Article 32).
40.2 Addition of new beneficiaries
In justified cases, the beneficiaries may request the addition of a new beneficiary.
For this purpose, the coordinator must submit a request for amendment in accordance with Article 39. It must include an accession form (see Annex 3) signed by the new beneficiary directly in the Portal Amendment tool.
New beneficiaries will assume the rights and obligations under the Agreement with effect from the date of their accession specified in the accession form (see Annex 3).
Additions are also possible in mono-beneficiary grants.
ARTICLE 41 — TRANSFER OF THE AGREEMENT
In justified cases, the beneficiary of a mono-beneficiary grant may request the transfer of the grant to a new beneficiary, provided that this would not call into question the decision awarding the grant or breach the principle of equal treatment of applicants.
The beneficiary must submit a request for amendment (see Article 39), with
- the reasons why
- the accession form (see Annex 3) signed by the new beneficiary directly in the Portal Amendment tool and
- additional supporting documents (if required by the granting authority).
The new beneficiary will assume the rights and obligations under the Agreement with effect from the date of accession specified in the accession form (see Annex 3).
ARTICLE 42 — ASSIGNMENTS OF CLAIMS FOR PAYMENT AGAINST THE GRANTING AUTHORITY
The beneficiaries may not assign any of their claims for payment against the granting authority to
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any third party, except if expressly approved in writing by the granting authority on the basis of a reasoned, written request by the coordinator (on behalf of the beneficiary concerned).
If the granting authority has not accepted the assignment or if the terms of it are not observed, the assignment will have no effect on it.
In no circumstances will an assignment release the beneficiaries from their obligations towards the granting authority.
ARTICLE 43 — APPLICABLE LAW AND SETTLEMENT OF DISPUTES
43.1 Applicable law
The Agreement is governed by the applicable EU law, supplemented if necessary by the law of Belgium.
Special rules may apply for beneficiaries which are international organisations (if any; see Data Sheet, Point 5).
43.2 Dispute settlement
If a dispute concerns the interpretation, application or validity of the Agreement, the parties must bring action before the EU General Court — or, on appeal, the EU Court of Justice — under Article 272 of the Treaty on the Functioning of the EU (TFEU).
For non-EU beneficiaries (if any), such disputes must be brought before the courts of Brussels, Belgium — unless an international agreement provides for the enforceability of EU court judgements.
For beneficiaries with arbitration as special dispute settlement forum (if any; see Data Sheet, Point 5), the dispute will — in the absence of an amicable settlement — be settled in accordance with the Rules for Arbitration published on the Portal.
If a dispute concerns administrative sanctions, offsetting or an enforceable decision under Article 299 TFEU (see Articles 22 and 34), the beneficiaries must bring action before the General Court — or, on appeal, the Court of Justice — under Article 263 TFEU.
For grants where the granting authority is an EU executive agency (see Preamble), actions against offsetting and enforceable decisions must be brought against the European Commission (not against the granting authority; see also Article 22).
ARTICLE 44 — ENTRY INTO FORCE
The Agreement will enter into force on the day of signature by the granting authority or the coordinator, depending on which is later.
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SIGNATURES
For the coordinator For the granting authority
[--TGSMark#signature-888420576_75_210--] [--TGSMark#signature-service_75_210--]
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ANNEX 1
Connecting Europe Facility (CEF)
Description of the action (DoA)
Part A
Part B
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DESCRIPTION OF THE ACTION (PART A)
COVER PAGE
Part A of the Description of the Action (DoA) must be completed directly on the Portal Grant Preparation screens.
PROJECT
Grant Preparation (General Information screen) — Enter the info.
Project number: 101155876
Project name: Enhancing military mobility in Estonia by improving dual-use road transport link in road E67 situated in the North Sea Baltic transport corridor connecting Baltic states and Central Europe to Finland.
Project acronym: 23-EE-TM-EstMilMob-E67 North
Call: CEF-T-2023-MILMOB
Topic: CEF-T-2023-MILMOB-WORKS
Type of action: CEF-INFRA
Service: CINEA/B/01
Project starting date: fixed date: 1 May 2024
Project duration: 44 months
TABLE OF CONTENTS
Project summary ......................................................................................................................................................3
List of participants .................................................................................................................................................. 3
List of work packages .............................................................................................................................................4
Staff effort ............................................................................................................................................................... 9
List of deliverables ................................................................................................................................................10
List of milestones (outputs/outcomes) .................................................................................................................. 15
List of critical risks ............................................................................................................................................... 17
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PROJECT SUMMARY
Project summary
Grant Preparation (General Information screen) — Provide an overall description of your project (including context and overall objectives, planned activities and main achievements, and expected results and impacts (on target groups, change procedures, capacities, innovation etc)). This summary should give readers a clear idea of what your project is about.
Use the project summary from your proposal.
The “EstMilMob-E67 North” project aims to adapt the road transport infrastructure in Estonia for the civilian-defense dual use.
The project target is the reconstruction of E67 Tallinn-Pärnu-Ikla road in Päädeva-Konuvere section km 62,2-64,8; km 68,2-70,2 and km 70,2-78,8 including Konuvere bridge in order to meet the European road safety and design norms, environmental standards and military mobility requirements.
It seeks to improve the mobility of both civilian and military personnel, materiel, and equipment for routine activities and during crisis and conflict within and beyond the EU. The project supports the EU and Allied- led missions rapid deployment capabilities to Estonia, to the Baltic Sea region up to North to the new NATO member Finland. The project aims to remove bottleneck currently inhibiting seamless civilian-military transport and constraints for the Estonian Defense Forces while providing logistic supplies to and from South and North part of Baltic Sea region.
LIST OF PARTICIPANTS
PARTICIPANTS
Grant Preparation (Beneficiaries screen) — Enter the info.
Number Role Short name Legal name Country PIC
1 COO Transpordiamet TRANSPORDIAMET EE 888420576
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LIST OF WORK PACKAGES
Work packages
Grant Preparation (Work Packages screen) — Enter the info.
Work Package No
Work Package name Lead Beneficiary Effort (Person- Months)
Start Month
End Month
Deliverables
WP1 Project Management 1 - Transpordiamet 0.00 1 44 D1.1 – Progress report 1 D1.2 – Progress report 2 D1.3 – Building permit section Päädeva- Haimre D1.4 – Building permit section Haimre- Konuvere
WP2 Communication 1 - Transpordiamet 0.00 1 44 D2.1 – Project communication plan D2.2 – Project video-clip
WP3 Reconstruction of the E67 road Päädeva-Haimre section (km 62,2-64,8 and 68,2-70,2)
1 - Transpordiamet 0.00 1 44 D3.1 – WP3 Technical design (masterplan) completed D3.2 – WP 3 Construction works completed D3.3 – WP3 Supervision services completed
WP4 Reconstruction of the E67 road Haimre-Konuvere section (km 70,2-78,8)
1 - Transpordiamet 0.00 1 44 D4.1 – WP4 Technical design (masterplan) completed D4.2 – WP4 Construction works completed D4.3 – WP4 Supervision services completed
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
Work package WP1 – Project Management
Work Package Number WP1 Lead Beneficiary 1 - Transpordiamet
Work Package Name Project Management
Start Month 1 End Month 44
Objectives
The objective of this Work Package is to ensure that the other Work Packages (WP) are well managed, implemented on time and well-coordinated for the in-house team and subcontracting partners. This Work Package addresses project meetings, coordination between the in-house team and EU institutions, project monitoring and evaluation (including compliance with military mobility dual-use requirements, financial management, progress reports). The project has one in-house project manager (PM) who is responsible for whole project. The project manager is responsible for continuous steering, monitoring, and reporting of the project activities. Project communication coordination is also the responsibility of the PM. The PM is responsible for financial planning, reporting and the input of controlling audits.
Description
The objectives of the work package will be implemented through the following: 1) Project monitoring, evaluation, and financial management Transpordiamet will ensure that the tasks of the other WPs are carried out as planned in the schedule and that they fulfill the civilian-military dual-use requirements. In addition, financial department controls project budget and expenditure, ensures proper finance audit trail and manages the process of co-financing from Estonian State budget. 2) Tendering and contracting activities linked to the following contracts: - Technical design of the Päädeva-Haimre section - Construction works of the Päädeva-Haimre section - Supervision of construction works for the Päädeva-Haimre section - Technical design of the Haimre-Konuvere section - Construction works of the Haimre-Konuvere section - Supervision of construction works for the Haimre-Konuvere section 3) Activities linked to the issue of the following building permits: - Building permit Päädeva-Haimre section - Building permit Haimre- Konuvere section
Work package WP2 – Communication
Work Package Number WP2 Lead Beneficiary 1 - Transpordiamet
Work Package Name Communication
Start Month 1 End Month 44
Objectives
Communication activities to achieve public knowledge of the project and its sponsors and raise awareness of the importance of EU cooperation in the civil and defense fields trough social media, press releases, interviews and announcements in major news channels.
Description
The objectives of the work package will be implemented through the following tasks: 2.1 Project communication plan: The communication plan indicates the target groups, the media channels that will be used, the regularity of press releases and the communication events planned beforehand. 2.2 Project video-clip - Elaboration of the project video-clip 2.3 Road construction completion event - Event for project stakeholders and press
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
Work package WP3 – Reconstruction of the E67 road Päädeva-Haimre section (km 62,2-64,8 and 68,2-70,2)
Work Package Number WP3 Lead Beneficiary 1 - Transpordiamet
Work Package Name Reconstruction of the E67 road Päädeva-Haimre section (km 62,2-64,8 and 68,2-70,2)
Start Month 1 End Month 44
Objectives
The objective of WP3 is to remove a bottleneck in support of seamless military and civilian transport flows transiting from Paldiski South harbour, Muuga harbour, to RIGA and to the Central Europa direction using the Via Baltica corridor (North Sea Baltic transport corridor). Päädeva-Haimre class III 1+1 road section km 62.2-64.8 and 68.2-70.2 needs to be reconstructed to allow for the movement of heavy goods and to: - Increase the safety of the traffic and reduce the occurrence of accidents; - Increase the mobility of military heavy equipment and civilian oversized goods; - Lighten the traffic density for civilian and military use via adding capacity.
Description
The construction of the express road of the Päädeva-Haimre section (kilometres 62.2-64.8 and 68.-70.,2) of Tallinn- Pärnu-Ikla main road No. 4 (E67) aims at better connections with the TEN-T network through upgrading and reconstructing roads. Engineering structures will be in compliance with the Commission implementing Regulation (EU) 2021/1328 specifying the requirements applicable to certain categories of dual-use infrastructure.
The fulfillment of EU environmental law, in particular, the provisions of Directive 2011/92/EU on the assessment of the effects of certain public and private projects on the environment, Directive 2001/42/EC on the assessment of the effects of certain plans and programmes on the environment, Directive 2009/147/EC on the conservation of wild birds, Directive 92/43/EEC on the conservation of natural habitats and of wild flora and fauna, Directive 2000/60/EC establishing a framework for community policy in the field of water, is a pre-condition for the disbursement of EU financial aid to the Action. The compulsory assessments must be duly completed and approved by the competent authorities according to national law and in line with requirements of relevant EU legislation before the start of the physical intervention. If this information is not provided or is not positively assessed by the Commission services, the Agency may suspend the implementation of the Action or the payments, terminate the Agreement, reduce the grant amount or recover financial assistance in accordance with articles 31.2, 30, 32.3, 28, and 27 of the Grant Agreement.
The objectives of the work package will be implemented through the following tasks: T3.1 Elaboration of the technical design (master plan) for the reconstruction of the Päädeva-Haimre section T3.2 Construction works for reconstruction of the Päädeva-Haimre section T3.3 Supervision of Building
The main engineering infrastructures are the following: • 2+2 Express road approximately 4,6 km; location E67 km 62,2-64,8 and E67 km 68,2-70,2; Express road (EU 02013R1315). Projected speed 120 km/h; min 11,5 m wide carriageways, separated by barrier. Full coverage with VMS and ITS systems. Electricity-, communication- and lighting networks, as needed • Orgita junction; location E67 km 63; Viaduct over main road, under its h=5,5m for outer line; h=6 m for inner line for normal traffic, up to 7 m for special traffic. Ramps to connect with local basic roads. • Orgita pedestrian underpass; E67 km 64,30; Tunnel min. w= 3m, min. h= 2,5 m. Road on tunnel MLC 150 • Ringuta wildlife crossing; E67 km 62,55; Tunnel min. w=3 m, min. h=1,5 m. Road on tunnel MLC 150 • Haimre junction; E67 km 69,20; Viaduct over main road, under its h=5,5 m for outer line; h=6 m for inner line for normal traffic, up to 7 m for special traffic. Ramps to connect with local basic roads. • Haimre wildlife underpass; E67 km 68,75; Tunnel min. w=15 m, min h=2,5 m. Road on tunnel MLC 150 • Noise suppression walls; E67 km 63, km 70; Min. h= 3,5 m • New part of secondary road 29 Märjamaa-Koluvere from Orgita junction as direct consequence of the interventions on the main road E67; 2,6 km long. Building of 1+1-line road, min. 8 m wide. • Orgita livestock underpass; location new part of secondary road 29 Märjamaa-Koluvere km 0,316; tunnel min. w=4m, min. h=2,5 m.
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
WP3 is directly linked to WP4, which contains the next road section to be reconstructed within this project, Haimre- Konuvere.
Work package WP4 – Reconstruction of the E67 road Haimre-Konuvere section (km 70,2-78,8)
Work Package Number WP4 Lead Beneficiary 1 - Transpordiamet
Work Package Name Reconstruction of the E67 road Haimre-Konuvere section (km 70,2-78,8)
Start Month 1 End Month 44
Objectives
The objective of WP4 is to remove a bottleneck in support of seamless military and civilian transport flows transiting from Paldiski South harbour, Muuga harbour, to RIGA and to the Central Europa direction using the Via Baltica corridor (North Sea Baltic transport corridor). Haimre-Konuvere class III 1+1 road section km 70.2-78.8 needs to be reconstructed to allow for the movement of heavy goods and to: - Increase the safety of the traffic and reduce the occurrence of accidents; - Increase the mobility of military heavy equipment and civilian oversized goods; - Lighten the traffic density for civilian and military use via adding capacity.
Description
The construction of the express road of the Haimre-Konuvere section (kilometres 70.2-78.8) of Tallinn-Pärnu-Ikla main road No. 4 (E67) aims at better connections with the TEN-T network through upgrading and reconstructing roads. Engineering structures will be in compliance with the Commission implementing Regulation (EU) 2021/1328 specifying the requirements applicable to certain categories of dual-use infrastructure.
The fulfillment of EU environmental law, in particular, the provisions of Directive 2011/92/EU on the assessment of the effects of certain public and private projects on the environment, Directive 2001/42/EC on the assessment of the effects of certain plans and programmes on the environment, Directive 2009/147/EC on the conservation of wild birds, Directive 92/43/EEC on the conservation of natural habitats and of wild flora and fauna, Directive 2000/60/EC establishing a framework for community policy in the field of water, is a pre-condition for the disbursement of EU financial aid to the Action. The compulsory assessments must be duly completed and approved by the competent authorities according to national law and in line with requirements of relevant EU legislation before the start of the physical intervention. If this information is not provided or is not positively assessed by the Commission services, the Agency may suspend the implementation of the Action or the payments, terminate the Agreement, reduce the grant amount or recover financial assistance in accordance with articles 31.2, 30, 32.3, 28, and 27 of the Grant Agreement.
The objectives of the work package will be implemented through the following tasks: T4.1 Elaboration of the technical design (master plan) for the reconstruction of the Haimre-Konuvere section T4.2 Construction works for reconstruction of the Haimre-Konuvere section T4.3 Supervision of Build of the Haimre-Konuvere section
The main engineering infrastructures are the following: • 2+2 Express road; approximately 8,6 km long; location E67 km 70,2-78,8 Express road (EU 02013R1315), double line. Projected speed 120 km/h; min 11,5 m wide carriageways, separated by barrier. Full coverage with VMS and ITS systems. Electricity-, communication- and lighting networks, as needed. • Aruküla car underpass; location; E67 km 71,17; Tunnel min. w=4m; min. h=3 m, road on tunnel with MLC 150 • Konuvere junction; location E67 km 76,58; Viaduct over main double line road, under its h=5,5m for outer line; h=6 m for inner line for normal traffic, up to 7 m for special traffic. Ramps to connect with local roads • Konuvere bridge complex reconstruction; location E67 km 78; Reconstruction of 84 m existing MLC 90 single line bridge into double lined bridge complex with max load capacity MLC 150 , carriageways min 11.5 m wide. • Konuvere car underpass; location E67 km 77,58; Tunnel min. w=4m, h=3 m, for local traffic. Road on tunnel MLC 150 • Aruküla stream wildlife underpass; location E67 km 73; Tunnel min. w=15 m min. h=2,5 m. Road on tunnel MLC 150 • Linnametsa stream wildlife underpass; location E67 km 76; Tunnel min. w=2x25 m; h= min.5 m. Road on tunnel MLC 150
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
• Noise suppression walls; location E67 km 71; Total length min. 1,05 km min. h= 3,5 m, noise suppression levels according to needs of exact location
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
STAFF EFFORT
Staff effort per participant
Grant Preparation (Work packages - Effort screen) — Enter the info.
Participant WP1 WP2 WP3 WP4 Total Person-Months
Total Person-Months 0.00 0.00 0.00 0.00 0.00
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
LIST OF DELIVERABLES
Deliverables
Grant Preparation (Deliverables screen) — Enter the info.
The labels used mean:
Public — fully open ( automatically posted online) Sensitive — limited under the conditions of the Grant Agreement EU classified —RESTREINT-UE/EU-RESTRICTED, CONFIDENTIEL-UE/EU-CONFIDENTIAL, SECRET-UE/EU-SECRET under Decision 2015/444
Deliverable No
Deliverable Name Work Package No
Lead Beneficiary Type Dissemination Level Due Date (month)
D1.1 Progress report 1 WP1 1 - Transpordiamet R — Document, report SEN - Sensitive 12
D1.2 Progress report 2 WP1 1 - Transpordiamet R — Document, report SEN - Sensitive 36
D1.3 Building permit section Päädeva-Haimre WP1 1 - Transpordiamet R — Document, report SEN - Sensitive 20
D1.4 Building permit section Haimre- Konuvere WP1 1 - Transpordiamet R — Document, report SEN - Sensitive 20
D2.1 Project communication plan WP2 1 - Transpordiamet R — Document, report SEN - Sensitive 3
D2.2 Project video-clip WP2 1 - Transpordiamet DEC —Websites, patent filings, videos, etc
SEN - Sensitive 44
D3.1 WP3 Technical design (masterplan) completed
WP3 1 - Transpordiamet R — Document, report SEN - Sensitive 20
D3.2 WP 3 Construction works completed WP3 1 - Transpordiamet R — Document, report SEN - Sensitive 44
D3.3 WP3 Supervision services completed WP3 1 - Transpordiamet R — Document, report SEN - Sensitive 44
D4.1 WP4 Technical design (masterplan) completed
WP4 1 - Transpordiamet R — Document, report SEN - Sensitive 20
D4.2 WP4 Construction works completed WP4 1 - Transpordiamet R — Document, report SEN - Sensitive 44
D4.3 WP4 Supervision services completed WP4 1 - Transpordiamet R — Document, report SEN - Sensitive 44
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
Deliverable D1.1 – Progress report 1
Deliverable Number D1.1 Lead Beneficiary 1 - Transpordiamet
Deliverable Name Progress report 1
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 12 Work Package No WP1
Description
The report will be prepared using the respective template provided in the portal. It will detail the actual progress of the project, per WP, for the period from M1 until M12. It will also refer to the main implementation issues, milestones, events or factors that affected the progress of the project. Finally, it will also include the planned progress per WP until the end of the project.
Deliverable D1.2 – Progress report 2
Deliverable Number D1.2 Lead Beneficiary 1 - Transpordiamet
Deliverable Name Progress report 2
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 36 Work Package No WP1
Description
The report will be prepared using the respective template provided in the portal. It will detail the actual progress of the project, per WP, for the period from M24 until M36. It will also refer to the main implementation issues, milestones, events or factors that affected the progress of the project. Finally, it will also include the planned progress per WP until the end of the project.
Deliverable D1.3 – Building permit section Päädeva-Haimre
Deliverable Number D1.3 Lead Beneficiary 1 - Transpordiamet
Deliverable Name Building permit section Päädeva-Haimre
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 20 Work Package No WP1
Description
Obtaining the building permit for the section Paadeva-Haimre, reference protocol
Deliverable D1.4 – Building permit section Haimre- Konuvere
Deliverable Number D1.4 Lead Beneficiary 1 - Transpordiamet
Deliverable Name Building permit section Haimre- Konuvere
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 20 Work Package No WP1
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
Description
Obtaining the building permit for the section Konuvere, reference protocol
Deliverable D2.1 – Project communication plan
Deliverable Number D2.1 Lead Beneficiary 1 - Transpordiamet
Deliverable Name Project communication plan
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 3 Work Package No WP2
Description
Project communication plan_ acceptance protocol
Deliverable D2.2 – Project video-clip
Deliverable Number D2.2 Lead Beneficiary 1 - Transpordiamet
Deliverable Name Project video-clip
Type DEC —Websites, patent filings, videos, etc
Dissemination Level SEN - Sensitive
Due Date (month) 44 Work Package No WP2
Description
Project video-clip on Estonian Transport Administration website
Deliverable D3.1 – WP3 Technical design (masterplan) completed
Deliverable Number D3.1 Lead Beneficiary 1 - Transpordiamet
Deliverable Name WP3 Technical design (masterplan) completed
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 20 Work Package No WP3
Description
Acceptance Protocol_Technical design (masterplan) completed and approved for road sections and objects described in WP3
Deliverable D3.2 – WP 3 Construction works completed
Deliverable Number D3.2 Lead Beneficiary 1 - Transpordiamet
Deliverable Name WP 3 Construction works completed
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 44 Work Package No WP3
12
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
Description
Acceptance protocol of the completion of the works described in WP3
Deliverable D3.3 – WP3 Supervision services completed
Deliverable Number D3.3 Lead Beneficiary 1 - Transpordiamet
Deliverable Name WP3 Supervision services completed
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 44 Work Package No WP3
Description
Acceptance protocol of the final supervision report for construction works supervision of works described in WP3
Deliverable D4.1 – WP4 Technical design (masterplan) completed
Deliverable Number D4.1 Lead Beneficiary 1 - Transpordiamet
Deliverable Name WP4 Technical design (masterplan) completed
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 20 Work Package No WP4
Description
Acceptance protocol_Technical design (masterplan) completed and approved for works described in WP4
Deliverable D4.2 – WP4 Construction works completed
Deliverable Number D4.2 Lead Beneficiary 1 - Transpordiamet
Deliverable Name WP4 Construction works completed
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 44 Work Package No WP4
Description
Acceptance protocol of the completion of the works described in the WP4
Deliverable D4.3 – WP4 Supervision services completed
Deliverable Number D4.3 Lead Beneficiary 1 - Transpordiamet
Deliverable Name WP4 Supervision services completed
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 44 Work Package No WP4
Description
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
Acceptance protocol of the final supervision report for works described in WP4
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
LIST OF MILESTONES
Milestones
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Milestone No
Milestone Name Work Package No Lead Beneficiary Means of Verification Due Date (month)
1 Publication of the the building tender for the section Päädeva-Haimre
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
17
2 Publication of the supervision services tender for the section Päädeva-Haimre
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
17
3 Publication of the the building tender for the section Haimre-Konuvere
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
17
4 Publication of the supervision services tender for the section Haimre-Konuvere
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
17
5 Signature of the Contract for the technical design (masterplan) for the section Päädeva- Haimre
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
1
6 Signature of the Contract for the building for the section Päädeva-Haimre
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
20
7 Signature of the Contract for the supervision services for the section Päädeva-Haimre
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
20
8 Signature of the Contract for the technical design (masterplan) for the section Haimre- Konuvere
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
1
15
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
Milestones
Grant Preparation (Milestones screen) — Enter the info.
Milestone No
Milestone Name Work Package No Lead Beneficiary Means of Verification Due Date (month)
9 Signature of the contract for the building for the section Haimre-Konuvere
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
20
10 Signature of the Contract for the supervision services for the Haimre-Konuvere
WP1 1 - Transpordiamet EU reference to the Publication of the tender notice in the Official Journal of the European Union/National reference to the publication
20
11 Road construction completion - final event WP2 1 - Transpordiamet Communication from the beneficiary and link to the press release
44
12 Start of the construction works in Päädeva- Haimre sections
WP3 1 - Transpordiamet Confirmation from the beneficiary 21
13 40 % of the of volume in Päädeva-Haimre section built
WP3 1 - Transpordiamet Acceptance protocols 32
14 Start of the construction works in Haimre- Konuvere section
WP4 1 - Transpordiamet Confirmation from the beneficiary 21
15 40 % of the of volume in Haimre-Konuvere section built
WP4 1 - Transpordiamet Acceptance protocol 32
16 Notification to the European Commission of i. the compensatory and mitigation measures Art 6(4) of the Habitats Directive (HD) related to Natura 2000 sites and ii.the compensatory and mitigation measures for the habitat type 9010: Western Taiga”
WP1 1 - Transpordiamet Notification to the EC, reference 20
16
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
LIST OF CRITICAL RISKS
Critical risks & risk management strategy
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Risk number
Description Work Package No(s)
Proposed Mitigation Measures
1 Estonian Transport Administration cancels the project. Impact: High Likelihood: Low
WP2, WP4, WP3, WP1
If the Estonian Transport Administration cancels the project, a deviation report will be made, where the impact on milestones will be analysed, including a possible budget reallocation.
2 Estonian Transport Administration does not perform as planned and/or deliverables are delayed and/or milestones are not met. Impact: High Likelihood: Low
WP2, WP4, WP3, WP1
The Estonian Transport Administration project team has worked together in the past and all have experience with EU projects. This makes the likelihood low. If a problem cannot be resolved within the activity, it will be discussed at the level of Project Management first, and, if needed, within Project Supervision. An appropriate project management is set up to detect deviations from the work plan in time. In the event of a delay, a specific timeline and resource allocation will be defined. At regular times, these will be discussed with CINEA to minimize the impact. Specific Risk Management procedures have been established to solve these kinds of possible problems.
3 Deviation from the Work Plan (work and/or the timeline for activities). Impact: High Likelihood: Low
WP2, WP4, WP3, WP1
The Estonian Transport Administration is responsible for the activities. Deviations will be discussed within project management and reported to CINEA via a Modification report. Reporting and monitoring tools shall be developed, and regular reporting is undertaken by the Project Management team.
4 Loss of information or delays because of project manager or key experts leaving. Impact: Low Likelihood: Medium
WP2, WP4, WP3, WP1
Set-up of processes that ensure the handover of information within the partner organisation. The Estonian Transport Administration has a documentation system that holds and shares all important project information. The Estonian Transport Administration has the resources to hire new professionals, if needed.
5 Estonian Transport Administration providing insufficient resources to perform the activities as committed. Impact: High Likelihood: Low
WP2, WP4, WP3, WP1
An appropriate project management is set up to detect deviations from the work plan in time. If a problem cannot be resolved within the activity, it will be discussed at the level of Project Management first and be brought to Project Supervision in case. Specific Risk Management procedures have been established to solve these kinds of possible problems
6 Unsuccessful or delayed procurement Impact: High Likelihood: Medium
WP2, WP4, WP3 The Estonian Transport Administration has a dedicated legal department and a clear process for procurement's; repetition of procurement can be set in a short time. Tendering processes start well in advance to meet the project milestones and use standard public procurement models, which are less prone to delays.
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
Critical risks & risk management strategy
Grant Preparation (Critical Risks screen) — Enter the info.
Risk number
Description Work Package No(s)
Proposed Mitigation Measures
7 Delays in roadside installations Impact: High Likelihood: Medium
WP4, WP3 The Estonian Transport Administration has a well thought out and realistic project plan based on large reconstruction project experience, which takes into consideration seasonal variations, production and delivery conditions and fieldwork specifics.
8 Cost overruns Impact: Medium Likelihood: Medium
WP4, WP3 The project is budgeted with realistic information available from other road reconstruction projects. The Estonian Transport Administration can raise extra co-funding from the state budget.
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Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB-WORKS
Connecting Europe Facility (CEF)
Description of the action (DoA) Part B
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB-WORKS
PROJECT DESCRIPTION
The project will reconstruct the centre part of E67 Via Baltica in Estonia on km 62,2-64,8; km 68,2-70,2 and km 70,2-78,8 including Konuvere bridge (Figure 1). The project is located on the TEN-T core network, North- Sea Baltic corridor, and on the Military Mobility Network.
The EstMilMob-E67 North project resolves a major bottleneck on road E67 Via Baltica and improves the mobility for both civilian and military personnel as well as material, and equipment for routine activities and during crisis or conflict on the TEN-T North Sea – Baltic Corridor.
The project significantly supports the rapid deployment capabilities of the EU and Allied-led missions in and through Estonia to the Baltic Sea
The project has strategically equivalent value for the development of civil objectives in realizing the economic, social, and territorial cohesion potential of the area through better multimodal transport connection with rest of the Europe.
Reconstruction of this section of the road on route E67 Via Baltica currently has the highest priority because of civil concerns:
• Dense heavy traffic – 2100 heavy transport vehicles on an average day on a 1+1 road.
• High number of traffic accidents; in the last 10 years +62% compared to average number of traffic accidents.
From the military viewpoint, the project is needed because:
• Military convoys are currently prohibited on this section of the E67 Via Baltica because of the added risk of traffic accidents on an already heavily loaded road. The project would open one more section for military traffic and, in conjunction with other developments on E67 Via Baltica, make the route fully operable for dual use no later than 2030.
• Insufficient carrying capacity of the bridge on Konuvere River for special military transportation. The current 1+1 bridge is of Military Load Classification (MLC) 100 instead of the demanded MLC150, without a suitable alternative route nearby.
The project will contribute significantly to seamless civilian-military transport on the TEN-T and in the Military Mobility Network. The traffic safety will be significantly improved and the congestion on this section of the E67 Via Baltica resolved.
The specific objectives of the project are as follows:
• Reconstruction of the road infrastructure on E67 Via Baltica in Estonia on km 62,2-64,8; km 68,2- 70,2 and km 70,2-78,8 including Konuvere bridge to achieve compliance with the TEN-T core network requirements and EU 2021/1328 dual use3 requirements. Altogether, approximately 13.2 km of 2+2 main road will be reconstructed.
The expected results of the project are as follows:
• Traffic throughput at least doubled, road suitable for all kinds of heavy traffic, including military convoys, simultaneously with civil passenger traffic.
• The resilience of road infrastructure against attacks at least doubled.
• The number of traffic accidents on the section significantly lower than average.
Figure 1. Location of the project
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB-WORKS
Global Project
The project is part of a global project for the reconstruction of E67 Via Baltica to the requirements of the TEN- T Core network road. The overall goal is the realisation of the economic, social, and territorial cohesion potential of the North Sea – Baltic Corridor, especially the use of the untapped economic potential in the Northern and Eastern parts of the North Sea – Baltic Corridor and to connect the north of Europe with other parts of Europe.
The global project for the reconstruction of E67 Via Baltica addresses several current problems – low speeds on road, traffic congestion, traffic safety issues on roads, mostly due to their low throughput level and one- level crossings, and extra costs for passengers and enterprises because of those problems.
The project is also part of the global project for the development of military mobility capabilities in Estonia as one of the strategic states for the European Union Military Mobility.
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB-WORKS
ANNEXES
LIST OF ANNEXES
Subcontracting table
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB-WORKS
SUBCONTRACTING TABLE
Subcontracting
Give details on subcontracted action tasks (if any).
Subcontracts must be awarded using your usual purchasing practices – provided that they ensure best value for money and no conflict of interests. If you are a ‘contracting authority/entity’ within the meaning of the EU Directives on public procurement, you must also comply with the applicable national law on public procurement.
Note: The coordinator remains fully responsible for the coordination tasks, even if they are delegated to someone else. Coordinator tasks cannot be subcontracted.
Task number to be subcontracted (follow the numbering in the
grant agreement)
Name of task to be subcontracted Description (Describe briefly the part of the task to be subcontracted and indicate the BEN/AE responsible)
Estimated Costs (EUR)
T 2.2 Project videoclip Short promotional videoclip of the project implementation and results, subcontracted 100%; Transpordiamet 15 000 €
T 2.3 Road construction completion event Road construction completion event for stakeholders and media (50 visitors) presenting project results, subcontracted 70% for venue and food; Transpordiamet
5 000 €
T 3.1 Elaboration of the technical design (master plan) Päädeva- Haimre section
Road design (masterplan) works for reconstruction of the Päädeva-Haimre section, km 62,2-66,8 & 68,2-70,2, subcontracted 100%; Transpordiamet 400 000 €
T 3.2 Construction works Päädeva- Haimre section
Works on the Päädeva-Haimre section km 62,2-66,8 & 68,2-70,2, subcontracted 100%; Transpordiamet 34 895 000 €
T 3.3 Supervision services for construction works Päädeva- Haimre section
Supervision of works of the Päädeva-Haimre section 62,2-66,8 & 68,2-70,2, subcontracted 100%; Transpordiamet 180 000 €
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB-WORKS
T 4.1 Elaboration of the technical design (master plan) Haimre- Konuvere section
Road design (masterplan) works for reconstruction of the Haimre-Konuvere
section km 70,2-78,8, subcontracted 100%; Transpordiamet 500 000 €
T 4.2 Construction works Haimre- Konuvere section
Works for reconstruction of the Haimre-Konuvere section km 70,2-78,8, subcontracted 100%; Transpordiamet 42 745 000 €
T 4.3 Supervision services for construction works Haimre- Konuvere section
Supervision of reconstruction works Haimre-Konuvere section km 70,2-78,8,
subcontracted 100%; Transpordiamet 200 000 €
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Project: 101155876 — 7-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB-WORKS
HISTORY OF CHANGES
VERSION PUBLICATION
DATE CHANGE
1.0 01.09.2021 Initial version.
1.1 12.04.2024 Updated version 1
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Grant Agreement number: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
CEF MGA — Multi & Mono: v1.0
ANNEX 1
DETAILED BUDGET BREAKDOWN PER REPORTING PERIOD
Estimated eligible costs (per budget category) Estimated EU contribution
Direct costs Indirect costs EU contribution to eligible costs
A. Personnel costs B.
Subcontracting costs
C. Purchase costs D. Other cost categories E. Indirect costs
Total costs Funding rate %
Maximum EU
contribution
Requested EU
contribution
Total requested
EU contribution
C.1 Travel and subsistence A.1 Employees (or equivalent)
A.2 Natural persons under direct contract
A.3 Seconded persons
A.4 SME owners and natural person beneficiaries
Travel Accommodation Subsistence
C.2 Equipment
C.3 Other goods, works and services
D.1 Financial support to third parties
D.2 Studies D.3 Synergetic elements
D.4 Works in outermost regions
D.5 Land purchases
Forms of funding Actual costs
Unit costs (usual
accounting practices)
Unit costs Actual costs Actual costs Actual costs Actual costs Actual costs Actual costs Actual costs Actual costs Actual costs Actual costs Actual costs Flat- rate costs
a1 a2 a3 b c1a c1b c1c c2 c3 d1a d2 d3 d4 d5 e1 f = a+b+c+d V, W, X g2 h m
Reporting period 1
1 - Transpordiamet 66 000.00 0.00 0.00 21 878 000.00 0.00 0.00 0.00 0.00 0.00 0.00 900 000.00 0.00 0.00 0.00 0.00 22 844 000.00 50, 50, 0 11 422 000.00 11 422 000.00 11 422 000.00
Total 66 000.00 0.00 0.00 21 878 000.00 0.00 0.00 0.00 0.00 0.00 0.00 900 000.00 0.00 0.00 0.00 0.00 22 844 000.00 11 422 000.00 11 422 000.00 11 422 000.00
Reporting period 2
1 - Transpordiamet 54 000.00 0.00 0.00 56 142 000.00 0.00 0.00 0.00 0.00 20 000.00 0.00 0.00 0.00 0.00 0.00 0.00 56 216 000.00 50, 50, 0 28 108 000.00 28 108 000.00 28 108 000.00
Total 54 000.00 0.00 0.00 56 142 000.00 0.00 0.00 0.00 0.00 20 000.00 0.00 0.00 0.00 0.00 0.00 0.00 56 216 000.00 28 108 000.00 28 108 000.00 28 108 000.00
Total all reporting periods 120 000.00 0.00 0.00 78 020 000.00 0.00 0.00 0.00 0.00 20 000.00 0.00 900 000.00 0.00 0.00 0.00 0.00 79 060 000.00 39 530 000.00 39 530 000.00 39 530 000.00
1 e = flat-rate * (a1 + a2 + a3 + b + c1a + c1b + c1c + c2 + c3 + d1a + d2 + d3 + d4 + d5) 2 g = (a1 + a2 + a3) * V% + b * V% + (c1a + c1b + c1c + c2 + c3) * V% + (d1a + d3 + d5) * V% + d2 * W% + d4 * X% + e * V%
Page 1 of 1
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Work package name Funding Rate WP 1 Project Management 50% WP 2 Communication 50% WP 3 Reconstruction of the E67 road Päädeva-Haimre section (km 62,2-64,8 and 68,2-70,2) 50% WP 4 Reconstruction of the E67 road Haimre-Konuvere section (km 70,2-78,8) 50%
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Participant name Transpordiamet
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
PROJECT DATA 101155876 23-EE-TM-
EstMilMob-E67 North
Work Package Participant Reporting period
1 Reporting period
2 Total costs
Funding rate (for work package)
EU contribution
WP 1 Project Management
Transpordiamet 55 000,00 45 000,00 100 000,00 50% 50 000,00
WP 2 Communication Transpordiamet 11 000,00 29 000,00 40 000,00 50% 20 000,00
WP 3 Reconstruction of the E67 road Päädeva-Haimre section (km 62,2- 64,8 and 68,2-70,2)
Transpordiamet 10 238 000,00 25 237 000,00 35 475 000,00 50% 17 737 500,00
WP 4 Reconstruction of the E67 road Haimre-Konuvere section (km 70,2- 78,8)
Transpordiamet 12 540 000,00 30 905 000,00 43 445 000,00 50% 21 722 500,00
Total 22 844 000,00 56 216 000,00 79 060 000,00 39 530 000,00
BUDGET BREAKDOWN PER WORK PACKAGE AND PARTICIPANT Reporting period can be added/deleted as needed
Project number:
Project acronym:
DETAILED BUDGET TABLE PER WP Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Summary per work package
Reasildid Reporting period_1 FP RP_1
Reporting period_2 FP RP_2
Sum of Total costs
Sum of EU contribution
WP 1 Project Management 55 000 55% 45 000 45% 100 000 50 000 WP 2 Communication 11 000 28% 29 000 73% 40 000 20 000 WP 3 Reconstruction of the E67 road Päädeva-Haimre section (km 62,2-64,8 and 68,2-70,2) 10 238 000 29% 25 237 000 71% 35 475 000 17 737 500 WP 4 Reconstruction of the E67 road Haimre-Konuvere section (km 70,2-78,8) 12 540 000 29% 30 905 000 71% 43 445 000 21 722 500 Üldkokkuvõte 22 844 000 29% 56 216 000 71% 79 060 000 39 530 000
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Summary per Participant
Reasildid Reporting period_1
Reporting period_2
Sum of Total costs
Sum of EU contribution
Transpordiamet 22 844 000 56 216 000 79 060 000 39 530 000 Üldkokkuvõte 22 844 000 56 216 000 79 060 000 39 530 000
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Grant Agreement number: 101155876 — 23-EE-TM-EstMilMob-E67 North — CEF-T-2023-MILMOB
CEF MGA — Multi & Mono: v1.0
ANNEX 2
ESTIMATED BUDGET FOR THE ACTION
Estimated eligible1 costs (per budget category) Estimated EU contribution2
Direct costs Indirect costs EU contribution to eligible costs
A. Personnel costs B.
Subcontracting costs
C. Purchase costs D. Other cost categories E. Indirect
costs3
Total costs Funding rate %4
Maximum EU
contribution5
Requested EU
contribution
Maximum grant
amount6
C.1 Travel and subsistence A.1 Employees (or equivalent)
A.2 Natural persons under direct contract
A.3 Seconded persons
A.4 SME owners and natural person beneficiaries
B. Subcontracting
Travel AccommodationSubsistence
C.2 Equipment
C.3 Other goods, works and services
D.1 Financial support to third parties
D.2 Studies D.3 Synergetic elements
D.4 Works in outermost regions
D.5 Land purchases
E. Indirect costs
Forms of funding Actual costs
Unit costs (usual
accounting practices)
Unit costs7 Actual costs
Actual costs
Actual costs
Actual costs
Actual costs
Actual costs
Actual costs
Actual costs
Actual costs
Actual costs
Actual costs
Flat-rate costs8
a1 a2 a3 b c1a c1b c1c c2 c3 d1a d2 d3 d4 d5 e9 f = a +b+c+d V, W, X g10 h m
1 - Transpordiamet 120 000.00 0.00 0.00 78 020 000.00 0.00 0.00 0.00 0.00 20 000.00 0.00 900 000.00 0.00 0.00 0.00 0.00 79 060 000.00 50, 50, 0 39 530 000.00 39 530 000.00 39 530 000.00
1 See Article 6 for the eligibility conditions. All amounts must be expressed in EUR (see Article 21 for the conversion rules). 2 The consortium remains free to decide on a different internal distribution of the EU funding (via the consortium agreement; see Article 7). 3 Indirect costs already covered by an operating grant (received under any EU funding programme) are ineligible (see Article 6.3). Therefore, a beneficiary/affiliated entity that receives an operating grant during the action duration cannot declare indirect costs for the year(s)/reporting period(s) covered by the operating grant, unless they can
demonstrate that the operating grant does not cover any costs of the action. This requires specific accounting tools. Please immediately contact us via the EU Funding & Tenders Portal for details. 4 See Data Sheet for the funding rate(s). 5 This is the theoretical amount of the EU contribution to costs, if the reimbursement rate is applied to all the budgeted costs. This theoretical amount is then capped by the 'maximum grant amount'. 6 The 'maximum grant amount' is the maximum grant amount decided by the EU. It normally corresponds to the requested grant, but may be lower. 7 See Annex 2a 'Additional information on the estimated budget' for the details (units, cost per unit). 8 See Data Sheet for the flat-rate. 9 e = flat-rate * (a1 + a2 + a3 + b + c1a + c1b + c1c + c2 + c3 + d1a + d2 + d3 + d4 + d5)
10 g = (a1 + a2 + a3) * V% + b * V% + (c1a + c1b + c1c + c2 + c3) * V% + (d1a + d3 + d5) * V% + d2 * W% + d4 * X% + e * V%
Page 1 of 1
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
1
ANNEX 2a
ADDITIONAL INFORMATION ON UNIT COSTS AND CONTRIBUTIONS
SME owners/natural person beneficiaries without salary
See Additional information on unit costs and contributions (Annex 2a and 2b)
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Revenues
Indirect costs
B. Subcontracting costs E. Indirect costs 2
Funding rate % 3
Maximum EU contribution 4 Requested EU
contribution
A.4 SME owners and
natural person
beneficiaries
B. Subcontracting C.2 Equipment C.3 Other goods, works and
services
D.X Financial support to third
parties
[OPTION for
Infrastructure
Projects: D.2
Studies]
[OPTION for
Infrastructure
Projects: D.3
Synergetic
elements]
[OPTION for
Infrastructure
Projects: D.4
Works in
outermost
regions]
[OPTION for
Infrastructure
Projects: D.5 Land
purchases]
E. Indirect costs
Forms of funding Actual costs Unit costs (usual
accounting practices) Unit costs 5 Actual costs Actual costs Actual costs Actual costs Actual costs Actual costs Actual costs [ Actual costs] [ Actual costs] [ Actual costs] [ Actual costs] Flat-rate costs
6
a1 a2 a3 b c1a c1b c1c c2 c3 d1a [ d2] [ d3] [ d4] [ d5]
e =
flat-rate * (a1 + a2 + a3 + b
+c1a + c1b + c1c + c2 + c3 + d1a
[ + d2][ + d3][ + d4][ + d5] )
f =
a+b+c+d+e [ U]
[ V, W, X]
[ g = f*U%] [ g = (a1 + a2 + a3)
* V% + b *V% + ( +c1a + c1b +
c1c + c2 + c3) *V% + (d1a + d3
+ d5)*V% + d2*W% + d4*X% +
e*V%]
h m (i) n
XX – [short name beneficiary/affiliated entity]
3 See Data Sheet for the reimbursement rate(s).
4 This is the theoretical amount of EU contribution to costs that the system calculates automatically (by multiplying the reimbursement rates by the costs declared). The amount you request (in the column 'requested EU contribution') may be less.
5 See Annex 2a 'Additional information on the estimated budget' for the details (units, cost per unit).
1 See Article 6 for the eligibility conditions. All amounts must be expressed in EUR (see Article 21 for the conversion rules).
2 If you have also received an EU operating grant during this reporting period, you cannot claim indirect costs - unless you can demonstrate that the operating grant does not cover any costs of the action. This requires specific accounting tools. Please contact us immediately via the Funding & Tenders Portal for details.
The costs and contributions can be substantiated by adequate records and supporting documentation that will be produced upon request or in the context of checks, reviews, audits and investigations (see Articles 19, 20 and 25).
For the last reporting period: that all the revenues have been declared (see Article 22).
i Please declare all eligible costs and contributions, even if they exceed the amounts indicated in the estimated budget (see Annex 2). Only amounts that were declared in your individual financial statements can be taken into account lateron, in order to replace costs/contributions that are found to be ineligible.
EU contribution to eligible costs
C.1 Travel and subsistence
Subsistence
The beneficiary/affiliated entity hereby confirms that:
The information provided is complete, reliable and true.
The costs and contributions declared are eligible (see Article 6).
ANNEX 4 CEF MGA — MULTI + MONO
FINANCIAL STATEMENT FOR [PARTICIPANT NAME] FOR REPORTING PERIOD [NUMBER]
A. Personnel costs
Direct costs
D. Other cost categories
Eligible 1 costs (per budget category) EU contribution
2
C. Purchase costs
Total requested EU
contribution Total costs
Travel Accommodation
A.1 Employees (or equivalent)
A.2 Natural persons under direct contract
A.3 Seconded persons
6 See Data Sheet for the flat-rate.
Income generated by the
action
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
1
ANNEX 5
SPECIFIC RULES
CONFIDENTIALITY AND SECURITY (— ARTICLE 13)
Sensitive information with security recommendation
Sensitive information with a security recommendation must comply with the additional
requirements imposed by the granting authority.
Before starting the action tasks concerned, the beneficiaries must have obtained all approvals
or other mandatory documents needed for implementing the task. The documents must be
kept on file and be submitted upon request by the coordinator to the granting authority. If they
are not in English, they must be submitted together with an English summary.
For requirements restricting disclosure or dissemination, the information must be handled in
accordance with the recommendation and may be disclosed or disseminated only after written
approval from the granting authority.
EU classified information
If EU classified information is used or generated by the action, it must be treated in
accordance with the security classification guide (SCG) and security aspect letter (SAL) set
out in Annex 1 and Decision 2015/4441 and its implementing rules — until it is declassified.
Deliverables which contain EU classified information must be submitted according to special
procedures agreed with the granting authority.
Action tasks involving EU classified information may be subcontracted only with prior
explicit written approval from the granting authority and only to entities established in an EU
Member State or in a non-EU country with a security of information agreement with the EU
(or an administrative arrangement with the Commission).
EU classified information may not be disclosed to any third party (including participants
involved in the action implementation) without prior explicit written approval from the
granting authority.
INTELLECTUAL PROPERTY RIGHTS (IPR) — BACKGROUND AND RESULTS —
ACCESS RIGHTS AND RIGHTS OF USE (— ARTICLE 16)
1 Commission Decision 2015/444/EC, Euratom of 13 March 2015 on the security rules for protecting EU
classified information (OJ L 72, 17.3.2015, p. 53).
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
2
Rights of use of the granting authority on results for information, communication,
dissemination and publicity purposes
The granting authority also has the right to exploit non-sensitive results of the action for
information, communication, dissemination and publicity purposes, using any of the
following modes:
- use for its own purposes (in particular, making them available to persons working for
the granting authority or any other EU service (including institutions, bodies, offices,
agencies, etc.) or EU Member State institution or body; copying or reproducing them
in whole or in part, in unlimited numbers; and communication through press
information services)
- distribution to the public in hard copies, in electronic or digital format, on the
internet including social networks, as a downloadable or non-downloadable file
- editing or redrafting (including shortening, summarising, changing, correcting,
cutting, inserting elements (e.g. meta-data, legends or other graphic, visual, audio or
text elements) extracting parts (e.g. audio or video files), dividing into parts or use in a
compilation
- translation (including inserting subtitles/dubbing) in all official languages of EU
- storage in paper, electronic or other form
- archiving in line with applicable document-management rules
- the right to authorise third parties to act on its behalf or sub-license to third parties,
including if there is licensed background, any of the rights or modes of exploitation set
out in this provision
- processing, analysing, aggregating the results and producing derivative works
- disseminating the results in widely accessible databases or indexes (such as through
‘open access’ or ‘open data’ portals or similar repositories, whether free of charge or
not.
The beneficiaries must ensure these rights of use for the whole duration they are protected by
industrial or intellectual property rights.
If results are subject to moral rights or third party rights (including intellectual property rights
or rights of natural persons on their image and voice), the beneficiaries must ensure that they
comply with their obligations under this Agreement (in particular, by obtaining the necessary
licences and authorisations from the rights holders concerned).
COMMUNICATION, DISSEMINATION AND VISIBILITY (— ARTICLE 17)
Communication and dissemination plan
Where imposed by the call conditions, the beneficiaries must provide a detailed
communication and dissemination plan, setting out the objectives, key messaging, target
audiences, communication channels, social media plan, planned budget and relevant
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
3
indicators for monitoring and evaluation.Additional communication and dissemination
activities
The beneficiaries must engage in the following additional communication and dissemination
activities:
- present the project (including project summary, coordinator contact details, list of
participants, European flag and funding statement and project results) on the
beneficiaries’ websites or social media accounts
- for actions involving equipment, infrastructure or works, display public plaques or
billboards as soon as the work on the action starts and a permanent commemorative
plaque once it is finished, with the European flag and funding statement
- upload the public project results to the CEF Project Results platform, available through
the Funding & Tenders Portal.
SPECIFIC RULES FOR CARRYING OUT THE ACTION (— ARTICLE 18)
Member State information
The beneficiaries must keep the Member States that support the action informed about its
progress.
To this effect, the coordinator must provide the reports submitted in accordance with Article
21 to the concerned the Member States representatives (listed on the granting authority’s
website). This can be done either by email or by giving them access to the reports in the
Funding & Tenders Portal.
Implementation in case of restrictions due to security
Where the call conditions restrict participation or control due to security reasons, the
beneficiaries must ensure that none of the entities that participate as affiliated entities,
associated partners, subcontractors or recipients of financial support to third parties are
established in countries which are not eligible countries or target countries set out in the call
conditions (or are controlled by such countries or entities from such countries).
The beneficiaries must moreover ensure that any cooperation with entities established in
countries which are not eligible countries or target countries set out in the call conditions (or
are controlled by such countries or entities from such countries) does not affect the security
interests and avoids potential negative effects over security of supply of inputs critical to the
action.
Specific rules for digital infrastructure projects
When implementing digital infrastructure projects, the beneficiaries must ensure that the
network technologies and equipment (including software and services) funded by the action
comply with the security requirements and assessments as reflected in the applicable EU,
international and national law on cybersecurity and on data protection.
Moreover, where the call conditions impose wholesale access obligations, the beneficiaries
must provide wholesale access to the digital infrastructure funded by the action, under fair and
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
4
reasonable conditions, in a non-discriminatory manner and in accordance with the call
conditions.
Specific rules for ATM common projects
When implementing actions for the implementation of common projects established under
Regulation (EU) No 409/2013 2 , the beneficiaries must ensure that their actions comply with
the deployment programme referred to in Article 11 of that Regulation (as published on the
Europa website).
Durability
Unless exempted by the granting authority, the beneficiaries must commit to continue to use
and maintain after the end of the action equipment bought and fully reimbursed by the action,
for activities pursuing the action’s objectives. Such equipment must be used for these
purposes — for at least five years after the end of the action (see Data Sheet, Point 1) or until
the end of its economic lifespan (i.e. until it has been fully depreciated) — whichever is
earlier.
Specific rules for blending operations
When implementing blending operations, the beneficiaries acknowledge and accept that:
- the grant depends on the approved financing from the Implementing Partner and/or
public or private investors for the project
- they must inform the granting authority both about the approval for financing and the
financial close — within 15 days
- both actions will be managed and monitored in parallel and in close coordination with
the Implementing Partner, in particular:
- all information, data and documents (including the due diligence by the
Implementing Partner and the signed agreement) may be exchanged and may
be relied on for the management of the other action (if needed)
- issues in one action may impact the other (e.g. suspension or termination in
one action may lead to suspension also of the other action; termination of the
grant will normally suspend and exit from further financing and vice versa,
etc.)
- the granting authority may disclose confidential information also to the Implementing
Partner.
2 Commission Implementing Regulation (EU) No 409/2013 of 3 May 2013 on the definition of common
projects, the establishment of governance and the identification of incentives supporting the implementation
of the European Air Traffic Management Master Plan (OJ L 123, 4.5.2013, p. 1).
Associated with document Ref. Ares(2024)2981671 - 23/04/2024
Commission européenne/Europese Commissie, 1049 Bruxelles/Brussel, BELGIQUE/BELGIË - Tel. +32 22991111
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