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Commission Implementing Regulation (EU) 2015/207 of 20 January 2015 laying down detailed rules implementing Regulation (EU) No 1303/2013 of the European Parliament and of the Council as regards the models for the progress report, submission of the information on a major project, the joint action plan, the implementation reports for the Investment for growth and jobs goal, the management declaration, the audit strategy, the audit opinion and the annual control report and the methodology for carrying out the cost-benefit analysis and pursuant to Regulation (EU) No 1299/2013 of the European Parliament and of the Council as regards the model for the implementation reports for the European territorial cooperation goal

EU Regulation 2015/207 · Adopted 20 January 2015 · Extends to United Kingdom

Original text. legislation.gov.uk does not revise this item, so later amendments are not shown here. Changes made to it are listed under each provision when known.

Commission Implementing Regulation (EU) 2015/207

of 20 January 2015

laying down detailed rules implementing Regulation (EU) No 1303/2013 of the European Parliament and of the Council as regards the models for the progress report, submission of the information on a major project, the joint action plan, the implementation reports for the Investment for growth and jobs goal, the management declaration, the audit strategy, the audit opinion and the annual control report and the methodology for carrying out the cost-benefit analysis and pursuant to Regulation (EU) No 1299/2013 of the European Parliament and of the Council as regards the model for the implementation reports for the European territorial cooperation goal

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) No 1303/2013 of 17 December 2013 of the European Parliament and of the Council laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund and repealing Council Regulation (EC) No 1083/2006f1, and in particular Article 52(4), the second and the fifth paragraphs of Article 101, the second paragraph of Article 106, and Articles 111(5), 125(10) and 127(6), thereof,

Having regard to Regulation (EU) No 1299/2013 of 17 December 2013 of the European Parliament and of the Council on specific provisions for the support from the European Regional Development Fund to the European territorial cooperation goalf2, and in particular Article 14(5) thereof,

After consulting the Coordination Committee for the European Structural and Investment Funds,

Whereas:

(1)

Commission Implementing Regulation (EU) No 288/2014f3 lays down provisions necessary for the preparation of programmes. In order to ensure implementation of the programmes financed by the European Structural and Investment Funds (the ‘ESI Funds’), it is necessary to lay down further provisions for the application of Regulation (EU) No 1303/2013. To facilitate a comprehensive view and the access to those provisions, those provisions should be set out in one implementing act.

(2)

The model for the progress report on implementation of the Partnership Agreement should set out uniform conditions for presenting information required in each part of the progress report in order to ensure that the information provided in the progress report is consistent and comparable and can, where necessary, be aggregated. To this end and taking into account that all information exchanges between Member States and the Commission should take place electronically through a system established for that purpose, the model should also define the technical characteristics of each field, including the format of the data, the input method and the character limits. The character limits proposed for the text fields are based on the needs of the most comprehensive reports.

(3)

To comply with the requirements laid down in Regulation (EU) No 1303/2013, the model for the progress report is divided into five parts. Part I sets out the information and assessment required for all the European Structural and Investment Funds. Part II sets out information and assessment required in the progress report on the Youth Employment Initiative. The information set out in Parts III, IV and V of the model for the progress report should be provided for the European Regional Development Fund (ERDF), the European Social Fund (ESF) and the Cohesion Fund where, in accordance with the third subparagraph of Article 111(4) of Regulation (EU) No 1303/2013, Member States with no more than one operational programme per Fund have opted to include the information required by Article 50(5) of the same Regulation and the information referred to in points (a), (b), (c) and (h) of the second subparagraph of Article 111(4) of that Regulation in the progress report on implementation of the Partnership Agreement instead of in the annual implementation reports submitted in 2017 and 2019 and in the final implementation report. Where such information has already been provided in Part I or II of the progress report, it should not be repeated in Part III, IV or V, as all information should be submitted once only.

(4)

Major projects represent a substantial proportion of EU spending and are of strategic importance for achieving the EU strategy for smart, sustainable and inclusive growth. To ensure uniform application it is necessary to provide a standard format for submitting the information requested for the approval of major projects. The information specified within this model should provide sufficient assurance that the financial contribution from the ERDF and the Cohesion Fund will not result in a substantial loss of jobs in existing locations within the Union.

(5)

A cost-benefit analysis, including an economic analysis, a financial analysis and a risk assessment is a prerequisite for the approval of a major project. A methodology for carrying out the cost-benefit analysis should be developed based on recognised best practices and with a view to ensuring consistency, quality and rigour, both in carrying out the analysis and in its assessment by the Commission or independent experts. The cost-benefit analysis of major projects should show that the project is desirable from an economic point of view and that the contribution from the ERDF and the Cohesion Fund is needed for the project to be financially viable.

(6)

To ensure uniform conditions for the implementation of Article 106 of Regulation (EU) No 1303/2013 it is necessary to set out a format of the model for the joint action plan. Taking into account that all information exchanges between Member States and the Commission should take place electronically through a system established for that purpose, the model should also define the technical characteristics of each field, including the format of the data, the input method and the character limits.

(7)

As the reporting requirements for the Investment for growth and jobs goal and for the European territorial cooperation goal are not identical, it is necessary to set out two models for the implementation reports, one for operational programmes under the Investment for growth and jobs goal and one for cooperation programmes under the European territorial cooperation goal. Nevertheless it should be ensured that where reporting requirements are the same or similar for the two goals, the content of the models is harmonised to the extent possible.

(8)

A model for the annual and final implementation reports should set out uniform conditions for presenting the information required in each part of the reports. This will ensure that the information provided is consistent and comparable, and can, where necessary, be aggregated. To this end and taking into account that all information exchanges between Member States and the Commission should take place electronically through a system established for that purpose, the model should also define the technical characteristics of each field, including the format of the data, the input method and the character limits. The character limits proposed for the text fields are based on the needs of the most comprehensive reports.

(9)

In order to comply with the requirements of Regulation (EU) No 1303/2013 for the annual implementation report under the Investment in growth and jobs goal, whereby different types of information are to be reported depending on the year in question, the model is divided into three parts in order to set out clearly the information required for each year's report. Part A sets out the information required every year starting from 2016, Part B sets out additional information to be provided in the reports submitted in 2017 and 2019 and in the final reports and Part C sets out information to be provided in the report submitted in 2019 and in the final report, in addition to the information set out in Parts A and B. In accordance with the third subparagraph of Article 111(4) of Regulation (EU) No 1303/2013, Member States with no more than one operational programme per Fund may include certain information in the progress report instead of the annual implementation reports submitted in 2017 and 2019 and the final implementation report. It is necessary to identify this information in the model to ensure uniform application of those provisions.

(10)

Pursuant to Article 50(9) of Regulation (EU) No 1303/2013, a citizen's summary of the content of the annual and final implementation reports should be made available to the public. It should be uploaded as a separate file in the form of an annex to the annual and final implementation reports. No specific model is envisaged for the citizen's summary, thus allowing Member States to use the structure and formatting they consider most appropriate.

(11)

To harmonise standards for the preparation and presentation of the management declaration for which a managing authority is responsible pursuant to point (e) of the first subparagraph of Article 125(4) of Regulation (EU) No 1303/2013, it is necessary to set out uniform conditions for its content in the form of a standard model.

(12)

To harmonise standards for the preparation and presentation of the audit strategy, the audit opinion and the annual control report for which an audit authority is responsible pursuant to Article 127(4) and the first subparagraph of Article 127(5) of Regulation (EU) No 1303/2013, a model should be provided setting out uniform conditions for the structure, and specifying the nature and the quality of the information to be used in their preparation.

(13)

In order to allow for the prompt application of the measures provided for in this Regulation, this Regulation should enter into force on the day following that of its publication in the Official Journal of the European Union,

HAS ADOPTED THIS REGULATION:

Annotations to the whole text

Footnotes

f1

OJ L 347, 20.12.2013, p. 320.

f2

OJ L 347, 20.12.2013, p. 259.

f3

Commission Implementing Regulation (EU) No 288/2014 of 25 February 2014 laying down rules pursuant to Regulation (EU) No 1303/2013 of the European Parliament and of the Council laying down common provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund, the European Agricultural Fund for Rural Development and the European Maritime and Fisheries Fund and laying down general provisions on the European Regional Development Fund, the European Social Fund, the Cohesion Fund and the European Maritime and Fisheries Fund with regard to the model for operational programmes under the Investment for growth and jobs goal and pursuant to Regulation (EU) No 1299/2013 of the European Parliament and of the Council on specific provisions for the support from the European Regional Development Fund to the European territorial cooperation goal with regard to the model for cooperation programmes under the European territorial cooperation goal (OJ L 87, 22.3.2014, p. 1).

Contents

  1. 1Model for the progress report
  2. 2Format for submission of the information on a major project
  3. 3Methodology for carrying out the cost-benefit analysis
  4. 4Format of the model for the joint action plan
  5. 5Model for the implementation reports for the Investment for growth and jobs goal
  6. 6Model for the management declaration
  7. 7Models for the audit strategy, the audit opinion and the annual control report
  8. 8Model for the implementation reports for the European territorial cooperation goal
  9. 9Entry into force
  10. Signature
  11. Annex I: MODEL FOR THE PROGRESS REPORT
  12. Information and assessment required for all the European Structural and Investment Funds (ESI Funds)
  13. 1Changes in the development needs in the Member State since the adoption of the Partnership Agreement (Article 52(2)(a) of Regulation (EU) No 1303/2013 of the European Parliament and of the Council )
  14. 2Progress towards achievement of the Union strategy for smart, sustainable and inclusive growth, as well as of the Fund-specific missions through the contribution of the ESI Funds to the thematic objectives selected, and in particular in respect to the milestones set out in the performance framework for each programme, and to the support used for climate change objectives (Article 52(2)(b) of Regulation (EU) No 1303/2013)
  15. 3For 2017 report only — Actions taken to fulfil the ex ante conditionalities set out in the Partnership Agreement (Article 52(2)(c) of Regulation (EU) No 1303/2013)
  16. 4Implementation of mechanisms to ensure coordination between the ESI Funds and other Union and national funding instruments and with the European Investment Bank (EIB) (Article 52(2)(d) of Regulation (EU) No 1303/2013)
  17. 5Implementation of the integrated approach to territorial development, or a summary of the implementation of the integrated approaches that are based on the programmes, including progress towards achievement of priority areas established for cooperation (Article 52(2)(e) of Regulation (EU) No 1303/2013)
  18. 6Where appropriate, actions taken to reinforce the capacity of the Member State authorities and beneficiaries to administer and use the ESI Funds (Article 52(2)(f) of Regulation (EU) No 1303/2013)
  19. 7Actions taken and progress achieved towards a reduction in the administrative burden for beneficiaries (Article 52(2)(g) of Regulation (EU) No 1303/2013)
  20. 8The role of the partners referred to in Article 5 of Regulation (EU) No 1303/2013 in the implementation of the Partnership Agreement (Article 52(2)(h) of Regulation (EU) No 1303/2013)
  21. 9A summary of the actions taken in relation to the application of horizontal principles and policy objectives for the implementation of the ESI Funds (Article 52(2)(i) of Regulation (EU) No 1303/2013)
  22. Information and assessment on the Youth Employment Initiative (for the purposes of Article 19(5) of Regulation (EU) No 1304/2013 of the European Parliament and of the Council )
  23. 10Implementation of the Youth Employment Initiative (YEI) (Article 19(5) of Regulation (EU) No 1304/2013)
  24. Information and assessment to be provided for cohesion policy if use is made of the option provided by Article 111(4) of Regulation (EU) No 1303/2013 to include certain elements of the annual implementation reports in the progress report — to be provided in 2017 and 2019
  25. Additional information and assessment which may be added depending on the content and objectives of the operational programme (Article 111(4) of Regulation (EU) No 1303/2013, included where necessary to complement the other sections of the progress report)
  26. 11.1Division 11.1
  27. 11.2Division 11.2
  28. 11.3Division 11.3
  29. 11.4Division 11.4
  30. Information and assessment on the implementation of the YEI in case use is made of the option provided by Article 111(4) of Regulation (EU) of No 1303/2013 — to be provided in 2019
  31. 12Implementation of the YEI (Article 19(4) of Regulation (EU) No 1304/2013)
  32. Information and assessment to be provided for cohesion policy if use is made of the option provided by Article 111(4) of Regulation (EU) No 1303/2013 (included where necessary to complement the other sections of the progress report) — to be provided in 2019
  33. 13Programme contribution to achieving the Union strategy for smart, sustainable and inclusive growth (Article 50(5) of Regulation (EU) No 1303/2013)
  34. Annex II: Format for submission of the information on a major project
  35. EUROPEAN REGIONAL DEVELOPMENT FUND / COHESION FUND
  36. INFRASTRUCTURE/PRODUCTIVE INVESTMENT
  37. THE BODY RESPONSIBLE FOR IMPLEMENTATION OF THE MAJOR PROJECT, AND ITS CAPACITY
  38. A.1Authority responsible for project application (managing authority or intermediate body)
  39. A.2Body/-ies responsible for project implementation (beneficiary/-ies )
  40. Details of the undertaking (to be filled in for productive investments only)
  41. A.3.1Name of the undertaking:
  42. A.3.2Is the undertaking an SME ? <type='C' input=M>
  43. A.3.3Turnover (value in million EUR and year):
  44. A.3.4Total number of persons employed (value and year):
  45. A.3.5Group structure:
  46. Capacity of the body responsible for project implementation by referring to its technical, legal, financial and administrative capacity
  47. A.4.1Division A.4.1
  48. A.4.2Division A.4.2
  49. A.4.3Division A.4.3
  50. A.4.4Division A.4.4
  51. A.5Provide information on all relevant institutional arrangements with third parties for the implementation of the project and the successful operation of the resulting facilities that have been planned and possibly concluded
  52. A.5.1Division A.5.1
  53. A DESCRIPTION OF THE INVESTMENT AND ITS LOCATION; EXPLANATION AS TO HOW IT IS CONSISTENT WITH THE RELEVANT PRIORITY AXES OF THE OPERATIONAL PROGRAMME(S) CONCERNED, AND ITS EXPECTED CONTRIBUTION TO ACHIEVING THE SPECIFIC OBJECTIVES OF THOSE PRIORITY AXES AND THE EXPECTED CONTRIBUTION TO SOCIO-ECONOMIC DEVELOPMENT
  54. B.1Operational programme(s) and priority axes
  55. B.1.1Division B.1.1
  56. B.2Categorisation of project activity
  57. Project description
  58. B.3.1Division B.3.1
  59. B.3.2Division B.3.2
  60. B.3.3Division B.3.3
  61. B.3.4Division B.3.4
  62. B.3.5Division B.3.5
  63. B.3.6In case of productive investments is this investment:
  64. B.4Division B.4
  65. B.4.1Division B.4.1
  66. B.4.2Division B.4.2
  67. B.4.3Division B.4.3
  68. B.4.4Division B.4.4
  69. TOTAL COST AND TOTAL ELIGIBLE COST
  70. C.1Please complete table below taking into account the following
  71. C.2Verification of compliance with State aid rules
  72. C.3Total eligible cost calculation
  73. FEASIBILITY STUDIES CARRIED OUT, INCLUDING OPTION ANALYSIS, AND THE RESULTS
  74. D.1Demand analysis
  75. Option analysis
  76. D.2.1Division D.2.1
  77. D.2.2Division D.2.2
  78. D.3Feasibility of the option selected
  79. D.3.1Institutional aspect
  80. D.3.2Technical aspects including location, designed capacity of the main infrastructure, justification of the project scope and size in the context of the forecasted demand, justification of the choices made with regard to climate and natural disaster risks assessment (where relevant), investment and operating costs estimates
  81. D.3.3Environmental, and climate change mitigation (GHG emissions) and adaptation aspects (where applicable)
  82. D.3.4Other aspects
  83. EA COST-BENEFIT ANALYSIS, INCLUDING A FINANCIAL AND AN ECONOMIC ANALYSIS, AND A RISK ASSESSMENT
  84. Financial analysis
  85. E.1.1Division E.1.1
  86. E.1.2Main elements and parameters used in the CBA for financial analysis (all values in euro)
  87. E.1.3Main indicators of the financial analysis in accordance with the CBA document
  88. Tariff strategy and affordability (if applicable)
  89. E.1.4.1Division E.1.4.1
  90. E.1.4.2Division E.1.4.2
  91. E.1.4.3Division E.1.4.3
  92. E.1.4.4Division E.1.4.4
  93. E.1.4.5Division E.1.4.5
  94. Economic analysis
  95. E.2.1Division E.2.1
  96. E.2.2Division E.2.2
  97. E.2.3Main indicators of the economic analysis in accordance with the CBA document
  98. E.2.4Employment effects of project
  99. E.2.5Division E.2.5
  100. Risk assessment and sensitivity analysis
  101. E.3.1Division E.3.1
  102. E.3.2Sensitivity analysis
  103. E.3.3Risk assessment
  104. E.3.4Additional assessments carried out, if applicable
  105. AN ANALYSIS OF THE ENVIRONMENTAL IMPACT, TAKING INTO ACCOUNT CLIMATE CHANGE ADAPTATION AND MITIGATION NEEDS, AND DISASTER RESILIENCE
  106. Consistency of the project with environmental policy
  107. F.1.1Division F.1.1
  108. F.1.2Division F.1.2
  109. Application of Directive 2001/42/EC of the European Parliament and of the Council (the ‘SEA Directive’)
  110. F.2.1Division F.2.1
  111. F.2.2Division F.2.2
  112. Application of Directive 2011/92/EU of the European Parliament and of the Council (the ‘EIA Directive’)
  113. F.3.1Division F.3.1
  114. F.3.2Division F.3.2
  115. F.3.3Division F.3.3
  116. F.3.4Division F.3.4
  117. Development consent/construction permit (as applicable)
  118. F.3.5.1Division F.3.5.1
  119. F.3.5.2Division F.3.5.2
  120. F.3.5.3Division F.3.5.3
  121. F.3.5.4Division F.3.5.4
  122. F.3.5.5Division F.3.5.5
  123. F.3.5.6Division F.3.5.6
  124. F.3.5.7Division F.3.5.7
  125. Application of the Directive 92/43/EEC on the conservation of natural habitats and of wild fauna and flora (Habitats Directive); assessment of effects on Natura 2000 sites
  126. F.4.1Division F.4.1
  127. F.4.2Division F.4.2
  128. F.4.3Division F.4.3
  129. Application of Directive 2000/60/EC of the European Parliament and of the Council (the ‘Water Framework Directive’); assessment of effects on water bodies
  130. F.5.1Division F.5.1
  131. F.5.2Division F.5.2
  132. F.5.2.1Division F.5.2.1
  133. F.5.2.2Division F.5.2.2
  134. F.5.3Division F.5.3
  135. Where applicable, information on compliance with other environmental directives
  136. F.6.1Application of Council Directive 91/271/EEC (the ‘UWWT Directive’) — projects in urban waste water sector
  137. Application of Directive 2008/98/EC of the European Parliament and of the Council (the ‘Waste Framework Directive’) — projects in waste management sector
  138. F.6.2.1Division F.6.2.1
  139. F.6.2.2Division F.6.2.2
  140. F.6.3Application of Directive 2010/75/EU of the European Parliament and of the Council (the ‘Industrial Emissions Directive’) — Projects requiring the granting of a permit under that Directive
  141. F.6.4Any other relevant environmental directives (please explain below)
  142. Cost of measures taken to mitigate and/or compensate negative environmental impacts, in particular resulting from the EIA procedure or other assessment procedures (such as the Habitats Directive, the Water Framework Directive, the Industrial Emissions Directive) or national/regional requirements
  143. F.7.1Division F.7.1
  144. F.7.2Division F.7.2
  145. Climate change adaptation and mitigation, and disaster resilience
  146. F.8.1Division F.8.1
  147. F.8.2Division F.8.2
  148. F.8.3Division F.8.3
  149. THE FINANCING PLAN SHOWING THE TOTAL PLANNED FINANCING RESOURCES AND THE PLANNED SUPPORT FROM THE FUNDS, THE EIB, AND ALL OTHER SOURCES OF FINAnCING, TOGETHER WITH PHYSICAL AND FINANCIAL INDICATORS FOR MONITORING PROGRESS, TAKING ACCOUNT OF THE IDENTIFIED RISKS
  150. Total planned financial resources and planned support from the Funds, the EIB, and all other sources of financing
  151. G.1.1Sources of co-financing
  152. G.1.2Annual plan of total eligible expenditure to be declared to the Commission (financial indicator for monitoring progress)
  153. Other Union financing sources
  154. G.1.3.1Division G.1.3.1
  155. G.1.3.2Division G.1.3.2
  156. G.1.3.3Division G.1.3.3
  157. G.1.3.4Division G.1.3.4
  158. G.1.4Division G.1.4
  159. G.1.5Division G.1.5
  160. G.1.6Impact of Union assistance on project implementation
  161. G.2Output indicators and physical indicators for monitoring progress
  162. G.3Risk assessment
  163. HTHE TIMETABLE FOR IMPLEMENTING THE MAJOR PROJECT
  164. H.1Project timetable
  165. H.2Project maturity
  166. H.2.1Technical (feasibility studies, project design etc.):
  167. H.2.2Administrative with a minimum reference to necessary authorisations such as EIA, development consent, territorial/planning decisions, land purchase (if relevant), public procurement etc.:
  168. H.2.3Public procurement:
  169. H.2.4Financial (commitment decisions in respect of national public expenditure, loans requested or granted, etc. — give references):
  170. H.2.5If the project has already started, indicate the current state of implementation:
  171. IIS THE PROJECT SUBJECT TO A LEGAL PROCEDURE FOR NON-COMPLIANCE WITH UNION LAW? <type='C' input='M'>
  172. JHAS THE UNDERTAKING PREVIOUSLY BEEN, OR IS IT CURRENTLY, SUBJECT OF A PROCEDURE TO RECOVER UNION SUPPORT FOLLOWING THE RELOCATION OF A PRODUCTIVE ACTIVITY OUTSIDE THE PROGRAMME AREA? <type='C' input='M'>
  173. INVOLVEMENT OF JASPERS IN PROJECT PREPARATION
  174. K.1Division K.1
  175. K.2Division K.2
  176. STATUS OF THE PROJECT IN RELATION TO ARTICLE 102 OF REGULATION (EU) No 1303/2013
  177. L.1Division L.1
  178. MSUMMARY OF REVISIONS TO THE APPLICATION FORM IN CASE THE MAJOR PROJECT IS SUBJECT TO MODIFICATION
  179. NENDORSEMENT OF COMPETENT NATIONAL AUTHORITY
  180. 1Appendix 1
  181. 2Appendix 2
  182. 3Appendix 3
  183. 4FEASIBILITY STUDIES (OR BUSINESS PLAN IF PRODUCTIVE INVESTMENT) AND COST-BENEFIT ANALYSIS (AS REQUIRED IN D AND E)
  184. 5MAP IDENTIFYING THE PROJECT AREA AND GEO-REFERENCED DATA (AS REQUIRED IN B.3.1)
  185. 6DOCUMENTATION REQUIRED IN F.3.3
  186. Annex III: Methodology for carrying out the cost-benefit analysis
  187. GENERAL PRINCIPLES
  188. 1.1Division 1.1
  189. 1.2Division 1.2
  190. 1.3Division 1.3
  191. 1.4Division 1.4
  192. ELEMENTS OF THE COST BENEFIT ANALYSIS
  193. Presentation of the context and definition of objectives, identification of the project, feasibility of the project with demand and option analysis
  194. 2.1.1Presentation of the context
  195. 2.1.2Definition of project's objectives
  196. 2.1.3Identification of the project
  197. 2.1.4Feasibility of the project with demand and option analysis
  198. 2.2Financial analysis
  199. 2.2.1Discounted cash flow methodology, incremental method and other principles of financial analysis
  200. Results of the financial analysis
  201. (a)Evaluation of financial profitability of the investment and national capital
  202. For a project to require the contribution of the Funds:
  203. For a project to require the contribution of the Funds:
  204. (b)Determination of the appropriate (maximum) contribution from the Funds
  205. (c)Ensuring financial viability (sustainability)
  206. 2.2.3Financial analysis in Public Private Partnership (PPP)
  207. 2.3Economic analysis
  208. 2.3.1Key steps of economic analysis
  209. 2.3.2Calculation of the economic performance indicators
  210. 2.3.3Climate change mitigation and adaptation in the economic analysis
  211. 2.3.4Simplified economic analysis in special cases
  212. 2.4Risk assessment
  213. Formulas
  214. Formulas for financial analysis:
  215. —Financial net present value (FNPV)
  216. —Financial rate of return (FRR)
  217. Formulas for economic analysis
  218. —Economic Net Present Value (ENPV)
  219. —Economic rate of return (ERR)
  220. —Benefit/Cost ratio (B/C)
  221. Annex IVFormat of the model for the joint action plan (JAP)
  222. AGENERAL CHARACTERISTICS
  223. A.9Categorisation of operation activity
  224. BCONTACT DETAILS: Authority responsible for the JAP application [to be completed by the authority submitting the application]
  225. OBJECTIVES OF THE JAP
  226. C.1Division C.1
  227. C.2Division C.2
  228. C.3Division C.3 Repealed
  229. C.4Division C.4
  230. DESCRIPTION OF THE JAP
  231. D.1Division D.1
  232. D.1.1Division D.1.1
  233. D.1.2Division D.1.2
  234. D.1.3Division D.1.3
  235. D.2Division D.2
  236. D.3Division D.3 Repealed
  237. GEOGRAPHIC COVERAGE AND TARGET GROUP(S)
  238. E.1Geographic coverage of the JAP. Where relevant, please justify why the JAP is concentrated in a specific area
  239. E.2Target group(s) of the JAP
  240. E.2.3Division E.2.3
  241. FEXPECTED IMPLEMENTATION PERIOD OF THE JAP
  242. GCONTRIBUTION OF THE JAP TO HORIZONTAL PRINCIPLES
  243. G.1The promotion of equality between men and women
  244. G.2On the prevention of discrimination
  245. G.3The promotion of sustainable development
  246. IMPLEMENTING PROVISIONS FOR THE JAP
  247. Beneficiary of the JAP.
  248. H.1.1Contact Details
  249. H.1.2Division H.1.2
  250. H.1.2.1Division H.1.2.1 Repealed
  251. H.1.2.2Division H.1.2.2 Repealed
  252. Arrangements for steering the JAP
  253. H.2.1Division H.2.1
  254. Arrangements for monitoring and evaluating the JAP
  255. H.3.1Division H.3.1
  256. H.3.2Division H.3.2
  257. H.4Arrangements ensuring the dissemination of information and communication in relation to the JAP and to the Funds supporting the JAP Repealed
  258. FINANCIAL ARRANGEMENTS OF THE JAP
  259. I.1Costs of achieving milestones, and targets for outputs and results (please also complete the appendix on indicators).
  260. I.1.1Output indicators
  261. I.1.2Result indicators
  262. I.1.3Financial flexibility: please explain if financial flexibility is required and how it will be applied
  263. I.2Indicative schedule of payments to the beneficiary, linked to the milestones and targets: please provide an indicative overview of the expected payments to every JAP (type of) project (in EUR), based on the information provided in table D.1.3 and section I.1 Repealed
  264. I.3Financing plan by operational programme and priority axis (and Fund and category of region where relevant)
  265. Appendix
  266. Annex V: Model for the annual and final implementation reports for the Investment for growth and jobs goal
  267. DATA REQUIRED EVERY YEAR (‘LIGHT REPORTS’) (Article 50(2) of Regulation (EU) No 1303/2013)
  268. 1IDENTIFICATION OF THE ANNUAL/FINAL IMPLEMENTATION REPORT
  269. 2OVERVIEW OF THE IMPLEMENTATION OF THE OPERATIONAL PROGRAMME (Article 50(2) and 111(3)(a) of Regulation (EU) No 1303/2013)
  270. IMPLEMENTATION OF THE PRIORITY AXIS (Article 50(2) of Regulation (EU) No 1303/2013)
  271. 3.1Overview of the implementation
  272. 3.2Common and programme specific indicators (Article 50(2) of Regulation (EU) No 1303/2013)
  273. 3.3Milestones and targets defined in the performance framework (Article 50(2) of Regulation (EU) No 1303/2013) — submitted in annual implementation reports from 2017 onwards
  274. 3.4Financial data (Article 50(2) of Regulation (EU) No 1303/2013)
  275. Table 6
  276. Table 7
  277. 4SYNTHESIS OF THE EVALUATIONS (Article 50(2) of Regulation (EU) No 1303/2013)
  278. 5INFORMATION ON THE IMPLEMENTATION OF THE YOUTH EMPLOYMENT INITIATIVE, WHERE APPLICABLE (Article 19(2) and 19(4) of Regulation (EU) No 1304/2013)
  279. 6ISSUES AFFECTING THE PERFORMANCE OF THE PROGRAMME AND MEASURES TAKEN (Article 50(2) of Regulation (EU) No 1303/2013)
  280. 7CITIZEN'S SUMMARY (Article 50(9) of Regulation (EU) No 1303/2013)
  281. 8REPORT ON THE IMPLEMENTATION OF FINANCIAL INSTRUMENTS (Article 46 of Regulation (EU) No 1303/2013)
  282. Optional for the report to be submitted in 2016, not applicable to other light reports: ACTIONS TAKEN TO FULFILL EX-ANTE CONDITIONALITIES (Article 50(2) of Regulation (EU) No 1303/2013) in case applicable ex-ante conditionalities were not fulfilled upon the adoption of the OP: (see point 13 of the model)
  283. PROGRESS IN PREPARATION AND IMPLEMENTATION OF MAJOR PROJECTS AND JOINT ACTION PLANS (Article 101(h) and 111(3) of Regulation (EU) No 1303/2013)
  284. 10.1Major projects
  285. 10.2Joint action plans
  286. REPORTING SUBMITTED IN YEARS 2017, 2019 AND FINAL IMPLEMENTATION REPORT
  287. ASSESSMENT OF THE IMPLEMENTATION OF THE OPERATIONAL PROGRAMME (Articles 50(4) and 111(4) of Regulation (EU) No 1303/2013)
  288. 11.1Information in Part A and achieving objectives of the programme (Article 50(4) of Regulation (EU) No 1303/2013)
  289. 11.2Specific actions taken to promote equality between men and women and to prevent discrimination, in particular accessibility for persons with disabilities, and the arrangements implemented to ensure the integration of the gender perspective in the operational programme and operations (Articles 50(4) and 111(4), second subparagraph, (e) of Regulation (EU) No 1303/2013)
  290. 11.3Sustainable development (Articles 50(4) and 111(4), second subparagraph, (f) of Regulation (EU) No 1303/2013)
  291. Reporting on support used for climate change objectives (Article 50(4) of Regulation (EU) No 1303/2013)
  292. Division
  293. 11.5Role of partners in the implementation of the programme (Articles 50(4) and 111(4), first subparagraph, (c) of Regulation (EU) No 1303/2013)
  294. OBLIGATORY INFORMATION AND ASSESSMENT ACCORDING TO ARTICLE 111(4), FIRST SUBPARAGRAPH, (a) AND (b), OF REGULATION (EU) No 1303/2013
  295. 12.1Progress in implementation of the evaluation plan and the follow-up given to the findings of evaluations
  296. 12.2The results of the information and publicity measures of the Funds carried out under the communication strategy
  297. 13ACTIONS TAKEN TO FULFILL EX-ANTE CONDITIONALITIES (Article 50(4) of Regulation (EU) No 1303/2013) (May be included in report to be submitted in 2016 (see point 9 above). Required in report submitted in 2017) Option: progress report
  298. ADDITIONAL INFORMATION WHICH MAY BE ADDED DEPENDING ON THE CONTENT AND OBJECTIVES OF THE OPERATIONAL PROGRAMME (Article 111(4), second subparagraph, (a), (b), (c), (d), (g) and (h), of Regulation (EU) No 1303/2013)
  299. Progress in the implementation of the integrated approach to territorial development, including development of regions facing demographic challenges and permanent or natural handicaps, integrated territorial investments, sustainable urban development, and community led local development under the operational programme
  300. Division
  301. Progress in the implementation of actions to reinforce the capacity of Member State authorities and beneficiaries to administer and use the Funds
  302. Division
  303. Progress in the implementation of any interregional and transnational actions
  304. Division
  305. 14.4Where appropriate, the contribution to macro-regional and sea basin strategies.
  306. 14.5Progress in the implementation of actions in the field of social innovation, where appropriate
  307. Progress in the implementation of measures to address the specific needs of geographical areas most affected by poverty or of target groups at highest risk of poverty discrimination or social exclusion, with special regard to marginalised communities and persons with disabilities, long term unemployment and young people not in employment including, where appropriate, the financial resources used
  308. Division
  309. REPORTING SUBMITTED IN YEAR 2019 AND FINAL IMPLEMENTATION REPORT (Article 50(5) of Regulation (EU) No 1303/2013)
  310. 15FINANCIAL INFORMATION AT PRIORITY AXIS AND PROGRAMME LEVEL (Articles 21(2) and 22(7) of Regulation (EU) No 1303/2013)
  311. REPORTING SUBMITTED IN YEAR 2019 AND FINAL IMPLEMENTATION REPORT (Article 50(5) of Regulation (EU) No 1303/2013)
  312. 16SMART, SUSTAINABLE AND INCLUSIVE GROWTH (option progress report)
  313. 17ISSUES AFFECTING THE PERFORMANCE OF THE PROGRAMME AND MEASURES TAKEN — PERFORMANCE FRAMEWORK (Article 50(2) of Regulation (EU) No 1303/2013)
  314. 18YOUTH EMPLOYMENT INITIATIVE (Article 19(4) and (6) of Regulation (EU) No 1304/2013 (where applicable))
  315. Annex VIModel for the management declaration
  316. Annex VII: Model for the audit strategy
  317. 1INTRODUCTION
  318. 2RISK ASSESSMENT
  319. 3METHODOLOGY
  320. 3.1Overview
  321. 3.2Audits on the functioning of management and control systems (system audits)
  322. 3.3Audits of operations
  323. 3.4Audits of the accounts
  324. 3.5Verification of the management declaration
  325. 4AUDIT WORK PLANNED
  326. 5RESOURCES
  327. Annex VIIIModel for the audit opinion
  328. 1INTRODUCTION
  329. 2RESPONSIBILITIES OF THE MANAGING AND CERTIFYING AUTHORITIES
  330. 3RESPONSIBILITIES OF THE AUDIT AUTHORITY
  331. SCOPE LIMITATION
  332. Either
  333. Or
  334. 5OPINION
  335. Either(Unqualified opinion)
  336. Or(Qualified opinion)
  337. Or(Adverse opinion)
  338. Annex IX: Model for the annual control report
  339. 1INTRODUCTION
  340. 2SIGNIFICANT CHANGES IN MANAGEMENT AND CONTROL SYSTEM(S)
  341. 3CHANGES TO THE AUDIT STRATEGY
  342. 4SYSTEM AUDITS
  343. 5AUDITS OF OPERATIONS
  344. 6AUDITS OF ACCOUNTS
  345. 7COORDINATION BETWEEN AUDIT BODIES AND SUPERVISORY WORK BY THE AUDIT AUTHORITY (where applicable)
  346. 8OTHER INFORMATION
  347. 9OVERALL LEVEL OF ASSURANCE
  348. ANNEXES TO THE ANNUAL CONTROL REPORT
  349. 10.1Results of systems audits
  350. 10.2Results of audit of operations
  351. Calculations underlying the random sample selection and the total error rate
  352. Annex X: Model for the implementation reports for the European territorial cooperation goal
  353. DATA REQUIRED EVERY YEAR (‘LIGHT REPORTS’) (Article 50(2) of Regulation (EU) No 1303/2013)
  354. 1IDENTIFICATION OF THE ANNUAL/FINAL IMPLEMENTATION REPORT
  355. 2OVERVIEW OF THE IMPLEMENTATION OF THE COOPERATION PROGRAMME (Article 50(2) of Regulation (EU) No 1303/2013 and Article 14(3)(a) of Regulation (EU) No 1299/2013)
  356. IMPLEMENTATION OF THE PRIORITY AXIS (Article 50(2) of Regulation (EU) No 1303/2013)
  357. 3.1Overview of the implementation
  358. 3.2Common and programme specific indicators (Article 50(2) of Regulation (EU) No 1303/2013)
  359. 3.3Milestones and targets defined in the performance framework (Article 50(2) of Regulation (EU) No 1303/2013) — submitted in annual implementation reports from 2017 onwards
  360. Financial data (Article 50(2) of Regulation (EU) No 1303/2013)
  361. Table 4
  362. Table 5
  363. 4SYNTHESIS OF THE EVALUATIONS (Article 50(2) of Regulation (EU) No 1303/2013)
  364. 5ISSUES AFFECTING THE PERFORMANCE OF THE PROGRAMME AND MEASURES TAKEN (article 50(2) of Regulation (EU) No 1303/2013)
  365. 6CITIZEN'S SUMMARY (Article 50(9) of Regulation (EU) No 1303/2013)
  366. 7REPORT ON THE IMPLEMENTATION OF FINANCIAL INSTRUMENTS (Article 46 of Regulation (EU) No 1303/2013)
  367. WHERE APPROPRIATE, PROGRESS IN PREPARATION AND IMPLEMENTATION OF MAJOR PROJECTS AND JOINT ACTION PLANS (Article 101(h) and Article 111(3) of Regulation (EU) No 1303/2013 and Article 14(3)(b) of Regulation (EU) No 1299/2013)
  368. 8.1Major projects
  369. 8.2Joint action plans
  370. REPORTING SUBMITTED IN YEARS 2017, 2019 AND FINAL IMPLEMENTATION REPORT (Article 50(4) of Regulation (EU) No 1303/2013 and Article 14(4) of Regulation (EU) No 1299/2013)
  371. ASSESSMENT OF THE IMPLEMENTATION OF THE COOPERATION PROGRAMME (Article 50(4) of Regulation (EU) No 1303/2013 and Article 14(4) of Regulation (EU) No 1299/2013)
  372. 9.1Information in Part A and achieving the objectives of the programme (Article 50(4) of Regulation (EU) No 1303/2013)
  373. 9.2Specific actions taken to promote equality between men and women and to promote non-discrimination, in particular accessibility for persons with disabilities, and the arrangements implemented to ensure the integration of the gender perspective in the cooperation programme and operations (Article 50(4) of Regulation (EU) No 1303/2013 and Article 14(4), subparagraph 2, (d) of Regulation (EU) No 1299/2013)
  374. 9.3Sustainable development (Article 50(4) of Regulation (EU) No 1303/2013 and Article 14(4), subparagraph 2, (e) of Regulation (EU) No 1299/2013)
  375. 9.4Reporting on support used for climate change objectives (Article 50(4) of Regulation (EU) No 1303/2013)
  376. 9.5Role of partners in the implementation of the cooperation programme (Article 50(4) of Regulation (EU) No 1303/2013 and Article 14(4), subparagraph 1, (c) of Regulation (EU) No 1299/2013)
  377. OBLIGATORY INFORMATION AND ASSESSMENT ACCORDING TO ARTICLE 14(4), SUBPARAGRAPH 1 (a) AND (b), OF REGULATION (EU) No 1299/2013
  378. 10.1Progress in implementation of the evaluation plan and the follow-up given to the findings of evaluations
  379. 10.2The results of the information and publicity measures of the Funds carried out under the communication strategy
  380. ADDITIONAL INFORMATION WHICH MAY BE ADDED DEPENDING ON THE CONTENT AND OBJECTIVES OF THE COOPERATION PROGRAMME (Article 14(4), subparagraph 2 (a), (b), (c) and (f), of Regulation (EU) No 1299/2013)
  381. 11.1Progress in the implementation of the integrated approach to territorial development, including integrated territorial investments, sustainable urban development, and community led local development under the cooperation programme
  382. 11.2Progress in implementation of actions to reinforce the capacity of authorities and beneficiaries to administer and to use the ERDF
  383. 11.3Contribution to macro-regional and sea basin strategies (where appropriate)
  384. 11.4Progress in the implementation of actions in the field of social innovation
  385. 12FINANCIAL INFORMATION AT PRIORITY AXIS AND PROGRAMME LEVEL (Articles 21(2) and 22(7) of Regulation (EU) No 1303/2013)
  386. REPORTING SUBMITTED IN YEAR 2019 AND FINAL IMPLEMENTATION REPORT (Article 50(5) of Regulation (EU) No 1303/2013)
  387. 13SMART, SUSTAINABLE AND INCLUSIVE GROWTH
  388. 14ISSUES AFFECTING THE PERFORMANCE OF THE PROGRAMME AND MEASURES TAKEN — PERFORMANCE FRAMEWORK (Article 50(2) of Regulation (EU) No 1303/2013)