| Dokumendiregister | Tarbijakaitse ja Tehnilise Järelevalve Amet |
| Viit | 1-3/2025/0040-1 |
| Registreeritud | 09.06.2025 |
| Sünkroonitud | 13.06.2025 |
| Liik | Leping |
| Funktsioon | 1 Juhtimine, asjaajamine, arhiivitöö korraldus, suhtekorraldus 2020 - ... |
| Sari | 1-3 Koostöökokkulepped ja -protokollid |
| Toimik | 1-3/2025 |
| Juurdepääsupiirang | Avalik |
| Juurdepääsupiirang | |
| Adressaat | |
| Saabumis/saatmisviis | |
| Vastutaja | Kadi Zavadskis |
| Originaal | Ava uues aknas |
KOOSTÖÖKOKKULEPE nr 4-1/25/90
/kuupäev vastavalt digiallkirjastamise kuupäevale/
Koostöökokkulepe on sõlmitud:
Kliimaministeerium (edaspidi KliM), registrikood 70001231, asukohaga Suur-Ameerika 1,
10122 Tallinn, mida esindab kantsler Marten Kokk,
ja
Tarbijakaitse ja Tehnilise Järelevalve Amet (edaspidi TTJA), registrikood 70003218, asukohaga Endla 10A, 10122 Tallinn, mida esindab peadirektor Kristi Talving,
edaspidi nimetatud ka koos kui Pooled või eraldi Pool, arvestades, et
(A) KliM-i ning Euroopa Komisjoni Kliima, Innovatsiooni ja Võrkude Rakendusameti
(edaspidi CINEA) vahel on 01.04.2025 sõlmitud leping
nr 24-EE-TC-24-EE-TC-MS-TA2EE (edaspidi CINEA leping), mille eesmärgiks on
toetada Euroopa Ühendamise Rahastu (edaspidi CEF) projektidega seotud tegevusi;
(B) CINEA lepingu artikkel 8 järgi on TTJA määratud KliM-i assotsieerunud partneriks
(ingl keeles affiliated entities);
sõlmivad käesolevaga projekti nr 101225295 „Technical Assistance to Estonia (2025-2027)“ (edaspidi Projekt) tegevuste elluviimise ja rahastamise kokkuleppe (edaspidi Kokkulepe) alljärgnevas:
1. KOKKULEPPE ESE
1.1. Kokkuleppega kohustub TTJA koostöös KliM-iga viima läbi CINEA lepingu tööpakettides 4 ja 5 (WP4 ja WP5) kajastatud tegevused 4c ja 5a (Activity) (edaspidi Tegevused) 31. detsembriks 2027.
2. ÜLDSÄTTED
2.1. Kokkuleppes kajastuvate õiguste ning kohustuste sisustamisel ja tõlgendamisel lähtutakse CINEA lepingust, arvestades Kokkuleppest tulenevate erisustega.
2.2. Kokkulepe reguleerib üksnes TTJA ja KliM-i vahelist õigussuhet seoses sellega, et TTJA osaleb Tegevuste täitmises ja KliM maksab TTJA-le CINEA lepingu alusel toetust (edaspidi Toetus). TTJA-l puuduvad Kokkuleppe alusel mistahes õigused või kohustused muude CINEA lepingu poolte suhtes, eelkõige puuduvad TTJA-l mistahes õigused CINEA lepingu alusel CINEA suhtes.
3. TTJA ÕIGUSED JA KOHUSTUSED
3.1. TTJA osaleb aastatel 2025–2027 Tegevuste täitmises.
3.2. TTJA planeerib ja viib Tegevusi ellu KliM juhendamisel ja vastavalt KliM-iga kokku lepitavale ajakavale.
3.3. TTJA täidab KliM-i ees kõiki CINEA lepingus Tegevuste ning Toetuse kasutamise suhtes sätestatud aruandekohustusi, juhindudes sealjuures kõikidest CINEA lepingus sätestatud vorminõuetest. Seejuures kohustub TTJA juhinduma ka CINEA lepingu kohaselt kehtestatavatest uutest aruandluse nõuetest alates asjakohase teate saamisest KliM-lt.
3.4. TTJA tagab ja vastutab Toetuse vahenditest teostatud Tegevuste ja Tegevustega seotud kulude abikõlblikkuse eest vastavuses CINEA lepingu artikliga 6.
3.5. TTJA võimaldab KliM-i (beneficiary) suhtes rakendatavate kontrollide ja auditite läbiviimist TTJA teostatavate tegevuste osas. Nimetatud kontrollide ja auditite läbiviijaks võib olla lisaks CINEA lepingu artiklis 25.4 nimetatud isikutele ka KliM.
3.6. Tegevuste elluviimisel juhindub TTJA kõikidest CINEA lepingu kasusaajale (beneficiary) kehtestatud nõuetest.
3.7. TTJA peab saadud Toetuse kohta raamatupidamisarvestust lähtudes rahandusministri 11.12.2003. a määruses nr 105 „Avaliku sektori finantsarvestuse ja –aruandluse juhend“ sätestatud sihtfinantseerimise kajastamise põhimõtetest.
4. KliM ÕIGUSED JA KOHUSTUSED
4.1. KliM annab TTJA-le Tegevuste elluviimiseks, sh personalikulude kompenseerimiseks, Toetust. Toetuse maksimaalne summa on 278 965 (kakssada seitsekümmend kaheksa tuhat üheksasada kuuskümmend viis) eurot. KliM võib ühepoolselt Toetuse maksimaalset summat tõsta.
4.2. KliM juhindub Toetuse väljamaksmisel CINEA lepingus KliM-i suhtes sätestatud alustest, sh on KliM-il õigus keelduda Toetuse väljamaksmisest või esitada muid Toetuse väljamaksmisega seonduvaid või väljamaksmisest tulenevaid nõudeid CINEA lepingus KliM-i suhtes sätestatud vastavatest alustest tulenevalt.
4.3. KliM-il on igal ajahetkel õigus kontrollida TTJA esitatud aruannete vastavust kuludokumentidele, Toetuse saamise tingimuseks olevate asjaolude korrektsust, Toetuse kasutamise sihipärasust ja saada TTJA-lt täiendavat informatsiooni Kokkuleppe täitmisega seonduva tegevuse kohta.
4.4. KliM-il on õigus nõuda TTJA-lt Kokkuleppe tingimustele mittevastaval otstarbel kasutatud Toetuse summa tagastamist või nõuda TTJA-lt tagasi hiljemalt Kokkuleppe kehtivuse viimase kalendrikuu lõpuks sihtotstarbeliselt kasutamata jäänud Toetuse summa või vähendada Kokkuleppe tingimustele mittevastaval otstarbel kasutatud Toetuse summa võrra järgnevatel aruandlusperioodidel maksmisele kuuluvat Toetust.
5. ARUANDLUS JA VÄLJAMAKSED
5.1. Toetuse maksmise aluseks on käesoleva lepingu punktis 5.2 nimetatud ja KliM projektijuhi poolt kooskõlastatud teatised kvartali projektipõhiste kulude kohta.
5.2. Raamatupidamislikuks aruandlusperioodiks on üks kvartal. TTJA esitab KliM-ile aruandlusperioodile järgneva kuu 10. kuupäevaks teatise kvartali projektipõhiste kulude kohta, näidates, millistel kontodel on raamatupidamises tehinguid kajastatud.
5.3. TTJA säilitab Projekti kulude tekkimist tõendavaid dokumente mitte vähem kui 6 aastat Projekti lõppemisest.
5.4. Kulude tekkimist tõendavateks dokumentideks on vastava majandustehingu toimumist tõendavad raamatupidamise algdokumendid, muuhulgas arved, saatelehed, tööde vastuvõtu aktid, hankelepingud jms.
5.5. Aruandlus toimub CINEA lepingu artikli 21 kohaselt. TTJA esitab KliM-ile eelmise kalendriaasta aruandluse järgneva aasta 23. jaanuariks. Aruandluse esitamise eest CINEA-le vastutab KliM.
6. VOLITATUD ESINDAJAD JA TEADE EDASTAMINE
6.1. KliM volitatud esindajaks koostööleppe täitmisega seotud küsimustes on Eva Killar, tel +372 625 6485, e-post [email protected], või teda asendav isik.
6.2. TTJA volitatud esindajaks koostööleppe täitmisega seotud küsimustes on Kadi Zavadskis, tel +372 667 2051, e-post [email protected], või teda asendav isik.
6.3. Poole volitatud esindajal on õigus esindada poolt kõikides koostööleppe täitmisega seotud küsimustes, v.a koostööleppe muutmine, koostööleppe erakorraline ühepoolne lõpetamine ning kahjude hüvitamise nõude esitamine.
6.4. Koostööleppega seotud teated peavad olema vähemalt kirjalikku taasesitamist võimaldavas vormis (e-post), välja arvatud juhtudel, kui sellised teated on informatiivsed ning mille edastamisel teistele Projekti partneritele ei ole õiguslikke tagajärgi. Informatiivset teadet võib edastada telefoni teel.
7. KOKKULEPPE LISAD
7.1. Kokkuleppe juurde kuulub allkirjastamise hetkel Lisa 1 – CINEA leping ja Lisa 2 – projektiparneri eelarve jaotuse tabel.
8. LÕPPSÄTTED
8.1. Pooled informeerivad teineteist koheselt olukorrast, kus Kokkuleppe täitmine osutub võimatuks või selle täitmine satub ohtu.
8.2. Kokkulepet võib muuta üksnes kirjalikus vormis. Kokkuleppe muudatused vormistatakse Kokkuleppe lisana.
8.3. TTJA kinnitab, et ei avalda Kokkuleppe täitmise või Poolte koostöö käigus saadud konfidentsiaalset informatsiooni kolmandatele isikutele ega avalikkusele ilma KliM-i eelneva kirjaliku nõusolekuta ning kasutab saadud informatsiooni ainult Poolte vahel sõlmitud Kokkuleppe täitmiseks. TTJA vastutab oma töötajate tegevuse eest konfidentsiaalsuskohustuse täitmisel. TTJA tagab, et kolmandate isikute juurdepääs konfidentsiaalset informatsiooni sisaldavatele andmekandjatele on mõistlikus ulatuses tõkestatud. Konfidentsiaalsuskohustus ei ole ajaliselt piiratud.
8.4. Kokkuleppe ning CINEA lepingu sätete vastuolu korral lähtutakse CINEA lepingus sätestatust.
Kliimaministeerium Tarbijakaitse ja Tehnilise Järelevalve Amet
Registrikood 70001231 Registrikood 70003218
Suur-Ameerika tn 1 Endla 10A
10122 Tallinn 10122 Tallinn
(allkirjastatud digitaalselt) (allkirjastatud digitaalselt)
Marten Kokk Kristi Talving
Kantsler Peadirektor
Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
CEF Lump Sum MGA — Multi & Mono: v1.0
EUROPEAN CLIMATE, INFRASTRUCTURE AND ENVIRONMENT EXECUTIVE AGENCY (CINEA)
CINEA.B – Sustainable networks and investments B.2 – CEF Transport: Central and South East Europe + ATM and JTM
GRANT AGREEMENT
Project 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE
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’:
KLIIMAMINISTEERIUM (KLIM), PIC 941609750, established in SUUR-AMEERIKA 1, TALLINN 10122, 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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Associated with document Ref. Ares(2025)2613662 - 01/04/2025
Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
CEF Lump Sum MGA — Multi & Mono: v1.0
Annex 1 Description of the action1
Annex 2 Estimated budget for the action
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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Associated with document Ref. Ares(2025)2613662 - 01/04/2025
Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
CEF Lump Sum 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..............................................................................................................................................12
ARTICLE 1 — SUBJECT OF THE AGREEMENT ..................................................................................... 12
ARTICLE 2 — DEFINITIONS........................................................................................................................12
CHAPTER 2 ACTION................................................................................................................................................. 13
ARTICLE 3 — ACTION................................................................................................................................. 13
ARTICLE 4 — DURATION AND STARTING DATE...................................................................................13
CHAPTER 3 GRANT...................................................................................................................................................13
ARTICLE 5 — GRANT...................................................................................................................................13
5.1 Form of grant......................................................................................................................................13
5.2 Maximum grant amount..................................................................................................................... 14
5.3 Funding rate........................................................................................................................................14
5.4 Estimated budget, budget categories and forms of funding.............................................................. 14
5.5 Budget flexibility................................................................................................................................14
ARTICLE 6 — ELIGIBLE AND INELIGIBLE CONTRIBUTIONS............................................................ 14
6.1 and 6.2 General and specific eligibility conditions........................................................................... 14
6.3 Ineligible contributions.......................................................................................................................15
6.4 Consequences of non-compliance...................................................................................................... 15
CHAPTER 4 GRANT IMPLEMENTATION............................................................................................................ 15
SECTION 1 CONSORTIUM: BENEFICIARIES, AFFILIATED ENTITIES AND OTHER PARTICIPANTS........................................................................................................................................ 15
ARTICLE 7 — BENEFICIARIES................................................................................................................... 15
ARTICLE 8 — AFFILIATED ENTITIES....................................................................................................... 17
ARTICLE 9 — OTHER PARTICIPANTS INVOLVED IN THE ACTION................................................... 18
9.1 Associated partners.............................................................................................................................18
9.2 Third parties giving in-kind contributions to the action.................................................................... 18
9.3 Subcontractors.....................................................................................................................................18
9.4 Recipients of financial support to third parties..................................................................................18
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Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
CEF Lump Sum MGA — Multi & Mono: v1.0
ARTICLE 10 — PARTICIPANTS WITH SPECIAL STATUS....................................................................... 19
10.1 Non-EU participants......................................................................................................................... 19
10.2 Participants which are international organisations...........................................................................19
10.3 Pillar-assessed participants............................................................................................................... 20
SECTION 2 RULES FOR CARRYING OUT THE ACTION...........................................................................22
ARTICLE 11 — PROPER IMPLEMENTATION OF THE ACTION............................................................ 22
11.1 Obligation to properly implement the action................................................................................... 22
11.2 Consequences of non-compliance.................................................................................................... 22
ARTICLE 12 — CONFLICT OF INTERESTS.............................................................................................. 22
12.1 Conflict of interests.......................................................................................................................... 22
12.2 Consequences of non-compliance.................................................................................................... 22
ARTICLE 13 — CONFIDENTIALITY AND SECURITY............................................................................ 23
13.1 Sensitive information........................................................................................................................23
13.2 Classified information...................................................................................................................... 23
13.3 Consequences of non-compliance.................................................................................................... 24
ARTICLE 14 — ETHICS AND VALUES...................................................................................................... 24
14.1 Ethics.................................................................................................................................................24
14.2 Values................................................................................................................................................24
14.3 Consequences of non-compliance.................................................................................................... 24
ARTICLE 15 — DATA PROTECTION.......................................................................................................... 24
15.1 Data processing by the granting authority....................................................................................... 24
15.2 Data processing by the beneficiaries............................................................................................... 25
15.3 Consequences of non-compliance.................................................................................................... 25
ARTICLE 16 — INTELLECTUAL PROPERTY RIGHTS (IPR) — BACKGROUND AND RESULTS — ACCESS RIGHTS AND RIGHTS OF USE................................................................................ 25
16.1 Background and access rights to background..................................................................................25
16.2 Ownership of results.........................................................................................................................26
16.3 Rights of use of the granting authority on materials, documents and information received for policy, information, communication, dissemination and publicity purposes...................................26
16.4 Specific rules on IPR, results and background................................................................................27
16.5 Consequences of non-compliance.................................................................................................... 27
ARTICLE 17 — COMMUNICATION, DISSEMINATION AND VISIBILITY............................................ 27
17.1 Communication — Dissemination — Promoting the action........................................................... 27
17.2 Visibility — European flag and funding statement......................................................................... 27
17.3 Quality of information — Disclaimer..............................................................................................28
17.4 Specific communication, dissemination and visibility rules............................................................28
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Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
CEF Lump Sum MGA — Multi & Mono: v1.0
17.5 Consequences of non-compliance.................................................................................................... 28
ARTICLE 18 — SPECIFIC RULES FOR CARRYING OUT THE ACTION............................................... 29
18.1 Specific rules for carrying out the action........................................................................................ 29
18.2 Consequences of non-compliance.................................................................................................... 29
SECTION 3 GRANT ADMINISTRATION......................................................................................................... 29
ARTICLE 19 — GENERAL INFORMATION OBLIGATIONS....................................................................29
19.1 Information requests......................................................................................................................... 29
19.2 Participant Register data updates..................................................................................................... 29
19.3 Information about events and circumstances which impact the action............................................29
19.4 Consequences of non-compliance.................................................................................................... 30
ARTICLE 20 — RECORD-KEEPING............................................................................................................ 30
20.1 Keeping records and supporting documents.................................................................................... 30
20.2 Consequences of non-compliance.................................................................................................... 30
ARTICLE 21 — REPORTING........................................................................................................................ 30
21.1 Continuous reporting........................................................................................................................ 30
21.2 Periodic reporting: Technical reports and financial statements....................................................... 31
21.3 Currency for financial statements and conversion into euros..........................................................32
21.4 Reporting language...........................................................................................................................32
21.5 Consequences of non-compliance.................................................................................................... 32
ARTICLE 22 — PAYMENTS AND RECOVERIES — CALCULATION OF AMOUNTS DUE................. 32
22.1 Payments and payment arrangements.............................................................................................. 32
22.2 Recoveries.........................................................................................................................................32
22.3 Amounts due.....................................................................................................................................33
22.4 Enforced recovery.............................................................................................................................37
22.5 Consequences of non-compliance.................................................................................................... 38
ARTICLE 23 — GUARANTEES....................................................................................................................39
23.1 Prefinancing guarantee..................................................................................................................... 39
23.2 Consequences of non-compliance.................................................................................................... 39
ARTICLE 24 — CERTIFICATES................................................................................................................... 39
ARTICLE 25 — CHECKS, REVIEWS, AUDITS AND INVESTIGATIONS — EXTENSION OF FINDINGS..................................................................................................................................... 39
25.1 Granting authority checks, reviews and audits................................................................................ 39
25.2 European Commission checks, reviews and audits in grants of other granting authorities..............41
25.3 Access to records for assessing simplified forms of funding.......................................................... 41
25.4 OLAF, EPPO and ECA audits and investigations........................................................................... 41
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CEF Lump Sum MGA — Multi & Mono: v1.0
25.5 Consequences of checks, reviews, audits and investigations — Extension of findings...................42
25.6 Consequences of non-compliance.................................................................................................... 43
ARTICLE 26 — IMPACT EVALUATIONS................................................................................................... 43
26.1 Impact evaluation............................................................................................................................. 43
26.2 Consequences of non-compliance.................................................................................................... 43
CHAPTER 5 CONSEQUENCES OF NON-COMPLIANCE.................................................................................. 43
SECTION 1 REJECTIONS AND GRANT REDUCTION.................................................................................43
ARTICLE 27 — REJECTION OF CONTRIBUTIONS..................................................................................43
27.1 Conditions......................................................................................................................................... 43
27.2 Procedure.......................................................................................................................................... 44
27.3 Effects............................................................................................................................................... 44
ARTICLE 28 — GRANT REDUCTION........................................................................................................ 44
28.1 Conditions......................................................................................................................................... 44
28.2 Procedure.......................................................................................................................................... 45
28.3 Effects............................................................................................................................................... 45
SECTION 2 SUSPENSION AND TERMINATION............................................................................................45
ARTICLE 29 — PAYMENT DEADLINE SUSPENSION............................................................................. 45
29.1 Conditions......................................................................................................................................... 45
29.2 Procedure.......................................................................................................................................... 45
ARTICLE 30 — PAYMENT SUSPENSION...................................................................................................45
30.1 Conditions......................................................................................................................................... 46
30.2 Procedure.......................................................................................................................................... 46
ARTICLE 31 — GRANT AGREEMENT SUSPENSION..............................................................................47
31.1 Consortium-requested GA suspension............................................................................................. 47
31.2 EU-initiated GA suspension.............................................................................................................47
ARTICLE 32 — GRANT AGREEMENT OR BENEFICIARY TERMINATION......................................... 48
32.1 Consortium-requested GA termination............................................................................................ 48
32.2 Consortium-requested beneficiary termination................................................................................ 49
32.3 EU-initiated GA or beneficiary termination.................................................................................... 50
SECTION 3 OTHER CONSEQUENCES: DAMAGES AND ADMINISTRATIVE SANCTIONS............... 53
ARTICLE 33 — DAMAGES...........................................................................................................................54
33.1 Liability of the granting authority....................................................................................................54
33.2 Liability of the beneficiaries............................................................................................................ 54
ARTICLE 34 — ADMINISTRATIVE SANCTIONS AND OTHER MEASURES....................................... 54
SECTION 4 FORCE MAJEURE.......................................................................................................................... 54
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Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
CEF Lump Sum MGA — Multi & Mono: v1.0
ARTICLE 35 — FORCE MAJEURE..............................................................................................................54
CHAPTER 6 FINAL PROVISIONS...........................................................................................................................55
ARTICLE 36 — COMMUNICATION BETWEEN THE PARTIES...............................................................55
36.1 Forms and means of communication — Electronic management................................................... 55
36.2 Date of communication.................................................................................................................... 55
36.3 Addresses for communication.......................................................................................................... 55
ARTICLE 37 — INTERPRETATION OF THE AGREEMENT.....................................................................56
ARTICLE 38 — CALCULATION OF PERIODS AND DEADLINES..........................................................56
ARTICLE 39 — AMENDMENTS.................................................................................................................. 56
39.1 Conditions......................................................................................................................................... 56
39.2 Procedure.......................................................................................................................................... 56
ARTICLE 40 — ACCESSION AND ADDITION OF NEW BENEFICIARIES........................................... 57
40.1 Accession of the beneficiaries mentioned in the Preamble............................................................. 57
40.2 Addition of new beneficiaries.......................................................................................................... 57
ARTICLE 41 — TRANSFER OF THE AGREEMENT................................................................................. 57
ARTICLE 42 — ASSIGNMENTS OF CLAIMS FOR PAYMENT AGAINST THE GRANTING AUTHORITY.................................................................................................................................58
ARTICLE 43 — APPLICABLE LAW AND SETTLEMENT OF DISPUTES.............................................. 58
43.1 Applicable law..................................................................................................................................58
43.2 Dispute settlement............................................................................................................................ 58
ARTICLE 44 — ENTRY INTO FORCE.........................................................................................................58
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Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
CEF Lump Sum MGA — Multi & Mono: v1.0
DATA SHEET
1. General data
Project summary:
Project summary
In compliance with the objectives of the CEF Regulation 2021-2027, the specific objective of the CEF Programme is to contribute to the development of projects of common interest relating to efficient, interconnected and multimodal networks and infrastructure for smart, interoperable, sustainable, inclusive, accessible, safe and secure mobility on the trans-European transport network (TEN-T). It shall contribute to more sustainable modal composition of the transport system, in order to meet EU climate neutrality and zero pollution ambitions by 2050. To achieve this objective, technical assistance is provided to Estonian Ministry of Climate as the main stakeholder responsible for the successful implementation of TEN-T related infrastructure investments, effective management of European Transport Corridors and Urban Nodes.
Keywords:
– Technical Assistance, CEF, CEF-T
Project number: 101225295
Project name: Technical Assistance to Estonia (2025-2027)
Project acronym: 24-EE-TC-24-EE-TC-MS-TA2EE
Call: CEF-T-2024-TACOENEA-IBA
Topic: CEF-T-2024-TACOENEA-MS-LS-IBA
Type of action: CEF Lump Sum Grants
Granting authority: European Climate, Infrastructure and Environment Executive Agency
Grant managed through EU Funding & Tenders Portal: Yes (eGrants)
Project starting date: fixed date: 1 January 2025
Project end date: 31 December 2027
Project duration: 36 months
Consortium agreement: Yes
2. Participants
List of participants:
N° Role Short name Legal name Ctry PIC Max grant amount
1 COO KLIM KLIIMAMINISTEERIUM EE 941609750 900 137.00
1.1 AE TRAM TRANSPORDIAMET EE 888420576 35 000.00
1.2 AE TTJA TARBIJAKAITSE JA TEHNILISE JARELEVALVE AMET EE 898981936 278 965.00
1.3 AE EVR EESTI RAUDTEE AS EE 897556715 8 000.00
Total 1 222 102.00
Coordinator:
– KLIIMAMINISTEERIUM (KLIM)
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Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
CEF Lump Sum MGA — Multi & Mono: v1.0
3. Grant
Maximum grant amount, total estimated eligible costs and contributions and funding rate:
Maximum grant amount (Annex 2)
Maximum grant amount (award decision)
1 222 102.00 1 222 102.00
Grant form: Lump Sum
Grant mode: Action grant
Budget categories/activity types: Lump sum contributions
Cost eligibility options: n/a
Budget flexibility: No
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 36 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) 611 051.00 n/a 1 - KLIM n/a
1.1 - TRAM n/a
1.2 - TTJA n/a
1.3 - EVR n/a
Reporting and payment modalities (art 21, 22):
Mutual Insurance Mechanism (MIM): No
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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): 100% of the maximum grant amount
No-profit rule: n/a
Late payment interest: ECB + 3.5%
Bank account for payments:
EE891010220034796011 EEUHEE2XXXX
Conversion into euros: n/a
Reporting language: Language of the Agreement
4.3 Certificates (art 24): n/a
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
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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)
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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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 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE (‘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 lump sum grant for the completion of work packages.
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
Not applicable
5.4 Estimated budget, budget categories and forms of funding
The estimated budget for the action (lump sum breakdown) is set out in Annex 2.
It contains the estimated eligible contributions for the action (lump sum contributions), broken down by participant and work package.
Annex 2 also shows the types of contributions (forms of funding)9 to be used for each work package.
5.5 Budget flexibility
Budget flexibility does not apply; changes to the estimated budget (lump sum breakdown) always require an amendment (see Article 39).
Amendments for transfers between work packages are moreover possible only if:
- the work packages concerned are not already completed (and declared in a financial statement) and
- the transfers are justified by the technical implementation of the action.
ARTICLE 6 — ELIGIBLE AND INELIGIBLE CONTRIBUTIONS
6.1 and 6.2 General and specific eligibility conditions
Lump sum contributions are eligible (‘eligible contributions’), if:
(a) they are set out in Annex 2 and
(b) the work packages are completed and the work is properly implemented by the beneficiaries and/or the results are achieved, in accordance with Annex 1 and during in the period set out in Article 4 (with the exception of work/results relating to the submission of the final periodic report, which may be achieved afterwards; see Article 21)
They will be calculated on the basis of the amounts set out in Annex 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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6.3 Ineligible contributions
‘Ineligible contributions’ are:
(a) lump sum contributions that do not comply with the conditions set out above (see Article 6.1 and 6.2)
(b) lump sum contributions for activities already funded 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 case:
(i) Synergy actions: not applicable
(c) other:
(i) country restrictions for eligible costs: not applicable.
6.4 Consequences of non-compliance
If a beneficiary declares lump sum 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
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for the entire duration of the action. Lump sum 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)
(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): not applicable
- 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
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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’10 (or similar, such as European research 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
The following entities which are linked to a beneficiary will participate in the action as ‘affiliated entities’:
- TRANSPORDIAMET (TRAM), PIC 888420576, linked to KLIIMAMINISTEERIUM (KLIM)
- TARBIJAKAITSE JA TEHNILISE JARELEVALVE AMET (TTJA), PIC 898981936, linked to KLIIMAMINISTEERIUM (KLIM)
- EESTI RAUDTEE AS (EVR), PIC 897556715, linked to KLIIMAMINISTEERIUM (KLIM)
Affiliated entities can charge lump sum contributions to the action under the same conditions as the beneficiaries and must implement the action tasks attributed to them in Annex 1 in accordance with Article 11.
Their contributions will be included in Annex 2 and will be taken into account for the calculation of the grant.
10 For the definition, see Article 187(2) EU Financial Regulation 2018/1046: “Where several entities satisfy the criteria 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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The beneficiaries must ensure that all their obligations under this Agreement also apply to their affiliated entities.
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 affiliated entities.
Breaches by affiliated entities will be handled in the same manner as breaches by beneficiaries. Recovery of undue amounts will be handled through the beneficiaries.
If the granting authority requires joint and several liability of affiliated entities (see Data Sheet, Point 4.4), they must sign the declaration set out in Annex 3a and may be held liable in case of enforced recoveries against their beneficiaries (see Article 22.2 and 22.4).
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 contributions to the action (no lump sum contributions) and the costs for the in-kind contributions are not eligible (may not be included in the estimated budget in Annex 2).
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 beneficiaries’ costs for subcontracting are considered entirely covered by the lump sum contributions for implementing the work packages (irrespective of the actual subcontracting costs incurred, if any).
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
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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: use qualified external auditors which are independent and comply with comparable standards as those set out in EU Directive 2006/43/EC11
- for the controls under Article 25: 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:
- 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).
11 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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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 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
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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)
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
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- 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 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
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).
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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
(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 2015/44412 and its implementing rules).
Deliverables which contain classified information must be submitted according to special procedures agreed with the granting authority.
12 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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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).
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 2018/172513.
13 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
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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 2016/67914).
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
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:
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).
14 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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(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)
(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 and
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(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.
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 the EU support and display the European flag (emblem) and funding statement (translated into local languages, where appropriate):
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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):
“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
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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 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 lump sum 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:
(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
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(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 (proper implementation of the work and/or achievement of the results as described in Annex 1) in line with the accepted standards in the respective field (if any); beneficiaries do not need to keep specific records on the actual costs incurred.
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, lump sum 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).
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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
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 statement (consolidated statement for the consortium)
- the explanation on the use of resources (or detailed cost reporting table): not applicable
- the certificates on the financial statements (CFS): not applicable.
The financial statement must contain the lump sum contributions indicated in Annex 2, for the work packages that were completed during the reporting period.
For the last reporting period, the beneficiaries may exceptionally also declare partial lump sum contributions for work packages that were not completed (e.g. due to force majeure or technical impossibility).
Lump sum contributions which are not declared in a financial statement will not be taken into account by the granting authority.
By signing the financial statement (directly in the Portal Periodic Reporting tool), the coordinator confirms (on behalf of the consortium) that:
- the information provided is complete, reliable and true
- the lump sum contributions declared are eligible (in particular, the work packages have been completed, that the work has been properly implemented and/or the results were achieved in accordance with Annex 1; see Article 6)
- the proper implementation and/or achievement 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).
In case of recoveries (see Article 22), beneficiaries will be held responsible also for the lump sum contributions declared for their affiliated entities (if any).
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21.3 Currency for financial statements and conversion into euros
The financial statements must be drafted in euro.
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
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.
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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.
This will be done on the basis of work packages already completed in previous interim payments. Payments for ongoing/not yet completed work packages which the beneficiary was working on before termination (if any) will therefore be made only later on, with the next interim or final payments when those work packages have been completed.
The amount due will be calculated in the following step:
Step 1 — Calculation of the total accepted EU contribution
Step 1 — Calculation of the total accepted EU contribution
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The granting authority will first calculate the ‘accepted EU contribution’ for the beneficiary, on the basis of the beneficiary’s lump sum contributions for the work packages which were approved in previous interim payments.
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 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).
22.3.3 Interim payments
Interim payments reimburse the eligible lump sum contributions claimed for work packages implemented 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 and the work packages declared. Their approval does not imply recognition of compliance, authenticity, completeness or correctness of their content.
Incomplete work packages and work packages that have not been delivered or cannot be approved will be rejected (see Article 27).
The interim payment will be calculated by the granting authority in the following steps:
Step 1 — Calculation of the total accepted EU contribution
Step 2 — Limit to the interim payment ceiling
Step 1 — Calculation of the total accepted EU contribution
The granting authority will first calculate the ‘accepted EU contribution’ for the action for the reporting period, by calculating the lump sum contributions for the approved work packages.
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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 eligible lump sum contributions claimed for the implemented work packages (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 and the work packages declared. Their approval does not imply recognition of compliance, authenticity, completeness or correctness of their content.
Work packages (or parts of them) that have not been delivered or cannot be approved will be rejected (see Article 27).
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 lump sum contributions for the approved work packages.
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
Not applicable
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Step 3 — Reduction due to the no-profit rule
Not applicable
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.
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 lump sum 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
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The granting authority will first calculate the ‘revised accepted EU contribution’ for the beneficiary, by calculating the ‘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.
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)
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(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 23.5, 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 2015/236615 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 reference rate applied by the European Central Bank (ECB) for its main refinancing operations in euros, plus the percentage specified in the Data Sheet (Point 4.2). The ECB reference rate to be used 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.
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.
15 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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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
Not applicable
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 lump sum contributions, deliverables and reports.
25.1.2 Project reviews
The granting authority may carry out reviews on the proper implementation of the action and
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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. 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.
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.
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CEF Lump Sum MGA — Multi & Mono: v1.0
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.
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 883/201316 and No 2185/9617
- 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.
16 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).
17 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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CEF Lump Sum MGA — Multi & Mono: v1.0
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 findings
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’).
Moreover, findings arising from an OLAF or EPPO investigation may lead to criminal prosecution under national law.
25.5.2 Extension from other grants
Findings 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 lump sum 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.
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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, lump sum 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 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 CONTRIBUTIONS
27.1 Conditions
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The granting authority will — at interim payment, final payment or afterwards — reject any lump sum 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 lump sum 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
If the granting authority rejects lump sum contributions, it will deduct them from the lump sum 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 (extension of findings; see Article 25.5).
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.
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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
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 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
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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 (extension of findings; see Article 25.5).
If payments are suspended for one or more beneficiaries, the granting authority will make partial 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.
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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 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. Moreover, no work may be done. Ongoing work packages must be interrupted and no new work packages may be started.
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
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CEF Lump Sum MGA — Multi & Mono: v1.0
serious breach of obligations that have a material impact on this grant (extension of findings; see Article 25.5)
(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).
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. Moreover, no work may be done. Ongoing work packages must be interrupted and no new work packages may be started.
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
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- 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 lump sum contributions for activities implemented before the end of work date (see Article 22). Partial lump sum contributions for work packages that were not completed (e.g. due to technical reasons) may exceptionally be taken into account.
If the granting authority does not receive the report within the deadline, only lump sum contributions which are included in an approved periodic report will be taken into account (no contributions if no periodic report was ever approved).
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).
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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
(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 reports submitted in previous interim payments (i.e. beneficiary’s lump sum contributions for completed and approved work packages).
Lump sum contributions for ongoing/not yet completed work packages will have to be included in the periodic report for the next reporting periods when those work packages have been completed.
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:
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(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 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; see Article 25.5)
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(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:
- 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 lump sum contributions for activities implemented before termination takes effect (see Article 22). Partial lump sum contributions for work packages that were not completed (e.g. due to technical reasons) may exceptionally be taken into account.
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 lump sum contributions which are included in an approved periodic report will be taken into account (no 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).
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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
(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 reports submitted in previous interim payments (i.e. beneficiary’s lump sum contributions for completed and approved work packages).
Lump sum contributions for ongoing/not yet completed work packages will have to be included in the periodic report for the next reporting periods when those work packages have been completed.
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
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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.
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 2988/9518).
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.
18 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 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
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.
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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.
ARTICLE 38 — CALCULATION OF PERIODS AND DEADLINES
In accordance with Regulation No 1182/7119, 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.
19 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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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.
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
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- 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 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
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The Agreement will enter into force on the day of signature by the granting authority or the coordinator, depending on which is later.
SIGNATURES
For the coordinator For the granting authority
[--TGSMark#signature-941609750_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: 101225295
Project name: Technical Assistance to Estonia (2025-2027)
Project acronym: 24-EE-TC-24-EE-TC-MS-TA2EE
Call: CEF-T-2024-TACOENEA-IBA
Topic: CEF-T-2024-TACOENEA-MS-LS-IBA
Type of action: CEF-LS
Service: CINEA/B/01
Project starting date: fixed date: 1 January 2025
Project duration: 36 months
TABLE OF CONTENTS
Project summary ......................................................................................................................................................3
List of participants .................................................................................................................................................. 3
List of work packages .............................................................................................................................................4
Staff effort ............................................................................................................................................................... 8
List of deliverables ..................................................................................................................................................9
List of milestones (outputs/outcomes) .................................................................................................................. 12
List of critical risks ............................................................................................................................................... 12
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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.
In compliance with the objectives of the CEF Regulation 2021-2027, the specific objective of the CEF Programme is to contribute to the development of projects of common interest relating to efficient, interconnected and multimodal networks and infrastructure for smart, interoperable, sustainable, inclusive, accessible, safe and secure mobility on the trans-European transport network (TEN-T). It shall contribute to more sustainable modal composition of the transport system, in order to meet EU climate neutrality and zero pollution ambitions by 2050. To achieve this objective, technical assistance is provided to Estonian Ministry of Climate as the main stakeholder responsible for the successful implementation of TEN-T related infrastructure investments, effective management of European Transport Corridors and Urban Nodes.
LIST OF PARTICIPANTS
PARTICIPANTS
Grant Preparation (Beneficiaries screen) — Enter the info.
Number Role Short name Legal name Country PIC
1 COO KLIM KLIIMAMINISTEERIUM EE 941609750
1.1 AE TRAM TRANSPORDIAMET EE 888420576
1.2 AE TTJA TARBIJAKAITSE JA TEHNILISE JARELEVALVE AMET
EE 898981936
1.3 AE EVR EESTI RAUDTEE AS EE 897556715
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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 Cooperation within the European Transport Corridors
1 - KLIM 0.00 1 36 D1.1 – REPA a
WP2 Support to urban nodes 1 - KLIM 0.00 1 36 D2.1 – REPA b
WP3 Cooperation within the Rail Freight Corridors ensuring adequate coordination with the European Transport Corridors
1 - KLIM 0.00 1 36 D3.1 – REPA c
WP4 Cooperation within the Rail freight Corridors ensuring adequate coordination with the CEF 2021-2027: Communication, appraisal of CEF project proposals and technical monitoring of CEF 2 projects in Cohesion countries
1 - KLIM 0.00 1 36 D4.1 – REPA d
WP5 CEF 2014-2020: Legacy management for technical and financial monitoring in Cohesion countries
1 - KLIM 0.00 1 36 D5.1 – REPA e
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Work package WP1 – Cooperation within the European Transport Corridors
Work Package Number WP1 Lead Beneficiary 1 - KLIM
Work Package Name Cooperation within the European Transport Corridors
Start Month 1 End Month 36
Objectives
The objectives pursued under this WP are defined in section 4 of the multiannual Work Programme on the financing of the CEF Transport sector for 2021-2027 of 25 July 2023. More specifically, this WP aims at support accompanying measures pursuant to Article 9(1) of the CEF Regulation (“technical assistance”).
Description
This WP includes the following tasks: a) Participation in meetings such as Corridor/HP Forums, working groups and Corridor-related conferences; b) Consultation and approval of the regularly updated Corridor Work Plans related implementing acts; d) Cooperation with the European Coordinators, national stakeholders and other Member States.
Work package WP2 – Support to urban nodes
Work Package Number WP2 Lead Beneficiary 1 - KLIM
Work Package Name Support to urban nodes
Start Month 1 End Month 36
Objectives
The objectives pursued under this WP are defined in section 4 of the multiannual Work Programme on the financing of the CEF Transport sector for 2021-2027 of 25 July 2023. More specifically, this WP aims at support accompanying measures pursuant to Article 9(1) of the CEF Regulation (“technical assistance”). In particular, the work package aims to support the implementation of the requirements set out in Article 41 of the revised TEN-T Regulation. The outcomes of the work carried out will directly contribute to fulfil the legal obligations required to be put in place by 31 December 2027, namely the adoption and monitoring of a SUMP for each urban node as required by Article 41 b(i) of the TEN-T Regulation; and collection and submission to the Commission of urban mobility data per urban node as required by Article 41(1)b(ii) of the revised TEN-T Regulation.
Description
This WP is implemented via two clusters: (1) sustainable urban mobility planning (SUMP); and (2) urban mobility indicators (UMI) and includes the following tasks: Cluster A - Sustainable urban mobility planning (SUMP): a) Adopting a national SUMP support programme. The program should identify a set of measures aimed at supporting urban nodes for adopting, implementing and monitoring their SUMPs. b) National network of urban nodes. This task offers support to the national SUMP contact points to establish and operate a national network of urban nodes in order to allow networking, identifying common challenges and sharing good practice. To that effect, regular meetings or other events should be organised. c) Preparation of national SUMP Guidelines. This task will focus on developing the national guidance to urban nodes that serves as a basis for assessing and ensuring alignment with the Sustainable Urban Mobility Planning Guidelines for Urban Nodes presented in Annex V of the TEN-T Regulation. d) Assessing the preparedness of urban nodes. The output of this task is a national report presenting the assessment of SUMPs for the urban nodes, identifying potential areas to be improved, including an implementation plan with deadlines and steps per urban node. The report should clearly identify the urban nodes assessed. e) Expert support to urban nodes. The output of this task will be a national report describing the steps implemented per urban node to ensure alignment of their SUMPs with the SUMP guidelines for urban nodes included in Annex V
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of the revised TEN-T Regulation and the national SUMP guidance. The report should clearly identify the urban nodes supported. Cluster B - Urban Mobility Indicators (UMI): f) Analysis of data availability. The Member State is required to support the urban nodes to (1) undertake a data gap analysis assessing availability of data, existing and potential data sources and data collection methods and processes as well as resources available and needed and, based on that analysis, to (2) each draft a data generation plan. The final report should identify the urban nodes supported. g) Support to implement the data generation plans. The Member State is required to support the urban nodes in implementing their data generation plan by e.g. setting up and implementing procedures for data generation, collection, and processing covering all indicators set out in the implementing act on urban mobility indicators. The final report should identify the urban nodes supported. The Member State may consider outsourcing activities to external experts. The Member State should provide in the final report information on the compliance with the recommended outsourcing thresholds as indicated in the lump sum Decision. In case the thresholds could not be respected, the final report should include explanations.
Work package WP3 – Cooperation within the Rail Freight Corridors ensuring adequate coordination with the European Transport Corridors
Work Package Number WP3 Lead Beneficiary 1 - KLIM
Work Package Name Cooperation within the Rail Freight Corridors ensuring adequate coordination with the European Transport Corridors
Start Month 1 End Month 36
Objectives
The objectives pursued under this WP are defined in section 4 of the multiannual Work Programme on the financing of the CEF Transport sector for 2021-2027 of 25 July 2023. More specifically, this WP aims at support accompanying measures pursuant to Article 9(1) of the CEF Regulation (“technical assistance”).
Description
This WP includes the following tasks: a) Preparation of, participation in and follow-up to meetings at corridor level involving stakeholders of the rail freight corridor and cooperation with the European Coordinator responsible for the corresponding European Transport Corridor; b) Preparation of, participation in and follow-up to meetings for coordination between several or all rail freight corridors; c) Coordination activities within the Member State involving in particular the infrastructure manager(s), railway undertakings, terminal owners and managers, regional and local authorities and other relevant stakeholders. d) Preparation of the report pursuant to Article 22 of the Regulation.
Work package WP4 – Cooperation within the Rail freight Corridors ensuring adequate coordination with the CEF 2021-2027: Communication, appraisal of CEF project proposals and technical monitoring of CEF 2 projects in Cohesion countries
Work Package Number WP4 Lead Beneficiary 1 - KLIM
Work Package Name Cooperation within the Rail freight Corridors ensuring adequate coordination with the CEF 2021-2027: Communication, appraisal of CEF project proposals and technical monitoring of CEF 2 projects in Cohesion countries
Start Month 1 End Month 36
Objectives
The objectives pursued under this WP are defined in section 4 of the multiannual Work Programme on the financing
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of the CEF Transport sector for 2021-2027 of 25 July 2023. More specifically, this WP aims at support accompanying measures pursuant to Article 9(1) of the CEF Regulation (“technical assistance”).
Description
This WP includes the following tasks: a) Communication actions relating to the CEF Programme, its actions and results in national languages, incl. organisation of national “Info days”, distribution of newsletters, social media communication and updated information on official websites with links to relevant EU websites; b) Appraisal of CEF project proposals: assessment of the compliance of project proposals with Call requirements and national priorities and signature of Member State agreement before project submission; c) Technical monitoring of the selected ongoing projects to ensure maximum absorption of the national Cohesion allocation.
Work package WP5 – CEF 2014-2020: Legacy management for technical and financial monitoring in Cohesion countries
Work Package Number WP5 Lead Beneficiary 1 - KLIM
Work Package Name CEF 2014-2020: Legacy management for technical and financial monitoring in Cohesion countries
Start Month 1 End Month 36
Objectives
The objectives pursued under this WP are defined in section 4 of the multiannual Work Programme on the financing of the CEF Transport sector for 2021-2027 of 25 July 2023. More specifically, this WP aims at support accompanying measures pursuant to Article 9(1) of the CEF Regulation (“technical assistance”).
Description
This WP includes the following tasks: a) Technical monitoring and financial control of projects selected under CEF 2014 – 2020 in close cooperation with the Commission as well as certification that the expenditure incurred in respect of projects or parts thereof has been disbursed and that the disbursement was in conformity with the relevant rules; b) Promotion of project results co-funded by the EU.
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STAFF EFFORT
Staff effort per participant
Grant Preparation (Work packages - Effort screen) — Enter the info.
Participant WP1 WP2 WP3 WP4 WP5 Total Person-Months
Total Person-Months 0.00 0.00 0.00 0.00 0.00 0.00
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Associated with document Ref. Ares(2025)2613662 - 01/04/2025
Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
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 REPA a WP1 1 - KLIM R — Document, report SEN - Sensitive 36
D2.1 REPA b WP2 1 - KLIM R — Document, report SEN - Sensitive 36
D3.1 REPA c WP3 1 - KLIM R — Document, report SEN - Sensitive 36
D4.1 REPA d WP4 1 - KLIM R — Document, report SEN - Sensitive 36
D5.1 REPA e WP5 1 - KLIM R — Document, report SEN - Sensitive 36
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Associated with document Ref. Ares(2025)2613662 - 01/04/2025
Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
Deliverable D1.1 – REPA a
Deliverable Number D1.1 Lead Beneficiary 1 - KLIM
Deliverable Name REPA a
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 36 Work Package No WP1
Description
The completion of the project will be demonstrated and evidenced by the technical part of the final periodic report, clearly describing the implementation and outcomes per each work package (WP).
Deliverable D2.1 – REPA b
Deliverable Number D2.1 Lead Beneficiary 1 - KLIM
Deliverable Name REPA b
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 36 Work Package No WP2
Description
The completion of the project will be demonstrated and evidenced by the technical part of the final periodic report, clearly describing the implementation and outcomes per each work package (WP).
Deliverable D3.1 – REPA c
Deliverable Number D3.1 Lead Beneficiary 1 - KLIM
Deliverable Name REPA c
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 36 Work Package No WP3
Description
The completion of the project will be demonstrated and evidenced by the technical part of the final periodic report, clearly describing the implementation and outcomes per each work package (WP).
Deliverable D4.1 – REPA d
Deliverable Number D4.1 Lead Beneficiary 1 - KLIM
Deliverable Name REPA d
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 36 Work Package No WP4
Description
The completion of the project will be demonstrated and evidenced by the technical part of the final periodic report, clearly describing the implementation and outcomes per each work package (WP).
10
Associated with document Ref. Ares(2025)2613662 - 01/04/2025
Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
Deliverable D5.1 – REPA e
Deliverable Number D5.1 Lead Beneficiary 1 - KLIM
Deliverable Name REPA e
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 36 Work Package No WP5
Description
The completion of the project will be demonstrated and evidenced by the technical part of the final periodic report, clearly describing the implementation and outcomes per each work package (WP).
11
Associated with document Ref. Ares(2025)2613662 - 01/04/2025
Project: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
LIST OF MILESTONES
(None)
LIST OF CRITICAL RISKS
Critical risks & risk management strategy
Grant Preparation (Critical Risks screen) — Enter the info.
Risk number
Description Work Package No(s)
Proposed Mitigation Measures
1 Delays in the adoption of the Implementing Act on the collection of urban mobility data.
WP2 Active participation in relevant working groups, forums and work meetings.
2 The limited staff and financial resources of cities to prepare their mobility plans.
WP2 Providing expert support to urban nodes and looking for opportunities for additional funds involvement.
3 Time delay when implementing the proposed WPs that may postpone the deadline of the project and achieving its goals.
WP1, WP2, WP4, WP5, WP3
Exhaustive and mutually agreed project plan, efficient management and progress monitoring.
4 Risks related to the completion of activities that are outside the scope of this project proposal but necessary for achieving the results of the project.
WP1, WP2, WP4, WP5, WP3
Communication between various stakeholders and agreements on timeline.
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Associated with document Ref. Ares(2025)2613662 - 01/04/2025
ANNEX 1
Connecting Europe Facility (CEF)
Description of the action (DoA) Part A Part B
Version 1.0 01 September 2021
Associated with document Ref. Ares(2025)2613662 - 01/04/2025
Project: 101225295— 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-MS-LS-IBA
EU Grants: Description of the action (DoA) — Annex 1 (CEF/LS - CINEA/B1): V1.0 – dd.02.2025
2
PROJECT DESCRIPTION
In compliance with the objectives of the CEF Regulation 2021-2027, the specific objective of the CEF Programme is to contribute to the development of projects of common interest relating to efficient, interconnected and multimodal networks and infrastructure for smart, interoperable, sustainable, inclusive, accessible, safe and secure mobility on the trans-European transport network (TEN-T). It shall contribute to more sustainable modal composition of the transport system, in order to meet EU climate neutrality and zero pollution ambitions by 2050.
To achieve this objective, technical assistance is provided to Estonian Ministry of Climate as the main stakeholder responsible for the successful implementation of TEN-T related infrastructure investments, effective management of European Transport Corridors and Urban Nodes.
Associated with document Ref. Ares(2025)2613662 - 01/04/2025
Project: 101225295— 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-MS-LS-IBA
EU Grants: Description of the action (DoA) — Annex 1 (CEF/LS - CINEA/B1): V1.0 – dd.02.2025
3
HISTORY OF CHANGES
VERSION PUBLICATION
DATE CHANGE
1.0 01.09.2021 Initial version (new MFF).
Associated with document Ref. Ares(2025)2613662 - 01/04/2025
Grant Agreement number: 101225295 — 24-EE-TC-24-EE-TC-MS-TA2EE — CEF-T-2024-TACOENEA-IBA
CEF Lump Sum MGA — Multi & Mono: v1.0
ANNEX 2
ESTIMATED BUDGET (LUMP SUM BREAKDOWN) FOR THE ACTION
Estimated EU contribution
Estimated eligible lump sum contributions (per work package)
WP1 Cooperation within the European Transport Corridors WP2 Support to urban nodes
WP3 Cooperation within the Rail Freight Corridors ensuring adequate coordination
with the European Transport Corridors
WP4 Cooperation within the Rail freight Corridors ensuring adequate
coordination with the CEF 2021-2027: Communication, appraisal of CEF project
proposals and technical monitoring of CEF 2 projects in Cohesion countries
WP5 CEF 2014-2020: Legacy management for technical and financial
monitoring in Cohesion countries
Forms of funding Lump sum contribution Lump sum contribution Lump sum contribution Lump sum contribution Lump sum contribution
Maximum grant amount1
a b c d e f = a + b + c + d + e
1 - KLIM 175 776.00 41 800.00 20 914.00 604 795.00 56 852.00 900 137.00
1.1 - TRAM 0.00 35 000.00 0.00 0.00 0.00 35 000.00
1.2 - TTJA 0.00 0.00 0.00 169 371.00 109 594.00 278 965.00
1.3 - EVR 0.00 0.00 8 000.00 0.00 0.00 8 000.00
Σ consortium 175 776.00 76 800.00 28 914.00 774 166.00 166 446.00 1 222 102.00
1 The 'maximum grant amount' is the maximum grant amount fixed in the grant agreement (on the basis of the sum of the beneficiaries' lump sum shares for the work packages).
Page 1 of 1
Associated with document Ref. Ares(2025)2613662 - 01/04/2025
WP1 [name] WP2 [name] WP3 [name] WP4 [name] WP5 [name] WP6 [name] WP7 [name] WP8 [name] WP9 [name] WP10 [name] WP [XX]
Forms of funding
[ Lump sum
contribution][ Financing not
linked to costs]
[ Lump sum
contribution][ Financing
not linked to costs]
[ Lump sum
contribution][ Financing
not linked to costs]
[ Lump sum
contribution][ Financing
not linked to costs]
[ Lump sum
contribution][ Financing not
linked to costs]
[ Lump sum
contribution][ Financing
not linked to costs]
[ Lump sum
contribution][ Financing not
linked to costs]
[ Lump sum
contribution][ Financing
not linked to costs]
[ Lump sum
contribution][ Financing not
linked to costs]
[ Lump sum
contribution][ Financing not
linked to costs]
[ Lump sum
contribution][ Financing not
linked to costs]
Status of completion COMPLETED COMPLETED COMPLETED COMPLETED COMPLETED COMPLETED COMPLETED PARTIALLY COMPLETED PARTIALLY COMPLETED COMPLETED NOT COMPLETED
a b c d e f g h i j k l = a + b+ c + d+ e+ f+ g+ h+ i+ j+ k
1 – [short name beneficiary]
1.1 – [short name affiliated entity]
2 – [short name beneficiary]
2.1 – [short name affiliated entity]
X – [short name associated partner]
Total consortium
ANNEX 4 XXX LUMP SUM MGA — MULTI & MONO
FINANCIAL STATEMENT FOR THE ACTION FOR REPORTING PERIOD [NUMBER]
Eligible lump sum contributions (per work package)
EU contribution
Requested EU contribution
The consortium hereby confirms that:
The information provided is complete, reliable and true.
The lump sum contributions declared are eligible (in particular, the work packages have been completed and the work has been properly implemented and/or the results were achieved; see Article 6).
The proper implementation of the action/achievement of the results 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, 21 and 25).
Associated with document Ref. Ares(2025)2613662 - 01/04/2025
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(2025)2613662 - 01/04/2025
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(2025)2613662 - 01/04/2025
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(2025)2613662 - 01/04/2025
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(2025)2613662 - 01/04/2025
Commission européenne/Europese Commissie, 1049 Bruxelles/Brussel, BELGIQUE/BELGIË - Tel. +32 22991111
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