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Commission Implementing Regulation (EU) No 1011/2014Show full title

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

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  1. Introductory Text

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

    1. Article 1.Format for notification of a selected major project

    2. Article 2.Model for transmission of financial data

    3. Article 3.Model for the description of the functions and procedures in place for the managing authority and the certifying authority

    4. Article 4.Model for the report of the independent audit body

    5. Article 5.Model for opinion of the independent audit body

    6. Article 6.Model for the payment application including additional information concerning financial instruments

    7. Article 7.Model for the accounts

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

    1. Article 8.Definition and scope of electronic data exchange systems

    2. Article 9.Characteristics of the electronic data exchange systems

    3. Article 10.Transmission of documents and data through the electronic data exchange systems

    4. Article 11.This Regulation shall enter into force on the twentieth day...

  4. Signature

    1. ANNEX I

      Format for the notification of a selected major project

      1. 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

        1. INFRASTRUCTURE/PRODUCTIVE INVESTMENT Project title [‘’] CCI [] PART A Information required by...CCI [] PART A Information required by Article 102(1)(a) of...

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

            1. A. BODY RESPONSIBLE FOR IMPLEMENTATION OF THE MAJOR PROJECT

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

              2. A.2. Body responsible for project implementation (beneficiary )

              3. A.3. Is this project a phase of a major project ?...

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

              5. A.5. Has the quality review of the independent experts been completed...

            2. B. DESCRIPTION OF THE INVESTMENT, ITS LOCATION, TIMETABLE AND EXPECTED CONTRIBUTION...

              1. B.1. Categorisation of project activity

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

                1. B.2.1 Identification of the operational programme or operational programmes and priority...

              3. B.3. Project description

            3. C. TOTAL COST AND TOTAL ELIGIBLE COST

              1. C.1. Please complete table below on the basis of the format...

              2. C.2. Compliance with State aid rules

              3. C.3. Total eligible cost calculation

                1. Calculation of the discounted net revenue (Article 61(3)(b) of Regulation...

                2. Flat rate method or decreased co-financing rate method (Article 61(3)(a)...

            4. D. FINANCING PLAN, AND PHYSICAL AND FINANCIAL INDICATORS FOR MONITORING PROGRESS,...

              1. D.1. Sources of co-financing

              2. D.2. Annual plan of total eligible expenditure to be declared to...

              3. D.3. Output indicators and other physical indicators for monitoring progress

              4. D.4. Risk assessment

            5. E. IS THE PROJECT SUBJECT TO A LEGAL PROCEDURE FOR NON-COMPLIANCE...

            6. F. HAS THE UNDERTAKING PREVIOUSLY BEEN, OR IS IT CURRENTLY, SUBJECT...

          2. PART B Independent quality review report

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

            2. 2. DESCRIPTION OF THE INVESTMENT AND ITS LOCATION

            3. 3. EXPLANATION AS TO HOW IT IS CONSISTENT WITH THE RELEVANT...

            4. 4. TOTAL COST AND TOTAL ELIGIBLE COST

              1. 4.1. Summarise relevant information on the total cost, calculation of costs...

              2. 4.2. Provide information on compliance with State aid rules and how...

                1. 4.2.1 Please inform whether the independent experts, in accordance with Article...

                2. 4.2.2 If the Commission has not been consulted, please provide the...

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

              1. 5.1. Summarise relevant information on the feasibility studies carried out and...

              2. 5.2. Summarise relevant information on the demand analysis (or business plan...

              3. 5.3. Summarise relevant information on the option analysis and selection of...

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

              1. 6.1. Summarise relevant information on the financial analysis, including the main...

              2. 6.2. Summarise relevant information on the economic analysis, including the main...

              3. 6.3. Summarise relevant information on the risk assessment including main risks...

            7. 7. AN ANALYSIS OF THE ENVIRONMENTAL IMPACT, TAKING INTO ACCOUNT CLIMATE...

              1. 7.1. Summarise relevant information on the analysis of the environmental impact....

              2. 7.2. Summarise relevant information on the climate change adaptation and mitigation,...

            8. 8. THE FINANCING PLAN SHOWING THE TOTAL PLANNED FINANCING RESOURCES AND...

            9. 9. THE TIMETABLE FOR IMPLEMENTING THE MAJOR PROJECT

            10. CONCLUSIONS OF THE INDEPENDENT QUALITY REVIEW

          3. PART C Declaration of competent national authority

    2. ANNEX II

      Model for the transmission of financial data

    3. ANNEX III

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

      1. 1. GENERAL

        1. 1.1. Information submitted by:

        2. 1.2. The information provided describes the situation on: (dd/mm/yy)

        3. 1.3. System structure (general information and flowchart showing the organisational relationship...

          1. 1.3.1. Managing authority (Name, address and contact point in the managing...

          2. 1.3.2. Certifying authority (Name, address and contact point in the certifying...

          3. 1.3.3. Intermediate bodies (Name, address and contact points in the intermediate...

          4. 1.3.4. When Article 123(5) of Regulation (EU) No 1303/2013 applies, indicate...

      2. 2. MANAGING AUTHORITY

        1. 2.1. Managing authority and its main functions

          1. 2.1.1. The status of the managing authority (national, regional or local...

          2. 2.1.2. Specification of the functions and tasks carried out directly by...

          3. 2.1.3. Specification of the functions formally delegated by the managing authority,...

          4. 2.1.4. Description of the procedures for ensuring effective and proportionate anti-fraud...

        2. 2.2. Organisation and procedures of the managing authority

          1. 2.2.1. Organisation chart and specifications of the functions of the units...

          2. 2.2.2. Framework to ensure that an appropriate risk management exercise is...

          3. 2.2.3. Description of the following procedures (that should be provided in...

        3. 2.3. Audit trail

          1. 2.3.1. Procedures to ensure an adequate audit trail and archiving system,...

          2. 2.3.2. Instructions given on keeping supporting documents available by beneficiaries/intermediate bodies/managing...

        4. 2.4. Irregularities and recoveries

          1. 2.4.1. Description of the procedure (that should be provided in writing...

          2. 2.4.2. Description of the procedure (including a flowchart setting out the...

      3. 3. CERTIFYING AUTHORITY

        1. 3.1. Certifying authority and its main functions

          1. 3.1.1. The status of the certifying authority (national, regional or local...

          2. 3.1.2. Specification of the functions carried out by the certifying authority....

          3. 3.1.3. Functions formally delegated by the certifying authority, identification of the...

        2. 3.2. Organisation of the certifying authority

          1. 3.2.1. Organisation chart and specification of the functions of the units...

          2. 3.2.2. Description of the procedures to be provided in writing to...

        3. 3.3. Recoveries

          1. 3.3.1. Description of the system for ensuring prompt recovery of public...

          2. 3.3.2. Procedures for ensuring an adequate audit trail by maintaining accounting...

          3. 3.3.3. Arrangements for deducting amounts recovered or amounts to be withdrawn...

      4. 4. INFORMATION SYSTEM

        1. 4.1. Description of the information systems including a flowchart (central or...

        2. 4.2. Description of the procedures to verify that IT systems security...

        3. 4.3. Description of the current situation as regards implementation of the...

    4. ANNEX IV

      Model for the report of an independent audit body under Article 124(2) of Regulation (EU) No 1303/2013

      1. 1. Introduction

        1. 1.1 Identify the objective of the report, i.e. to set out...

        2. 1.2 Identify the scope of the report i.e. the body(ies) covered,...

        3. 1.3 Indicate the body that has prepared the report (‘Independent Audit...

        4. 1.4 Indicate how the functional independence of the Independent Audit Body...

      2. 2. Methodology and scope of the work

        1. 2.1 Indicate the period and timeframe of the audit (date when...

        2. 2.2 Specify the extent of the use of previous audit work...

        3. 2.3 Specify a) the extent of the use of audit work...

        4. 2.4 Describe the work done for assessing, in line with Article...

        5. 2.5 Indicate if any contradictory procedures have taken place prior to...

        6. 2.6 Confirm that the work has been carried out taking account...

        7. 2.7 Identify if there were any limitation of scope , in...

      3. 3. Results of assessment for each authority/system

        1. 3.1. For each authority/system complete the table:

        2. 3.2. Provide results of the assessment on areas not fully covered...

    5. ANNEX V

      Model for the opinion of an independent audit body on the compliance of the managing authority and the certifying authority with the designation criteria set out in Annex XIII to Regulation (EU) No 1303/2013

      1. To (Member State authority/body)

      2. INTRODUCTION

      3. SCOPE OF THE EXAMINATION

      4. OPINION

        1. (Unqualified opinion)

        2. (Qualified opinion)

        3. (Adverse opinion)

      5. Emphasis of matter (to be used as appropriate)

      6. [The independent audit body may also include emphasis of matter,...

      7. Date

      8. Signature

    6. ANNEX VI

      1. Model for the payment application including additional information concerning financial...

        1. PAYMENT APPLICATION EUROPEAN COMMISSION

      2. Expenditure broken down by priority and category of regions as entered into the accounts of the certifying authority (Including programme contributions paid to financial instruments (Article 41 of...

        1. CERTIFICATE

        2. APPLICATION FOR PAYMENT

      3. Appendix 1

        Information on programme contributions paid to financial instruments as referred to in Article 41 of Regulation (EU) No 1303/2013 and included in the payment applications (cumulative from the start of the programme)

        1. The model is automatically adjusted on basis of the CCI....

      4. Appendix 2

        Advances paid in the context of State aid (Article 131(5) of Regulation (EU) No 1303/2013) and included in the payment applications (cumulative from the start of the programme)

        1. The model is automatically adjusted on basis of the CCI....

    7. ANNEX VII

      Model for the accounts

      1. ACCOUNTS FOR ACCOUNTING PERIOD

        1. EUROPEAN COMMISSION

          1. CERTIFICATE

      2. Appendix 1

        Amounts entered into the accounting systems of the certifying authority — Article 137(1)(a) of Regulation (EU) No 1303/2013

        1. The model is automatically adjusted on basis of the CCI....

      3. Appendix 2

        Amounts withdrawn and recovered during the accounting year — Article 137(1)(b) of Regulation (EU) No 1303/2013

        1. The model is automatically adjusted on basis of the CCI....

      4. Appendix 3

        Amounts to be recovered as at the end of the accounting year — Article 137(1)(b) of Regulation (EU) No 1303/2013

        1. The model is automatically adjusted on basis of the CCI....

      5. Appendix 4

        Recoveries effected pursuant to Article 71 of Regulation (EU) No 1303/2013 during the accounting year — Article 137(1)(b) of Regulation (EU) No 1303/2013

        1. The model is automatically adjusted on basis of the CCI....

      6. Appendix 5

        Irrecoverable amounts as at the end of the accounting year — Article 137(1)(b) of Regulation (EU) No 1303/2013

        1. The model is automatically adjusted on basis of the CCI....

      7. Appendix 6

        Amounts of programme contributions paid to financial instruments under Article 41 of Regulation (EU) No 1303/2013 (cumulative from the start of the programme) — Article 137(1)(c) of Regulation (EU) No 1303/2013

        1. The model is automatically adjusted on basis of the CCI....

      8. Appendix 7

        Advances paid in the context of State aid under Article 131(5) of Regulation (EU) No 1303/2013 (cumulative from the start of the programme) — Article 137(1)(c) of Regulation (EU) No 1303/2013

        1. The model is automatically adjusted on basis of the CCI....

      9. Appendix 8

        Reconciliation of expenditure — Article 137(1)(d) of Regulation (EU) No 1303/2013

        1. The model is automatically adjusted on basis of the CCI....

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