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Commission Implementing Regulation (EU) No 1011/2014 of 22 September 2014 laying down detailed rules for implementing Regulation (EU) No 1303/2013 of the European Parliament and of the Council as regards the models for submission of certain information to the Commission and the detailed rules concerning the exchanges of information between beneficiaries and managing authorities, certifying authorities, audit authorities and intermediate bodies

Type Implementing Regulation

Publication 2014-09-30

Last updated 2021-03-13

State In force

Department European Commission

Source EUR-Lex

articles 19

Reform history JSON API

CHAPTER I MODELS AND FORMAT TO BE USED FOR SUBMISSION OF CERTAIN INFORMATION TO THE COMMISSION

Article 1

Format for notification of a selected major project

The notification of a selected major project by the managing authority to the Commission in accordance with the first subparagraph of Article 102(1) of Regulation (EU) No 1303/2013 shall be drawn up in accordance with the format set out in Annex I to this Regulation.

Article 2

Model for transmission of financial data

When submitting financial data to the Commission for monitoring purposes in accordance with Article 112 of Regulation (EU) No 1303/2013, the Member States shall use the model set out in Annex II to this Regulation.

Article 3

Model for the description of the functions and procedures in place for the managing authority and the certifying authority

The description of the functions and procedures in place for the managing authority and, where appropriate, the certifying authority shall be drawn up in accordance with the model set out in Annex III to this Regulation.

Where a common system applies to several operational programmes, a single description of the functions and procedures referred to in paragraph 1 may be drawn up.

Article 4

Model for the report of the independent audit body

The audit report of the independent audit body referred to in Article 124(2) of Regulation (EU) No 1303/2013 shall be drawn up in accordance with the model set out in Annex IV to this Regulation.

Where a common system applies to several operational programmes, a single audit report referred to in paragraph 1 may be drawn up.

Article 5

Model for opinion of the independent audit body

The opinion of the independent audit body referred to in Article 124(2) of Regulation (EU) No 1303/2013 shall be drawn up in accordance with the model set out in Annex V to this Regulation.

Where a common system applies to several operational programmes, a single opinion referred to in paragraph 1 may be drawn up.

Article 6

Model for the payment application including additional information concerning financial instruments

The payment application referred to in Articles 41(4) and 131(6) of Regulation (EU) No 1303/2013 shall be drawn up in accordance with the model set out in Annex VI to this Regulation and shall include, where applicable, additional information concerning financial instruments.

Article 7

Model for the accounts

The accounts referred to in Article 137(1) of Regulation (EU) No 1303/2013 shall be submitted to the Commission in accordance with the model set out in Annex VII to this Regulation.

CHAPTER II DETAILED RULES CONCERNING THE EXCHANGES OF INFORMATION BETWEEN BENEFICIARIES AND MANAGING AUTHORITIES, CERTIFYING AUTHORITIES, AUDIT AUTHORITIES AND INTERMEDIATE BODIES

Article 8

Definition and scope of electronic data exchange systems

‘Electronic data exchange systems’, as referred to in the first subparagraph of Article 122(3) of Regulation (EU) No 1303/2013 shall mean mechanisms and instruments allowing the electronic exchange of documents and data, including audiovisual media supports, scanned documents and electronic files.

The exchange of documents and data shall include reporting on progress, payment claims and exchange of information related to management verifications and audits.

The electronic data exchange systems shall enable administrative verification in respect of each application for reimbursement by beneficiaries under Article 125(5) of Regulation (EU) No 1303/2013 and audits to rely on information and documents available through the electronic data exchange systems, when such information and documents are exchanged in electronic form in compliance with Article 122(3) of that regulation. Paper documents may only be requested by these responsible authorities in exceptional cases, following a risk analysis, and only if paper documents are the true source of the scanned documents uploaded in the electronic data exchange systems.

Article 9

Characteristics of the electronic data exchange systems

The electronic data exchange systems shall ensure data security, data integrity, data confidentiality, authentication of the sender in accordance with Articles 122(3), 125(4)(d), 125(8) and 140 of Regulation (EU) No 1303/2013.

The electronic data exchange systems shall be available and operational during and outside standard office hours, except for technical maintenance activities.

If a Member State, on its own initiative, imposes a compulsory use of electronic data exchange systems upon beneficiaries, it shall ensure that the technical characteristics of those systems will not disrupt smooth implementation of the Funds nor restrict access for any beneficiaries.

This requirement does not apply to electronic data exchange systems for beneficiaries which were made compulsory by a Member State during a previous programming period and comply with other requirements laid down in this Regulation.

The electronic data exchange systems shall be equipped with at least the following functionalities:

(a) interactive forms and/or forms prefilled by the system on the basis of the data which are stored at consecutive steps of the procedures;

(b) automatic calculations where applicable;

(d) system-generated alerts to inform the beneficiary that certain actions can be performed;

(e) online status tracking allowing the beneficiary to monitor the current status of the project;

(f) availability of all previous data and documents processed by the electronic data exchange system.

Article 10

Transmission of documents and data through the electronic data exchange systems

The beneficiaries and the authorities referred to in the first subparagraph of Article 122(3) of Regulation (EU) No 1303/2013, shall add the documents and data for which they are responsible, and any updates thereto, to the electronic data exchange systems in the electronic format defined by the Member State.

The Member State shall lay down detailed terms and conditions of electronic data exchange in the document setting out the conditions for support for each operation referred to in Article 125(3)(c) of Regulation (EU) No 1303/2013.

Exchanges of data and transactions shall bear an electronic signature compatible with one of the three types of electronic signature defined by Directive 1999/93/EC of the European Parliament and of the Council ([^E0001]).

The date of transmission of documents and data by the beneficiary to the authorities referred to in the first subparagraph of Article 122(3) of Regulation (EU) No 1303/2013 and vice versa shall be considered to be the date of electronic submission of the information which is stored in the electronic data exchange systems.

Submission of documents and data through the electronic data exchange systems shall be made only once as referred to in the second subparagraph of Article 122(3) of Regulation (EU) No 1303/2013 as regards the same operation for all authorities implementing the same programme.

These authorities shall work together at legal, organisational, semantic and technical levels ensuring effective communication, as well as the exchange and re-use of information and knowledge.

This is without prejudice of processes allowing the beneficiary to update erroneous or obsolete data or unreadable documents.

The electronic data exchange systems shall be accessible either directly through an interactive user interface (a web application) or via a technical interface that allows for automatic synchronisation and transmission of data between beneficiaries' and Member States' systems.

When processing information, the electronic data exchange systems shall guarantee the protection of privacy of personal data for individuals and commercial confidentiality for legal entities according to Directive 2002/58/EC of the European Parliament and of the Council ([^E0002]), Directive 2009/136/EC of the European Parliament and of the Council ([^E0003]) and Directive 95/46/EC of the European Parliament and of the Council ([^E0004]).

In cases of force majeure, and in particular of malfunctioning of the electronic data exchange systems or a lack of a lasting data connection, the beneficiary concerned may submit the information required to the competent authorities in the forms and using the means determined by the Member State for such cases. As soon as the cause of the force majeure ceases, the Member State shall ensure that the relevant documents are integrated into the database related to the electronic data exchange systems.

By way of derogation from paragraph 3, the date taken into account for submitting the required information shall be deemed to be the date of sending of the documents in the required forms.

Member States shall ensure that all beneficiaries can use the electronic data exchange systems referred to in Article 122(3) of Regulation (EU) No 1303/2013, including the beneficiaries of ongoing operations at the date on which the electronic data exchange systems become operational and to which electronic data exchange applies.

Article 11

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

ANNEX I

Format for the notification of a selected major project

NOTIFICATION TO THE COMMISSION OF THE SELECTED MAJOR PROJECT IN ACCORDANCE WITH THE FIRST SUBPARAGRAPH OF ARTICLE 102(1) OF REGULATION (EU) No 1303/2013

EUROPEAN REGIONAL DEVELOPMENT FUND/COHESION FUND

INFRASTRUCTURE/PRODUCTIVE INVESTMENT

**Project title [‘

’]**

CCI []

PART A

Information required by Article 102(1)(a) of Regulation (EU) No 1303/2013

A. BODY RESPONSIBLE FOR IMPLEMENTATION OF THE MAJOR PROJECT

A.1. Authority responsible for project notification (managing authority or intermediate body)


A.1.1	Name:	[^E0005]
A.1.2	Address:
A.1.3	Name of contact person
A.1.4	Position of contact person
A.1.5	Telephone:
A.1.6	E-mail:

Legend for the characteristics of fields: type: N = Number, D = Date, S = String, C = Checkbox, P = Percentage input: M = Manual, S = Selection, G = Generated by system maxlength = Maximum number of characters including spaces

A.2. Body responsible for project implementation (beneficiary ([^E0006]))


A.2.1	Name:
A.2.2	Address:
A.2.3	Name of contact person
A.2.4	Position of contact person
A.2.5	Telephone:
A.2.6	E-mail:

A.3. Is this project a phase of a major project ([^E0007])?


Yes	□	No	□

If yes, please provide a description of the physical and financial objectives of the overall project.

A.4. Has the Commission previously approved any part of this major project?


Yes	□	No	□

If yes, please provide the CCI of the major project approved.

If this project is a part of the major project for which the first phase was carried out in the 2007-2013, please provide a detailed description of the physical and financial objectives of the previous phase, including a description of the implementation of the first phase and confirm that it is or will be ready to be used for its purpose.

A.5. Has the quality review of the independent experts been completed and their report attached in Part B?


Yes	□	No [^E0008]	□

Projects falling under Article 103 of Regulation (EU) No 1303/2013 do not require submission of the independent quality review report.

B. DESCRIPTION OF THE INVESTMENT, ITS LOCATION, TIMETABLE AND EXPECTED CONTRIBUTION OF THE MAJOR PROJECT TO THE SPECIFIC OBJECTIVES OF THE RELEVANT PRIORITY AXIS OR AXES

B.1. Categorisation of project activity ([^E0009])

	Code	Amount	Percentage
B.2.1. Code(s) for the intervention field dimension(s) (More than one should be used where, based on a pro rata calculation, several intervention fields are relevant)
B.2.1. Code(s) for the intervention field dimension(s) (More than one should be used where, based on a pro rata calculation, several intervention fields are relevant)
B.2.1. Code(s) for the intervention field dimension(s) (More than one should be used where, based on a pro rata calculation, several intervention fields are relevant)
B.2.1. Code(s) for the intervention field dimension(s) (More than one should be used where, based on a pro rata calculation, several intervention fields are relevant)
B.2.1. Code(s) for the intervention field dimension(s) (More than one should be used where, based on a pro rata calculation, several intervention fields are relevant)
B.2.2. Code for the form of finance dimension (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.2. Code for the form of finance dimension (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.3. Code for the territorial dimension (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.3. Code for the territorial dimension (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.4. Code for the territorial delivery mechanism
B.2.5. Code for the thematic objective dimension (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.5. Code for the thematic objective dimension (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.6. Code for the economic dimension (NACE Code [^E0010]) (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.6. Code for the economic dimension (NACE Code [^E0010]) (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.7. Code for the location dimension(s) (NUTS III) [^E0011] (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.7. Code for the location dimension(s) (NUTS III) [^E0011] (More than one may be relevant in some cases — pro rata shares to be provided)
B.2.8. Nature of the investment [^E0012] (to be filled in for productive investments only)
B.2.9. Product concerned [^E0013] (to be filled in for productive investments only)

NACE-Rev.2, 4 digit code: Regulation (EC) No 1893/2006 of the European Parliament and of the Council (OJ L 393, 30.12.2006, p. 1).

Regulation (EC) No 1059/2003 of the European Parliament and of the Council (OJ L 154, 21.6.2003, p. 1) as amended. Use the most detailed and relevant NUTS III code. Where a project affects multiple individual NUTS III level areas, consider encoding the NUTS III or higher codes.

New construction = 1; extension = 2; conversion/modernisation = 3; change of locality = 4; creation by take over = 5.

Combined Nomenclature (CN), Council Regulation (EEC) No 2658/87 (OJ L 256, 7.9.1987, p. 1).

B.2. Operational programme or operational programmes and priority axis or priority axes)

B.2.1 Identification of the operational programme or operational programmes and priority axis or priority axes:

CCI of OP	Priority axis of OP	Co-financing Fund
OP1	Priority axis of OP1	*ERDF/CF*
OP1	Priority axis of OP1	*ERDF/CF*
OP2	Priority axis of OP2	*ERDF/CF*
OP2	Priority axis of OP2	*ERDF/CF*

B.3. Project description

(a) Please provide a short description of the project, its main objectives and the main project components. In case of productive investments a short technical description must also be provided.

(b) Please provide a map identifying the project area and geo-referenced data ([^E0014]).

(c) Please give below the timetable for the development of the major project and its implementation. Start date (A) Completion date (B) 1. Feasibility studies (or business plan if productive investment): [^E0015] 2. Cost-benefit analysis: 3. Environmental impact assessment: 4. Design studies: 5. Preparation of tender documentation(s): 6. Tender procedure(s): 7. Land acquisition: 8. Development consent: 9. Construction phase/contract: 10. Operational phase: (¹) Legend for the characteristics of fields: type: N = Number, D = Date, S = String, C = Checkbox, P = Percentage input: M = Manual, S = Selection, G = Generated by system max length = Maximum number of characters including spaces

(d) Please provide details on the expected contribution of the major project to achieving the result indicators under the specific objectives of the relevant priority axis or priority axes of the operational programme(s).

C. TOTAL COST AND TOTAL ELIGIBLE COST

C.1. Please complete table below on the basis of the format for submission of information set out in accordance with Article 101 of Regulation (EU) No 1303/2013.

	EUR	Total Project costs (A)	Ineligible costs (B)	Eligible costs (C) = (A) – (B)	Percentage of total eligible costs
		*Input*	*Input*	*Calculated*	*Calculated*
1	Planning/design fees
2	Land purchase
3	Building and construction
4	Plant and machinery or equipment
5	Contingencies
6	Price adjustment (if applicable)
7	Publicity
8	Supervision during construction implementation
9	Technical assistance
10	Sub-total
11	(VAT)
12	TOTAL

Please provide the exchange rate and the reference (where applicable).

Please provide an explanation on any of the above elements, where relevant.

C.2. Compliance with State aid rules

In case the project involves the granting of State aid, please fill in the table below ([^E0016]).

	Total amount of eligible cost (EUR) [^E0018]	Aid intensity (in %)	State aid number/registry number for block-exempted aid
Approved aid scheme or approved ad hoc aid
Aid falling under a block exemption regulation
Aid in line with the SGEI decision [^E0019] or the regulation on public land passenger traffic [^E0020]			Not applicable
Total aid granted	Not applicable	Not applicable	Not applicable

Gross grant equivalent (GGE) means the discounted value of the aid expressed as a percentage of the discounted value of the eligible costs, as calculated at the time of award of the aid on the basis of the reference rate applicable on that date.

State aid rules include provisions on eligible cost. In this column Member States should indicate the total amount of eligible cost based on the State aid rules that have been applied.

Commission Decision of 20 December 2011 on the application of Article 106(2) of the Treaty on the Functioning of the European Union to State aid in the form of public service compensation granted to certain undertakings entrusted with the operation of services of general economic interest (OJ L 7, 11.1.2012, p. 3).

Regulation (EC) No 1370/2007 of the European Parliament and of the Council of 23 October 2007 on public passenger transport services by rail and by road and repealing Council Regulations (EEC) Nos 1191/69 and 1107/70 (OJ L 315, 3.12.2007, p. 1).

C.3. Total eligible cost calculation

Please choose the relevant option and complete the information on the basis of the format for submission of information set out in accordance with Article 101 of Regulation (EU) No 1303/2013.

Method of calculation of the potential net revenue	Put x in one box only
Calculation of the discounted net revenue
Flat rate method
Decreased co-financing rate method

Calculation of the discounted net revenue (Article 61(3)(b) of Regulation (EU) No 1303/2013)

		Value
1.	Total eligible cost before taking account of the requirements set out in Article 61 of Regulation (EU) No 1303/2013 (in EUR, not discounted)
2.	Pro-rata application of discounted net revenue (%) (if applicable)
3.	Total eligible cost after taking into account of the requirements set out in Article 61 of Regulation (EU) No 1303/2013 (in EUR, not discounted) = (1)(2) The maximum public contribution must respect the State aid rules and the amount of total aid granted reported above (if applicable)*

Flat rate method or decreased co-financing rate method (Article 61(3)(a) and Article 61(5) of Regulation (EU) No 1303/2013)

		Value
1.	Total eligible cost before taking account of the requirements set out in Article 61 of Regulation (EU) No 1303/2013 (in EUR, not discounted)
2.	Net revenue flat rate as defined in Annex V to Regulation (EU) No 1303/2013 or delegated acts (FR) (%)
3.	Total eligible cost after taking account of the requirements set out in Article 61 of Regulation (EU) No 1303/2013 (in EUR, not discounted) = (1)(1-FR) The maximum public contribution must respect the State aid rules and the amount of total aid granted reported above (if applicable) * In case of decreased co-financing rate method, this formula is not applicable (flat rate is reflected in co-financing rate of the priority axis, resulting in lower ERDF/CF financing) and the total eligible cost is equal to the amount mentioned in point (1)

D. FINANCING PLAN, AND PHYSICAL AND FINANCIAL INDICATORS FOR MONITORING PROGRESS, TAKING ACCOUNT OF THE IDENTIFIED RISKS

D.1. Sources of co-financing

Source of financing total investment expenditure (EUR)	Source of financing total investment expenditure (EUR)	Source of financing total investment expenditure (EUR)	Source of financing total investment expenditure (EUR)	Source of financing total investment expenditure (EUR)	Of which (for information)
Total investment cost [C.1.12.(A)]	Union support	National public (or equivalent)	National private	Other sources (specify)	EIB/EIF financing:
(a) = (b) + (c) + (d) + (e)	(b)	(c)	(d)	(e)	(f)

D.2. Annual plan of total eligible expenditure to be declared to the Commission (financial indicator for monitoring progress)

The total eligible expenditure to be declared to the Commission shall be presented below in terms of the annual share in EUR. In the case of a major project co-financed by more than one operational programme, the annual plan shall be presented separately for each operational programme. In the case of a major project co-financed by more than one priority axis, the annual plan should be broken down by priority axis.

(in EUR)	2014	2015	2016	2017	2018	2019	2020	2021	2022	2023	Total eligible expenditure
Priority axis of OP1
Priority axis of OP1
Priority axis of OP2
Priority axis of OP2

D.3. Output indicators ([^E0021])and other physical indicators for monitoring progress

Please list in the table provided output indicators, including common indicators as specified in the operational programme(s) and other physical indicators for monitoring progress. Volume of information will depend on complexity of projects, but only main indicators should be presented.

OP and priority axis	Name of indicator	Measurement unit	Target value for the major project	Target year
	Common: Other:	Common: Other:

D.4. Risk assessment

Please present a short summary of the main risks to the successful physical and financial implementation of the project and the proposed risk mitigation measures

E. IS THE PROJECT SUBJECT TO A LEGAL PROCEDURE FOR NON-COMPLIANCE WITH UNION LAW?


Yes	□	No	□

If yes, please give details and justify the proposed contribution from the Union budget to the project in this respect:

F. HAS THE UNDERTAKING PREVIOUSLY BEEN, OR IS IT CURRENTLY, SUBJECT OF A PROCEDURE ([^E0022]) TO RECOVER UNION SUPPORT FOLLOWING THE RELOCATION OF A PRODUCTIVE ACTIVITY OUTSIDE THE PROGRAMME AREA OR OUTSIDE THE UNION?


Yes	□	No	□

If yes, please give details and justify the proposed contribution from the Union budget to the project in this respect:

In addition, for productive investments please give details of the expected impact of the project on employment in other regions of the Union, and define whether the financial contribution from the Funds does not result in a substantial loss of jobs in existing locations within the Union.

PART B

Independent quality review report

The independent experts declare that:

1. They have fulfilled the requirements of Article 23(2)(b) of Commission Delegated Regulation (EU) No 480/2014.

1. They have appraised the project in accordance with all the criteria set out in Annex II to that Regulation.


Member State
Region and project location
Project name
Beneficiary
Managing authority
Independent experts reference

---	---
[NAME and FUNCTION] Independent experts	Signature:

---	---
DATE

Please confirm that all of the following conditions are fulfilled: the operation is a major project within the meaning of Article 100 of Regulation (EU) No 1303/2013; the major project is not a completed operation within the meaning of Articles 2(14) and 65(6) of that Regulation; the major project is included within the relevant operational programme(s).

	*Put x where appropriate*	*Give details*
Yes
No

1. THE BODY RESPONSIBLE FOR IMPLEMENTATION OF THE MAJOR PROJECT, AND ITS CAPACITY

Summarise relevant information on the body responsible for implementation of the major project, and its capacity including technical, legal, financial and administrative capacity.

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

2. DESCRIPTION OF THE INVESTMENT AND ITS LOCATION

Summarise relevant information on the description of the investment and its location.

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

3. EXPLANATION AS TO HOW IT IS CONSISTENT WITH THE RELEVANT PRIORITY AXES OF THE OPERATIONAL PROGRAMME(S) CONCERNED, AND ITS EXPECTED CONTRIBUTION TO ACHIEVING THE SPECIFIC OBJECTIVES OF THOSE PRIORITY AXES AND THE EXPECTED CONTRIBUTION TO SOCIOECONOMIC DEVELOPMENT

Summarise relevant information on project objectives and its consistency with the relevant priority axes of the operational programme or operational programmes concerned, and its expected contribution to achieving the specific objectives and results of those priority axes and the expected contribution to socioeconomic development of the area covered by the operational programme, and measures taken by the beneficiary to ensure optimal utilisation of the infrastructure in the operation phase.

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

4. TOTAL COST AND TOTAL ELIGIBLE COST

4.1. Summarise relevant information on the total cost, calculation of costs both in terms of its overall cost to achieve the expected objectives and unit costs, and total eligible cost taking into account requirements of Article 61 of Regulation (EU) No 1303/2013.

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

4.2. Provide information on compliance with State aid rules and how State aid rules have been taken into account in the calculation of the total public contribution to the project.

4.2.1 Please inform whether the independent experts, in accordance with Article 23(1) of Commission Delegated Regulation (EU) No 480/2014 or the Member State, have consulted the Commission on relevant State aid issues.

If the Commission has been consulted, please provide the date and reference of consultation and the date and reference of the reply and summarize the result of the consultation.

4.2.2 If the Commission has not been consulted, please provide the following information:

Do you consider that this project involves the granting of State aid?


Yes	□	No	□

If yes, please explain on what basis compliance with State aid rules is ensured. Please provide this information for all groups of potential State aid recipients, for example, in case of infrastructures, for the owner, the constructors, the operator and for the users of the infrastructure.

If no, please explain in detail why you consider that the support does not constitute State aid. Please provide this information for all groups of potential State aid recipients (for example, in case of infrastructures potential aid recipients are: the owner of the infrastructure, the constructor, the operator and the users of the infrastructure) ([^E0023]). If applicable, please indicate whether the reason why you consider that the project does not involve State aid is that (i) the project does not concern any economic activity (including activities in the public remit) or that (ii) the recipient(s) of support enjoy a legal monopoly for the relevant activities and are not active in any other liberalised sector (or will keep separate accounts in case the recipient(s) are active in additional sectors).

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

5. FEASIBILITY STUDIES CARRIED OUT, INCLUDING OPTION ANALYSIS, AND THE RESULTS

5.1. Summarise relevant information on the feasibility studies carried out and the results under the following aspects: institutional, technical, environmental including climate change (if relevant) and other aspects.

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

5.2. Summarise relevant information on the demand analysis (or business plan in case of productive investment).

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

5.3. Summarise relevant information on the option analysis and selection of the best option.

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

6. A COST-BENEFIT ANALYSIS, INCLUDING A FINANCIAL AND AN ECONOMIC ANALYSIS, AND A RISK ASSESSMENT

6.1. Summarise relevant information on the financial analysis, including the main indicators of the financial analysis i.e. FRR and FNPV, calculation of net revenue and its result, tariff strategy and affordability (if applicable), and financial viability (sustainability).

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and follows the cost-benefit analysis methodology as described in Annex III to Commission Implementing Regulation (EU) No […]/2014 ([^E0024]) and related guidance, and the method for calculation of net revenue as referred to in Article 61 of Regulation (EU) No 1303/2013 and in Articles 15 to 19 of Commission Delegated Regulation (EU) No 480/2014, and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

6.2. Summarise relevant information on the economic analysis, including the main indicators of the economic analysis i.e. ERR and ENPV and main economic benefits and costs.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

6.3. Summarise relevant information on the risk assessment including main risks identified and mitigation measures.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

7. AN ANALYSIS OF THE ENVIRONMENTAL IMPACT, TAKING INTO ACCOUNT CLIMATE CHANGE ADAPTATION AND MITIGATION NEEDS, AND DISASTER RESILIENCE

7.1. Summarise relevant information on the analysis of the environmental impact.

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

7.2. Summarise relevant information on the climate change adaptation and mitigation, and disaster resilience.

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

8. THE FINANCING PLAN SHOWING THE TOTAL PLANNED FINANCING RESOURCES AND THE PLANNED SUPPORT FROM THE FUNDS, THE EIB, AND ALL OTHER SOURCES OF FINANCING, TOGETHER WITH PHYSICAL AND FINANCIAL INDICATORS FOR MONITORING PROGRESS, TAKING ACCOUNT OF THE IDENTIFIED RISKS

Summarise relevant information on the financial plan together with physical and financial indicators for monitoring progress, taking into account of the identified risks, and on the calculation of the Union contribution including information on the method of calculation.

Give a clear statement whether or not the project meets the relevant criteria for quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

9. THE TIMETABLE FOR IMPLEMENTING THE MAJOR PROJECT

Summarise relevant information on the timetable for implementing the major project (or its phase in case the implementation is longer the programming period) including public procurement.

Give a clear statement whether or not the project meets the relevant criteria for the quality review set out in Annex II to Commission Delegated Regulation (EU) No 480/2014 and justify this statement.

	*Put x where appropriate*	*Give a statement and justification*
Yes
No

CONCLUSIONS OF THE INDEPENDENT QUALITY REVIEW



Based on the information made available by the project beneficiary for this Independent quality review and the analysis of this information on the basis of Article 23 and Annex II to Commission Delegated Regulation (EU) No 480/2014, do the independent experts appraise the major project positively and confirm its feasibility and economic viability?		Yes
Based on the information made available by the project beneficiary for this Independent quality review and the analysis of this information on the basis of Article 23 and Annex II to Commission Delegated Regulation (EU) No 480/2014, do the independent experts appraise the major project positively and confirm its feasibility and economic viability?		No
Based on the information made available by the project beneficiary for this Independent quality review and the analysis of this information on the basis of Article 23 and Annex II to Commission Delegated Regulation (EU) No 480/2014, do the independent experts appraise the major project positively and confirm its feasibility and economic viability?	Please put x where appropriate	Please put x where appropriate
	Please put x where appropriate	Please put x where appropriate

PART C

Declaration of competent national authority

I confirm that the information presented in this form is accurate and correct.

I confirm that Independent quality review report has not lost its validity due to any changes relevant to the major project which have occurred between the date of the submission of the final report to the Member State and the date of the notification of the major project to the Commission, which were not addressed in the report.

NAME:

SIGNATURE: (electronically signed via SFC)

ORGANISATION:

(MANAGING AUTHORITY(-IES)

DATE:

ANNEX II

Model for the transmission of financial data ([^E0025])

Table 1

Financial information at priority axis and programme level

1.	2.	3.	4.	5.	6.	7.	8.	9.	10.	11.	12.
The financial allocation of the priority axis based on the operational programme [extracted from Table 18a of the operational programme]	The financial allocation of the priority axis based on the operational programme [extracted from Table 18a of the operational programme]	The financial allocation of the priority axis based on the operational programme [extracted from Table 18a of the operational programme]	The financial allocation of the priority axis based on the operational programme [extracted from Table 18a of the operational programme]	The financial allocation of the priority axis based on the operational programme [extracted from Table 18a of the operational programme]	The financial allocation of the priority axis based on the operational programme [extracted from Table 18a of the operational programme]	Cumulative data on the financial progress of the operational programme	Cumulative data on the financial progress of the operational programme	Cumulative data on the financial progress of the operational programme	Cumulative data on the financial progress of the operational programme	Cumulative data on the financial progress of the operational programme	Cumulative data on the financial progress of the operational programme
Priority axis	Fund [^E0027]	Category of region [^E0028]	Basis for the calculation of Union support* (Total eligible cost or public eligible cost)	Total funding (EUR)	Co-financing rate (%)	Total eligible cost of operations selected for support (EUR)	Proportion of the total allocation covered with selected operations (%) [column 7/column 5x 100]	Public eligible cost of operations selected for support (EUR)	Total eligible expenditure declared by beneficiaries to the managing authority	Proportion of the total allocation covered by eligible expenditure declared by beneficiaries (%) [column 10/column 5x100]	Number of operations selected
							Calculation			Calculation


Priority axis 1	ERDF
Priority axis 2	ESF
Priority axis 3	YEI [^E0029]	NA
Priority axis 4	ESF
Priority axis 4	YEI [^E0030]	NA
Priority axis 5	Cohesion Fund	NA
Priority axis 6	ERDF REACT-EU	NA
Priority axis 7	ESF REACT-EU	NA
Priority axis 8	ESF REACT-EU	NA
Priority axis 8	YEI REACT-EU [^E0030]	NA
Priority axis 9	YEI REACT-EU [^E0029]	NA
Total	ERDF	Less developed
Total	ERDF	Transition
Total	ERDF	More developed
Total	ERDF	Special allocation to outermost regions or northern sparsely populated regions
Total	ESF [^E0031]	Less developed
Total	ESF [^E0031]	Transition
Total	ESF [^E0031]	More developed
Total	YEI [^E0032]	NA
Total	YEI REACT-EU [^E0033]	NA
Total	Cohesion Fund	NA
Total	ERDF REACT-EU	NA
Total	ESF REACT-EU	NA
Grand Total	All Funds

Tables in this Annex provide for the split of the REACT-EU resources (Article 92a of Regulation (EU) No 1303/2013) where necessary, i.e.: ERDF REACT-EU, ESF REACT-EU and YEI REACT-EU.

In case the YEI is programmed as part of a priority axis (in accordance with point (c) of the second subparagraph of Article 18 of Regulation (EU) No 1304/2013), the information has to be provided separately from the other part of the priority axis.

This does not apply to the resources allocated to the YEI (i.e. the YEI specific allocation and the matching ESF support), to the Cohesion Fund, to ERDF REACT-EU and ESF REACT-EU.

This priority axis comprises the specific allocation to YEI and the matching ESF support.

This part of a priority axis comprises the specific allocation to YEI and the matching ESF support.

ESF allocation without the matching support for YEI.

Includes the YEI special allocation and the matching support from the ESF.

Includes the YEI special allocation and the matching support from the ESF REACT-EU.

Table 2

Breakdown of the cumulative financial data by category of intervention for the transmission made by 31 January

Priority axis	Characteristics of expenditure	Characteristics of expenditure	Categorisation dimensions	Categorisation dimensions	Categorisation dimensions	Categorisation dimensions	Categorisation dimensions	Categorisation dimensions	Categorisation dimensions	Categorisation dimensions	Financial data	Financial data	Financial data	Financial data
	Fund [^E0034]	Category of region	1 Intervention field	2 Form of finance	3 Territorial dimension	4 Territorial delivery mechanism	5 Thematic objective dimension ERDF/Cohesion Fund	6 ESF secondary theme	7 Economic dimension	8 Location dimension	Total eligible cost of operations selected for support (EUR)	Public eligible cost of operations selected for support (EUR)	The total eligible expenditure declared by beneficiaries to the managing authority	Number of operations selected

Data for the YEI shall be presented separately without splitting the YEI specific allocation and the matching ESF support. Data for ERDF REACT-EU as well as for ESF REACT-EU shall be presented separately.

Table 3

A forecast of the amount for which the Member State expects to submit interim payment applications for the current financial year and the subsequent financial year

For each programme, to be filled in by Fund and category of region, where appropriate

Fund	Category of region	Union contribution	Union contribution	Union contribution
Fund	Category of region	[current financial year]	[current financial year]	[subsequent financial year]
Fund	Category of region	January – October	November – December	January- December
ERDF	Less developed regions
	Transition regions
	More developed regions
	Outermost regions and Northern sparsely populated regions [^E0035]
ETC
ESF	Less developed regions
	Transition regions
	More developed regions
YEI [^E0036]
Cohesion Fund
ERDF REACT-EU
ESF REACT-EU
YEI REACT-EU

This should only show the specific allocation for outermost regions/Northern sparsely populated regions.

This includes the specific allocation for the YEI and the corresponding ESF support.

ANNEX III

Model for the description of the functions and procedures in place for the managing authority and the certifying authority

1. GENERAL

1.1. Information submitted by:

— [Name of the] Member State;

— Title of the programme and CCI: (all operational programmes covered by the managing authority/certifying authority), in case of common management and control system);

— Name of main contact point, including e-mail: (body responsible for the description).

1.2. The information provided describes the situation on: (dd/mm/yy)

1.3. System structure (general information and flowchart showing the organisational relationship between the authorities/bodies involved in the management and control system)

1.3.1. Managing authority (Name, address and contact point in the managing authority):

Indicate whether the managing authority is also designated as the certifying authority, in accordance with Article 123(3) of Regulation (EU) No 1303/2013.

1.3.2. Certifying authority (Name, address and contact point in the certifying authority).

1.3.3. Intermediate bodies (Name, address and contact points in the intermediate bodies).

1.3.4. When Article 123(5) of Regulation (EU) No 1303/2013 applies, indicate how the principle of separation of functions between the audit authority and the managing/certifying authorities is ensured.

2. MANAGING AUTHORITY

2.1. Managing authority and its main functions

2.1.1. The status of the managing authority (national, regional or local public body or private body) and the body of which it is part ([^E0037]).

2.1.2. Specification of the functions and tasks carried out directly by the managing authority.

Where the managing authority also carries out in addition the functions of the certifying authority, description of how separation of functions is ensured.

2.1.3. Specification of the functions formally delegated by the managing authority, identification of the intermediate bodies and the form of the delegation (underlying that the managing authorities maintains the full responsibility for the delegated functions), under Article 123(6) and (7) of Regulation (EU) No 1303/2013. Reference to relevant documents (legal acts with empowerments, agreements). Where applicable, specifications of the functions of the controllers foreseen in Article 23(4) of Regulation (EU) No 1299/2013, for European territorial cooperation programmes.

2.1.4. Description of the procedures for ensuring effective and proportionate anti-fraud measures taking account of the risks identified, including reference to the risk assessment carried out (Article 125(4)(c) of Regulation (EU) No 1303/2013).

2.2. Organisation and procedures of the managing authority

2.2.1. Organisation chart and specifications of the functions of the units (including the plan for allocation of appropriate human resources with the necessary skills). This information also covers the intermediate bodies to which some functions have been delegated.

2.2.2. Framework to ensure that an appropriate risk management exercise is conducted when necessary, and in particular in the event of major modifications to the management and control system.

2.2.3. Description of the following procedures (that should be provided in writing to the staff of the managing authority and intermediate bodies; date and reference):

2.2.3.1. Procedures to support the work of the monitoring committee.

2.2.3.2. Procedures for a system to collect, record and store in computerised form data on each operation necessary for monitoring, evaluation, financial management, verification and audit, including, where applicable, data on individual participants and a breakdown of data on indicators by gender when required.

2.2.3.3. Procedures for the supervision of the functions formally delegated by the managing authority under Article 123(6) and (7) of Regulation (EU) No 1303/2013.

2.2.3.4. Procedures for appraising, selecting and approving operations and for ensuring their compliance, for the entire implementation period, with applicable rules (Article 125(3) of Regulation (EU) No 1303/2013), including instructions and guidance ensuring the contribution of operations to achieving the specific objectives and results of the relevant priorities in accordance with the provisions of Article 125(3)(a)(i) of Regulation (EU) No 1303/2013 and procedures to ensure that operations are not selected where they have been physically completed or fully implemented before the application for funding by the beneficiary (including the procedures used by the intermediate bodies where the appraisal, selection and approval of operations have been delegated).

2.2.3.5. Procedures to ensure the provision to the beneficiary of a document setting out the conditions for support for each operation, including procedures to ensure that beneficiaries maintain either a separate accounting system or an adequate accounting code for all transactions relating to an operation.

2.2.3.6. Procedures for the verifications of operations (in line with requirements under Article 125(4) to (7) of Regulation (EU) No 1303/2013), including for ensuring the compliance of operations with the Union policies (such as those related to partnership and multi-level governance, promotion of equality between men and women, non-discrimination, accessibility for persons with disabilities, sustainable development, public procurement, State aid and environment rules), and identification of the authorities or bodies carrying out such verifications. The description shall cover administrative management verifications in respect of each application for reimbursement by beneficiaries and on-the-spot management verifications of operations, that may be carried out on a sample basis. Where the management verifications have been delegated to intermediate bodies, the description should include the procedures applied by the intermediate bodies for those verifications and the procedures applied by the managing authority to supervise the effectiveness of the functions delegated to the intermediate bodies. The frequency and coverage shall be proportionate to the amount of public support to an operation and to the level of risk identified by these verifications and audits by the audit authority for the management and control system as a whole.

2.2.3.7. Description of the procedures by which applications for reimbursement are received from beneficiaries, verified, and validated, and by which payments to beneficiaries are authorised, executed and accounted for, in line with obligations set out in Article 122(3) of Regulation (EU) No 1303/2013 as from 2016 (including the procedures used by the intermediate bodies where processing of applications for reimbursement has been delegated), in view of respecting the deadline of 90 days for payments to beneficiaries under Article 132 of Regulation (EU) No 1303/2013.

2.2.3.8. Identification of the authorities or bodies carrying out each step in the processing of the application for reimbursement, including a flowchart indicating all bodies involved.

2.2.3.9. Description of how information is transmitted to the certifying authority by the managing authority, including information on deficiencies and/or irregularities (including suspected and established fraud) detected and their follow-up in the context of management verifications, audits and controls by Union or national bodies.

2.2.3.10. Description of how information is transmitted to the audit authority by the managing authority, including information on deficiencies and/or irregularities (including suspected and established fraud) detected and their follow-up in the context of management verifications, audits and controls by Union or national bodies.

2.2.3.11. Reference to national eligibility rules laid down by the Member State and applicable to the operational programme.

2.2.3.12. Procedures to draw up and submit to the Commission annual and final implementation reports (Article 125(2)(b) of Regulation (EU) No 1303/2013), including the procedures for collecting and reporting reliable data on performance indicators (Article 125(2)(a) of Regulation (EU) No 1303/2013).

2.2.3.13. Procedures for drawing up the management declaration (Article 125(4)(e) of Regulation (EU) No 1303/2013).

2.2.3.14. Procedures for drawing up the annual summary of the final audit reports and of controls carried out, including an analysis of the nature and extent of errors and weaknesses identified in systems, as well as corrective action taken or planned (Article 125(4)(e) of Regulation (EU) No 1303/2013).

2.2.3.15. Procedures concerning the communication to staff of the above procedures, as well as an indication of training organised/foreseen and any guidance issued (date and reference).

2.2.3.16. Description, where applicable, of the procedures of the managing authority in relation to the scope, rules and procedures concerning the effective arrangements set out by the Member State ([^E0038]) for the examination of complaints concerning the ESI Funds, in the context of Article 74(3) of Regulation (EU) No 1303/2013.

2.3. Audit trail

2.3.1. Procedures to ensure an adequate audit trail and archiving system, including with respect to the security of data, taking account of Article 122(3) of Regulation (EU) No 1303/2013, in accordance with national rules on the certification of conformity of documents (Article 125(4)(d) of Regulation (EU) No 1303/2013 and Article 25 of Commission Delegated Regulation (EU) No 480/2014).

2.3.2. Instructions given on keeping supporting documents available by beneficiaries/intermediate bodies/managing authority (date and reference):

2.3.2.1. Indication of the period during which documents are to be held.

2.3.2.2. Format in which the documents are to be held.

2.4. Irregularities and recoveries

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