CORE5 1.1.0.0 2024-12-10 13:15
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
EUROPEAN CLIMATE, INFRASTRUCTURE AND ENVIRONMENT
EXECUTIVE AGENCY (CINEA)
CINEA.B – Sustainable networks and investments
CINEA.B – Sustainable networks and investments
GRANT AGREEMENT
Project 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo
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’:
SPRAVA ZELEZNIC STATNI ORGANIZACE (SZDC), PIC 996456460, established in
DLAZDENA 1003/7 NOVE MESTO, PRAHA 110 00, Czechia,
Unless otherwise specified, references to ‘beneficiary’ or ‘beneficiaries’ include the coordinator and
affiliated entities (if any).
If only one beneficiary signs the grant agreement (‘mono-beneficiary grant’), all provisions referring
to the ‘coordinator’ or the ‘beneficiaries’ will be considered — mutatis mutandis — as referring to
the beneficiary.
The parties referred to above have agreed to enter into the Agreement.
By signing the Agreement and the accession forms, the beneficiaries accept the grant and agree to
implement the action under their own responsibility and in accordance with the Agreement, with all
the obligations and terms and conditions it sets out.
The Agreement is composed of:
Preamble
Terms and Conditions (including Data Sheet)
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
Annex 1 Description of the action1
Annex 2 Estimated budget for the action
Annex 2a Additional information on unit costs and contributions (if applicable)
Annex 3 Accession forms (if applicable)2
Annex 3a Declaration on joint and several liability of affiliated entities (if applicable)3
Annex 4 Model for the financial statements
Annex 5 Specific rules (if applicable)
1 Template published on Portal Reference Documents.
2 Template published on Portal Reference Documents.
3 Template published on Portal Reference Documents.
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
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 General eligibility conditions............................................................................................................. 14
6.2 Specific eligibility conditions for each budget category................................................................... 14
6.3 Ineligible contributions.......................................................................................................................16
6.4 Consequences of non-compliance...................................................................................................... 16
CHAPTER 4 GRANT IMPLEMENTATION............................................................................................................ 16
SECTION 1 CONSORTIUM: BENEFICIARIES, AFFILIATED ENTITIES AND OTHER
PARTICIPANTS........................................................................................................................................ 16
ARTICLE 7 — BENEFICIARIES................................................................................................................... 16
ARTICLE 8 — AFFILIATED ENTITIES....................................................................................................... 18
ARTICLE 9 — OTHER PARTICIPANTS INVOLVED IN THE ACTION................................................... 18
9.1 Associated partners.............................................................................................................................19
9.2 Third parties giving in-kind contributions to the action.................................................................... 19
9.3 Subcontractors.....................................................................................................................................19
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
9.4 Recipients of financial support to third parties..................................................................................19
ARTICLE 10 — PARTICIPANTS WITH SPECIAL STATUS....................................................................... 19
10.1 Non-EU participants......................................................................................................................... 19
10.2 Participants which are international organisations...........................................................................20
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................................................................................... 23
11.2 Consequences of non-compliance.................................................................................................... 23
ARTICLE 12 — CONFLICT OF INTERESTS.............................................................................................. 23
12.1 Conflict of interests.......................................................................................................................... 23
12.2 Consequences of non-compliance.................................................................................................... 23
ARTICLE 13 — CONFIDENTIALITY AND SECURITY............................................................................ 23
13.1 Sensitive information........................................................................................................................23
13.2 Classified information...................................................................................................................... 24
13.3 Consequences of non-compliance.................................................................................................... 24
ARTICLE 14 — ETHICS AND VALUES...................................................................................................... 24
14.1 Ethics.................................................................................................................................................24
14.2 Values................................................................................................................................................ 25
14.3 Consequences of non-compliance.................................................................................................... 25
ARTICLE 15 — DATA PROTECTION.......................................................................................................... 25
15.1 Data processing by the granting authority....................................................................................... 25
15.2 Data processing by the beneficiaries............................................................................................... 25
15.3 Consequences of non-compliance.................................................................................................... 26
ARTICLE 16 — INTELLECTUAL PROPERTY RIGHTS (IPR) — BACKGROUND AND RESULTS —
ACCESS RIGHTS AND RIGHTS OF USE................................................................................ 26
16.1 Background and access rights to background..................................................................................26
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.................................................................................................... 28
ARTICLE 17 — COMMUNICATION, DISSEMINATION AND VISIBILITY............................................ 28
17.1 Communication — Dissemination — Promoting the action........................................................... 28
17.2 Visibility — European flag and funding statement......................................................................... 28
17.3 Quality of information — Disclaimer..............................................................................................29
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
17.4 Specific communication, dissemination and visibility rules............................................................29
17.5 Consequences of non-compliance.................................................................................................... 29
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..................................................................................................... 30
19.3 Information about events and circumstances which impact the action............................................30
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.................................................................................................... 31
ARTICLE 21 — REPORTING........................................................................................................................ 31
21.1 Continuous reporting........................................................................................................................ 31
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......................................................................................................................................... 33
22.3 Amounts due.....................................................................................................................................33
22.4 Enforced recovery.............................................................................................................................38
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................................................................................................................... 40
ARTICLE 25 — CHECKS, REVIEWS, AUDITS AND INVESTIGATIONS — EXTENSION OF
FINDINGS..................................................................................................................................... 40
25.1 Granting authority checks, reviews and audits................................................................................ 40
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
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
25.4 OLAF, EPPO and ECA audits and investigations........................................................................... 41
25.5 Consequences of checks, reviews, audits and investigations — Extension of results of reviews,
audits or investigations.................................................................................................................... 42
25.6 Consequences of non-compliance.................................................................................................... 43
ARTICLE 26 — IMPACT EVALUATIONS................................................................................................... 43
26.1 Impact evaluation............................................................................................................................. 43
26.2 Consequences of non-compliance.................................................................................................... 44
CHAPTER 5 CONSEQUENCES OF NON-COMPLIANCE.................................................................................. 44
SECTION 1 REJECTIONS AND GRANT REDUCTION.................................................................................44
ARTICLE 27 — REJECTION OF CONTRIBUTIONS..................................................................................44
27.1 Conditions......................................................................................................................................... 44
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.......................................................................................................................................... 46
ARTICLE 30 — PAYMENT SUSPENSION...................................................................................................46
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.............................................................................................................48
ARTICLE 32 — GRANT AGREEMENT OR BENEFICIARY TERMINATION......................................... 49
32.1 Consortium-requested GA termination............................................................................................ 49
32.2 Consortium-requested beneficiary termination................................................................................ 50
32.3 EU-initiated GA or beneficiary termination.................................................................................... 51
SECTION 3 OTHER CONSEQUENCES: DAMAGES AND ADMINISTRATIVE SANCTIONS............... 54
ARTICLE 33 — DAMAGES...........................................................................................................................54
33.1 Liability of the granting authority....................................................................................................54
33.2 Liability of the beneficiaries............................................................................................................ 54
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
ARTICLE 34 — ADMINISTRATIVE SANCTIONS AND OTHER MEASURES....................................... 54
SECTION 4 FORCE MAJEURE.......................................................................................................................... 55
ARTICLE 35 — FORCE MAJEURE.............................................................................................................. 55
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.................................................................................................................... 56
36.3 Addresses for communication.......................................................................................................... 56
ARTICLE 37 — INTERPRETATION OF THE AGREEMENT.....................................................................56
ARTICLE 38 — CALCULATION OF PERIODS AND DEADLINES..........................................................56
ARTICLE 39 — AMENDMENTS.................................................................................................................. 57
39.1 Conditions......................................................................................................................................... 57
39.2 Procedure.......................................................................................................................................... 57
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.......................................................................................................... 58
ARTICLE 41 — TRANSFER OF THE AGREEMENT................................................................................. 58
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..................................................................................................................................59
43.2 Dispute settlement............................................................................................................................ 59
ARTICLE 44 — ENTRY INTO FORCE.........................................................................................................59
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
DATA SHEET
1. General data
Project summary:
Project summary
„ETCS České Velenice – České Budějovice – Horní Dvořiště“ is an important project in the context of on-going ETCS deployment in the
railway junction České Budějovice and of the Global Project of ETCS deployment on backbone railway network of the Czech Republic. It
aims at deploying ETCS L2, Baseline 3 on the railway lines Horní Dvořiště – České Budějovice and České Budějovice – České Velenice
and in the respective stations on these lines, including adaptations of the interlocking necessary for the remote railway traffic control
system. Total length is 102.672 km of track lines (corresponding to 59.355 km of double-track equivalent) including 90.673 km of single-
track lines in inter-station sections (corresponding to 45.337 km of double-track equivalent) and 11.999 km of double or multiple-track
lines at thirteen railway stations (corresponding to 14.018 km of double-track equivalent). The sections covered by the project are used
for freight and passenger transport as well as for sub-urban passenger transport. They are located in the south of the Czech Republic, and
both are located on the TEN-T Comprehensive Network. They are also transit connections between the Czech Republic and Austria. The
implementation of the Action will enhance interoperability, increase the level of safety and utilization capacity, as well as the general
efficiency of rail transport management in the Czech Republic.
Keywords:
– ETCS L2, ERTMS, České Budějovice
Project number: 101172274
Project name: ETCS České Velenice – České Budějovice – Horní Dvořiště
Project acronym: 23-CZ-TC-ETCS Vel-Bud-Dvo
Call: CEF-T-2023-SIMOBCOEN
Topic: CEF-T-2023-SIMOBCOEN-ERTMS-UNITS
Type of action: CEF ERTMS Unit Grants
Granting authority: European Climate, Infrastructure and Environment Executive Agency
Grant managed through EU Funding & Tenders Portal: Yes (eGrants)
Project starting date: fixed date: 2 August 2024
Project end date: 1 March 2028
Project duration: 43 months
Consortium agreement: Yes
2. Participants
List of participants:
N° Role Short name Legal name Ctry PIC Total eligible Max grant
1 COO SZDC SPRAVA ZELEZNIC STATNI ORGANIZACE CZ 996456460 contrib. amount
Total 17 212 950.00 17 212 950.00
17 212 950.00 17 212 950.00
Coordinator:
– SPRAVA ZELEZNIC STATNI ORGANIZACE (SZDC)
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
3. Grant
Maximum grant amount, total estimated eligible costs and contributions and funding rate:
Total eligible contributions Maximum grant amount Maximum grant amount
(unit, flat-rate and lump sum contributions (Annex 2) (award decision)
and financing not linked to costs) 17 212 950.00 17 212 950.00
17 212 950.00
Grant form: Unit
Grant mode: Action grant
Budget categories/activity types:
- A. Contributions for on-board ERTMS
- A.1 Retrofitting
- A.2 Upgrade
- A.3 Fitment
- B. Contributions for track-side ERTMS
- B.1 Deployment
- B.2 Upgrade
Cost eligibility options:
- Country restrictions for eligible costs
Budget flexibility: Yes (flexibility with conditions)
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
Month to
Reporting periods Type Deadline Type Deadline
Month from (time to pay)
RP No
Initial prefinancing 30 days from
entry into force/
financial guarantee
(if required)
– whichever
is the latest
1 1 43 Periodic report 60 days after end Final payment 90 days from
of reporting period receiving
periodic report
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
Prefinancing payments and guarantees:
Prefinancing payment Prefinancing guarantee
Type Amount Guarantee Division per participant
amount
Prefinancing 1 (initial) 8 606 475.00 n/a 1 - SZDC n/a
Reporting and payment modalities (art 21, 22):
Mutual Insurance Mechanism (MIM): No
Restrictions on distribution of initial prefinancing: The prefinancing may be distributed only if the minimum number of
beneficiaries set out in the call condititions (if any) have acceded to the Agreement and only to beneficiaries that have
acceded.
Interim payment ceiling (if any): 90% of the maximum grant amount
No-profit rule: n/a
Late payment interest: ECB + 3.5%
Bank account for payments:
CZ5807100000190022027001 CNBACZPP
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
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
Dispute settlement forum (art 43):
Standard dispute settlement forum:
EU beneficiaries: EU General Court + EU Court of Justice (on appeal)
Non-EU beneficiaries: Courts of Brussels, Belgium (unless an international agreement provides for the
enforceability of EU court judgements)
6. Other
Specific rules (Annex 5): Yes
Standard time-limits after project end:
Confidentiality (for X years after final payment): 5
Record-keeping (for X years after final payment): 5 (or 3 for grants of not more than EUR 60 000)
Reviews (up to X years after final payment): 5 (or 3 for grants of not more than EUR 60 000)
Audits (up to X years after final payment): 5 (or 3 for grants of not more than EUR 60 000)
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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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
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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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
Regulation 2018/1046, i.e. non-financial resources made available free of charge by
third parties to a beneficiary.
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 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo (‘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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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
The grant is an action grant8 which takes the form of a unit grant.
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 is set out in Annex 2.
It contains the estimated eligible contributions for the action (unit contributions), broken down by
participant and budget category.
Annex 2 also shows the types of contributions (forms of funding)9 to be used for each budget category.
The details on the calculation of the unit contributions will be explained in Annex 2a.
5.5 Budget flexibility
The budget breakdown may be adjusted — without an amendment (see Article 39) — by transfers of
units between participants, as long as this does not imply any substantive or important change to the
description of the action in Annex 1. Transfers between budget categories are not allowed — unless
agreed with the granting authority and subject to an amendment (see Article 39).
ARTICLE 6 — ELIGIBLE AND INELIGIBLE CONTRIBUTIONS
6.1 General eligibility conditions
The general eligibility conditions for the unit contributions are the following:
(a) the units must:
- be actually used or produced by the beneficiary in the period set out in Article 4 (with
the exception of units relating to the submission of the final periodic report, which may
be used or produced afterwards; see Article 21)
- be necessary for the implementation of the action and
(b) the number of units must be identifiable and verifiable, in particular supported by records and
documentation (see Article 20).
6.2 Specific eligibility conditions for each budget category
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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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
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For each budget category, the specific eligibility conditions are as follows:
A. Contributions for on-board ERTMS
Contributions for on-board ERTMS (A.1 Retrofitting, A.2 Upgrade, A.3 Fitment) are eligible, if they
fulfil the general eligibility conditions and are calculated as unit contributions in accordance with the
method set out in Annex 2a, and if:
(a) the number of units declared:
(i) corresponds to the number of ERTMS Baseline 3 equipped vehicles (or in exceptional
cases, the number of equipments used, see Annex 2a)
(b) the vehicles comply with the following conditions:
(i) are thermal or electric traction units (such as locomotives or shunters, etc.) or self-
propelling thermal or electric passenger trains (such as trainsets or EMUs or DMUs)
(ii) have been equipped with at least one ERTMS/ETCS on-board equipment in the context
of a retrofitting, upgrade or fitment:
- for retrofitting: installation of Baseline 3-compliant equipment (hardware,
software or class A radio communication) on existing vehicles already in operation
and not equipped with ERTMS
- for upgrade: installation of Baseline 3-compliant equipment (hardware, software
or class A radio communication) on existing vehicles already equipped with
ERTMS
- for fitment: installation of Baseline 3-compliant equipment (hardware, software
or class A radio communication) on new vehicles
(iii) for international vehicles: have been authorised in more than one Member State
(c) the ERTMS equipment used must be TSI compliant and have a market authorisation (at least
requested)
B. Contributions for track-side ERTMS
Contributions for track-side ERTMS (B.1 Deployment, B.2 Upgrade) are eligible, if they fulfil the
general eligibility conditions and are calculated as unit contributions in accordance with the method
set out in Annex 2a, and if:
(a) the number of units declared:
(i) corresponds to the number of double track kilometres equivalent equipped with ERTMS
systems
(b) the kilometres comply with the following conditions:
(i) have been equipped with ERTMS systems in the context of a deployment or upgrade, i.e.
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- for deployments: a first deployment of ERTMS on railway line sections not
equipped with the system before
- for upgrades: a deployment of Baseline 3-compliant equipment on railway line
sections already equipped with ERTMS
(ii) for deployments in urban nodes: the deployments are situated in railway stations located
in urban nodes as defined in Annex II.1 of the TEN-T Guidelines
(c) the ERTMS system used must be TSI-compliant and have a placing-in-service authorisation
(at least requested)
6.3 Ineligible contributions
‘Ineligible contributions’ are:
(a) units that do not comply with the conditions set out above (see Article 6.1 and 6.2)
(b) units implemented during grant agreement suspension (see Article 31) and
(c) units 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
(d) other:
(i) costs or contributions for activities that do not take place in one of the eligible countries or
target countries set out in the call conditions — unless approved by the granting authority.
6.4 Consequences of non-compliance
If a beneficiary declares unit 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.
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They must have the appropriate resources to implement the action and implement the action under
their own responsibility and in accordance with Article 11. If they rely on affiliated entities or other
participants (see Articles 8 and 9), they retain sole responsibility towards the granting authority and
the other beneficiaries.
They are jointly responsible for the technical implementation of the action. If one of the beneficiaries
fails to implement their part of the action, the other beneficiaries must ensure that this part is
implemented by someone else (without being entitled to an increase of the maximum grant amount
and subject to an amendment; see Article 39). The financial responsibility of each beneficiary in case
of recoveries is governed by Article 22.
The beneficiaries (and their action) must remain eligible under the EU programme funding the grant
for the entire duration of the action. Unit 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) (if
required; see Articles 21 and 24.2 and Data Sheet, Point 4.3)
- the contribution to the deliverables and technical reports (see Article 21)
- any other documents or information required by the granting authority under the
Agreement
(iv) submit via the Portal data and information related to the participation of their affiliated
entities.
(b) The coordinator must:
(i) monitor that the action is implemented properly (see Article 11)
(ii) act as the intermediary for all communications between the consortium and the granting
authority, unless the Agreement or granting authority specifies otherwise, and in
particular:
- submit the prefinancing guarantees to the granting authority (if any)
- request and review any documents or information required and verify their quality
and completeness before passing them on to the granting authority
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- submit the deliverables and reports to the granting authority
- inform the granting authority about the payments made to the other beneficiaries
(report on the distribution of payments; if required, see Articles 22 and 32)
(iii) distribute the payments received from the granting authority to the other beneficiaries
without unjustified delay (see Article 22).
The coordinator may not delegate or subcontract the above-mentioned tasks to any other beneficiary
or third party (including affiliated entities).
However, coordinators which are public bodies may delegate the tasks set out in Point (b)(ii) last
indent and (iii) above to entities with ‘authorisation to administer’ which they have created or which
are controlled by or affiliated to them. In this case, the coordinator retains sole responsibility for the
payments and for compliance with the obligations under the Agreement.
Moreover, coordinators which are ‘sole beneficiaries’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
Not applicable
ARTICLE 9 — OTHER PARTICIPANTS INVOLVED IN THE ACTION
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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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 unit contributions) and the costs for the in-kind contributions are not
eligible.
The third parties and their in-kind contributions should be set out in Annex 1.
9.3 Subcontractors
Subcontractors may participate in the action, if necessary for the implementation.
Subcontractors must implement their action tasks in accordance with Article 11. The beneficiaries’
costs for subcontracting are considered entirely covered by the unit contributions (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
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)
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- for the submission of certificates under Article 24: to use qualified external auditors which
are independent and comply with comparable standards as those set out in EU Directive
2006/43/EC11
- for the controls under Article 25: to allow for checks, reviews, audits and investigations
(including on-the-spot checks, visits and inspections) by the bodies mentioned in that Article
(e.g. granting authority, OLAF, Court of Auditors (ECA), etc.).
Special rules on dispute settlement apply (see Data Sheet, Point 5).
10.2 Participants which are international organisations
Participants which are international organisations (IOs; if any) undertake to comply with their
obligations under the Agreement and:
- to respect general principles (including fundamental rights, values and ethical principles,
environmental and labour standards, rules on classified information, intellectual property
rights, visibility of funding and protection of personal data)
- for the submission of certificates under Article 24: to use either independent public officers or
external auditors which comply with comparable standards as those set out in EU Directive
2006/43/EC
- for the controls under Article 25: to allow for the checks, reviews, audits and investigations
by the bodies mentioned in that Article, taking into account the specific agreements concluded
by them and the EU (if any).
For such participants, nothing in the Agreement will be interpreted as a waiver of their privileges or
immunities, as accorded by their constituent documents or international law.
Special rules on applicable law and dispute settlement apply (see Article 43 and Data Sheet, Point 5).
10.3 Pillar-assessed participants
Pillar-assessed participants (if any) may rely on their own systems, rules and procedures, in so far as
they have been positively assessed and do not call into question the decision awarding the grant or
breach the principle of equal treatment of applicants or beneficiaries.
‘Pillar-assessment’ means a review by the European Commission on the systems, rules and procedures
which participants use for managing EU grants (in particular internal control system, accounting
system, external audits, financing of third parties, rules on recovery and exclusion, information on
recipients and protection of personal data; see Article 154 EU Financial Regulation 2018/1046).
Participants with a positive pillar assessment may rely on their own systems, rules and procedures,
in particular for:
- record-keeping (Article 20): may be done in accordance with internal standards, rules and
procedures
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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- 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
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).
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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
- kept in a form which permits identification of data subjects for no longer than is necessary for
the purposes for which the data is processed and
- processed in a manner that ensures appropriate security of the personal data.
Participants must inform the coordinator without delay of any changes to the systems, rules and
procedures that were part of the pillar assessment. The coordinator must immediately inform the
granting authority.
Pillar-assessed participants that have also concluded a framework agreement with the EU, may
moreover — under the same conditions as those above (i.e. not call into question the decision awarding
the grant or breach the principle of equal treatment of applicants or beneficiaries) — rely on the
provisions set out in that framework agreement.
SECTION 2 RULES FOR CARRYING OUT THE ACTION
ARTICLE 11 — PROPER IMPLEMENTATION OF THE ACTION
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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).
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:
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(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.
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
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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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.
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
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
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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- 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:
(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
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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
(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.
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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 EU support and display the European flag (emblem) and funding
statement (translated into local languages, where appropriate):
The emblem must remain distinct and separate and cannot be modified by adding other visual
marks, brands or text.
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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
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
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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 unit 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
(b) circumstances affecting:
(i) the decision to award the grant or
(ii) compliance with requirements under the Agreement.
19.4 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, the grant may be reduced (see
Article 28).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 20 — RECORD-KEEPING
20.1 Keeping records and supporting documents
The beneficiaries must — at least until the time-limit set out in the Data Sheet (see Point 6) — keep
records and other supporting documents to prove the proper implementation of the action in line with
the accepted standards in the respective field (if any).
In addition, the beneficiaries must — for the same period — keep adequate records and supporting
documents to prove the number of units declared; beneficiaries do not need to keep specific records
on the actual costs incurred.
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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, unit contributions insufficiently
substantiated will be ineligible (see Article 6) and will be rejected (see Article 27), and the grant may
be reduced (see Article 28).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 21 — REPORTING
21.1 Continuous reporting
The beneficiaries must continuously report on the progress of the action (e.g. deliverables,
milestones, outputs/outcomes, critical risks, indicators, etc; if any), in the Portal Continuous
Reporting tool and in accordance with the timing and conditions it sets out (as agreed with the granting
authority).
Standardised deliverables (e.g. progress reports not linked to payments, reports on cumulative
expenditure, special reports, etc; if any) must be submitted using the templates published on the Portal.
21.2 Periodic reporting: Technical reports and financial statements
In addition, the beneficiaries must provide reports to request payments, in accordance with the
schedule and modalities set out in the Data Sheet (see Point 4.2):
- for additional prefinancings (if any): an additional prefinancing report
- for interim payments (if any) and the final payment: a periodic report.
The prefinancing and periodic reports include a technical and financial part.
The technical part includes an overview of the action implementation. It must be prepared using the
template available in the Portal Periodic Reporting tool.
The financial part of the additional prefinancing report includes a statement on the use of the previous
prefinancing payment.
The financial part of the periodic report includes:
- the financial statements (individual and consolidated; for all beneficiaries/affiliated entities)
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- the explanation on the use of resources (or detailed cost reporting table, if required)
- the certificates on the financial statements (CFS): not applicable.
The financial statements must detail the contributions for the units implemented in the reporting
period.
Unit contributions which are not declared in a financial statement will not be taken into account by
the granting authority.
By signing the financial statements (directly in the Portal Periodic Reporting tool), the beneficiaries
confirm that:
- the information provided is complete, reliable and true
- the unit contributions declared are eligible (see Article 6)
- the contributions can be substantiated by adequate records and supporting documents (see
Article 20) that will be produced upon request (see Article 19) or in the context of checks,
reviews, audits and investigations (see Article 25)
Beneficiaries will have to submit also the financial statements of their affiliated entities (if any). In case
of recoveries (see Article 22), beneficiaries will be held responsible also for the financial statements
of their affiliated entities.
21.3 Currency for financial statements and conversion into euros
The financial statements must be drafted in euro.
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)
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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.
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.
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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
At beneficiary termination there will be no payment, but the grant must be provisionally closed for the
beneficiary which leaves the consortium (and the affiliated entities which had to end their participation
together with the beneficiary, if any).
Payments (if any) will be made with the next interim or final payment.
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
The granting authority will first calculate the ‘accepted EU contribution’ for the beneficiary for all
reporting periods, by calculating the unit contributions for the accepted units.
After that, the granting authority will take into account grant reductions (if any). The resulting amount
is the ‘total accepted EU contribution’ for the beneficiary.
The balance is then calculated by deducting the payments received (if any; see report on the
distribution of payments in Article 32), from the total accepted EU contribution:
{total accepted EU contribution for the beneficiary
minus
{prefinancing and interim payments received (if any)}}.
If the balance is positive, the amount will be included in the next interim or final payment to the
consortium.
If the balance is negative, it will be recovered in accordance with the following procedure:
The granting authority will send a pre-information letter to the beneficiary concerned:
- formally notifying the intention to recover, the amount due, the amount to be recovered and
the reasons why and
- requesting observations within 30 days of receiving notification.
If no observations are submitted (or the granting authority decides to pursue recovery despite the
observations it has received), it will confirm the amount to be recovered and ask this amount to be
paid to the coordinator (confirmation letter).
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The amounts will later on also be taken into account for the next interim or final payment.
22.3.3 Interim payments
Interim payments reimburse the eligible contributions claimed for the units 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. Its approval does not imply recognition of
compliance, authenticity, completeness or correctness of its content.
The interim payment will be calculated by the granting authority in the following steps:
Step 1 — Calculation of the total accepted EU contribution
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 unit contributions for the accepted units.
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 eligible contributions claimed for the
remaining units implemented (if any).
The final payment will be made in accordance with the schedule and modalities set out in the
Data Sheet (see Point 4.2).
Payment is subject to the approval of the final periodic report. Its approval does not imply recognition
of compliance, authenticity, completeness or correctness of its content.
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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 unit contributions for the accepted units.
After that, the granting authority will take into account grant reductions (if any). The resulting amount
is the ‘total accepted EU contribution’.
Step 2 — Limit to the maximum grant amount
If the resulting amount is higher than the maximum grant amount set out in Article 5.2, it will be
limited to the latter.
Step 3 — Reduction due to the no-profit rule
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.
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If no observations are submitted (or the granting authority decides to pursue recovery despite the
observations it has received), it will confirm the amount to be recovered (confirmation letter),
together with a debit note with the terms and date for payment.
If payment is not made by the date specified in the debit note, the granting authority will enforce
recovery in accordance with Article 22.4.
22.3.5 Audit implementation after final payment — Revised final grant amount — Recovery
If — after the final payment (in particular, after checks, reviews, audits or investigations; see
Article 25) — the granting authority rejects unit contributions (see Article 27) or reduces the grant
(see Article 28), it will calculate the revised final grant amount for the beneficiary concerned.
The beneficiary revised final grant amount will be calculated in the following step:
Step 1 — Calculation of the revised total accepted EU contribution
Step 1 — Calculation of the revised total accepted EU contribution
The granting authority will first calculate the ‘revised accepted EU contribution’ for the beneficiary,
by calculating the ‘revised accepted contributions’.
After that, it will take into account grant reductions (if any). The resulting ‘revised total accepted EU
contribution’ is the beneficiary revised final grant amount.
If the revised final grant amount is lower than the beneficiary’s final grant amount (i.e. its share in the
final grant amount for the action), it will be recovered in accordance with the following procedure:
The beneficiary final grant amount (i.e. share in the final grant amount for the action) is calculated
as follows:
{{total accepted EU contribution for the beneficiary
divided by
total accepted EU contribution for the action}
multiplied by
final grant amount for the action}.
The granting authority will send a pre-information letter to the beneficiary concerned:
- formally notifying the intention to recover, the amount to be recovered and the reasons why and
- requesting observations within 30 days of receiving notification.
If no observations are submitted (or the granting authority decides to pursue recovery despite the
observations it has received), it will confirm the amount to be recovered (confirmation letter),
together with a debit note with the terms and the date for payment.
Recoveries against affiliated entities (if any) will be handled through their beneficiaries.
If payment is not made by the date specified in the debit note, the granting authority will enforce
recovery in accordance with Article 22.4.
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22.4 Enforced recovery
If payment is not made by the date specified in the debit note, the amount due will be recovered:
(a) by offsetting the amount — without the coordinator or beneficiary’s consent — against any
amounts owed to the coordinator or beneficiary by the granting authority.
In exceptional circumstances, to safeguard the EU financial interests, the amount may be offset
before the payment date specified in the debit note.
For grants where the granting authority is the European Commission or an EU executive
agency, debts may also be offset against amounts owed by other Commission services or
executive agencies.
(b) by drawing on the financial guarantee(s) (if any)
(c) by holding other beneficiaries jointly and severally liable (if any; see Data Sheet, Point 4.4)
(d) by holding affiliated entities jointly and severally liable (if any, see Data Sheet, Point 4.4)
(e) by taking legal action (see Article 43) or, provided that the granting authority is the European
Commission or an EU executive agency, by adopting an enforceable decision under Article 299
of the Treaty on the Functioning of the EU (TFEU) and Article 100(2) of EU Financial
Regulation 2018/1046.
The amount to be recovered will be increased by late-payment interest at the rate set out in
Article 22.5, from the day following the payment date in the debit note, up to and including the date
the full payment is received.
Partial payments will be first credited against expenses, charges and late-payment interest and then
against the principal.
Bank charges incurred in the recovery process will be borne by the beneficiary, unless
Directive 2015/236615 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 rate applied by the European Central Bank
(ECB) for its main refinancing operations in euros (‘reference rate’), plus the rate specified in the
Data Sheet (Point 4.2). The reference rate is the rate in force on the first day of the month in which the
payment deadline expires, as published in the C series of the Official Journal of the European Union.
If the late-payment interest is lower than or equal to EUR 200, it will be paid to the coordinator only
on request submitted within two months of receiving the late payment.
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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Late-payment interest is not due if all beneficiaries are EU Member States (including regional and
local government authorities or other public bodies acting on behalf of a Member State for the purpose
of this Agreement).
If payments or the payment deadline are suspended (see Articles 29 and 30), payment will not be
considered as late.
Late-payment interest covers the period running from the day following the due date for payment (see
above), up to and including the date of payment.
Late-payment interest is not considered for the purposes of calculating the final grant amount.
22.5.2 If the coordinator breaches any of its obligations under this Article, the grant may be reduced
(see Article 28) and the grant or the coordinator may be terminated (see Article 32).
Such breaches may also lead to other measures described in Chapter 5.
ARTICLE 23 — GUARANTEES
23.1 Prefinancing guarantee
If required by the granting authority (see Data Sheet, Point 4.2), the beneficiaries must provide (one
or more) prefinancing guarantee(s) in accordance with the timing and the amounts set out in the
Data Sheet.
The coordinator must submit them to the granting authority in due time before the prefinancing they
are linked to.
The guarantees must be drawn up using the template published on the Portal and fulfil the following
conditions:
(a) be provided by a bank or approved financial institution established in the EU or — if requested
by the coordinator and accepted by the granting authority — by a third party or a bank or
financial institution established outside the EU offering equivalent security
(b) the guarantor stands as first-call guarantor and does not require the granting authority to first
have recourse against the principal debtor (i.e. the beneficiary concerned) and
(c) remain explicitly in force until the final payment and, if the final payment takes the form of a
recovery, until five months after the debit note is notified to a beneficiary.
They will be released within the following month.
23.2 Consequences of non-compliance
If the beneficiaries breach their obligation to provide the prefinancing guarantee, the prefinancing
will not be paid.
Such breaches may also lead to other measures described in Chapter 5.
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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 unit
contributions, deliverables and reports.
25.1.2 Project reviews
The granting authority may carry out reviews on the proper implementation of the action and
compliance with the obligations under the Agreement (general project reviews or specific issues
reviews).
Such project reviews may be started during the implementation of the action and until the time-limit
set out in the Data Sheet (see Point 6). They will be formally notified to the coordinator or beneficiary
concerned and will be considered to start on the date of the notification.
If needed, the granting authority may be assisted by independent, outside experts. If it uses outside
experts, the coordinator or beneficiary concerned will be informed and have the right to object on
grounds of commercial confidentiality or conflict of interest.
The coordinator or beneficiary concerned must cooperate diligently and provide — within the deadline
requested — any information and data in addition to deliverables and reports already submitted
(including information on the use of resources). The granting authority may request beneficiaries
to provide such information to it directly. Sensitive information and documents will be treated in
accordance with Article 13.
The coordinator or beneficiary concerned may be requested to participate in meetings, including with
the outside experts.
For on-the-spot visits, the beneficiary concerned must allow access to sites and premises (including
to the outside experts) and must ensure that information requested is readily available.
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).
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25.1.3 Audits
The granting authority may carry out audits on the proper implementation of the action and compliance
with the obligations under the Agreement.
Such audits may be started during the implementation of the action and until the time-limit set out in
the Data Sheet (see Point 6). They will be formally notified to the beneficiary concerned and will be
considered to start on the date of the notification.
The granting authority may use its own audit service, delegate audits to a centralised service or use
external audit firms. If it uses an external firm, the beneficiary concerned will be informed and have
the right to object on grounds of commercial confidentiality or conflict of interest.
The beneficiary concerned must cooperate diligently and provide — within the deadline requested —
any information (including complete accounts, individual salary statements or other personal data)
to verify compliance with the Agreement. Sensitive information and documents will be treated in
accordance with Article 13.
For on-the-spot visits, the beneficiary concerned must allow access to sites and premises (including
for the external audit firm) and must ensure that information requested is readily available.
Information provided must be accurate, precise and complete and in the format requested, including
electronic format.
On the basis of the audit findings, a draft audit report will be drawn up.
The auditors will formally notify the draft audit report to the beneficiary concerned, which has 30 days
from receiving notification to make observations (contradictory audit procedure).
The final audit report will take into account observations by the beneficiary concerned and will be
formally notified to them.
Audits (including audit reports) will be in the language of the Agreement, unless otherwise agreed
with the granting authority (see Data Sheet, Point 4.2).
25.2 European Commission checks, reviews and audits in grants of other granting
authorities
Where the granting authority is not the European Commission, the latter has the same rights of checks,
reviews and audits as the granting authority.
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:
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- 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.
To this end, the beneficiary concerned must keep all relevant information relating to the action, at
least until the time-limit set out in the Data Sheet (Point 6) and, in any case, until any ongoing checks,
reviews, audits, investigations, litigation or other pursuits of claims have been concluded.
25.5 Consequences of checks, reviews, audits and investigations — Extension of results of
reviews, audits or investigations
25.5.1 Consequences of checks, reviews, audits and investigations in this grant
Findings in checks, reviews, audits or investigations carried out in the context of this grant may lead to
rejections (see Article 27), grant reduction (see Article 28) or other measures described in Chapter 5.
Rejections or grant reductions after the final payment will lead to a revised final grant amount (see
Article 22).
Findings in checks, reviews, audits or investigations during the action implementation may lead to a
request for amendment (see Article 39), to change the description of the action set out in Annex 1.
Checks, reviews, audits or investigations that find systemic or recurrent errors, irregularities, fraud
or breach of obligations in any EU grant may also lead to consequences in other EU grants awarded
under similar conditions (‘extension to other grants’).
Moreover, findings arising from an OLAF or EPPO investigation may lead to criminal prosecution
under national law.
25.5.2 Extension from other grants
Results of checks, reviews, audits or investigations in other grants may be extended to this grant, if:
(a) the beneficiary concerned is found, in other EU grants awarded under similar conditions, to
have committed systemic or recurrent errors, irregularities, fraud or breach of obligations that
have a material impact on this grant and
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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(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 unit contributions: the notification will include:
(a) an invitation to submit observations on the list of grants affected by the findings
(b) the request to submit revised financial statements for all grants affected
(c) the correction rate for extrapolation, established on the basis of the systemic or recurrent errors,
to calculate the amounts to be rejected, if the beneficiary concerned:
(i) considers that the submission of revised financial statements is not possible or practicable
or
(ii) does not submit revised financial statements.
If the extension concerns grant reductions: the notification will include:
(a) an invitation to submit observations on the list of grants affected by the findings and
(b) the correction rate for extrapolation, established on the basis of the systemic or recurrent
errors and the principle of proportionality.
The beneficiary concerned has 60 days from receiving notification to submit observations, revised
financial statements or to propose a duly substantiated alternative correction method/rate.
On the basis of this, the granting authority will analyse the impact and decide on the implementation
(i.e. start rejection or grant reduction procedures, either on the basis of the revised financial statements
or the announced/alternative method/rate or a mix of those; see Articles 27 and 28).
25.6 Consequences of non-compliance
If a beneficiary breaches any of its obligations under this Article, unit 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
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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
The granting authority will — at beneficiary termination, interim payment, final payment or
afterwards — reject any unit 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 unit 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 unit contributions, it will deduct them from the contributions declared
and then calculate the amount due (and, if needed, make a recovery; see Article 22).
ARTICLE 28 — GRANT REDUCTION
28.1 Conditions
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The granting authority may — at beneficiary termination, final payment or afterwards — reduce the
grant for a beneficiary, if:
(a) the beneficiary (or a person having powers of representation, decision-making or control, or
person essential for the award/implementation of the grant) has committed:
(i) substantial errors, irregularities or fraud or
(ii) serious breach of obligations under this Agreement or during its award (including
improper implementation of the action, non-compliance with the call conditions,
submission of false information, failure to provide required information, breach of ethics
or security rules (if applicable), etc.), or
(b) the beneficiary (or a person having powers of representation, decision-making or control, or
person essential for the award/implementation of the grant) has committed — in other EU grants
awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or
serious breach of obligations that have a material impact on this grant (see Article 25).
The amount of the reduction will be calculated for each beneficiary concerned and proportionate to the
seriousness and the duration of the errors, irregularities or fraud or breach of obligations, by applying
an individual reduction rate to their accepted EU contribution.
28.2 Procedure
If the grant reduction does not lead to a recovery, the granting authority will formally notify the
coordinator or beneficiary concerned of the reduction, the amount to be reduced and the reasons why.
The coordinator or beneficiary concerned may — within 30 days of receiving notification — submit
observations if it disagrees with the reduction (payment review procedure).
If the grant reduction leads to a recovery, the granting authority will follow the contradictory procedure
with pre-information letter set out in Article 22.
28.3 Effects
If the granting authority reduces the grant, it will deduct the reduction and then calculate the amount
due (and, if needed, make a recovery; see Article 22).
SECTION 2 SUSPENSION AND TERMINATION
ARTICLE 29 — PAYMENT DEADLINE SUSPENSION
29.1 Conditions
The granting authority may — at any moment — suspend the payment deadline if a payment cannot
be processed because:
(a) the required report (see Article 21) has not been submitted or is not complete or additional
information is needed
(b) there are doubts about the amount to be paid (e.g. ongoing audit extension procedure, queries
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about eligibility, need for a grant reduction, etc.) and additional checks, reviews, audits or
investigations are necessary, or
(c) there are other issues affecting the EU financial interests.
29.2 Procedure
The granting authority will formally notify the coordinator of the suspension and the reasons why.
The suspension will take effect the day the notification is sent.
If the conditions for suspending the payment deadline are no longer met, the suspension will be lifted
— and the remaining time to pay (see Data Sheet, Point 4.2) will resume.
If the suspension exceeds two months, the coordinator may request the granting authority to confirm
if the suspension will continue.
If the payment deadline has been suspended due to the non-compliance of the report and the revised
report is not submitted (or was submitted but is also rejected), the granting authority may also terminate
the grant or the participation of the coordinator (see Article 32).
ARTICLE 30 — PAYMENT SUSPENSION
30.1 Conditions
The granting authority may — at any moment — suspend payments, in whole or in part for one or
more beneficiaries, if:
(a) a beneficiary (or a person having powers of representation, decision-making or control, or
person essential for the award/implementation of the grant) has committed or is suspected of
having committed:
(i) substantial errors, irregularities or fraud or
(ii) serious breach of obligations under this Agreement or during its award (including
improper implementation of the action, non-compliance with the call conditions,
submission of false information, failure to provide required information, breach of ethics
or security rules (if applicable), etc.), or
(b) a beneficiary (or a person having powers of representation, decision-making or control, or
person essential for the award/implementation of the grant) has committed — in other EU grants
awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or
serious breach of obligations that have a material impact on this grant.
If payments are suspended for one or more beneficiaries, the granting authority will make partial
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
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Before suspending payments, the granting authority will send a pre-information letter to the
beneficiary concerned:
- formally notifying the intention to suspend payments and the reasons why and
- requesting observations within 30 days of receiving notification.
If the granting authority does not receive observations or decides to pursue the procedure despite the
observations it has received, it will confirm the suspension (confirmation letter). Otherwise, it will
formally notify that the procedure is discontinued.
At the end of the suspension procedure, the granting authority will also inform the coordinator.
The suspension will take effect the day after the confirmation notification is sent.
If the conditions for resuming payments are met, the suspension will be lifted. The granting authority
will formally notify the beneficiary concerned (and the coordinator) and set the suspension end date.
During the suspension, no prefinancing will be paid to the beneficiaries concerned. For interim
payments, the periodic reports for all reporting periods except the last one (see Article 21) must
not contain any financial statements from the beneficiary concerned (or its affiliated entities). The
coordinator must include them in the next periodic report after the suspension is lifted or — if
suspension is not lifted before the end of the action — in the last periodic report.
ARTICLE 31 — GRANT AGREEMENT SUSPENSION
31.1 Consortium-requested GA suspension
31.1.1 Conditions and procedure
The beneficiaries may request the suspension of the grant or any part of it, if exceptional circumstances
— in particular force majeure (see Article 35) — make implementation impossible or excessively
difficult.
The coordinator must submit a request for amendment (see Article 39), with:
- the reasons why
- the date the suspension takes effect; this date may be before the date of the submission of the
amendment request and
- the expected date of resumption.
The suspension will take effect on the day specified in the amendment.
Once circumstances allow for implementation to resume, the coordinator must immediately request
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.
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During the suspension, no prefinancing will be paid. Moreover, no units may be implemented.
Ongoing units must be interrupted and no new units may be started. Unit contributions for activities
implemented during grant suspension are not eligible (see Article 6.3).
31.2 EU-initiated GA suspension
31.2.1 Conditions
The granting authority may suspend the grant or any part of it, if:
(a) a beneficiary (or a person having powers of representation, decision-making or control, or
person essential for the award/implementation of the grant) has committed or is suspected of
having committed:
(i) substantial errors, irregularities or fraud or
(ii) serious breach of obligations under this Agreement or during its award (including
improper implementation of the action, non-compliance with the call conditions,
submission of false information, failure to provide required information, breach of ethics
or security rules (if applicable), etc.), or
(b) a beneficiary (or a person having powers of representation, decision-making or control, or
person essential for the award/implementation of the grant) has committed — in other EU grants
awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or
serious breach of obligations that have a material impact on this grant
(c) other:
(i) linked action issues: not applicable
(ii) due to major delays, the objectives of the action risk to no longer be achieved
31.2.2 Procedure
Before suspending the grant, the granting authority will send a pre-information letter to the
coordinator:
- formally notifying the intention to suspend the grant and the reasons why and
- requesting observations within 30 days of receiving notification.
If the granting authority does not receive observations or decides to pursue the procedure despite the
observations it has received, it will confirm the suspension (confirmation letter). Otherwise, it will
formally notify that the procedure is discontinued.
The suspension will take effect the day after the confirmation notification is sent (or on a later date
specified in the notification).
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
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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 units may be implemented
Ongoing units must be interrupted and no new units may be started. Unit contributions for activities
implemented during suspension are not eligible (see Article 6.3).
The beneficiaries may not claim damages due to suspension by the granting authority (see Article 33).
Grant suspension does not affect the granting authority’s right to terminate the grant or a beneficiary
(see Article 32) or reduce the grant (see Article 28).
ARTICLE 32 — GRANT AGREEMENT OR BENEFICIARY TERMINATION
32.1 Consortium-requested GA termination
32.1.1 Conditions and procedure
The beneficiaries may request the termination of the grant.
The coordinator must submit a request for amendment (see Article 39), with:
- the reasons why
- the date the consortium ends work on the action (‘end of work date’) and
- the date the termination takes effect (‘termination date’); this date must be after the date of the
submission of the amendment request.
The termination will take effect on the termination date specified in the amendment.
If no reasons are given or if the granting authority considers the reasons do not justify termination,
it may consider the grant terminated improperly.
32.1.2 Effects
The coordinator must — within 60 days from when termination takes effect — submit a periodic
report (for the open reporting period until termination).
The granting authority will calculate the final grant amount and final payment on the basis of the
report submitted and taking into account the unit contributions for activities implemented before the
end of work date (see Article 22).
If the granting authority does not receive the report within the deadline, only unit 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.
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32.2 Consortium-requested beneficiary termination
32.2.1 Conditions and procedure
The coordinator may request the termination of the participation of one or more beneficiaries, on
request of the beneficiary concerned or on behalf of the other beneficiaries.
The coordinator must submit a request for amendment (see Article 39), with:
- the reasons why
- the opinion of the beneficiary concerned (or proof that this opinion has been requested in
writing)
- the date the beneficiary ends work on the action (‘end of work date’)
- the date the termination takes effect (‘termination date’); this date must be after the date of the
submission of the amendment request.
If the termination concerns the coordinator and is done without its agreement, the amendment request
must be submitted by another beneficiary (acting on behalf of the consortium).
The termination will take effect on the termination date specified in the amendment.
If no information is given or if the granting authority considers that the reasons do not justify
termination, it may consider the beneficiary to have been terminated improperly.
32.2.2 Effects
The coordinator must — within 60 days from when termination takes effect — submit:
(i) a report on the distribution of payments to the beneficiary concerned
(ii) a termination report from the beneficiary concerned, for the open reporting period until
termination, containing an overview of the progress of the work, the financial statement and
the explanation on the use of resources
(iii) a second request for amendment (see Article 39) with other amendments needed (e.g.
reallocation of the tasks and the estimated budget of the terminated beneficiary; addition of
a new beneficiary to replace the terminated beneficiary; change of coordinator, etc.).
The granting authority will calculate the amount due to the beneficiary on the basis of the report
submitted and taking into account the unit contributions for activities implemented before the end of
work date (see Article 22).
The information in the termination report must also be included in the periodic report for the next
reporting period (see Article 21).
If the granting authority does not receive the termination report within the deadline, only unit
contributions which are included in an approved periodic report will be taken into account (no
contributions if no periodic report was ever approved).
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If the granting authority does not receive the report on the distribution of payments within the deadline,
it will consider that:
- the coordinator did not distribute any payment to the beneficiary concerned and that
- the beneficiary concerned must not repay any amount to the coordinator.
If the second request for amendment is accepted by the granting authority, the Agreement is amended
to introduce the necessary changes (see Article 39).
If the second request for amendment is rejected by the granting authority (because it calls into question
the decision awarding the grant or breaches the principle of equal treatment of applicants), the grant
may be terminated (see Article 32).
Improper termination may lead to a reduction of the grant (see Article 31) or grant termination (see
Article 32).
After termination, the concerned beneficiary’s obligations (in particular Articles 13 (confidentiality
and security), 16 (IPR), 17 (communication, dissemination and visibility), 21 (reporting), 25 (checks,
reviews, audits and investigations), 26 (impact evaluation), 27 (rejections), 28 (grant reduction) and
42 (assignment of claims)) continue to apply.
32.3 EU-initiated GA or beneficiary termination
32.3.1 Conditions
The granting authority may terminate the grant or the participation of one or more beneficiaries, if:
(a) one or more beneficiaries do not accede to the Agreement (see Article 40)
(b) a change to the action or the legal, financial, technical, organisational or ownership situation
of a beneficiary is likely to substantially affect the implementation of the action or calls into
question the decision to award the grant (including changes linked to one of the exclusion
grounds listed in the declaration of honour)
(c) following termination of one or more beneficiaries, the necessary changes to the Agreement
(and their impact on the action) would call into question the decision awarding the grant or
breach the principle of equal treatment of applicants
(d) implementation of the action has become impossible or the changes necessary for its
continuation would call into question the decision awarding the grant or breach the principle
of equal treatment of applicants
(e) a beneficiary (or person with unlimited liability for its debts) is subject to bankruptcy
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
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essential for the award/implementation of the grant) has been found guilty of grave professional
misconduct
(h) a beneficiary (or person having powers of representation, decision-making or control, or person
essential for the award/implementation of the grant) has committed fraud, corruption, or is
involved in a criminal organisation, money laundering, terrorism-related crimes (including
terrorism financing), child labour or human trafficking
(i) a beneficiary (or person having powers of representation, decision-making or control, or person
essential for the award/implementation of the grant) was created under a different jurisdiction
with the intent to circumvent fiscal, social or other legal obligations in the country of origin
(or created another entity with this purpose)
(j) a beneficiary (or person having powers of representation, decision-making or control, or person
essential for the award/implementation of the grant) has committed:
(i) substantial errors, irregularities or fraud or
(ii) serious breach of obligations under this Agreement or during its award (including
improper implementation of the action, non-compliance with the call conditions,
submission of false information, failure to provide required information, breach of ethics
or security rules (if applicable), etc.)
(k) a beneficiary (or person having powers of representation, decision-making or control, or person
essential for the award/implementation of the grant) has committed — in other EU grants
awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or
serious breach of obligations that have a material impact on this grant (extension of findings
from other grants to this grant; see Article 25)
(l) despite a specific request by the granting authority, a beneficiary does not request — through
the coordinator — an amendment to the Agreement to end the participation of one of its
affiliated entities or associated partners that is in one of the situations under points (d), (f), (e),
(g), (h), (i) or (j) and to reallocate its tasks, or
(m) other:
(i) linked action issues: not applicable
(ii) due to major delays, the objectives of the action can no longer be achieved
32.3.2 Procedure
Before terminating the grant or participation of one or more beneficiaries, the granting authority will
send a pre-information letter to the coordinator or beneficiary concerned:
- 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.
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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 (see Article 22). Only units implemented until termination will be accepted.
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 unit 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).
The beneficiaries may not claim damages due to termination by the granting authority (see
Article 33).
After termination, the beneficiaries’ obligations (in particular Articles 13 (confidentiality
and security), 16 (IPR), 17 (communication, dissemination and visibility), 21 (reporting), 25
(checks, reviews, audits and investigations), 26 (impact evaluation), 27 (rejections), 28 (grant
reduction) and 42 (assignment of claims)) continue to apply.
(b) for beneficiary termination:
The coordinator must — within 60 days from when termination takes effect — submit:
(i) a report on the distribution of payments to the beneficiary concerned
(ii) a termination report from the beneficiary concerned, for the open reporting period
until termination, containing an overview of the progress of the work, the financial
statement, and the explanation on the use of resources
(iii) a request for amendment (see Article 39) with any amendments needed (e.g.
reallocation of the tasks and the estimated budget of the terminated beneficiary;
addition of a new beneficiary to replace the terminated beneficiary; change of
coordinator, etc.).
The granting authority will calculate the amount due to the beneficiary on the basis of the report
submitted (see Article 22). Only units implemented until termination will be accepted.
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The information in the termination report must also be included in the periodic report for the
next reporting period (see Article 21).
If the granting authority does not receive the termination report within the deadline, only
unit contributions included in an approved periodic report will be taken into account (no
contributions if no periodic report was ever approved).
If the granting authority does not receive the report on the distribution of payments within the
deadline, it will consider that:
- the coordinator did not distribute any payment to the beneficiary concerned and that
- the beneficiary concerned must not repay any amount to the coordinator.
If the request for amendment is accepted by the granting authority, the Agreement is amended
to introduce the necessary changes (see Article 39).
If the request for amendment is rejected by the granting authority (because it calls into question
the decision awarding the grant or breaches the principle of equal treatment of applicants), the
grant may be terminated (see Article 32).
After termination, the concerned beneficiary’s obligations (in particular Articles 13
(confidentiality and security), 16 (IPR), 17 (communication, dissemination and visibility),
21 (reporting), 25 (checks, reviews, audits and investigations), 26 (impact evaluation), 27
(rejections), 28 (grant reduction) and 42 (assignment of claims)) continue to apply.
SECTION 3 OTHER CONSEQUENCES: DAMAGES AND ADMINISTRATIVE
SANCTIONS
ARTICLE 33 — DAMAGES
33.1 Liability of the granting authority
The granting authority cannot be held liable for any damage caused to the beneficiaries or to third
parties as a consequence of the implementation of the Agreement, including for gross negligence.
The granting authority cannot be held liable for any damage caused by any of the beneficiaries or
other participants involved in the action, as a consequence of the implementation of the Agreement.
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
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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.
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
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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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
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this Agreement — a ‘legal entity appointed representative (LEAR)’. The role and tasks of the LEAR
are stipulated in their appointment letter (see Portal Terms and Conditions).
If the electronic exchange system is temporarily unavailable, instructions will be given on the Portal.
36.2 Date of communication
The sending date for communications made through the Portal will be the date and time of sending,
as indicated by the time logs.
The receiving date for communications made through the Portal will be the date and time the
communication is accessed, as indicated by the time logs. Formal notifications that have not been
accessed within 10 days after sending, will be considered to have been accessed (see Portal Terms
and Conditions).
If a communication is exceptionally made on paper (by e-mail or postal service), general principles
apply (i.e. date of sending/receipt). Formal notifications by registered post with proof of delivery will
be considered to have been received either on the delivery date registered by the postal service or the
deadline for collection at the post office.
If the electronic exchange system is temporarily unavailable, the sending party cannot be considered
in breach of its obligation to send a communication within a specified deadline.
36.3 Addresses for communication
The Portal can be accessed via the Europa website.
The address for paper communications to the granting authority (if exceptionally allowed) is the
official mailing address indicated on its website.
For beneficiaries, it is the legal address specified in the Portal Participant Register.
ARTICLE 37 — INTERPRETATION OF THE AGREEMENT
The provisions in the Data Sheet take precedence over the rest of the Terms and Conditions of the
Agreement.
Annex 5 takes precedence over the Terms and Conditions; the Terms and Conditions take precedence
over the Annexes other than Annex 5.
Annex 2 takes precedence over Annex 1.
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.
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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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
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‘Days’ means calendar days, not working days.
ARTICLE 39 — AMENDMENTS
39.1 Conditions
The Agreement may be amended, unless the amendment entails changes to the Agreement which
would call into question the decision awarding the grant or breach the principle of equal treatment
of applicants.
Amendments may be requested by any of the parties.
39.2 Procedure
The party requesting an amendment must submit a request for amendment signed directly in the Portal
Amendment tool.
The coordinator submits and receives requests for amendment on behalf of the beneficiaries (see
Annex 3). If a change of coordinator is requested without its agreement, the submission must be done
by another beneficiary (acting on behalf of the other beneficiaries).
The request for amendment must include:
- the reasons why
- the appropriate supporting documents and
- for a change of coordinator without its agreement: the opinion of the coordinator (or proof that
this opinion has been requested in writing).
The granting authority may request additional information.
If the party receiving the request agrees, it must sign the amendment in the tool within 45 days of
receiving notification (or any additional information the granting authority has requested). If it does
not agree, it must formally notify its disagreement within the same deadline. The deadline may be
extended, if necessary for the assessment of the request. If no notification is received within the
deadline, the request is considered to have been rejected.
An amendment enters into force on the day of the signature of the receiving party.
An amendment takes effect on the date of entry into force or other date specified in the amendment.
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).
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If a beneficiary does not accede to the grant within the above deadline, the coordinator must — within
30 days — request an amendment (see Article 39) to terminate the beneficiary and make any changes
necessary to ensure proper implementation of the action. This does not affect the granting authority’s
right to terminate the grant (see Article 32).
40.2 Addition of new beneficiaries
In justified cases, the beneficiaries may request the addition of a new beneficiary.
For this purpose, the coordinator must submit a request for amendment in accordance with Article 39.
It must include an accession form (see Annex 3) signed by the new beneficiary directly in the Portal
Amendment tool.
New beneficiaries will assume the rights and obligations under the Agreement with effect from the
date of their accession specified in the accession form (see Annex 3).
Additions are also possible in mono-beneficiary grants.
ARTICLE 41 — TRANSFER OF THE AGREEMENT
In justified cases, the beneficiary of a mono-beneficiary grant may request the transfer of the grant to
a new beneficiary, provided that this would not call into question the decision awarding the grant or
breach the principle of equal treatment of applicants.
The beneficiary must submit a request for amendment (see Article 39), with
- the reasons why
- the accession form (see Annex 3) signed by the new beneficiary directly in the Portal
Amendment tool and
- additional supporting documents (if required by the granting authority).
The new beneficiary will assume the rights and obligations under the Agreement with effect from the
date of accession specified in the accession form (see Annex 3).
ARTICLE 42 — ASSIGNMENTS OF CLAIMS FOR PAYMENT AGAINST THE
GRANTING AUTHORITY
The beneficiaries may not assign any of their claims for payment against the granting authority to
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
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43.1 Applicable law
The Agreement is governed by the applicable EU law, supplemented if necessary by the law of
Belgium.
Special rules may apply for beneficiaries which are international organisations (if any; see Data Sheet,
Point 5).
43.2 Dispute settlement
If a dispute concerns the interpretation, application or validity of the Agreement, the parties must bring
action before the EU General Court — or, on appeal, the EU Court of Justice — under Article 272
of the Treaty on the Functioning of the EU (TFEU).
For non-EU beneficiaries (if any), such disputes must be brought before the courts of Brussels,
Belgium — unless an international agreement provides for the enforceability of EU court judgements.
For beneficiaries with arbitration as special dispute settlement forum (if any; see Data Sheet, Point 5),
the dispute will — in the absence of an amicable settlement — be settled in accordance with the Rules
for Arbitration published on the Portal.
If a dispute concerns administrative sanctions, offsetting or an enforceable decision under Article 299
TFEU (see Articles 22 and 34), the beneficiaries must bring action before the General Court — or, on
appeal, the Court of Justice — under Article 263 TFEU.
For grants where the granting authority is an EU executive agency (see Preamble), actions against
offsetting and enforceable decisions must be brought against the European Commission (not against
the granting authority; see also Article 22).
ARTICLE 44 — ENTRY INTO FORCE
The Agreement will enter into force on the day of signature by the granting authority or the
coordinator, depending on which is later.
SIGNATURES
For the coordinator For the granting authority
[--TGSMark#signature-996456460_75_210--] [--TGSMark#signature-service_75_210--]
Radka SNAJDROVA with ECAS id nsnajdra signed in the Participant Signed by Morten JENSEN with ECAS id jensemh as an authorised
Portal on 09/10/2024 at 09:27:36 (transaction id SigId-16563-SFXAJn representative on 09-10-2024 09:46:52 (transaction id SigId-16962-8
vPcxU3TZaebLWWgaKP2TveGEVzX8Fnp1111VI2iTQZqILGmUolWzK 6UrYdjmp3sfSFcrNC4rcR0WLpSDJ7XoEM9LN80DeizSkBmED4Izl6el0o
BJ4aQOzdQCuG6Zc37PWAosfOT1m0-rS0vSrmBGYC3m6yepzJoD9-bJ aQBTmMRHTjKdzenm83QI5MCvnT90W-rS0vSrmBGYC3m6yepzJoD9-
6zT9EWuhTSl7nvXxzLTcfoR6LWFCzMfYe7IVp1a3ET1DU1qZF5jPk42l QCMnUnzK824TIkSIqjfuGXRGrmHWZkH9hAU9kXanap0YcrzzwSyNRX
meAHx5oQxxNIf6nJUkwszzdFjLcH7). Timestamp by third party at SCRaS0ipDeGEi0vzQ61IaYvzgPZZVcUzhG)
2024.10.09 09:27:40 CEST 2024.10.09 09:46:55 CEST
59
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
ANNEX 1
Connecting Europe Facility (CEF)
Description of the action (DoA)
Part A
Part B
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
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: 101172274
Project name: ETCS České Velenice – České Budějovice – Horní Dvořiště
Project acronym: 23-CZ-TC-ETCS Vel-Bud-Dvo
Call: CEF-T-2023-SIMOBCOEN
Topic: CEF-T-2023-SIMOBCOEN-ERTMS-UNITS
Type of action: CEF-ERTMS-UN
Service: CINEA/B/01
Project starting date: fixed date: 2 August 2024
Project duration: 43 months
TABLE OF CONTENTS
Project summary ......................................................................................................................................................3
List of participants .................................................................................................................................................. 3
List of work packages .............................................................................................................................................4
Staff effort ............................................................................................................................................................... 6
List of deliverables ..................................................................................................................................................7
List of milestones (outputs/outcomes) .................................................................................................................. 10
List of critical risks ............................................................................................................................................... 11
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Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
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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.
„ETCS České Velenice – České Budějovice – Horní Dvořiště“ is an important project in the context of on-going ETCS
deployment in the railway junction České Budějovice and of the Global Project of ETCS deployment on backbone
railway network of the Czech Republic.
It aims at deploying ETCS L2, Baseline 3 on the railway lines Horní Dvořiště – České Budějovice and České Budějovice
– České Velenice and in the respective stations on these lines, including adaptations of the interlocking necessary for
the remote railway traffic control system. Total length is 102.672 km of track lines (corresponding to 59.355 km of
double-track equivalent) including 90.673 km of single-track lines in inter-station sections (corresponding to 45.337 km
of double-track equivalent) and 11.999 km of double or multiple-track lines at thirteen railway stations (corresponding
to 14.018 km of double-track equivalent).
The sections covered by the project are used for freight and passenger transport as well as for sub-urban passenger
transport. They are located in the south of the Czech Republic, and both are located on the TEN-T Comprehensive
Network. They are also transit connections between the Czech Republic and Austria.
The implementation of the Action will enhance interoperability, increase the level of safety and utilization capacity, as
well as the general efficiency of rail transport management in the Czech Republic.
LIST OF PARTICIPANTS
PARTICIPANTS
Grant Preparation (Beneficiaries screen) — Enter the info.
Number Role Short name Legal name Country PIC
SPRAVA ZELEZNIC STATNI ORGANIZACE
1 COO SZDC CZ 996456460
3
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
LIST OF WORK PACKAGES
Work packages
Grant Preparation (Work Packages screen) — Enter the info.
Work Work Package name Lead Beneficiary Effort Start End Deliverables
(Person- Month Month
Package No Months)
WP1 Design and build „ETCS České Velenice – České 1 - SZDC 0.00 1 43 D1.1 – Progress report 1
Budějovice – Horní Dvořiště“ D1.2 – Progress report 2
D1.3 – EC declaration of verification of
the subsystem (ETCS) for section České
Velenice – České Budějovice – Horní
Dvořiště
D1.4 – ETCS and interlocking equipment of
section České Velenice – České Budějovice
– Horní Dvořiště – autorisation request
4
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
Work package WP1 – Design and build „ETCS České Velenice – České Budějovice – Horní
Dvořiště“
Work Package Number WP1 Lead Beneficiary 1 - SZDC
Work Package Name Design and build „ETCS České Velenice – České Budějovice – Horní Dvořiště“
Start Month 1 End Month 43
Objectives
To deploy ETCS L2 Baseline 3 and necessary electronic interlocking on the Comprehensive TEN-T network railway
lines Horní Dvořiště – České Budějovice and České Budějovice – České Velenice and in the respective stations on these
lines on a total length of 102.672 km corresponding to 59.355 km of double-track equivalent. The sections České Velenice
– České Budějovice and České Budějovice – Horní Dvořiště are a transit connection between the Czech Republic and
Austria (Linz, Wien). They constitute interconnecting sections of the Rhine / Danube corridor.
Description
The project implementation is based on the conclusion of a contract for works under the Design and Build (D+B) scheme.
The following tasks are included in WP1:
• Task 1: Design works
This task covers: i) the preparation of the project documentation for joint permit in line with the requirements of
applicable legislation, i.e. the Line Infrastructure Act, ii) preparation of the detailed design documentation, iii) the
preparation of a maintenance manual an application for investment permit and as-built documentation.
• Task 2: Construction works
This task covers: i) the construction of RBC for the stations and lines within the scope of the project, ii) the construction
of operating workplaces for ERTMS/ETCS L2, B3 iii) the modification of the dispatching workplaces for the railway
infrastructure building/adaptations of the transmission system, adaptations of signal boxes, installation of group of balises
in the track layout. iv) modernization of interlocking equipment, v) GSM-R configuration and update. The works also
include testing, certification and obtaining all the source materials for putting the construction into operation according
to the applicable legislation.
5
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
STAFF EFFORT
Staff effort per participant
Grant Preparation (Work packages - Effort screen) — Enter the info.
Participant WP1 Total Person-Months
Total Person-Months
0.00 0.00
6
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
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 Deliverable Name Work Lead Beneficiary Type Dissemination Level Due Date
No Package (month)
No 1 - SZDC
1 - SZDC 14
D1.1 Progress report 1 WP1 1 - SZDC R — Document, report SEN - Sensitive 28
R — Document, report SEN - Sensitive 41
D1.2 Progress report 2 WP1 1 - SZDC R — Document, report SEN - Sensitive
43
D1.3 EC declaration of verification of the WP1
subsystem (ETCS) for section České
Velenice – České Budějovice – Horní
Dvořiště
D1.4 ETCS and interlocking equipment of section WP1 R — Document, report SEN - Sensitive
České Velenice – České Budějovice – Horní
Dvořiště – autorisation request
7
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
Deliverable D1.1 – Progress report 1
Deliverable Number D1.1 Lead Beneficiary 1 - SZDC
Deliverable Name Progress report 1
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 14 Work Package No WP1
Description
Progress report will be prepared using the respective template provided in the portal. The main purpose of which is to
describe in detail the actual progress of the project per WP for the period from M1 until M12. It will also refer to the
main implementation issues, milestones, events or factors that affected the progress of the project. Finally, it will also
include the planned progress per WP until the end of the project.
Deliverable D1.2 – Progress report 2
Deliverable Number D1.2 Lead Beneficiary 1 - SZDC
Deliverable Name Progress report 2
Type R — Document, report Dissemination Level SEN - Sensitive
Due Date (month) 28 Work Package No WP1
Description
Progress report will be prepared using the respective template provided in the portal. The main purpose of which is to
describe in detail the actual progress of the project per WP for the period from M13 until M26. It will also refer to the
main implementation issues, milestones, events or factors that affected the progress of the project. Finally, it will also
include the planned progress per WP until the end of the project.
Deliverable D1.3 – EC declaration of verification of the subsystem (ETCS) for section České
Velenice – České Budějovice – Horní Dvořiště
Deliverable Number D1.3 Lead Beneficiary 1 - SZDC
Deliverable Name
EC declaration of verification of the subsystem (ETCS) for section České Velenice –
Type České Budějovice – Horní Dvořiště
Due Date (month)
R — Document, report Dissemination Level SEN - Sensitive
41 Work Package No WP1
Description
“EC Declaration of verification” issued by the applicant for the trackside control-command and signalling subsystem
deployed, including related “EC certificate of verification” of the trackside control-command and signalling subsystem
issued by a Notified Body. The documents shall demonstrate traceability of the declared unit(s) with the WP scope.
Deliverable D1.4 – ETCS and interlocking equipment of section České Velenice – České
Budějovice – Horní Dvořiště – autorisation request
Deliverable Number D1.4 Lead Beneficiary 1 - SZDC
8
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
Deliverable Name ETCS and interlocking equipment of section České Velenice – České Budějovice –
Horní Dvořiště – autorisation request
Type
Due Date (month) R — Document, report Dissemination Level SEN - Sensitive
43 Work Package No WP1
Description
A proof of submission of an application for an authorisation for placing the trackside control-command and signalling
subsystem in service or the authorization(s) itself if available. The deliverable shall cover ETCS and Interlocking
equipment. The document(s) shall demonstrate traceability of the declared units with the WP scope.
9
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
LIST OF MILESTONES
Milestones
Grant Preparation (Milestones screen) — Enter the info.
Milestone Milestone Name Work Package No Lead Beneficiary Means of Verification Due Date
No Signed Contract for Works (month)
1 Works Contract (design and build) for ETCS WP1 1 - SZDC
deployment in section České Velenice – České 1
2 Budějovice – Horní Dvořiště 1 - SZDC
3 1 - SZDC
Start of the system design WP1 Confirmation from the Beneficiary 2
4 1 - SZDC
5 ETCS and interlocking deployment on the WP1 1 - SZDC Confirmation from the beneficiary 12
6 section České Velenice – České Budějovice – 1 - SZDC
Horní Dvořiště launched
7 1 - SZDC
ETCS Interoperability constituents WP1 EC declaration of conformity for the 19
conformity
Interoperability Constituents
Completion of construction of masts for WP1 Entry in the building log 26
GSMR system extension
Interlocking on the section České Velenice WP1 Confirmation from the Beneficiary 39
– České Budějovice – Horní Dvořiště
completed
Operational tests description and results WP1 Operational scenarios report 42
on the section České Velenice – České
Budějovice – Horní Dvořiště completed
10
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
LIST OF CRITICAL RISKS Associated with document Ref. Ares(2024)7131005 - 08/10/2024
Critical risks & risk management strategy Proposed Mitigation Measures
Grant Preparation (Critical Risks screen) — Enter the info.
Specification of the schedule for technological procedures with respect to their specific
Risk Description Work Package aspects. Effective planning of closures to make necessary surveys must be based on the
number No(s) estimated scope of train operations for the specific day/hour. In addition the operated ad hoc
1 trains must be taken into account.
Elaboration of project documentation: Delays WP1
2 during preparatory studies – dealing with Setting up the schedule that reflects the experience gained during authorization procedures
unexpected problems, e.g. necessity to find other of other projects. Communication and close cooperation with relevant authorities, local
3 technical design. Operating restrictions (closures) to selfgovernment and citizens. Fast delivery of the required documentation. Frequent public
make necessary surveys at track layout. Likelihood: consultations provided by experts in the relevant field.
4 low. Impact: low.
5 Proposal of technological procedures schedule that reflects their specific aspects related to
Authorization/joint permit acquisition: Delays WP1 e.g. seasons of the year, continuity of construction procedures, etc. Inspection days on the
during authorization procedures – complicated site, timely coordination.
public consultations during joint permit process,
insufficient capacity of relevant authorities to assess Regular monitoring of the situation, intensive communication with the contractor, change
the delivered documentation. Likelihood: medium. to the work schedule. More intensive diversification of foreign workers; higher quotas for
Impact: medium. foreign employees. Use of inflation clause in contracts with the contractor.
Delay/postponement of construction WP1 Use of inflation clause in contracts with the contractor, use of amendments to increase the
contract price of construction works, update of price lists according to the latest regulation
implementation. Delays may occur in the course of OTSKP (Sectoral classifier of building structures and works) of Ministry of Transport.
Change of subcontractor, of used construction materials.
project implementation due to climatic conditions
11
as well as technologic reasons, or due to delays in
implementation of upgrading projects preceding the
proposed project. Likelihood: low. Impact: medium.
Impacts of the war in Ukraine. Drain of labour WP1
force from Ukraine: Shortage of personnel causes
implementation delays due to insufficient number of
workers at construction site. Likelihood: medium.
Impact: low.
High material costs incur an abnormal increase in WP1
prices. Supply failures and protracted delivery terms
have an impact on the protracted implementation
Project: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN
Critical risks & risk management strategy Associated with document Ref. Ares(2024)7131005 - 08/10/2024
Grant Preparation (Critical Risks screen) — Enter the info.
Proposed Mitigation Measures
Risk Description Work Package
number No(s) Selecting an experienced construction contractor and technical supervisor. Implement best
practices from previous successful ETCS L2 deployment projects in the Czech Republic.
6 period of constructions. Likelihood: low. Impact: Continuous monitoring of legislative changes and flexible response allow to be partially
7 medium. ready to changes.
Technological problems during installation and WP1
testing Likelihood: low. Impact: medium.
Legislative changes: During the project preparation WP1
and implementation, changes in legislative
frameworks and amendments to acts can be
expected, e.g. in accordance with European
legislation. Likelihood: low. Impact: medium.
12
Project: [101172274] — [23-CZ-TC-ETCS Vel-Bud-Dvo] — [CEF-T-2023-SIMOBCOEN-ERTMS-UNITS]
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
ANNEX 1
Connecting Europe Facility (CEF)
Description of the action (DoA)
Part B
1
Project: [101172274] — [23-CZ-TC-ETCS Vel-Bud-Dvo] — [CEF-T-2023-SIMOBCOEN-ERTMS-UNITS]
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
The project „ETCS České Velenice – České Budějovice – Horní Dvořiště“ is an important
project in the context of on-going ETCS deployment in the railway junction České Budějovice
and of the Global Project of ETCS deployment on backbone railway network of the Czech
Republic. The railway lines affected by the project are used by freight and passenger transport
as well as for sub-urban passenger transport. The project meets the conditions set by the
Commission Implementing Regulation (EU) No. 2017/6 and the related ERTMS National
Implementation Plan of the Czech Republic with its objective to deploy ETCS on more than
2,500 km of TEN-T railway lines in the Czech Republic by 2030. Two out of the nine Core
TEN-T corridors are passing through the territory of the Czech Republic: the Rhine/Danube
Corridor and the Baltic/Adriatic Corridor.
The main objective of the proposed project „ETCS České Velenice – České Budějovice –
Horní Dvořiště“ is to implement the track-side part of ETCS L2 on the railway lines Horní
Dvořiště – České Budějovice and České Budějovice – České Velenice including adaptations of
existing telecommunication equipment that are necessary to incorporate the relevant railway
lines into the remote railway traffic control system.
From the perspective of the Transport Policy of the Czech Republic for the period 2021–2027
which is the basic national conceptual document for the field of transport, the proposed project
by its focus contributes to two of the measures set out for transport infrastructure. First it is the
obligation to equip the identified railway network with the ETCS system and to implement
ETCS deployment projects as an factor of interoperability in line with the Commission
Implementing Regulation (EU) 2017/6 of 5 January 2017 on the European Rail Traffic
Management System European deployment plan (schedule of the projects in question is
presented in Annex I to the Regulation, p. 11), and also the requirement to increase railway
transport safety.
ETCS deployment on railway infrastructure of the Czech Republic included in the European
conventional railway network will allow for running of trains from any destination on the
territory of the EU via the Czech Republic without the need to change traction units at the
borders. ETCS deployment on railway infrastructure of the Czech Republic included in the
European conventional railway network is beneficial in the context of interoperability, but also
with regard to increased safety and effectiveness of railway transport. This will help to improve
the position of Czech railway in transit transport, in particular in the context of European freight
corridors.
The relevant line sections České Budějovice – Horní Dvořiště and České Budějovice – České
Velenice are included in the ERTMS National Implementation Plan of Modern Train Control
System on the Czech Railway Network, which are the basic national conceptual documents
describing the process of ERTMS/ETCS deployment. These documents are available at the
website of the Ministry of Transport (https://www.mdcr.cz/getattachment/Dokumenty/Drazni-
doprava/Evropska-unie-na-zeleznici/Evropska-unie-na-zeleznici-Interoperabilita/NIP-
ERTMS-2017.pdf.aspx?lang=cs-CZ)
2
Project: [101172274] — [23-CZ-TC-ETCS Vel-Bud-Dvo] — [CEF-T-2023-SIMOBCOEN-ERTMS-UNITS]
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
Justification
There are two main reasons for the project implementation:
• fulfilment of legislative obligations,
• increasing the operating safety.
Lines included in the Trans-European Transport Network must meet interoperability objectives
– safety, reliability, protection of health, environmental protection and technical compatibility.
Deployment of ERTMS in line with the Commission Regulation (EU) 2016/919 on the
technical specification for interoperability relating to the ‘control-command and signalling’
subsystems (TSI CCS) is one of the necessary preconditions for meeting of the set objectives.
ERTMS implementation on lines belonging to the Core TEN-T Network shall be organised in
compliance with the Commission Implementing Regulation (EU) 2017/6 of 5 January 2017 on
the European Rail Traffic Management System European deployment plan. The Implementing
Regulation sets out a binding schedule for deployment and putting into operation of the ERTMS
system (GSM-R radio system and ETCS train control system) on these core lines, including
railway stations and nodes. For those lines where ERTMS implementation date says “After
2023”, the target state must be reached before 2030. Implementation on lines belonging to the
comprehensive network shall be organised immediately after their upgrading or optimisation
with the aim of reaching the target state also by 2030, but at latest by 2050.
According to the ERTMS National Implementation Plan – in addition to railway lines included
in the Core TEN-T Railway Network, the ERTMS/ETCS system expansion is planned also on
other important conventional connecting lines and alternative branches of corridor lines that
belong to the Comprehensive TEN-T Network in the Czech Republic with the aim to create
complex operating branches for transport control and circulation of vehicles. As the general
orientation is aimed at ETCS L2, ETCS deployment in the Czech Republic shall be done in
close coordination with development of the GSM-R system. ETCS installation will come after
the necessary upgrading of station, track-side and crossings interlocking in the scope necessary
for creating of functional interfaces in order to harmonise equipment service life cycles of
interconnected technical devices and to minimise costs.
Increasing of safety is the primary operating reason for ETCS deployment. Class B train control
system, type LS, used in the Czech Republic, is far from offering similar levels of functionality
and in particular of safety as a Class A system (ETCS). ETCS should therefore be seen as the
direct replacement of the national LS system in the Czech Republic. The LS train control system
is an interlocking system of Czecho-Slovak origin allowing to transmit four signals to the work
post of the train conductor. It functions together with the alertness control function. ETCS use
allows to significantly reduce the probability of running through a stop signal or exceeding
current, permanent or temporary speed limits. ETCS shall reduce to the minimum the number
of accidents caused by a mistake of the train conductor (not seeing or not respecting the signal)
and reduce the dependence of safe train driving on human factors in relation to the track, but
also to the vehicles. ETCS can mean other positive effects for train operation, such as increase
in through capacity of heavily burdened lines by running trains with shorter time span between
them or faster runs due to a more precise definition of speed profiles. Operation controlled
exclusively by ETCS at lines Horní Dvořiště state border – České Budějovice (line No. 196
according to passenger transport timetable or 240 00 according to Official Permit) and České
Velenice state border – České Budějovice (line no. 199 according to passenger transport
timetable or 260 00 according to Official Permit) is planned in 2029.
Project location
The project will be implemented at lines Horní Dvořiště state border – České Budějovice (line
No. 196 according to passenger transport timetable or 240 00 according to Official Permit) from
km 61.097 to km 115.733 and České Velenice state border – České Budějovice (line no. 199
3
Project: [101172274] — [23-CZ-TC-ETCS Vel-Bud-Dvo] — [CEF-T-2023-SIMOBCOEN-ERTMS-UNITS]
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
according to passenger transport timetable or 260 00 according to Official Permit) from km
163.100 to km 211.173. Both of them are single-track lines and electrified with the catenary
system 25kV, 50Hz AC. The train operations are organized according to SŽ D1. Both lines are
included in the TEN-T Comprehensive Network, and constitute interconnecting sections
between the Orient / East Med Corridor and also of the Rhine / Danube corridor, also they are
a transit connection between the Czech Republic and Austria (Linz, Wien). The maximum line
speed at both railway lines is 100 km/h, the loading gauge is D3.
Project location within the TEN-T network in the Czech Republic
Project objective
From the technical point of view the project can be divided into the following sections:
• Construction of radio-block centres (RBC) for individual lines – RBC technology will
be implemented and located in the central dispatching station in Praha, where the
technological spaces are already prepared.
• Construction of operating workplaces for ERTMS/ETCS L2 – upgrade of individual
dispatching workplaces for the affected operated areas, the ETCS system
functionalities will be added.
• Supply of the required software.
• Building and adaptations of the transmission system – to ensure reliable functioning
the transmission system will be adjusted, especially its individual elements will be
empowered and individual circuits will be interconnected.
• Modernization of interlocking equipment – individual signal boxes will be adjusted to
meet the ETCS system requirements. This includes mainly software adaptations,
possibility of entering an occupied track etc.
• Group of balises in the track layout – as a part of the construction the groups of balises
will be installed into the track layout that will be used to define the train position within
the track layout. These group of balises will be installed at the entrances into the ETCS
system as well.
• GSM-R configuration and update ensuring full functionality of ETCS system
4
Project: [101172274] — [23-CZ-TC-ETCS Vel-Bud-Dvo] — [CEF-T-2023-SIMOBCOEN-ERTMS-UNITS]
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
The specific objectives of the project include:
• Increasing the level of railway transport safety by the implementation of ETCS L2
system and modernization of existing parts of the interlocking and telecommunication
equipment;
• Ensuring the reliable railway traffic operation;
• Improve the overall attractiveness of rail transport for individual carriers;
• Get rid of the inconvenient current condition that forms a bottleneck on the line;
• Increase the transport capacity and smoothness.
Current condition
The current state of these lines does not allow the full compliance with the requirements of the
relevant TSI for the Trans-European Rail network. At both lines and in all track sections the
integrated signalling block system (automatic line block system) is in operation. Individual
stations are equipped with the interlocking equipment of 3rd category according to TNŽ 3426
20. The stations Horní Dvořiště, Rybník, Včelná, Kamenný újezd, Holkov, Velešín, Kaplice,
Omlenice are operated remotely. The dispatching workplace (modernized in 2015) is situated
in the station building at České Budějovice. The line České Budějovice – České Velenice is
also operated remotely at present. The station České Velenice is operated locally. In the whole
section of the project České Velenice – České Budějovice – Horní Dvořiště the digital radio
system GSM-R is in operation. At branch lines the analog radio system is used.
Global project
“Development of ETCS systems on TEN-T lines in the Czech Republic” is the Global
Project. Objectives of the Global Project are to meet the railway transport interoperability
requirements stemming from existing EU legislation related to ERTMS/ETCS deployment,
specifically the Directive (EU) 2016/797 of the European Parliament and of the Council of 11
May 2016 on the interoperability of the rail system within the European Union and Directive
(EU) 2016/798 of the European Parliament and of the Council of 11 May 2016 on railway
safety and thus to contribute in the context of Czech railway infrastructure to meeting of the
general objective of ERTMS deployment – ensuring of a unified system of railway transport
control across the EU.
TEN-T railway lines are important not only for international, but also for national transport
where in particular suburban sections of transit corridors are overburdened by long-distance
(passenger and freight) and regional transport running in parallel. The ETCS implementation
plan for individual sections of TEN-T network in the Czech Republic as well as for other lines
is a part of the document approved by the Ministry of Transport of the Czech Republic in 2021
(https://amsp.cz/wp-content/uploads/2021/09/16MA.pdf).
General description and context
The ERTMS National Implementation Plan
(https://www.mdcr.cz/getattachment/Dokumenty/Drazni-doprava/Evropska-unie-na-
zeleznici/Evropska-unie-na-zeleznici/NIP-ERTMS-2017.pdf.aspx?lang=cs-CZ) defines the
strategy for gradual installation and use of ERTMS/ETCS in the Czech Republic. In addition
to railway lines included in the Core TEN-T Railway Network, system expansion is planned
also on other important conventional connecting lines and alternative branches of corridor lines
that belong to the Comprehensive TEN-T Network in the Czech Republic with the aim to create
5
Project: [101172274] — [23-CZ-TC-ETCS Vel-Bud-Dvo] — [CEF-T-2023-SIMOBCOEN-ERTMS-UNITS]
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
complex operating branches for transport control and circulation of vehicles. As a priority,
ETCS shall be deployed on lines where it is possible to increase the speed limit above the
current 100 km/h. As the general orientation is aimed at ETCS L2, ETCS deployment in the
Czech Republic shall be done in close coordination with development of the GSM-R system.
ETCS installation will come after the necessary upgrading of station, track-side and crossings
interlocking in the scope necessary for creating of functional interfaces in order to harmonise
equipment service life cycles of interconnected technical devices and to minimise costs. On the
other hand, all upgrading of station, track-side and crossings interlocking (also on lines where
the date of ETCS deployment has not been defined yet) shall be done in such a way that creates
suitable conditions for easy future ETCS installation.
The proposed project is part of the Global Project as the line section subject to works is part of
the TEN-T Network in accordance with the Regulation (EU) No 1315/2013 of the European
Parliament and of the Council. The track-side part of ETCS L2 system shall be designed,
implemented, approved for operation and certified pursuant to Czech and EU legislative rules
in force; it shall be interoperable and fully compatible with vehicles equipped with on-board
ETCS units certified in line with set of specifications No 1 (Baseline 2) and also with vehicles
equipped with on-board ETCS units certified in line with set of specifications No 2 (Baseline 3
– Maintenance Release 1) and with vehicles equipped with on-board ETCS units certified in
line with set of specifications No 3 (Baseline 3 – Release 2) as per the TSI CCS.
6
Project: [101172274] — [23-CZ-TC-ETCS Vel-Bud-Dvo] — [CEF-T-2023-SIMOBCOEN-ERTMS-UNITS]
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
VERSION PUBLICATION HISTORY OF CHANGES
1.0 DATE CHANGE
20.09.2024 Initial version
7
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
INSTRUCTIONS (UNIT CALCULATION TABLE — PROPOSAL)
General
The file is composed of 4 sheets (1 - ERTMS COEN CALL INPUT, 2 - ERTMS COEN CALL OUTPUT, 3 - ERTMS GEN
CALL INPUT, 4 - ERTMS GEN CALL OUTPUT) which must be used to calculate the unit contribution information you
encode directly in the Funding and Tenders Portal (Submission System for the application, Grant Preparation Tool for
grant preparation, and Reporting tool for reporting under each reporting period).
You should submit the unit calculation table as part of your proposal. Please complete and upload the table as an
Excel file together with your Application Form Part B in Funding & Tenders Portal Submission System (only sheets
corresponding to you topic are needed).
You will also need it for the grant preparation phase and grant modification in case the number of units has changed
and the grant amount needs to be recalculated.
How to use the tables:
First select the appropriate INPUT and OUTPUT sheets corresponding to the topic of your application: ERTMS
Cohesion Fund, ERTMS general envelop.
On the INPUT sheets
Introduce all beneficiaries and their affiliated entities (if applicable) in the first column, add row/s if needed at the
end. Encode the estimated number of units by beneficiary/affiliated entity and unit category in the white cells.
On the OUTPUT sheets
The beneficiaries and their affiliated entities are copied from the input table into the first column. If needed add
row/s at the end and copy the formulas from the line above. In the grey cells the calculated unit contribution by
beneficiary/affiliated entity and unit category are displayed. Copy and paste the amounts to the unit contribution
table in Funding and Tenders Portal by beneficiary/affiliated entity and unit contribution category. Check that the
total in the Funding and Tender Portal corresponds to the total in your OUTPUT table.
ATTENTION!
White cells mean that you are required to enter data. Blue cells are predefined and grey cells are calculated
automatically.
Warning!
Do NOT delete formulas or change the configuration of the file.
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
CEF-T ERTMS UNIT COST GRANT DETAILED BUDGET TABLE/CALCULATOR
A. Contributions for on-board ERTMS Estimated number of units B. Contributions for track-side ERTMS
Prototype1 Serial
A.1 Retrofitting A.2 Upgrade B.1 Deployment
Prototype Serial A.3 Fitment ETCS & associated upgrade costs Interlocking B.2 Upgrade Total units estimated
International - National - Software + International - International - National - Software + 45 000,00 Class A radio
Software + Harware Hardware Software Software + Harware Hardware k communication
International National International National National - Software Network Urban Node Network Urban Node
1 500 000,00 750 000,00 190 000,00
Unit contribution a b c 140 000,00 1 000 000,00 600 000,00 30 000,00 25 000,00 95 000,00 95 000,00 150 000,00 340 000,00 35 000,00 140 000,00 510 000,00 35 000,00
d e f g h i j l m n o p
1 – Správa železnic, státní organizace q =SUM(a:q)
1.1 – [short name affiliated entity] 59,355 59,355 -
2 – [short name beneficiary] 118,710
2.1 – [short name affiliated entity] - - - - - - - - - - - 59,355 - - 59,355 - -
X – [short name associated partner] -
Total consortium -
-
-
118,710
1 Software-only upgrades would not receive a prototype unit contribution
Encode the estimated number of units per unit category and beneficiary/affiliated entity in the white cells
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
CEF-T ERTMS UNIT COST GRANT DETAILED BUDGET TABLE/CALCULATOR
Estimated EU contribution
A. Contributions for on-board ERTMS B. Contributions for track-side ERTMS
A.1 Retrofitting A.2 Upgrade B.1 Deployment
Prototype Serial Prototype Serial A.3 Fitment ETCS & associated upgrade costs Class A radio Interlocking B.2 Upgrade Maximum grant amount
communication
International - Software National - Software + International - Software International - Software National - Software + 45 000,00
International National International National National - Software Network Urban Node Network Urban Node
+ Harware Hardware + Harware Hardware k
-
Unit contribution 1 500 000,00 750 000,00 190 000,00 140 000,00 1 000 000,00 600 000,00 30 000,00 25 000,00 95 000,00 95 000,00 - 150 000,00 340 000,00 35 000,00 140 000,00 510 000,00 35 000,00
-
1 – Správa železnic, státní organizace a b c d e f g h i j - l m n o p q =SUM(a:q)
1.1 – [short name affiliated entity] - - - - - - - - - - - 8 903 250 - - 8 309 700 -
2 – [short name beneficiary] - - - - - - - - - - - - - - 17 212 950
2.1 – [short name affiliated entity] - - - - - - - - - - - - - - - -
X – [short name associated partner] - - - - - - - - - - - - - - - - -
- - - - -
Total consortium - - - - - - - - - - - - - -
- - -
8 903 250 8 309 700 - -
- -
- - - - - - - - - - - 17 212 950
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
CEF-T ERTMS UNIT COST GRANT DETAILED BUDGET TABLE/CALCULATOR
Estimated number of units
A. Contributions for on-board ERTMS B. Contributions for track-side ERTMS
A.1 Retrofitting A.2 Upgrade B.1 Deployment
Prototype Serial Prototype1 Serial ETCS & associated upgrade costs Interlocking Total units estimated
A.3 Fitment Class A radio B.2 Upgrade
communication
International - National - Software + International - International - National - Software + 25 000,00
International National International National Software + Harware Hardware Software National - Software Software + Harware Hardware k Network Urban Node Network Urban Node
900 000,00 450 000,00 110 000,00 80 000,00 300 000,00
Unit contribution a b c 80 000,00 600 000,00 350 000,00 18 000,00 15 000,00 55 000,00 55 000,00 90 000,00 200 000,00 20 000,00 o p 20 000,00
d e f g h i j l m n
1 – [short name beneficiary] q =SUM(a:q)
1.1 – [short name affiliated entity]
2 – [short name beneficiary] -
2.1 – [short name affiliated entity] -
X – [short name associated partner] -
-
Total consortium -
- - - - - - - - - - - - - - - - - -
1 Software-only upgrades would not receive a prototype unit contribution
Encode the estimated number of units per unit category and beneficiary/affiliated entity in the white cells
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
CEF-T ERTMS UNIT COST GRANT DETAILED BUDGET TABLE/CALCULATOR
Estimated EU contribution
A. Contributions for on-board ERTMS B. Contributions for track-side ERTMS
A.1 Retrofitting A.2 Upgrade B.1 Deployment
Prototype Serial Prototype Serial ETCS & associated upgrade costs Class A radio Interlocking B.2 Upgrade Maximum grant amount
communication
A.3 Fitment
International National International National International - National - Software International - National - Software International - National - Software Network Urban Node Network Urban Node
Software
Software + Harware + Hardware Software + Harware + Hardware
Unit contribution 900 000,00 450 000,00 110 000,00 80 000,00 600 000,00 350 000,00 18 000,00 15 000,00 55 000,00 55 000,00 25 000,00 90 000,00 200 000,00 20 000,00 80 000,00 300 000,00 20 000,00
1 – [short name beneficiary] a b c d e f g h i j k l m n p q r =SUM(a:s)
1.1 – [short name affiliated entity]
2 – [short name beneficiary] - - - - - - - - - - - - - - - - - -
2.1 – [short name affiliated entity]
X – [short name associated partner] - - - - - - - - - - - - - - - - - -
Total consortium - - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - -
Grant Agreement number: 101172274 — 23-CZ-TC-ETCS Vel-Bud-Dvo — CEF-T-2023-SIMOBCOEN Associated withCdoEcFumUennitt RMeGf.AAr—es(M20u2lt4i)&71M31o0n0o5:-v018./010/2024
ESTIMATED BUDGET FOR THE ACTION ANNEX 2
Estimated EU contribution
Estimated eligible unit contributions (per budget category)
A. Contributions for on-board ERTMS B. Contributions for track-side ERTMS Maximum
grant amount1
Forms of funding A.1 Retrofitting A.2 Upgrade A.3 Fitment B.1 Deployment B.2 Upgrade Total
1 - SZDC Unit contribution2 Unit contribution2 Unit contribution2 Unit contribution2 Unit contribution2 u
f = a+b+c+d+e 17 212 950.00
a b c d e 17 212 950.00
0.00 0.00 0.00 17 212 950.00 0.00
1 The 'maximum grant amount' is the maximum grant amount fixed in the grant agreement (on the basis of the sum of the beneficiaries' estimated units).
2 See Annex 2a 'Additional information on the estimated budget' for the details (units, amount per unit).
Page 1 of 1
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
ANNEX 2a
ADDITIONAL INFORMATION ON UNIT COSTS AND CONTRIBUTIONS
CEF ERTMS
See Additional information on unit costs and contributions (Annex 2a and 2b)
CEF Alternative Fuels Facility - Electric Vehicles Recharging Infrastructure (AFIF-
EVRI)
See Additional information on unit costs and contributions (Annex 2a and 2b)
CEF Retrofitting Noisy Wagons (RFN)
See Additional information on unit costs and contributions (Annex 2a and 2b)
1
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
ANNEX 4 CEF-T ERTMS UNIT MGA — MULTI + MONO
FINANCIAL STATEMENT FOR [PARTICIPANT NAME] FOR REPORTING PERIOD [NUMBER]
EU contribution
Eligible unit contributions (per budget category)
A. Contributions for on-board ERTMS B. Contributions for track-side ERTMS Requested EU contribution
Total
Forms of funding A.1 Retrofitting A.2 Upgrade A.3 Fitment B.1 Deployment B.2 Upgrade f = a+b+c+d+e g
XX – [short name beneficiary/affiliated entity] Unit contribution1 Unit contribution1 Unit contribution1 Unit contribution1 Unit contribution1
a b c d e
The beneficiary/affiliated entity hereby confirms that:
The information provided is complete, reliable and true.
The unit contributions declared are eligible (see Article 6).
The contributions can be substantiated by adequate records and supporting documentation that will be produced upon request or in the context of checks, reviews, audits and investigations (see Articles 19, 20 and 25).
1 See Annex 2a 'Additional information on the estimated budget' for the details (units, amount per unit).
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
ANNEX 5
SPECIFIC RULES
INTELLECTUAL PROPERTY RIGHTS (IPR) — BACKGROUND AND RESULTS —
ACCESS RIGHTS AND RIGHTS OF USE (— ARTICLE 16)
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.
1
Associated with document Ref. Ares(2024)7131005 - 08/10/2024
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
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.
Durability
Unless exempted by the granting authority, the beneficiaries must commit to continue to use
and maintain after the end of the action equipment funded 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:
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Associated with document Ref. Ares(2024)7131005 - 08/10/2024
- 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.
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Digitally sealed by the European Commission
Date: 2024.10.08 12:50:38 CEST
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organisation and for the issuer of the eReceipt.
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symbol.
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