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Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 EUROPEAN INNOVATION COUNCIL AND SMES EXECUTIVE AGENCY (EISMEA) EISMEA.I – Innovation Ecosystems, SMP/Entrepreneurship and Consumers I.3 – SMP/Internal Market and Consumers GRANT AGREEMENT Project 101070829 — SMP-CONS-2021-ADR PREAMBLE This Agreement (‘the Agreement’) is between the following parties: on the one part, the European Innovation Council and SMEs Executive Agency (EISMEA) (‘EU executive agency’ or ‘granting authority’), under the powers delegated by the European Commission (‘European Commission’), and on the other part, 1. ‘the coordinator’: TARBIJAKAITSE JA TEHNILISE JARELEVALVE AMET (TTJA), PIC 898981936, established in ENDLA TN 10 A, TALLINN 10122, Estonia, Unless otherwise specified, references to ‘beneficiary’ or ‘beneficiaries’ include the coordinator and affiliated entities (if any). If only one beneficiary signs the grant agreement (‘mono-beneficiary grant’), all provisions referring to the ‘coordinator’ or the ‘beneficiaries’ will be considered — mutatis mutandis — as referring to the beneficiary. The parties referred to above have agreed to enter into the Agreement. By signing the Agreement and the accession forms, the beneficiaries accept the grant and agree to implement the action under their own responsibility and in accordance with the Agreement, with all the obligations and terms and conditions it sets out. The Agreement is composed of: Preamble Terms and Conditions (including Data Sheet) 1 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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. 2 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 COSTS AND CONTRIBUTIONS......................................15 6.1 General eligibility conditions............................................................................................................. 15 6.2 Specific eligibility conditions for each budget category................................................................... 16 6.3 Ineligible costs and contributions...................................................................................................... 20 6.4 Consequences of non-compliance...................................................................................................... 21 CHAPTER 4 GRANT IMPLEMENTATION............................................................................................................ 21 SECTION 1 CONSORTIUM: BENEFICIARIES, AFFILIATED ENTITIES AND OTHER PARTICIPANTS........................................................................................................................................ 21 ARTICLE 7 — BENEFICIARIES................................................................................................................... 21 ARTICLE 8 — AFFILIATED ENTITIES....................................................................................................... 23 ARTICLE 9 — OTHER PARTICIPANTS INVOLVED IN THE ACTION................................................... 23 9.1 Associated partners.............................................................................................................................23 9.2 Third parties giving in-kind contributions to the action.................................................................... 24 9.3 Subcontractors.....................................................................................................................................24 3 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 9.4 Recipients of financial support to third parties..................................................................................24 ARTICLE 10 — PARTICIPANTS WITH SPECIAL STATUS....................................................................... 24 10.1 Non-EU participants......................................................................................................................... 24 10.2 Participants which are international organisations...........................................................................25 10.3 Pillar-assessed participants............................................................................................................... 25 SECTION 2 RULES FOR CARRYING OUT THE ACTION...........................................................................27 ARTICLE 11 — PROPER IMPLEMENTATION OF THE ACTION............................................................ 27 11.1 Obligation to properly implement the action................................................................................... 28 11.2 Consequences of non-compliance.................................................................................................... 28 ARTICLE 12 — CONFLICT OF INTERESTS.............................................................................................. 28 12.1 Conflict of interests.......................................................................................................................... 28 12.2 Consequences of non-compliance.................................................................................................... 28 ARTICLE 13 — CONFIDENTIALITY AND SECURITY............................................................................ 28 13.1 Sensitive information........................................................................................................................28 13.2 Classified information...................................................................................................................... 29 13.3 Consequences of non-compliance.................................................................................................... 29 ARTICLE 14 — ETHICS AND VALUES...................................................................................................... 29 14.1 Ethics.................................................................................................................................................29 14.2 Values................................................................................................................................................ 30 14.3 Consequences of non-compliance.................................................................................................... 30 ARTICLE 15 — DATA PROTECTION.......................................................................................................... 30 15.1 Data processing by the granting authority....................................................................................... 30 15.2 Data processing by the beneficiaries............................................................................................... 30 15.3 Consequences of non-compliance.................................................................................................... 31 ARTICLE 16 — INTELLECTUAL PROPERTY RIGHTS (IPR) — BACKGROUND AND RESULTS — ACCESS RIGHTS AND RIGHTS OF USE................................................................................ 31 16.1 Background and access rights to background..................................................................................31 16.2 Ownership of results.........................................................................................................................31 16.3 Rights of use of the granting authority on materials, documents and information received for policy, information, communication, dissemination and publicity purposes...................................31 16.4 Specific rules on IPR, results and background................................................................................ 32 16.5 Consequences of non-compliance.................................................................................................... 33 ARTICLE 17 — COMMUNICATION, DISSEMINATION AND VISIBILITY............................................ 33 17.1 Communication — Dissemination — Promoting the action........................................................... 33 17.2 Visibility — European flag and funding statement......................................................................... 33 17.3 Quality of information — Disclaimer..............................................................................................34 4 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 17.4 Specific communication, dissemination and visibility rules............................................................34 17.5 Consequences of non-compliance.................................................................................................... 34 ARTICLE 18 — SPECIFIC RULES FOR CARRYING OUT THE ACTION............................................... 34 18.1 Specific rules for carrying out the action........................................................................................ 34 18.2 Consequences of non-compliance.................................................................................................... 34 SECTION 3 GRANT ADMINISTRATION......................................................................................................... 34 ARTICLE 19 — GENERAL INFORMATION OBLIGATIONS.................................................................... 34 19.1 Information requests......................................................................................................................... 34 19.2 Participant Register data updates..................................................................................................... 35 19.3 Information about events and circumstances which impact the action............................................35 19.4 Consequences of non-compliance.................................................................................................... 35 ARTICLE 20 — RECORD-KEEPING............................................................................................................ 35 20.1 Keeping records and supporting documents.................................................................................... 35 20.2 Consequences of non-compliance.................................................................................................... 36 ARTICLE 21 — REPORTING........................................................................................................................ 37 21.1 Continuous reporting........................................................................................................................ 37 21.2 Periodic reporting: Technical reports and financial statements....................................................... 37 21.3 Currency for financial statements and conversion into euros..........................................................38 21.4 Reporting language...........................................................................................................................38 21.5 Consequences of non-compliance.................................................................................................... 38 ARTICLE 22 — PAYMENTS AND RECOVERIES — CALCULATION OF AMOUNTS DUE................. 38 22.1 Payments and payment arrangements.............................................................................................. 38 22.2 Recoveries.........................................................................................................................................39 22.3 Amounts due.....................................................................................................................................39 22.4 Enforced recovery.............................................................................................................................44 22.5 Consequences of non-compliance.................................................................................................... 45 ARTICLE 23 — GUARANTEES....................................................................................................................45 23.1 Prefinancing guarantee..................................................................................................................... 45 23.2 Consequences of non-compliance.................................................................................................... 46 ARTICLE 24 — CERTIFICATES................................................................................................................... 46 24.1 Operational verification report (OVR).............................................................................................46 24.2 Certificate on the financial statements (CFS).................................................................................. 46 24.3 Certificate on the compliance of usual cost accounting practices (CoMUC).................................. 46 24.4 Systems and process audit (SPA).....................................................................................................47 24.5 Consequences of non-compliance.................................................................................................... 47 5 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 ARTICLE 25 — CHECKS, REVIEWS, AUDITS AND INVESTIGATIONS — EXTENSION OF FINDINGS..................................................................................................................................... 47 25.1 Granting authority checks, reviews and audits................................................................................ 47 25.2 European Commission checks, reviews and audits in grants of other granting authorities..............48 25.3 Access to records for assessing simplified forms of funding.......................................................... 48 25.4 OLAF, EPPO and ECA audits and investigations........................................................................... 49 25.5 Consequences of checks, reviews, audits and investigations — Extension of results of reviews, audits or investigations.................................................................................................................... 49 25.6 Consequences of non-compliance.................................................................................................... 50 ARTICLE 26 — IMPACT EVALUATIONS................................................................................................... 50 26.1 Impact evaluation............................................................................................................................. 51 26.2 Consequences of non-compliance.................................................................................................... 51 CHAPTER 5 CONSEQUENCES OF NON-COMPLIANCE.................................................................................. 51 SECTION 1 REJECTIONS AND GRANT REDUCTION.................................................................................51 ARTICLE 27 — REJECTION OF COSTS AND CONTRIBUTIONS...........................................................51 27.1 Conditions......................................................................................................................................... 51 27.2 Procedure.......................................................................................................................................... 51 27.3 Effects............................................................................................................................................... 51 ARTICLE 28 — GRANT REDUCTION........................................................................................................ 52 28.1 Conditions......................................................................................................................................... 52 28.2 Procedure.......................................................................................................................................... 52 28.3 Effects............................................................................................................................................... 52 SECTION 2 SUSPENSION AND TERMINATION............................................................................................52 ARTICLE 29 — PAYMENT DEADLINE SUSPENSION............................................................................. 52 29.1 Conditions......................................................................................................................................... 52 29.2 Procedure.......................................................................................................................................... 53 ARTICLE 30 — PAYMENT SUSPENSION...................................................................................................53 30.1 Conditions......................................................................................................................................... 53 30.2 Procedure.......................................................................................................................................... 54 ARTICLE 31 — GRANT AGREEMENT SUSPENSION..............................................................................54 31.1 Consortium-requested GA suspension............................................................................................. 54 31.2 EU-initiated GA suspension.............................................................................................................55 ARTICLE 32 — GRANT AGREEMENT OR BENEFICIARY TERMINATION......................................... 56 32.1 Consortium-requested GA termination............................................................................................ 56 32.2 Consortium-requested beneficiary termination................................................................................ 57 32.3 EU-initiated GA or beneficiary termination.................................................................................... 58 6 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 SECTION 3 OTHER CONSEQUENCES: DAMAGES AND ADMINISTRATIVE SANCTIONS............... 61 ARTICLE 33 — DAMAGES...........................................................................................................................61 33.1 Liability of the granting authority....................................................................................................61 33.2 Liability of the beneficiaries............................................................................................................ 62 ARTICLE 34 — ADMINISTRATIVE SANCTIONS AND OTHER MEASURES....................................... 62 SECTION 4 FORCE MAJEURE.......................................................................................................................... 62 ARTICLE 35 — FORCE MAJEURE.............................................................................................................. 62 CHAPTER 6 FINAL PROVISIONS...........................................................................................................................62 ARTICLE 36 — COMMUNICATION BETWEEN THE PARTIES...............................................................62 36.1 Forms and means of communication — Electronic management................................................... 62 36.2 Date of communication.................................................................................................................... 63 36.3 Addresses for communication.......................................................................................................... 63 ARTICLE 37 — INTERPRETATION OF THE AGREEMENT.....................................................................63 ARTICLE 38 — CALCULATION OF PERIODS AND DEADLINES..........................................................64 ARTICLE 39 — AMENDMENTS.................................................................................................................. 64 39.1 Conditions......................................................................................................................................... 64 39.2 Procedure.......................................................................................................................................... 64 ARTICLE 40 — ACCESSION AND ADDITION OF NEW BENEFICIARIES........................................... 65 40.1 Accession of the beneficiaries mentioned in the Preamble............................................................. 65 40.2 Addition of new beneficiaries.......................................................................................................... 65 ARTICLE 41 — TRANSFER OF THE AGREEMENT................................................................................. 65 ARTICLE 42 — ASSIGNMENTS OF CLAIMS FOR PAYMENT AGAINST THE GRANTING AUTHORITY.................................................................................................................................65 ARTICLE 43 — APPLICABLE LAW AND SETTLEMENT OF DISPUTES.............................................. 66 43.1 Applicable law..................................................................................................................................66 43.2 Dispute settlement............................................................................................................................ 66 ARTICLE 44 — ENTRY INTO FORCE.........................................................................................................66 7 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 DATA SHEET 1. General data Project summary: Project summary The Estonian Consumer Disputes Committee (hereinafter committee) is an independent and impartial entity resolving consumer disputes. The committee is a notified ADR body. The committee operates at the Consumer Protection and Technical Regulatory Authority (the applicant organisation) within the area of government of the Ministry of Economic Affairs and Communications and resolves disputes independently pursuant to Acts and other legislation. The aims of the current proposal are: - To raise awareness among consumers and traders about out-of-court dispute handling possibilities - To improve operational capacity of the committee in resolving consumer disputes. Keywords: not defined Project number: 101070829 Project name: CAPACITY BUILDING OF THE ALTERNATIVE DISPUTE RESOLUTION (ADR) BODY FOR CONSUMER DISPUTES IN ESTONIA Project acronym: SMP-CONS-2021-ADR Call: SMP-CONS-2021-ADR Topic: SMP-CONS-2021-ADR Type of action: SMP Project Grants Granting authority: European Innovation Council and SMEs Executive Agency Grant managed through EU Funding & Tenders Portal: Yes (eGrants) Project starting date: first day of the month following the entry into force date Project end date: starting date + months of duration Project duration: 12 months Consortium agreement: Yes 2. Participants List of participants: Short Total eligible costs Max grant N° Role Legal name Ctry PIC name (BEN and AE) amount 1 COO TTJA TARBIJAKAITSE JA TEHNILISE JARELEVALVE AMET EE 898981936 42 160.55 19 795.00 Total 42 160.55 19 795.00 Coordinator: – TARBIJAKAITSE JA TEHNILISE JARELEVALVE AMET (TTJA) 3. Grant Maximum grant amount, total estimated eligible costs and contributions and funding rate: 8 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 Total eligible costs Funding rate Maximum grant amount Maximum grant amount (BEN and AE) (%) (Annex 2) (award decision) 42 160.55 50 19 795.00 19 795.00 Grant form: Budget-based Grant mode: Action grant Budget categories/activity types: - A. Personnel costs - A.1 Employees, A.2 Natural persons under direct contract, A.3 Seconded persons - A.4 SME owners and natural person beneficiaries - B. Subcontracting costs - C. Purchase costs - C.1 Travel and subsistence - C.2 Equipment - C.3 Other goods, works and services - D. Other cost categories - D.1 Financial support to third parties - E. Indirect costs Cost eligibility options: - Standard supplementary payments - Limitation for subcontracting - Travel and subsistence: - Travel: Unit or Actual costs - Accommodation: Unit or Actual costs - Subsistence: Unit or Actual costs - Equipment: depreciation only - Costs for providing financial support to third parties (actual cost; max amount for each recipient: EUR 60 000.00) - Indirect cost flat-rate: 7% of the eligible direct costs (categories A-D, except volunteers costs and exempted specific cost categories, if any) - VAT: Yes - Other ineligible costs Budget flexibility: Yes (no flexibility cap) 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): 9 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 Reporting Payments Deadline Reporting periods Type Deadline Type (time to pay) RP No Month from Month to 30 days from entry into force/10 days before starting date/ Initial prefinancing financial guarantee (if required) – whichever is the latest 1 1 12 Periodic report 60 days after end Final payment 90 days from of reporting period receiving periodic report Prefinancing payments and guarantees: Prefinancing payment Prefinancing guarantee Guarantee Type Amount Division per participant amount Prefinancing 1 (initial) 13 856.50 n/a 1 - TTJA 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: No Late payment interest: ECB + 3.5% Bank account for payments: EE891010220034796011 Conversion into euros: Double conversion Reporting language: Language of the Agreement 4.3 Certificates (art 24): Certificates on the financial statements (CFS): Conditions: Schedule: interim/final payment, if threshold is reached Standard threshold (beneficiary-level): - financial statement: requested EU contribution to costs ≥ EUR 325 000.00 Exempted beneficiaries: – TARBIJAKAITSE JA TEHNILISE JARELEVALVE AMET (TTJA) 10 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 Applicable law (art 43): Standard applicable law regime: EU law + law of Belgium Dispute settlement forum (art 43): Standard dispute settlement forum: EU beneficiaries: EU General Court + EU Court of Justice (on appeal) Non-EU beneficiaries: Courts of Brussels, Belgium (unless an international agreement provides for the enforceability of EU court judgements) 6. Other Specific rules (Annex 5): Yes 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) 11 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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”. 12 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 Regulation 2018/1046, i.e. non-financial resources made available free of charge by third parties. Fraud — Fraud within the meaning of Article 3 of EU Directive 2017/13715 and Article 1 of the Convention on the protection of the European Communities’ financial interests, drawn up by the Council Act of 26 July 19956, as well as any other wrongful or criminal deception intended to result in financial or personal gain. Irregularities — Any type of breach (regulatory or contractual) which could impact the EU financial interests, including irregularities within the meaning of Article 1(2) of EU Regulation 2988/957. Grave professional misconduct — Any type of unacceptable or improper behaviour in exercising one’s profession, especially by employees, including grave professional misconduct within the meaning of Article 136(1)(c) of EU Financial Regulation 2018/1046. Applicable EU, international and national law — Any legal acts or other (binding or non-binding) rules and guidance in the area concerned. Portal — EU Funding & Tenders Portal; electronic portal and exchange system managed by the European Commission and used by itself and other EU institutions, bodies, offices or agencies for the management of their funding programmes (grants, procurements, prizes, etc.). CHAPTER 2 ACTION ARTICLE 3 — ACTION The grant is awarded for the action 101070829 — SMP-CONS-2021-ADR (‘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). 13 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 The grant is an action grant8 which takes the form of a budget-based mixed actual cost grant (i.e. a grant based on actual costs incurred, but which may also include other forms of funding, such as unit costs or contributions, flat-rate costs or contributions, lump sum costs or contributions or financing not linked to costs). 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 The funding rate for costs is 50% of the action’s eligible costs. Contributions are not subject to any funding rate. 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 costs and contributions for the action, broken down by participant and budget category. Annex 2 also shows the types of costs and contributions (forms of funding)9 to be used for each budget category. If unit costs or contributions are used, the details on the calculation will be explained in Annex 2a. 5.5 Budget flexibility The budget breakdown may be adjusted — without an amendment (see Article 39) — by transfers (between participants and budget categories), as long as this does not imply any substantive or important change to the description of the action in Annex 1. However: - changes to the budget category for volunteers (if used) always require an amendment - changes to budget categories with lump sums costs or contributions (if used; including financing not linked to costs) always require an amendment - changes to budget categories with higher funding rates or budget ceilings (if used) always require an amendment - addition of amounts for subcontracts not provided for in Annex 1 either require an amendment or simplified approval in accordance with Article 6.2 8 For the definition, see Article 180(2)(a) EU Financial Regulation 2018/1046: ‘action grant’ means an EU grant to finance “an action intended to help achieve a Union policy objective”. 9 See Article 125 EU Financial Regulation 2018/1046. 14 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 - other changes require an amendment or simplified approval, if specifically provided for in Article 6.2 - flexibility caps: not applicable. ARTICLE 6 — ELIGIBLE AND INELIGIBLE COSTS AND CONTRIBUTIONS In order to be eligible, costs and contributions must meet the eligibility conditions set out in this Article. 6.1 General eligibility conditions The general eligibility conditions are the following: (a) for actual costs: (i) they must be actually incurred by the beneficiary (ii) they must be incurred in the period set out in Article 4 (with the exception of costs relating to the submission of the final periodic report, which may be incurred afterwards; see Article 21) (iii) they must be declared under one of the budget categories set out in Article 6.2 and Annex 2 (iv) they must be incurred in connection with the action as described in Annex 1 and necessary for its implementation (v) they must be identifiable and verifiable, in particular recorded in the beneficiary’s accounts in accordance with the accounting standards applicable in the country where the beneficiary is established and with the beneficiary’s usual cost accounting practices (vi) they must comply with the applicable national law on taxes, labour and social security and (vii) they must be reasonable, justified and must comply with the principle of sound financial management, in particular regarding economy and efficiency (b) for unit costs or contributions (if any): (i) they must be declared under one of the budget categories set out in Article 6.2 and Annex 2 (ii) 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 (iii) the number of units must be identifiable and verifiable, in particular supported by records and documentation (see Article 20) 15 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 (c) for flat-rate costs or contributions (if any): (i) they must be declared under one of the budget categories set out in Article 6.2 and Annex 2 (ii) the costs or contributions to which the flat-rate is applied must: - be eligible - relate to the period set out in Article 4 (with the exception of costs or contributions relating to the submission of the final periodic report, which may be incurred afterwards; see Article 21) (d) for lump sum costs or contributions (if any): (i) they must be declared under one of the budget categories set out in Article 6.2 and Annex 2 (ii) the work must be properly implemented by the beneficiary in accordance with Annex 1 (iii) the deliverables/outputs must be achieved in the period set out in Article 4 (with the exception of deliverables/outputs relating to the submission of the final periodic report, which may be achieved afterwards; see Article 21) (e) for unit, flat-rate or lump sum costs or contributions according to usual cost accounting practices (if any): (i) they must fulfil the general eligibility conditions for the type of cost concerned (ii) the cost accounting practices must be applied in a consistent manner, based on objective criteria, regardless of the source of funding (f) for financing not linked to costs (if any): the results must be achieved or the conditions must be fulfilled as described in Annex 1. In addition, for direct cost categories (e.g. personnel, travel & subsistence, subcontracting and other direct costs) only costs that are directly linked to the action implementation and can therefore be attributed to it directly are eligible. They must not include any indirect costs (i.e. costs that are only indirectly linked to the action, e.g. via cost drivers). 6.2 Specific eligibility conditions for each budget category For each budget category, the specific eligibility conditions are as follows: Direct costs A. Personnel costs A.1 Costs for employees (or equivalent) are eligible as personnel costs if they fulfil the general eligibility conditions and are related to personnel working for the beneficiary under an employment contract (or equivalent appointing act) and assigned to the action. They must be limited to salaries, social security contributions, taxes and other costs linked to the 16 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 remuneration, if they arise from national law or the employment contract (or equivalent appointing act) and be calculated on the basis of the costs actually incurred, in accordance with the following method: {daily rate for the person multiplied by number of day-equivalents worked on the action (rounded up or down to the nearest half-day)}. The daily rate must be calculated as: {annual personnel costs for the person divided by 215}. The number of day-equivalents declared for a person must be identifiable and verifiable (see Article 20). The total number of day-equivalents declared in EU grants, for a person for a year, cannot be higher than 215. The personnel costs may also include supplementary payments for personnel assigned to the action (including payments on the basis of supplementary contracts regardless of their nature), if: - it is part of the beneficiary’s usual remuneration practices and is paid in a consistent manner whenever the same kind of work or expertise is required - the criteria used to calculate the supplementary payments are objective and generally applied by the beneficiary, regardless of the source of funding used. A.2 and A.3 Costs for natural persons working under a direct contract other than an employment contract and costs for seconded persons by a third party against payment are also eligible as personnel costs, if they are assigned to the action, fulfil the general eligibility conditions and: (a) work under conditions similar to those of an employee (in particular regarding the way the work is organised, the tasks that are performed and the premises where they are performed) and (b) the result of the work belongs to the beneficiary (unless agreed otherwise). They must be calculated on the basis of a rate which corresponds to the costs actually incurred for the direct contract or secondment and must not be significantly different from those for personnel performing similar tasks under an employment contract with the beneficiary. A.4 The work of SME owners for the action (i.e. owners of beneficiaries that are small and medium- sized enterprises10 not receiving a salary) or natural person beneficiaries (i.e. beneficiaries that are 10 For the definition, see Commission Recommendation 2003/361/EC: micro, small or medium-sized enterprise (SME) are enterprises - engaged in an economic activity, irrespective of their legal form (including, in particular, self- employed persons and family businesses engaged in craft or other activities, and partnerships or associations regularly engaged in an economic activity) and 17 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 natural persons not receiving a salary) may be declared as personnel costs, if they fulfil the general eligibility conditions and are calculated as unit costs in accordance with the method set out in Annex 2a. B. Subcontracting costs Subcontracting costs for the action (including related duties, taxes and charges, such as non- deductible or non-refundable value added tax (VAT)) are eligible, if they are calculated on the basis of the costs actually incurred, fulfil the general eligibility conditions and are awarded using the beneficiary’s usual purchasing practices — provided these ensure subcontracts with best value for money (or if appropriate the lowest price) and that there is no conflict of interests (see Article 12). Beneficiaries that are ‘contracting authorities/entities’ within the meaning of the EU Directives on public procurement must also comply with the applicable national law on public procurement. Subcontracting may cover only a limited part of the action. The tasks to be subcontracted and the estimated cost for each subcontract must be set out in Annex 1 and the total estimated costs of subcontracting per beneficiary must be set out in Annex 2 (or may be approved ex post in the periodic report, if the use of subcontracting does not entail changes to the Agreement which would call into question the decision awarding the grant or breach the principle of equal treatment of applicants; ‘simplified approval procedure’). C. Purchase costs Purchase costs for the action (including related duties, taxes and charges, such as non-deductible or non-refundable value added tax (VAT)) are eligible if they fulfil the general eligibility conditions and are bought using the beneficiary’s usual purchasing practices — provided these ensure purchases with best value for money (or if appropriate the lowest price) and that there is no conflict of interests (see Article 12). Beneficiaries that are ‘contracting authorities/entities’ within the meaning of the EU Directives on public procurement must also comply with the applicable national law on public procurement. C.1 Travel and subsistence Purchases for travel, accommodation and subsistence must be calculated as follows: - travel: as unit costs in accordance with the method set out in Annex 2a if covered by Decision C(2021)3511 or otherwise as costs actually incurred and in line with the beneficiary’s usual practices on travel - accommodation: as unit costs in accordance with the method set out in Annex 2a if covered by - employing fewer than 250 persons (expressed in ‘annual working units’ as defined in Article 5 of the Recommendation) and which have an annual turnover not exceeding EUR 50 million, and/or an annual balance sheet total not exceeding EUR 43 million. 11 Commission Decision of 12 January 2021 authorising the use of unit costs for travel, accommodation and subsistence costs under an action or work programme under the 2021-2027 multi-annual financial framework (C(2021)35). 18 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 Decision C(2021)3512 or otherwise as costs actually incurred and in line with the beneficiary’s usual practices on travel - subsistence: as unit costs in accordance with the method set out in Annex 2a if covered by Decision C(2021)3513 or otherwise as costs actually incurred and in line with the beneficiary’s usual practices on travel. C.2 Equipment Purchases of equipment, infrastructure or other assets used for the action must be declared as depreciation costs, calculated on the basis of the costs actually incurred and written off in accordance with international accounting standards and the beneficiary’s usual accounting practices. Only the portion of the costs that corresponds to the rate of actual use for the action during the action duration can be taken into account. Costs for renting or leasing equipment, infrastructure or other assets are also eligible, if they do not exceed the depreciation costs of similar equipment, infrastructure or assets and do not include any financing fees. C.3 Other goods, works and services Purchases of other goods, works and services must be calculated on the basis of the costs actually incurred. Such goods, works and services include, for instance, consumables and supplies, promotion, dissemination, protection of results, translations, publications, certificates and financial guarantees, if required under the Agreement. D. Other cost categories D.1 Financial support to third parties Costs for providing financial support to third parties (in the form of grants, prizes or similar forms of support; if any) are eligible, if and as declared eligible in the call conditions, if they fulfil the general eligibility conditions, are calculated on the basis of the costs actually incurred and the support is implemented in accordance with the conditions set out in Annex 1. These conditions must ensure objective and transparent selection procedures and include at least the following: (a) for grants (or similar): (i) the maximum amount of financial support for each third party (‘recipient’); this amount may not exceed the amount set out in the Data Sheet (see Point 3) or otherwise agreed with the granting authority 12 Commission Decision of 12 January 2021 authorising the use of unit costs for travel, accommodation and subsistence costs under an action or work programme under the 2021-2027 multi-annual financial framework (C(2021)35). 13 Commission Decision of 12 January 2021 authorising the use of unit costs for travel, accommodation and subsistence costs under an action or work programme under the 2021-2027 multi-annual financial framework (C(2021)35). 19 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 (ii) the criteria for calculating the exact amount of the financial support (iii) the different types of activity that qualify for financial support, on the basis of a closed list (iv) the persons or categories of persons that will be supported and (v) the criteria and procedures for giving financial support (b) for prizes (or similar): (i) the eligibility and award criteria (ii) the amount of the prize and (iii) the payment arrangements. Indirect costs E. Indirect costs Indirect costs will be reimbursed at the flat-rate of 7% of the eligible direct costs (categories A-D, except volunteers costs and exempted specific cost categories, if any). Contributions Not applicable 6.3 Ineligible costs and contributions The following costs or contributions are ineligible: (a) costs or contributions that do not comply with the conditions set out above (Article 6.1 and 6.2), in particular: (i) costs related to return on capital and dividends paid by a beneficiary (ii) debt and debt service charges (iii) provisions for future losses or debts (iv) interest owed (v) currency exchange losses (vi) bank costs charged by the beneficiary’s bank for transfers from the granting authority (vii) excessive or reckless expenditure (viii) deductible or refundable VAT (including VAT paid by public bodies acting as public authority) (ix) costs incurred or contributions for activities implemented during grant agreement suspension (see Article 31) 20 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 (x) in-kind contributions by third parties (b) costs or contributions declared 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 cases: (i) Synergy actions: not applicable (ii) if the action grant is combined with an operating grant14 running during the same period and the beneficiary can demonstrate that the operating grant does not cover any (direct or indirect) costs of the action grant (c) costs or contributions for staff of a national (or regional/local) administration, for activities that are part of the administration’s normal activities (i.e. not undertaken only because of the grant) (d) costs or contributions (especially travel and subsistence) for staff or representatives of EU institutions, bodies or agencies (e) other : (i) country restrictions for eligible costs: not applicable (ii) costs or contributions declared specifically ineligible in the call conditions. 6.4 Consequences of non-compliance If a beneficiary declares costs or contributions that are ineligible, they will be rejected (see Article 27). This may also lead to other measures described in Chapter 5. CHAPTER 4 GRANT IMPLEMENTATION SECTION 1 CONSORTIUM: BENEFICIARIES, AFFILIATED ENTITIES AND OTHER PARTICIPANTS ARTICLE 7 — BENEFICIARIES The beneficiaries, as signatories of the Agreement, are fully responsible towards the granting authority for implementing it and for complying with all its obligations. They must implement the Agreement to their best abilities, in good faith and in accordance with all the obligations and terms and conditions it sets out. They must have the appropriate resources to implement the action and implement the action under their own responsibility and in accordance with Article 11. If they rely on affiliated entities or other 14 For the definition, see Article 180(2)(b) of EU Financial Regulation 2018/1046: ‘operating grant’ means an EU grant to finance “the functioning of a body which has an objective forming part of and supporting an EU policy”. 21 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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. Costs and 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 - submit the deliverables and reports to the granting authority 22 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 - 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’15 (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 9.1 Associated partners 15 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.” 23 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 costs or contributions to the action 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 costs for the subcontracted tasks (invoiced price from the subcontractor) are eligible and may be charged by the beneficiaries, under the conditions set out in Article 6. The costs will be included in Annex 2 as part of the beneficiaries’ costs. 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) 24 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 - 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/EC16 - 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 16 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). 25 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 - 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). 26 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 27 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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: 28 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 (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 2015/44417 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 17 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). 29 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 2018/172518. 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 2016/67919). 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 18 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). 19 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). 30 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 - 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 31 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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. 32 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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. 33 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 34 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 costs or 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 the following to justify the amounts declared: (a) for actual costs: adequate records and supporting documents to prove the costs declared (such 35 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 as contracts, subcontracts, invoices and accounting records); in addition, the beneficiaries’ usual accounting and internal control procedures must enable direct reconciliation between the amounts declared, the amounts recorded in their accounts and the amounts stated in the supporting documents (b) for flat-rate costs and contributions (if any): adequate records and supporting documents to prove the eligibility of the costs or contributions to which the flat-rate is applied (c) for the following simplified costs and contributions: the beneficiaries do not need to keep specific records on the actual costs incurred, but must keep: (i) for unit costs and contributions (if any): adequate records and supporting documents to prove the number of units declared (ii) for lump sum costs and contributions (if any): adequate records and supporting documents to prove proper implementation of the work as described in Annex 1 (iii) for financing not linked to costs (if any): adequate records and supporting documents to prove the achievement of the results or the fulfilment of the conditions as described in Annex 1 (d) for unit, flat-rate and lump sum costs and contributions according to usual cost accounting practices (if any): the beneficiaries must keep any adequate records and supporting documents to prove that their cost accounting practices have been applied in a consistent manner, based on objective criteria, regardless of the source of funding, and that they comply with the eligibility conditions set out in Articles 6.1 and 6.2. Moreover, the following is needed for specific budget categories: (e) for personnel costs: time worked for the beneficiary under the action must be supported by declarations signed monthly by the person and their supervisor, unless another reliable time-record system is in place; the granting authority may accept alternative evidence supporting the time worked for the action declared, if it considers that it offers an adequate level of assurance (f) additional record-keeping rules: not applicable 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, costs or contributions insufficiently 36 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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) - the explanation on the use of resources (or detailed cost reporting table, if required) - the certificates on the financial statements (CFS) (if required; see Article 24.2 and Data Sheet, Point 4.3). The financial statements must detail the eligible costs and contributions for each budget category and, for the final payment, also the revenues for the action (see Articles 6 and 22). All eligible costs and contributions incurred should be declared, even if they exceed the amounts indicated in the estimated budget (see Annex 2). Amounts that are not declared in the individual financial statements 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: 37 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 - the information provided is complete, reliable and true - the costs and contributions declared are eligible (see Article 6) - the costs and 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) - for the final periodic report: all the revenues have been declared (if required; see Article 22). 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. Beneficiaries with general accounts established in a currency other than the euro must convert the costs recorded in their accounts into euro, at the average of the daily exchange rates published in the C series of the Official Journal of the European Union (ECB website), calculated over the corresponding reporting period. If no daily euro exchange rate is published in the Official Journal for the currency in question, they must be converted at the average of the monthly accounting exchange rates published on the European Commission website (InforEuro), calculated over the corresponding reporting period. Beneficiaries with general accounts in euro must convert costs incurred in another currency into euro according to their usual accounting practices. 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) 38 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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. 39 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 Prefinancing payments (or parts of them) may be offset (without the beneficiaries’ consent) against amounts owed by a beneficiary to the granting authority — up to the amount due to that beneficiary. For grants where the granting authority is the European Commission or an EU executive agency, offsetting may also be done against amounts owed to other Commission services or executive agencies. Payments will not be made if the payment deadline or payments are suspended (see Articles 29 and 30). 22.3.2 Amount due at beneficiary termination — Recovery In case of beneficiary termination, the granting authority will determine the provisional amount due for the beneficiary concerned. 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 ‘maximum EU contribution to costs’ (applying the funding rate to the accepted costs of the beneficiary), taking into account requests for a lower contribution to costs and CFS threshold cappings (if any; see Article 24.5) and adding the contributions (accepted unit, flat-rate or lump sum contributions and financing not linked to costs, if any). 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). 40 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 costs and contributions claimed for the implementation of the action 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 calculate the ‘accepted EU contribution’ for the action for the reporting period, by first calculating the ‘maximum EU contribution to costs’ (applying the funding rate to the accepted costs of each beneficiary), taking into account requests for a lower contribution to costs, and CFS threshold cappings (if any; see Article 24.5) and adding the contributions (accepted unit, flat-rate or lump sum contributions and financing not linked to costs, if any). After that, the granting authority will take into account grant reductions from beneficiary termination (if any). The resulting amount is the ‘total accepted EU contribution’. Step 2 — Limit to the interim payment ceiling The resulting amount is then capped to ensure that the total amount of prefinancing and interim payments (if any) does not exceed the interim payment ceiling set out in the Data Sheet (see Point 4.2). Interim payments (or parts of them) may be offset (without the beneficiaries’ consent) against amounts owed by a beneficiary to the granting authority — up to the amount due to that beneficiary. For grants where the granting authority is the European Commission or an EU executive agency, offsetting may also be done against amounts owed to other Commission services or executive agencies. Payments will not be made if the payment deadline or payments are suspended (see Articles 29 and 30). 22.3.4 Final payment — Final grant amount — Revenues and Profit — Recovery The final payment (payment of the balance) reimburses the remaining part of the eligible costs and contributions claimed for the implementation of the action (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). 41 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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. 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 ‘maximum EU contribution to costs’ (applying the funding rate to the total accepted costs of each beneficiary), taking into account requests for a lower contribution to costs, CFS threshold cappings (if any; see Article 24.5) and adding the contributions (accepted unit, flat-rate or lump sum contributions and financing not linked to costs, if any). 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 If the no-profit rule is provided for in the Data Sheet (see Point 4.2), the grant must not produce a profit (i.e. surplus of the amount obtained following Step 2 plus the action’s revenues, over the eligible costs and contributions approved by the granting authority). ‘Revenue’ is all income generated by the action, during its duration (see Article 4), for beneficiaries that are profit legal entities. If there is a profit, it will be deducted in proportion to the final rate of reimbursement of the eligible costs approved by the granting authority (as compared to the amount calculated following Steps 1 and 2 minus the contributions). 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. 42 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 For grants where the granting authority is the European Commission or an EU executive agency, offsetting may also be done against amounts owed to other Commission services or executive agencies. Payments will not be made if the payment deadline or payments are suspended (see Articles 29 and 30). If the balance is negative, it will be recovered in accordance with the following procedure: The granting authority will send a pre-information letter to the coordinator: - formally notifying the intention to recover, the final grant amount, the amount to be recovered and the reasons why - requesting observations within 30 days of receiving notification. If no observations are submitted (or the granting authority decides to pursue recovery despite the observations it has received), it will confirm the amount to be recovered (confirmation letter), together with a debit note with the terms and date for payment. If payment is not made by the date specified in the debit note, the granting authority will enforce recovery in accordance with Article 22.4. 22.3.5 Audit implementation after final payment — Revised final grant amount — Recovery If — after the final payment (in particular, after checks, reviews, audits or investigations; see Article 25) — the granting authority rejects costs or 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 costs’ and ‘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 43 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 final grant amount for the action}. The granting authority will send a pre-information letter to the beneficiary concerned: - formally notifying the intention to recover, the amount to be recovered and the reasons why and - requesting observations within 30 days of receiving notification. If no observations are submitted (or the granting authority decides to pursue recovery despite the observations it has received), it will confirm the amount to be recovered (confirmation letter), together with a debit note with the terms and the date for payment. Recoveries against affiliated entities (if any) will be handled through their beneficiaries. If payment is not made by the date specified in the debit note, the granting authority will enforce recovery in accordance with Article 22.4. 22.4 Enforced recovery If payment is not made by the date specified in the debit note, the amount due will be recovered: (a) by offsetting the amount — without the coordinator or beneficiary’s consent — against any amounts owed to the coordinator or beneficiary by the granting authority. In exceptional circumstances, to safeguard the EU financial interests, the amount may be offset before the payment date specified in the debit note. For grants where the granting authority is the European Commission or an EU executive agency, debts may also be offset against amounts owed by other Commission services or executive agencies. (b) by drawing on the financial guarantee(s) (if any) (c) by holding other beneficiaries jointly and severally liable (if any; see Data Sheet, Point 4.4) (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 2015/236620 applies. 20 Directive (EU) 2015/2366 of the European Parliament and of the Council of 25 November 2015 on payment 44 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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. 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 29) 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 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). 45 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 (b) the guarantor stands as first-call guarantor and does not require the granting authority to first have recourse against the principal debtor (i.e. the beneficiary concerned) and (c) remain explicitly in force until the final payment and, if the final payment takes the form of a recovery, until five months after the debit note is notified to a beneficiary. They will be released within the following month. 23.2 Consequences of non-compliance If the beneficiaries breach their obligation to provide the prefinancing guarantee, the prefinancing will not be paid. Such breaches may also lead to other measures described in Chapter 5. ARTICLE 24 — CERTIFICATES 24.1 Operational verification report (OVR) Not applicable 24.2 Certificate on the financial statements (CFS) If required by the granting authority (see Data Sheet, Point 4.3), the beneficiaries must provide certificates on their financial statements (CFS), in accordance with the schedule, threshold and conditions set out in the Data Sheet. The coordinator must submit them as part of the periodic report (see Article 21). The certificates must be drawn up using the template published on the Portal, cover the costs declared on the basis of actual costs and costs according to usual cost accounting practices (if any), and fulfil the following conditions: (a) be provided by a qualified approved external auditor which is independent and complies with Directive 2006/43/EC21 (or for public bodies: by a competent independent public officer) (b) the verification must be carried out according to the highest professional standards to ensure that the financial statements comply with the provisions under the Agreement and that the costs declared are eligible. The certificates will not affect the granting authority's right to carry out its own checks, reviews or audits, nor preclude the European Court of Auditors (ECA), the European Public Prosecutor’s Office (EPPO) or the European Anti-Fraud Office (OLAF) from using their prerogatives for audits and investigations under the Agreement (see Article 25). If the costs (or a part of them) were already audited by the granting authority, these costs do not need to be covered by the certificate and will not be counted for calculating the threshold (if any). 24.3 Certificate on the compliance of usual cost accounting practices (CoMUC) 21 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). 46 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 Not applicable 24.4 Systems and process audit (SPA) Not applicable 24.5 Consequences of non-compliance If a beneficiary does not submit a certificate on the financial statements (CFS) or the certificate is rejected, the accepted EU contribution to costs will be capped to reflect the CFS threshold. If a beneficiary breaches any of its other obligations under this Article, the granting authority may apply the measures described in Chapter 5. 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 costs and 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. 47 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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. 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. 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 48 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 The beneficiaries must give the European Commission access to their statutory records for the periodic assessment of simplified forms of funding which are used in EU programmes. 25.4 OLAF, EPPO and ECA audits and investigations The following bodies may also carry out checks, reviews, audits and investigations — during the action or afterwards: - the European Anti-Fraud Office (OLAF) under Regulations No 883/201322 and No 2185/9623 - 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. 22 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). 23 Council Regulation (Euratom, EC) No 2185/1996 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). 49 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 (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 costs or 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, costs or 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 50 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 26.1 Impact evaluation The granting authority may carry out impact evaluations of the action, measured against the objectives and indicators of the EU programme funding the grant. Such evaluations may be started during implementation of the action and until the time-limit set out in the Data Sheet (see Point 6). They will be formally notified to the coordinator or beneficiaries and will be considered to start on the date of the notification. If needed, the granting authority may be assisted by independent outside experts. The coordinator or beneficiaries must provide any information relevant to evaluate the impact of the action, including information in electronic format. 26.2 Consequences of non-compliance If a beneficiary breaches any of its obligations under this Article, the granting authority may apply the measures described in Chapter 5. CHAPTER 5 CONSEQUENCES OF NON-COMPLIANCE SECTION 1 REJECTIONS AND GRANT REDUCTION ARTICLE 27 — REJECTION OF COSTS AND CONTRIBUTIONS 27.1 Conditions The granting authority will — at beneficiary termination, interim payment, final payment or afterwards — reject any costs or 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 costs or 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 costs or contributions, it will deduct them from the costs or 51 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 contributions declared and then calculate the amount due (and, if needed, make a recovery; see Article 22). ARTICLE 28 — GRANT REDUCTION 28.1 Conditions The granting authority may — at beneficiary termination, final payment or afterwards — reduce the grant for a beneficiary, if: (a) the beneficiary (or a person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed: (i) substantial errors, irregularities or fraud or (ii) serious breach of obligations under this Agreement or during its award (including improper implementation of the action, non-compliance with the call conditions, submission of false information, failure to provide required information, breach of ethics or security rules (if applicable), etc.), or (b) the beneficiary (or a person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed — in other EU grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant (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 52 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 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 53 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 payment(s) for the part(s) not suspended. If suspension concerns the final payment, the payment (or recovery) of the remaining amount after suspension is lifted will be considered to be the payment that closes the action. 30.2 Procedure Before suspending payments, the granting authority will send a pre-information letter to the beneficiary concerned: - formally notifying the intention to suspend payments and the reasons why and - requesting observations within 30 days of receiving notification. If the granting authority does not receive observations or decides to pursue the procedure despite the observations it has received, it will confirm the suspension (confirmation letter). Otherwise, it will formally notify that the procedure is discontinued. At the end of the suspension procedure, the granting authority will also inform the coordinator. The suspension will take effect the day after the confirmation notification is sent. If the conditions for resuming payments are met, the suspension will be lifted. The granting authority will formally notify the beneficiary concerned (and the coordinator) and set the suspension end date. During the suspension, no prefinancing will be paid to the beneficiaries concerned. For interim payments, the periodic reports for all reporting periods except the last one (see Article 21) must not contain any financial statements from the beneficiary concerned (or its affiliated entities). The coordinator must include them in the next periodic report after the suspension is lifted or — if suspension is not lifted before the end of the action — in the last periodic report. 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 54 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 another amendment of the Agreement to set the suspension end date, the resumption date (one day after suspension end date), extend the duration and make other changes necessary to adapt the action to the new situation (see Article 39) — unless the grant has been terminated (see Article 32). The suspension will be lifted with effect from the suspension end date set out in the amendment. This date may be before the date of the submission of the amendment request. During the suspension, no prefinancing will be paid. Costs incurred or 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) additional GA suspension grounds: not applicable. 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). 55 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 Once the conditions for resuming implementation of the action are met, the granting authority will formally notify the coordinator a lifting of suspension letter, in which it will set the suspension end date and invite the coordinator to request an amendment of the Agreement to set the resumption date (one day after suspension end date), extend the duration and make other changes necessary to adapt the action to the new situation (see Article 39) — unless the grant has been terminated (see Article 32). The suspension will be lifted with effect from the suspension end date set out in the lifting of suspension letter. This date may be before the date on which the letter is sent. During the suspension, no prefinancing will be paid. Costs incurred or 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 costs incurred and contributions for activities implemented before the end of work date (see Article 22). Costs relating to contracts due for execution only after the end of work are not eligible. If the granting authority does not receive the report within the deadline, only costs and contributions which are included in an approved periodic report will be taken into account (no costs/contributions if no periodic report was ever approved). 56 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 Improper termination may lead to a grant reduction (see Article 28). After termination, the beneficiaries’ obligations (in particular Articles 13 (confidentiality and security), 16 (IPR), 17 (communication, dissemination and visibility), 21 (reporting), 25 (checks, reviews, audits and investigations), 26 (impact evaluation), 27 (rejections), 28 (grant reduction) and 42 (assignment of claims)) continue to apply. 32.2 Consortium-requested beneficiary termination 32.2.1 Conditions and procedure The coordinator may request the termination of the participation of one or more beneficiaries, on request of the beneficiary concerned or on behalf of the other beneficiaries. The coordinator must submit a request for amendment (see Article 39), with: - the reasons why - the opinion of the beneficiary concerned (or proof that this opinion has been requested in writing) - the date the beneficiary ends work on the action (‘end of work date’) - the date the termination takes effect (‘termination date’); this date must be after the date of the submission of the amendment request. If the termination concerns the coordinator and is done without its agreement, the amendment request must be submitted by another beneficiary (acting on behalf of the consortium). 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, the explanation on the use of resources, and, if applicable, the certificate on the financial statement (CFS; see Articles 21 and 24.2 and Data Sheet, Point 4.3) (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 costs incurred and contributions for activities implemented before the end of work date (see Article 22). Costs relating to contracts due for execution only after the end of work are not eligible. 57 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 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 costs and contributions which are included in an approved periodic report will be taken into account (no costs/ 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 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 58 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 proceedings or similar (including insolvency, winding-up, administration by a liquidator or court, arrangement with creditors, suspension of business activities, etc.) (f) a beneficiary (or person with unlimited liability for its debts) is in breach of social security or tax obligations (g) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has been found guilty of grave professional misconduct (h) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed fraud, corruption, or is involved in a criminal organisation, money laundering, terrorism-related crimes (including terrorism financing), child labour or human trafficking (i) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) was created under a different jurisdiction with the intent to circumvent fiscal, social or other legal obligations in the country of origin (or created another entity with this purpose) (j) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed: (i) substantial errors, irregularities or fraud or (ii) serious breach of obligations under this Agreement or during its award (including improper implementation of the action, non-compliance with the call conditions, submission of false information, failure to provide required information, breach of ethics or security rules (if applicable), etc.) (k) a beneficiary (or person having powers of representation, decision-making or control, or person essential for the award/implementation of the grant) has committed — in other EU grants awarded to it under similar conditions — systemic or recurrent errors, irregularities, fraud or serious breach of obligations that have a material impact on this grant (extension of findings 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) additional GA termination grounds: not applicable. 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: 59 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 - formally notifying the intention to terminate and the reasons why and - requesting observations within 30 days of receiving notification. If the granting authority does not receive observations or decides to pursue the procedure despite the observations it has received, it will confirm the termination and the date it will take effect (confirmation letter). Otherwise, it will formally notify that the procedure is discontinued. For beneficiary terminations, the granting authority will — at the end of the procedure — also inform the coordinator. The termination will take effect the day after the confirmation notification is sent (or on a later date specified in the notification; ‘termination date’). 32.3.3 Effects (a) for GA termination: The coordinator must — within 60 days from when termination takes effect — submit a periodic report (for the last open reporting period until termination). The granting authority will calculate the final grant amount and final payment on the basis of the report submitted and taking into account the costs incurred and contributions for activities implemented before termination takes effect (see Article 22). Costs relating to contracts due for execution only after termination are not eligible. 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 costs and contributions which are included in an approved periodic report will be taken into account (no costs/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 60 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 statement, the explanation on the use of resources, and, if applicable, the certificate on the financial statement (CFS; see Articles 21 and 24.2 and Data Sheet, Point 4.3) (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 and taking into account the costs incurred and contributions for activities implemented before termination takes effect (see Article 22). Costs relating to contracts due for execution only after termination are not eligible. 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 costs and contributions included in an approved periodic report will be taken into account (no costs/ 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. 61 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 33.2 Liability of the beneficiaries The beneficiaries must compensate the granting authority for any damage it sustains as a result of the implementation of the action or because the action was not implemented in full compliance with the Agreement, provided that it was caused by gross negligence or wilful act. The liability does not extend to indirect or consequential losses or similar damage (such as loss of profit, loss of revenue or loss of contracts), provided such damage was not caused by wilful act or by a breach of confidentiality. ARTICLE 34 — ADMINISTRATIVE SANCTIONS AND OTHER MEASURES Nothing in this Agreement may be construed as preventing the adoption of administrative sanctions (i.e. exclusion from EU award procedures and/or financial penalties) or other public law measures, in addition or as an alternative to the contractual measures provided under this Agreement (see, for instance, Articles 135 to 145 EU Financial Regulation 2018/1046 and Articles 4 and 7 of Regulation 2988/9524). 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 24 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). 62 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 EU grants are managed fully electronically through the EU Funding & Tenders Portal (‘Portal’). All communications must be made electronically through the Portal, in accordance with the Portal Terms and Conditions and using the forms and templates provided there (except if explicitly instructed otherwise by the granting authority). Communications must be made in writing and clearly identify the grant agreement (project number and acronym). Communications must be made by persons authorised according to the Portal Terms and Conditions. For naming the authorised persons, each beneficiary must have designated — before the signature of this Agreement — a ‘legal entity appointed representative (LEAR)’. The role and tasks of the LEAR are stipulated in their appointment letter (see Portal Terms and Conditions). If the electronic exchange system is temporarily unavailable, instructions will be given on the Portal. 36.2 Date of communication The sending date for communications made through the Portal will be the date and time of sending, as indicated by the time logs. The receiving date for communications made through the Portal will be the date and time the communication is accessed, as indicated by the time logs. Formal notifications that have not been accessed within 10 days after sending, will be considered to have been accessed (see Portal Terms and Conditions). If a communication is exceptionally made on paper (by e-mail or postal service), general principles apply (i.e. date of sending/receipt). Formal notifications by registered post with proof of delivery will be considered to have been received either on the delivery date registered by the postal service or the deadline for collection at the post office. If the electronic exchange system is temporarily unavailable, the sending party cannot be considered in breach of its obligation to send a communication within a specified deadline. 36.3 Addresses for communication The Portal can be accessed via the Europa website. The address for paper communications to the granting authority (if exceptionally allowed) is the official mailing address indicated on its website. For beneficiaries, it is the legal address specified in the Portal Participant Register. 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. 63 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 ARTICLE 38 — CALCULATION OF PERIODS AND DEADLINES In accordance with Regulation No 1182/7125, periods expressed in days, months or years are calculated from the moment the triggering event occurs. The day during which that event occurs is not considered as falling within the period. ‘Days’ means calendar days, not working days. ARTICLE 39 — AMENDMENTS 39.1 Conditions The Agreement may be amended, unless the amendment entails changes to the Agreement which would call into question the decision awarding the grant or breach the principle of equal treatment of applicants. Amendments may be requested by any of the parties. 39.2 Procedure The party requesting an amendment must submit a request for amendment signed directly in the Portal Amendment tool. The coordinator submits and receives requests for amendment on behalf of the beneficiaries (see Annex 3). If a change of coordinator is requested without its agreement, the submission must be done by another beneficiary (acting on behalf of the other beneficiaries). The request for amendment must include: - the reasons why - the appropriate supporting documents and - for a change of coordinator without its agreement: the opinion of the coordinator (or proof that this opinion has been requested in writing). The granting authority may request additional information. 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. 25 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). 64 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 ARTICLE 40 — ACCESSION AND ADDITION OF NEW BENEFICIARIES 40.1 Accession of the beneficiaries mentioned in the Preamble The beneficiaries which are not coordinator must accede to the grant by signing the accession form (see Annex 3) directly in the Portal Grant Preparation tool, within 30 days after the entry into force of the Agreement (see Article 44). They will assume the rights and obligations under the Agreement with effect from the date of its entry into force (see Article 44). If a beneficiary does not accede to the grant within the above deadline, the coordinator must — within 30 days — request an amendment (see Article 39) to terminate the beneficiary and make any changes necessary to ensure proper implementation of the action. This does not affect the granting authority’s right to terminate the grant (see Article 32). 40.2 Addition of new beneficiaries In justified cases, the beneficiaries may request the addition of a new beneficiary. For this purpose, the coordinator must submit a request for amendment in accordance with Article 39. It must include an accession form (see Annex 3) signed by the new beneficiary directly in the Portal Amendment tool. New beneficiaries will assume the rights and obligations under the Agreement with effect from the date of their accession specified in the accession form (see Annex 3). Additions are also possible in mono-beneficiary grants. ARTICLE 41 — TRANSFER OF THE AGREEMENT In justified cases, the beneficiary of a mono-beneficiary grant may request the transfer of the grant to a new beneficiary, provided that this would not call into question the decision awarding the grant or breach the principle of equal treatment of applicants. The beneficiary must submit a request for amendment (see Article 39), with - the reasons why - the accession form (see Annex 3) signed by the new beneficiary directly in the Portal Amendment tool and - 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 65 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 any third party, except if expressly approved in writing by the granting authority on the basis of a reasoned, written request by the coordinator (on behalf of the beneficiary concerned). If the granting authority has not accepted the assignment or if the terms of it are not observed, the assignment will have no effect on it. In no circumstances will an assignment release the beneficiaries from their obligations towards the granting authority. ARTICLE 43 — APPLICABLE LAW AND SETTLEMENT OF DISPUTES 43.1 Applicable law The Agreement is governed by the applicable EU law, supplemented if necessary by the law of Belgium. Special rules may apply for beneficiaries which are international organisations (if any; see Data Sheet, Point 5). 43.2 Dispute settlement If a dispute concerns the interpretation, application or validity of the Agreement, the parties must bring action before the EU General Court — or, on appeal, the EU Court of Justice — under Article 272 of the Treaty on the Functioning of the EU (TFEU). For non-EU beneficiaries (if any), such disputes must be brought before the courts of Brussels, Belgium — unless an international agreement provides for the enforceability of EU court judgements. For beneficiaries with arbitration as special dispute settlement forum (if any; see Data Sheet, Point 5), the dispute will — in the absence of an amicable settlement — be settled in accordance with the Rules for Arbitration published on the Portal. If a dispute concerns administrative sanctions, offsetting or an enforceable decision under Article 299 TFEU (see Articles 22 and 34), the beneficiaries must bring action before the General Court — or, on appeal, the Court of Justice — under Article 263 TFEU. For grants where the granting authority is an EU executive agency (see Preamble), actions against offsetting and enforceable decisions must be brought against the European Commission (not against the granting authority; see also Article 22). ARTICLE 44 — ENTRY INTO FORCE The Agreement will enter into force on the day of signature by the granting authority or the coordinator, depending on which is later. 66 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 SIGNATURES For the coordinator For the granting authority [--TGSMark#signature-898981936_75_210--] [--TGSMark#signature-service_75_210--] Kristina VAKSMAA-TAMMARU with ECAS id nvaksmkr signed in the Signed by Gilda CAPUANO with ECAS id capuagi as an authorised Participant Portal on 25/07/2022 at 14:28:48 (transaction id SigId- representative on 25-07-2022 15:43:25 (transaction id SigId- 92192-BozVdGRKWaE9ZznDfkxd8QpFZAYKRmFoC3nuCbq02JuzZI0Zx 92527-AaeWI8M0p0TLvoT6cCN7dsadPCZ4cm3ezzbKhwSyfS0i4ib Mc2FB8jzzzT03bKgba9MvSqBnIAY5oY1rzp3G8u- H7zkp5dtlQZNvmsMKUOxGL9eYxKIooMlYMGwTex0- rS0vSrmBGYC5A0GYws8iKq-PpW4JAc5WVIVrvzliGoAlYHAJa3pigTsuxT rS0vSrmBGYC5A0GYws8iKq-Ex5fOTiEdt1cj3Njl1lWLINrYgJzZUAyb OjBUEWlvhfTIgj32hukW5X4K9PQJAKuNUbPmoKsamh2iIy3FSRy). Timestamp by third party at 6iwgVlzrHiXuHsnxEzQFExSbrwRT92GGEekzr1Qy3AzzfKVJ4KYizL0) 2022.07.25 15:28:53 CEST 2022.07.25 15:43:29 CEST 67 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 ANNEX 1 Single Market Programme (SMP) Description of the action (DoA) Part A Part B Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 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: 101070829 Project name: CAPACITY BUILDING OF THE ALTERNATIVE DISPUTE RESOLUTION (ADR) BODY FOR CONSUMER DISPUTES IN ESTONIA Project acronym: SMP-CONS-2021-ADR Call: SMP-CONS-2021-ADR Topic: SMP-CONS-2021-ADR Type of action: SMP-PJG Service: EISMEA/I/03 Project starting date: first day of the month following the entry into force date Project duration: 12 months TABLE OF CONTENTS Project summary ......................................................................................................................................................3 List of participants .................................................................................................................................................. 3 List of work packages .............................................................................................................................................4 Staff effort ............................................................................................................................................................... 7 List of deliverables ..................................................................................................................................................8 List of milestones (outputs/outcomes) .................................................................................................................. 11 List of critical risks ............................................................................................................................................... 11 2 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 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. The Estonian Consumer Disputes Committee (hereinafter committee) is an independent and impartial entity resolving consumer disputes. The committee is a notified ADR body. The committee operates at the Consumer Protection and Technical Regulatory Authority (the applicant organisation) within the area of government of the Ministry of Economic Affairs and Communications and resolves disputes independently pursuant to Acts and other legislation. The aims of the current proposal are: - To raise awareness among consumers and traders about out-of-court dispute handling possibilities - To improve operational capacity of the committee in resolving consumer disputes. LIST OF PARTICIPANTS PARTICIPANTS Grant Preparation (Beneficiaries screen) — Enter the info. Number Role Short name Legal name Country PIC 1 COO TTJA TARBIJAKAITSE JA TEHNILISE JARELEVALVE EE 898981936 AMET 3 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 LIST OF WORK PACKAGES Work packages Grant Preparation (Work Packages screen) — Enter the info. Work Work Package name Lead Beneficiary Effort Start End Deliverables Package No (Person- Month Month Months) WP1 Increasing the accessibility and visibility of the 1 - TTJA 0.60 1 12 D1.1 – Video clips Consumer Dispute Committee WP2 Special seminars and trainings for traders and 1 - TTJA 0.60 1 12 D2.1 – Seminars to traders trader organisations WP3 Special seminars and workshops for ADR 1 - TTJA 0.13 1 12 D3.1 – Trainings to the members of ADR members and chairmen of the Consumer Disputes Committee 4 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Work package WP1 – Increasing the accessibility and visibility of the Consumer Dispute Committee Work Package Number WP1 Lead Beneficiary 1. TTJA Work Package Name Increasing the accessibility and visibility of the Consumer Dispute Committee Start Month 1 End Month 12 Objectives To increase accessibility and visibility of the Consumer Dispute Committee (among consumers as well traders) we will develop and run information dissemination activities, such as awareness raising campaign. The educational information materials (for example video clips) about consumer rights and trader obligations, as well possibilities for out-of-court dispute handling will be distributed via different channels (for example committee’s home page www.komisjon.ee as well via YouTube, social media, other media channels, hopefully including TV). For successful information dissemination we will include a creative agency. Description Developing and running the information dissemination activities, such as awareness raising campaign, it will include: - Working out the concept of activities and the messages - Setting up the concrete target groups - Finding the creative agency - Creating the content of the campaign - Creating the media plan - Distribution and publicity of the activities (e.g., video clips) Work package WP2 – Special seminars and trainings for traders and trader organisations Work Package Number WP2 Lead Beneficiary 1. TTJA Work Package Name Special seminars and trainings for traders and trader organisations Start Month 1 End Month 12 Objectives • To raise the awareness about the out of court possibilities for dispute handling and about relevant national and EU legislation among traders we will organise special seminars and trainings. Seminars will be aimed to involve traders more into the ADR procedures. We expect to have at least 60-80 participants at each seminar. The invitations to the seminars will be sent to relevant trader organizations as well advertised via online channels (committee’s webpage, social media, etc). The seminars will be organised in cooperation with relevant traders’ organisations Description To raise the awareness about the out of court possibilities for dispute handling and about relevant national and EU legislation among traders we will organise special seminars and trainings (3—4). Seminars will be aimed to involve traders more into the ADR procedures Work package WP3 – Special seminars and workshops for ADR members and chairmen of the Consumer Disputes Committee Work Package Number WP3 Lead Beneficiary 1. TTJA Work Package Name Special seminars and workshops for ADR members and chairmen of the Consumer Disputes Committee 5 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Start Month 1 End Month 12 Objectives • To improve operational capacity of the Consumer Dispute Committee in resolving consumer disputes it is important to ensure the knowledge of existing legislation and relevant case-law, including the adoption of the new EU legislation among the members as well the chairmen of the committee. • We plan to organise seminars and workshops with high-level legal experts on different topics. • Additionally, to the legal trainings (contractual law, new EU legislation, etc) we also plan to educate members of the committee about up-to-date tools and methods to face the challenges of online trade ADR entity might face when settling consumer disputes between consumers and traders. For example, provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. Description We plan to organise seminars and workshops with high-level legal experts on different topics. Additionally, to the legal trainings (contractual law, new EU legislation, etc) we also plan to educate members of the committee about up-to-date tools and methods to face the challenges of online trade ADR entity might face when settling consumer disputes between consumers and traders. For example, provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. There will be at least 3 trainings: 1) Two trainings on new EU legislation (adopting the Omnibus Directive, Directive 2019/771, etc) and the relevant changes in the national law. 2) Training on IT-tools and programs. The purpose of this training is to provide up to date tools and methods to face the challenges of online trade alternative dispute resolution entity might face when settling consumer disputes between consumers and traders. Consumers increasingly shop online, and traders use increasingly sophisticated online business models. Thus, it is important to enhance ADR workers digital capacities. Training shall cover the following aspects: • Give an up-to-date overview of new e-commerce business models (including on social media). • Provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. • Provide tools and methods to inspect web site history to ascertain terms and conditions presented on the website at a particular point in the past. • Give tools and methods to detect unjustified geo-blocking by traders. 6 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 STAFF EFFORT Staff effort per participant Grant Preparation (Work packages - Effort screen) — Enter the info. Participant WP1 WP2 WP3 Total Person-Months 1 - TTJA 0.60 0.60 0.13 1.33 Total Person-Months 0.60 0.60 0.13 1.33 7 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 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 D1.1 Video clips WP1 1 - TTJA DEC —Websites, patent PU - Public 12 filings, videos, etc D2.1 Seminars to traders WP2 1 - TTJA OTHER PU - Public 12 D3.1 Trainings to the members of ADR WP3 1 - TTJA OTHER PU - Public 12 8 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Deliverable D1.1 – Video clips Deliverable Number D1.1 Lead Beneficiary 1. TTJA Deliverable Name Video clips Type DEC —Websites, patent Dissemination Level PU - Public filings, videos, etc Due Date (month) 12 Work Package No WP1 Description Developing and running the information dissemination activities, such as awareness raising campaign, it will include: - Working out the concept of activities and the messages - Setting up the concrete target groups - Finding the creative agency - Creating the content of the campaign - Creating the media plan - Distribution and publicity of the activities (e.g., video clips) Deliverable D2.1 – Seminars to traders Deliverable Number D2.1 Lead Beneficiary 1. TTJA Deliverable Name Seminars to traders Type OTHER Dissemination Level PU - Public Due Date (month) 12 Work Package No WP2 Description To raise the awareness about the out of court possibilities for dispute handling and about relevant national and EU legislation among traders we will organise special seminars and trainings (3—4). Seminars will be aimed to involve traders more into the ADR procedures. Deliverable D3.1 – Trainings to the members of ADR Deliverable Number D3.1 Lead Beneficiary 1. TTJA Deliverable Name Trainings to the members of ADR Type OTHER Dissemination Level PU - Public Due Date (month) 12 Work Package No WP3 Description We plan to organise seminars and workshops with high-level legal experts on different topics. Additionally, to the legal trainings (contractual law, new EU legislation, etc) we also plan to educate members of the committee about up-to-date tools and methods to face the challenges of online trade ADR entity might face when settling consumer disputes between consumers and traders. For example, provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. There will be at least 3 trainings: 1) Two trainings on new EU legislation (adopting the Omnibus Directive, Directive 2019/771, etc) and the relevant changes in the national law. 2) Training on IT-tools and programs. The purpose of this training is to provide up to date tools and methods to face 9 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 the challenges of online trade alternative dispute resolution entity might face when settling consumer disputes between consumers and traders. Consumers increasingly shop online, and traders use increasingly sophisticated online business models. Thus, it is important to enhance ADR workers digital capacities. Training shall cover the following aspects: • Give an up-to-date overview of new e-commerce business models (including on social media). • Provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. • Provide tools and methods to inspect web site history to ascertain terms and conditions presented on the website at a particular point in the past. • Give tools and methods to detect unjustified geo-blocking by traders. 10 Project: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR Associated with document Ref. Ares(2022)5350091 - 25/07/2022 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 (month) 1 Awareness campaign WP1 1-TTJA Campaign implemented; video clips published 12 2 Seminars to traders WP2 1-TTJA Seminars carried out (list of participants, 12 feedback) 3 Seminars to ADR members WP3 1-TTJA Trainings carried out. 12 LIST OF CRITICAL RISKS Critical risks & risk management strategy Grant Preparation (Critical Risks screen) — Enter the info. Risk Description Work Package Proposed Mitigation Measures number No(s) 1 Due to the COVID19 pandemic the organisation of WP2 Format of webinars will be used. seminars and trainings may be at risk. 11 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Single Market Programme (SMP Consumers) Application Form Administrative Forms (Part A) Technical Description (Part B) (SMP CONS Standard) Version 1.0 15 April 2021 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 IMPORTANT NOTICE What is the Application Form? The Application Form is the template for EU grants applications; it must be submitted via the EU Funding & Tenders Portal before the call deadline. The Form consists of 2 parts:. • Part A contains structured administrative information • Part B is a narrative technical description of the project. Part A is generated by the IT system. It is based on the information which you enter into the Portal Submission System screens. Part B needs to be uploaded as PDF (+ annexes) in the Submission System. The templates to use are available there. How to prepare and submit it? The Application Form must be prepared by the consortium and submitted by a representative. Once submitted, you will receive a confirmation. Character and page limits: • page limit normally 70 pages (unless otherwise provided in the Call document) • supporting documents can be provided as an annex and do not count towards the page limit • minimum font size — Arial 9 points • page size: A4 • margins (top, bottom, left and right): at least 15 mm (not including headers & footers). Please abide by the formatting rules. They are NOT a target! Keep your text as concise as possible. Do not use hyperlinks to show information that is an essential part of your application. If you attempt to upload an application that exceeds the specified limit, you will receive an automatic warning asking you to shorten and re-upload your application. For applications that are not shortened, the excess pages will be made invisible and thus disregarded by the evaluators. Please do NOT delete any instructions in the document. The overall page limit has been raised to ensure equal treatment of all applicants. 2 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 ADMINISTRATIVE FORMS (PART A) Part A of the Application Form must be filled out directly in the Portal Submission System screens. 3 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 TECHNICAL DESCRIPTION (PART B) COVER PAGE Part B of the Application Form must be downloaded from the Portal Submission System, completed and then assembled and re-uploaded as PDF in the system. Note: Please read carefully the conditions set out in the Call document (for open calls: published on the Portal). Pay particular attention to the award criteria; they explain how the application will be evaluated. PROJECT [ADR 2021] Project name: Project acronym: [SMP-CONS-2021-ADR] Coordinator contact: [Kristina Vaksmaa-Tammaru], [Consumer Protection and Technical Regulatory Authority] TABLE OF CONTENTS ADMINISTRATIVE FORMS (PART A) ............................................................................................................................ 3 TECHNICAL DESCRIPTION (PART B) .......................................................................................................................... 4 COVER PAGE ............................................................................................................................................................. 4 PROJECT SUMMARY ................................................................................................................................................. 5 1. RELEVANCE ........................................................................................................................................................... 5 1.1 Background and general objectives .................................................................................................................... 5 1.2 Needs analysis and specific objectives ............................................................................................................... 5 1.3 Complementarity with other actions and innovation — European added value ................................................... 6 2. QUALITY ................................................................................................................................................................. 6 2.1 Concept and methodology .................................................................................................................................. 6 2.2 Consortium set-up............................................................................................................................................... 7 2.3 Project teams, staff and experts .......................................................................................................................... 7 2.4 Consortium management and decision-making................................................................................................... 8 2.5 Project management, quality assurance and monitoring and evaluation strategy ................................................ 8 2.6 Cost effectiveness and financial management .................................................................................................... 9 2.7 Risk management ............................................................................................................................................... 9 3. IMPACT ................................................................................................................................................................. 10 3.1 Impact and ambition .......................................................................................................................................... 10 3.2 Communication, dissemination and visibility...................................................................................................... 10 3.3 Sustainability and continuation .......................................................................................................................... 11 4. WORK PLAN, WORK PACKAGES, TIMING AND SUBCONTRACTING .............................................................. 12 4.1 Work plan ......................................................................................................................................................... 12 4.2 Work packages and activities ............................................................................................................................ 12 Work Package 1 ..................................................................................... Tõrge! Järjehoidjat pole määratletud. Work Package … ............................................................................................................................................. 13 4.3 Timetable .......................................................................................................................................................... 18 4.4 Subcontracting .................................................................................................................................................. 22 5. OTHER .................................................................................................................................................................. 25 5.1 Ethics ................................................................................................................................................................ 25 5.2 Security............................................................................................................................................................. 25 6. DECLARATIONS ................................................................................................................................................... 25 4 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 ANNEXES ..................................................................................................................................................................... 27 PROJECT SUMMARY Project summary The aim of this project is to facilitate the consumers' access to the alternative dispute resolution body in Estonia – the Consumer Disputes Committee, including the promoting of possibilities for out-of-court settlement and increasing the effectiveness of the dispute resolution body. Applicant organisation, the Consumer Protection and Technical Regulatory Authority, has already received funding under previous calls of the Consumer Programme (CONS – ADR - 2019) and consider the previous project very successful. However, considering the recent and upcoming changes in the EU consumer legislation (New Deal for Consumers, Omnibus Directive, possible revision of the ADR directive, etc) it is crucial to continue with educating the consumers as well traders about their rights and obligations, as well updating the information provision accordingly. The project in large extent aims to increasing consumers and traders’ awareness about the possibilities for out-of-court settlement. The aim of the current project is also to improve the operational capacity of the Committee, by educating and training the members of the committee. 1. RELEVANCE 1.1 Background and general objectives Background and general objectives Describe the background and rationale of the project. How is the project relevant to the scope of the call? How does the project address the general objectives of the call? What is the project’s contribution to the priorities of the call? The Estonian Consumer Disputes Committee (hereinafter committee) is an independent and impartial entity resolving consumer disputes. The committee is a notified ADR body. The committee operates at the Consumer Protection and Technical Regulatory Authority (the applicant organisation) within the area of government of the Ministry of Economic Affairs and Communications and resolves disputes independently pursuant to Acts and other legislation. The aims of the current project can be divided into two main packages: - To increase accessibility and visibility of the Consumer Disputes Committee (among consumers as well traders), including raising the awareness about the out of court possibilities for dispute handling and relevant national and EU legislation. - To improve operational capacity of the Committee. 1.2 Needs analysis and specific objectives Needs analysis and specific objectives Describe how the objectives of the project are based on a sound needs analysis in line with the specific objectives of the call. What issue/challenge/gap does the project aim to address? The objectives should be clear, measureable, realistic and achievable within the duration of the project. For each objective, define appropriate indicators for measuring achievement (including a unit of measurement, baseline value and target value). 5 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 Ensuring access to simple, efficient, and low-cost ways of resolving domestic and cross- border issues, notably via alternative dispute resolution (ADR), is a crucial element of the European Consumer Policy. Therefore, the project will focus on increasing the accessibility and visibility of the Consumer Dispute Committee (among consumers as well traders), mainly by information dissemination (awareness campaign) and trainings/seminars targeted to traders. Directive 2013/11/EU (Directive on consumer ADR) has established the legal framework, including harmonised high-quality requirements that ADR entities must meet to be certified by the Member States and notified to the Commission. For that reason, the project will focus on improving the operational capacity of the Consumer Dispute Committee, mainly through trainings and seminars targeted to the members of the committee, carried out by the high-level professionals of EU and national consumer law. Since the multiannual Single Market Programme (SMP Consumers) and the ADR Directive give the Commission a mandate to support the ADR entities and their networks, in accordance with the new Consumer Agenda’s priorities, the current project will focus on strengthening the efficiency and accessibility of the national ADR body. 1.3 Complementarity with other actions and innovation — European added value Complementarity with other actions and innovation Explain how the project builds on the results of past activities carried out in the field and describe its innovative aspects. Explain how the activities are complementary to other activities carried out by other organisations. Illustrate the European dimension of the activities: trans-national dimension of the project; impact/interest for a number of EU countries; possibility to use the results in other countries, potential to develop mutual trust/cross-border cooperation among EU countries, etc. Which countries will benefit from the project (directly and indirectly)? Where will the activities take place? n/a 2. QUALITY 2.1 Concept and methodology Concept and methodology Outline the approach and methodology behind the project. Explain why they are the most suitable for achieving the project’s objectives. Project consist of concrete activities, which are marked in the workplan with fixed timetable. Activities are divided into concrete work packages, such as: 1) To increase accessibility and visibility of the Consumer Dispute Committee (among consumers as well traders) we will develop and run information dissemination activities, such as awareness raising campaign. The educational information materials (for example video clips) about consumer rights and trader obligations, as well possibilities for out-of- court dispute handling will be distributed via different channels (for example committee’s home page www.komisjon.ee as well via YouTube, social media, other media channels, hopefully including TV). For successful information dissemination we will include a creative agency. 2) To raise the awareness about the out of court possibilities for dispute handling and about relevant national and EU legislation among traders we will organise special seminars and trainings. Seminars will be aimed to involve traders more into the ADR procedures. We 6 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 expect to have at least 60-80 participants at each seminar. The invitations to the seminars will be sent to relevant trader organizations as well advertised via online channels (committee’s webpage, social media, etc). The seminars will be organised in cooperation with relevant traders’ organisations. 3) To improve operational capacity of the Consumer Dispute Committee in resolving consumer disputes it is important to ensure the knowledge of existing legislation and relevant case-law, including the adoption of the new EU legislation among the members as well the chairmen of the committee. We plan to organise seminars and workshops with high-level legal experts on different topics. Additionally, to the legal trainings (contractual law, new EU legislation, etc) we also plan to educate members of the committee about up-to-date tools and methods to face the challenges of online trade ADR entity might face when settling consumer disputes between consumers and traders. For example, provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. 2.2 Consortium set-up Consortium cooperation and division of roles (if applicable) Describe the participants (Beneficiaries, Affiliated Entities and Associated Partners, if any) and explain how they will work together to implement the project. How will they bring together the necessary expertise? How will they complement each other? In what way does each of the participants contribute to the project? Show that each has a valid role and adequate resources to fulfil that role. Note: When building your consortium you should think of organisations that can help you reach objectives and solve problems. The planned activities will be carried out by the staff members of the Consumer Dispute Committee as well by the administrative staff of the Consumer Protection and Technical Regulatory Authority - TTJA (trainings, creating the information campaign, organising the seminars, etc). All project activities will be initiated by Kristina Vaksmaa-Tammaru, Head of Consumer and Business Counselling Department, who will address concrete tasks to the staff members of the Consumer Dispute Committee, as well TTJA’s communication specialists. Project officer for organisational and administrative support will be hired. 2.3 Project teams, staff and experts Project teams and staff Describe the project teams and how they will work together to implement the project. List the staff included in the project budget (budget category A) by function/profile (e.g. project manager, senior expert/advisor/researcher, junior expert/advisor/researcher, trainers/teachers, technical personnel, administrative personnel etc. — use the same profiles as in the detailed budget table, if any) and describe briefly their tasks. Provide CVs of all key actors (if required). Name and function Organisation Role/tasks/professional profile and expertise Kristina Vaksmaa- TTJA Coordinating and organising the project activities. Tammaru Work experience involves positions like Head of Head of Consumer Consumer Policy and Public Relations Department in and Business the Consumer Protection Board and the Director of Counselling European Consumer Centre of Estonia. Department 7 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 Aap Andreas TTJA Will be involved with preparing and carrying out the Rebas project activities like educational campaign, seminars to traders. Communication’s advisor Britt-Heleen TTJA Will be involved with preparing and carrying out the Kandimaa project activities like educational campaign, seminars to traders. Communication’s specialist Project officer (not TTJA Will provide organisational and administrative support to hired yet) project activities. Outside resources (subcontracting, seconded staff, etc) If you do not have all skills/resources in-house, describe how you intend to get them (contributions of members, partner organisations, subcontracting, etc). If there is subcontracting, please also complete the table in section 4. For implementing the project activities, we will use the professionals (subcontracting) such as creative agency (for awareness raising campaign) and media agency: Subcontract no 1 - Developing and creating the awareness raising campaign targeted to consumers and traders. Contract will be concluded with a creative agency, who will be chosen according to the procurement rules. The contract will include working out the concept (story solution) and creating the content of the awareness raising campaign (educational advertising video, media, or social media ads, etc). Contract will also include the task of creating the media plan for distribution of the campaign, etc. Subcontract no 2 - Implementing the media plan of the campaign. Contract will be concluded with a media agency, who will organise the distribution of the materials, ads, video clips etc. Including the publication of the campaign in TV, radio, internet, outdoors - depending on the decided tools. 2.4 Consortium management and decision-making Consortium management and decision-making (if applicable) Explain the management structures and decision-making mechanisms within the consortium. Describe how decisions will be taken and how regular and effective communication will be ensured. Describe methods to ensure planning and control. Note: The concept (including organisational structure and decision-making mechanisms) must be adapted to the complexity and scale of the project. n/a 2.5 Project management, quality assurance and monitoring and evaluation strategy Project management, quality assurance and monitoring and evaluation strategy Describe the measures planned to ensure that the project implementation is of high quality and completed in time. Describe the methods to ensure good quality, monitoring, planning and control. Describe the evaluation methods and indicators (quantitative and qualitative) to monitor and verify the outreach and 8 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 coverage of the activities and results (including unit of measurement, baseline and target values). The indicators proposed to measure progress should be relevant, realistic and measurable. The project is managed by the Head of Consumer and Business Counselling Department (coordinator of the project, Kristina Vaksmaa-Tammaru), which is responsible for the work of the Consumer Disputes Committee. Relevant person has overall responsibility for the efficient running of the project and for its administration and finances. Project officer for organisational and administrative support will be hired. Since the project deliverables and main activities are education campaign, seminars to traders and trainings to the members of the ADR, the Project officer only for organisational and administrative support will be hired. Relevant preparations and planning (working out the concept of the campaign, trainings, and seminars) will be done by the beneficiary’s staff members. Head of department (coordinator of the project, Kristina Vaksmaa-Tammaru) addresses the work tasks to the staff members of the organisation, involved with the project activities. The main evaluation method is to monitor that the planned activities are carried out in accordance with the deadlines and with high quality. 2.6 Cost effectiveness and financial management Cost effectiveness and financial management Describe the measures adopted to ensure that the proposed results and objectives will be achieved in the most cost- effective way. Indicate the arrangements adopted for the financial management of the project and, in particular, how the financial resources will be allocated and managed within the consortium. Do NOT compare and justify the costs of each work package, but summarize briefly why your budget is cost effective. The head of the department is having overall responsibility for the administration of finances of the project. The costs, like subcontracting and organising the seminars/trainings are made in the most cost-effective way, using price offers and considering the rules of public procurements. 2.7 Risk management Critical risks and risk management strategy Describe critical risks, uncertainties or difficulties related to the implementation of your project, and your measures/strategy for addressing them. Indicate for each risk (in the description) the impact and the likelihood that the risk will materialise (high, medium, low), even after taking into account the mitigating measures. Note: Uncertainties and unexpected events occur in all organisations, even if very well-run. The risk analysis will help you to predict issues that could delay or hinder project activities. A good risk management strategy is essential for good project management. Risk No Description Work Proposed risk-mitigation measures package No Due to the COVID19 1. 2 We will use the alternative pandemic the organisation of possibilities for seminars, for seminars and trainings may example the webinars or other be at risk. web-based activities. 9 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 3. IMPACT 3.1 Impact and ambition Impact and ambition — Progress beyond the state-of-the-art Define the short, medium and long-term effects of the project. Who are the target groups? How will the target groups benefit concretely from the project and what would change for them? Does the project aim to trigger change/innovation? If so, describe them and the degree of ambition (progress beyond the status quo/state-of-the-art). Since the aim of this call for proposals is to ensure the access to simple, efficient, and low- cost ways of resolving domestic and cross-border issues, notably via alternative dispute resolution (ADR), the main effect of the project will be the increased awareness among traders and consumers. As well more active use of the possibilities of the ADR body. The medium and long-term effect will be the well-functioning consumer market, where traders and consumer are aware of their rights and obligations and possibilities for effective dispute handling. By increasing consumers and traders’ awareness we facilitate the consumers' access to alternative dispute resolution. Other very important effect of the project is the increased capacity of the Consumer Dispute Committee. The professional and educated staff members of the Committee have a great impact on the quality and capacity of the ADR service in Estonia. Effectively functioning ADR body has a long-term effect on the smooth functioning of the consumer market. It also facilitates the use of the EU Internal market since the committee has the capacity and knowledge to handle cross-border consumer disputes. The target groups of the project are: ✓ Consumers ✓ Traders (including trader associations) ✓ Members of the ADR entity Impact on non-Participating countries For ECC-Net: Please specify which country(ies) benefit from the project. Why is the project important for those country(ies)? How does it improve the situation the country(ies)? n/a 3.2 Communication, dissemination and visibility Communication, dissemination and visibility of funding Describe the dissemination and communication activities which are planned in order to promote the activities/results and maximise the impact (to whom, which format, how many, etc.). Clarify how you will reach the target groups, relevant stakeholders, policymakers and the general public and explain the choice of the dissemination channels. Describe how the visibility of EU funding will be ensured. We plan to achieve good media coverage with the planned awareness raising campaign and create very good media plan. All activities related to the project will be clearly distinguished with the EU symbolic and relevant information. 10 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 3.3 Sustainability and continuation Sustainability, long-term impact and continuation Describe the follow-up of the project after the EU funding ends. How will the project impact be ensured and sustained? What will need to be done? Which parts of the project should be continued or maintained? How will this be achieved? Which resources will be necessary to continue the project? How will the results be used? Are there any possible synergies/complementarities with other (EU funded) activities that can build on the project results? Consumer Protection and Technical Regulatory Authority will be using the created information materials as well the knowledge received from the trainings also in the future. The structure and strategic goals of the CPTRA support the activities and sustainability of the project. 11 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 4. WORK PLAN, WORK PACKAGES, TIMING AND SUBCONTRACTING 4.1 Work plan Work plan Provide a brief description of the overall structure of the work plan (list of work packages or graphical presentation (Pert chart or similar)). Project consist of concrete activities, which are marked in the workplan with fixed timetable. Activities are divided into concrete work packages, such as: ✓ To increase accessibility and visibility of the Consumer Dispute Committee (among consumers as well traders) we will develop and run information dissemination activities, such as awareness raising campaign. The educational information materials (for example video clips) about consumer rights and trader obligations, as well possibilities for out-of-court dispute handling will be distributed via different channels (for example committee’s home page www.komisjon.ee as well via YouTube, social media, other media channels, hopefully including TV). For successful information dissemination we will include a creative agency. ✓ To raise the awareness about the out of court possibilities for dispute handling and about relevant national and EU legislation among traders we will organise special seminars and trainings. Seminars will be aimed to involve traders more into the ADR procedures. We expect to have at least 60-80 participants at each seminar. The invitations to the seminars will be sent to relevant trader organizations as well advertised via online channels (committee’s webpage, social media, etc). The seminars will be organised in cooperation with relevant traders’ organisations. ✓ To improve operational capacity of the Consumer Dispute Committee in resolving consumer disputes it is important to ensure the knowledge of existing legislation and relevant case-law, including the adoption of the new EU legislation among the members as well the chairmen of the committee. We plan to organise seminars and workshops with high-level legal experts on different topics. Additionally, to the legal trainings (contractual law, new EU legislation, etc) we also plan to educate members of the committee about up-to-date tools and methods to face the challenges of online trade ADR entity might face when settling consumer disputes between consumers and traders. For example, provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. 4.2 Work packages and activities WORK PACKAGES 12 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 This section concerns a detailed description of the project activities. Group your activities into work packages. A work package means a major sub-division of the project. For each work package, enter an objective (expected outcome) and list the activities, milestones and deliverables that belong to it. The grouping should be logical and guided by identifiable outputs. Projects should normally have a minimum of 2 work packages. WP1 should cover the management and coordination activities (meetings, coordination, project monitoring and evaluation, financial management, progress reports, etc) and all the activities which are cross-cutting and therefore difficult to assign to another specific work package (do not try splitting these activities across different work packages). WP2 and further WPs should be used for the other project activities. You can create as many work packages as needed by copying WP1. For very simple projects, it is possible to use a single work package for the entire project (WP1 with the project acronym as WP name). Enter each activity/milestone/output/outcome/deliverable only once (under one work package). Work Package 1 Work Package 1: Increasing the accessibility and visibility of the Consumer Dispute Committee Ensure consistence with the detailed budget table (if applicable). Duration: M1 – M12 Lead Beneficiary: TTJA Objectives List the specific objectives to which this work package is linked. ▪ To increase accessibility and visibility of the Consumer Dispute Committee (among consumers as well traders) we will develop and run information dissemination activities, such as awareness raising campaign. The educational information materials (for example video clips) about consumer rights and trader obligations, as well possibilities for out-of-court dispute handling will be distributed via different channels (for example committee’s home page www.komisjon.ee as well via YouTube, social media, other media channels, hopefully including TV). For successful information dissemination we will include a creative agency. Activities (what, how, where) and division of work Provide a concise overview of the work (planned tasks). Be specific and give a short name and number for each task. Show who is participating in each task: Coordinator (COO), Beneficiaries (BEN), Affiliated Entities (AE), Associated Partners (AP), indicating in bold the task leader. Add information on other participants’ involvement in the project e.g. subcontractors, in-kind contributions. Note: In-kind contributions: In-kind contributions for free are cost-neutral, i.e. cannot be declared as cost. Please indicate the in-kind contributions that are provided in the context of this work package. The Coordinator remains fully responsible for the coordination tasks, even if they are delegated to someone else. Coordinator tasks cannot be subcontracted. 13 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 If there is subcontracting, please also complete the table below. Task No Task Name Description Participants In-kind Contributions (continuous and Subcontracting numbering (Yes/No and which) linked to Name Role WP) (COO, BEN, AE, AP, OTHER) T1.1 Awareness raising campaign Developing and running the information Kristina Vaksmaa- COO Yes dissemination activities, such as Tammaru (Contract with awareness raising campaign, it will Aap Andreas Rebas creative agency, include: not decided yet) Britt-Heleen Kandimaa - Working out the concept of activities and the messages - Setting up the concrete target groups - Finding the creative agency - Creating the content of the campaign - Creating the media plan - Distribution and publicity of the activities (e.g., video clips) Milestones and deliverables (outputs/outcomes) Milestones are control points in the project that help to chart progress. Use them only for major outputs in complicated projects. Otherwise leave the section on milestones empty. Means of verification are how you intend to prove that a milestone has been reached. If appropriate, you can also refer to indicators. Deliverables are project outputs which are submitted to show project progress (any format). Refer only to major outputs. Do not include minor sub-items, internal working papers, meeting minutes, etc. Limit the number of deliverables to max 10-15 for the entire project. You may be asked to further reduce the number during grant preparation. For deliverables such as meetings, events, seminars, trainings, workshops, webinars, conferences, etc., enter each deliverable separately and provide the following in the 'Description' field: invitation, agenda, signed presence list, target group, number of estimated participants, duration of the event, report of the event, training material package, presentations, evaluation report, feedback questionnaire. For deliverables such as manuals, toolkits, guides, reports, leaflets, brochures, training materials etc., add in the ‘Description’ field: format (electronic or printed), language(s), approximate number of pages and estimated number of copies of publications (if any). For each deliverable you will have to indicate a due month by when you commit to upload it in the Portal. The due month of the deliverable cannot be outside the duration of the work package and 14 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 must be in line with the timeline provided below. Month 1 marks the start of the project and all deadlines should be related to this starting date. The labels used mean: Public — fully open ( automatically posted online on the Project Results platforms) 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. Milestone No Milestone Name Work Package Lead Beneficiary Description Due Date Means of Verification (continuous numbering No (month number) not linked to WP) MS1 Awareness 1 TTJA Campaign material, video clips are 12 Campaign implemented; campaign created and distributed according to the video clips published media plan Deliverable No Deliverable Name Work Package Lead Beneficiary Type Dissemination Due Date Description (continuous numbering No Level (month number) (Including format and linked to WP) language) D1.1 Video clips 1 TTJA [DEC —Websites, [PU — Public] 12 In Estonian patent filings, videos, etc] Concrete media and distribution plan will be decided during the negotiations with the creative agency Estimated budget — Resources See detailed budget table (annex 1 to Part B). 15 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 Work Package 2 Work Package 2: Special seminars and trainings for traders and trader organisations Ensure consistence with the detailed budget table (if applicable). Duration: M1 – M12 Lead Beneficiary: TTJA Objectives List the specific objectives to which this work package is linked. • To raise the awareness about the out of court possibilities for dispute handling and about relevant national and EU legislation among traders we will organise special seminars and trainings. Seminars will be aimed to involve traders more into the ADR procedures. We expect to have at least 60-80 participants at each seminar. The invitations to the seminars will be sent to relevant trader organizations as well advertised via online channels (committee’s webpage, social media, etc). The seminars will be organised in cooperation with relevant traders’ organisations. Activities (what, how, where) and division of work Provide a concise overview of the work (planned tasks). Be specific and give a short name and number for each task. Show who is participating in each task: Coordinator (COO), Beneficiaries (BEN), Affiliated Entities (AE), Associated Partners (AP), indicating in bold the task leader. Add information on other participants’ involvement in the project e.g. subcontractors, in-kind contributions. Note: In-kind contributions: In-kind contributions for free are cost-neutral, i.e. cannot be declared as cost. Please indicate the in-kind contributions that are provided in the context of this work package. The Coordinator remains fully responsible for the coordination tasks, even if they are delegated to someone else. Coordinator tasks cannot be subcontracted. If there is subcontracting, please also complete the table below. Task No Task Name Description Participants In-kind Contributions (continuous and Subcontracting numbering (Yes/No and which) linked to Name Role WP) (COO, BEN, AE, AP, OTHER) Training seminars for traders T2.1 To raise the awareness about the out of Kristina Vaksmaa- COO no court possibilities for dispute handling and Tammaru about relevant national and EU legislation Aap Andreas Rebas among traders we will organise special 16 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 seminars and trainings (3—4). Seminars Britt-Heleen Kandimaa will be aimed to involve traders more into the ADR procedures. Milestones and deliverables (outputs/outcomes) Milestones are control points in the project that help to chart progress. Use them only for major outputs in complicated projects. Otherwise leave the section on milestones empty. Means of verification are how you intend to prove that a milestone has been reached. If appropriate, you can also refer to indicators. Deliverables are project outputs which are submitted to show project progress (any format). Refer only to major outputs. Do not include minor sub-items, internal working papers, meeting minutes, etc. Limit the number of deliverables to max 10-15 for the entire project. You may be asked to further reduce the number during grant preparation. For deliverables such as meetings, events, seminars, trainings, workshops, webinars, conferences, etc., enter each deliverable separately and provide the following in the 'Description' field: invitation, agenda, signed presence list, target group, number of estimated participants, duration of the event, report of the event, training material package, presentations, evaluation report, feedback questionnaire. For deliverables such as manuals, toolkits, guides, reports, leaflets, brochures, training materials etc., add in the ‘Description’ field: format (electronic or printed), language(s), approximate number of pages and estimated number of copies of publications (if any). For each deliverable you will have to indicate a due month by when you commit to upload it in the Portal. The due month of the deliverable cannot be outside the duration of the work package and must be in line with the timeline provided below. Month 1 marks the start of the project and all deadlines should be related to this starting date. The labels used mean: Public — fully open ( automatically posted online on the Project Results platforms) 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. Milestone No Milestone Name Work Package Lead Beneficiary Description Due Date Means of Verification (continuous numbering No (month number) not linked to WP) MS2 Seminars to 2 TTJA We expect to have at least 60-80 12 Seminars carried out (list traders participants at each seminar. The of participants, feedback) invitations to the seminars will be sent to relevant trader organizations as well advertised via online channels (committee’s webpage, social media, etc). The seminars will be organised in cooperation with relevant traders’ organisations. The following topics will be covered during the webinars: 17 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 1) New EU legislation (adopting the Omnibus Directive, Directive 2019/771, etc) and the relevant changes in the national law. 2) UFCP 3) The possibilities and advantages in using the ADR entity for dispute handling Deliverable No Deliverable Name Work Package Lead Beneficiary Type Dissemination Due Date Description (continuous numbering No Level (month number) (including format and linked to WP) language) D2.1 Seminars to 2 TTJA [OTHER] [PU — Public] 12 Seminars will be held in traders Estonian. 3-4 seminars with approximately 60-80 participant each. Estimated budget — Resources See detailed budget table (annex 1 to Part B). Work Package 3 Work Package 1: Special seminars and workshops for ADR members and chairmen of the Consumer Disputes Committee Ensure consistence with the detailed budget table (if applicable). Duration: M1 – M12 Lead Beneficiary: TTJA 18 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 Objectives List the specific objectives to which this work package is linked. • To improve operational capacity of the Consumer Dispute Committee in resolving consumer disputes it is important to ensure the knowledge of existing legislation and relevant case-law, including the adoption of the new EU legislation among the members as well the chairmen of the committee. • We plan to organise seminars and workshops with high-level legal experts on different topics. • Additionally, to the legal trainings (contractual law, new EU legislation, etc) we also plan to educate members of the committee about up-to-date tools and methods to face the challenges of online trade ADR entity might face when settling consumer disputes between consumers and traders. For example, provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. Activities (what, how, where) and division of work Provide a concise overview of the work (planned tasks). Be specific and give a short name and number for each task. Show who is participating in each task: Coordinator (COO), Beneficiaries (BEN), Affiliated Entities (AE), Associated Partners (AP), indicating in bold the task leader. Add information on other participants’ involvement in the project e.g. subcontractors, in-kind contributions. Note: In-kind contributions: In-kind contributions for free are cost-neutral, i.e. cannot be declared as cost. Please indicate the in-kind contributions that are provided in the context of this work package. The Coordinator remains fully responsible for the coordination tasks, even if they are delegated to someone else. Coordinator tasks cannot be subcontracted. If there is subcontracting, please also complete the table below. Task No Task Name Description Participants In-kind Contributions (continuous and Subcontracting numbering (Yes/No and which) linked to Name Role WP) (COO, BEN, AE, AP, OTHER) Trainings and workshops to T3.1 We plan to organise seminars and Kristina Vaksmaa- COO no members of ADR Tammaru workshops with high-level legal experts on different topics. Additionally, to the legal trainings (contractual law, new EU legislation, etc) we also plan to educate Members of Consumer Dispute Committee members of the committee about up-to- date tools and methods to face the challenges of online trade ADR entity might face when settling consumer disputes between consumers and traders. 19 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 For example, provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. There will be at least 3 trainings: 1) Two trainings on new EU legislation (adopting the Omnibus Directive, Directive 2019/771, etc) and the relevant changes in the national law. 2) Training on IT-tools and programs. The purpose of this training is to provide up to date tools and methods to face the challenges of online trade alternative dispute resolution entity might face when settling consumer disputes between consumers and traders. Consumers increasingly shop online, and traders use increasingly sophisticated online business models. Thus, it is important to enhance ADR workers digital capacities. Training shall cover the following aspects: • Give an up-to-date overview of new e-commerce business models (including on social media). • Provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. • Provide tools and methods to inspect web site history to 20 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 ascertain terms and conditions presented on the website at a particular point in the past. • Give tools and methods to detect unjustified geo-blocking by traders. Milestones and deliverables (outputs/outcomes) Milestones are control points in the project that help to chart progress. Use them only for major outputs in complicated projects. Otherwise leave the section on milestones empty. Means of verification are how you intend to prove that a milestone has been reached. If appropriate, you can also refer to indicators. Deliverables are project outputs which are submitted to show project progress (any format). Refer only to major outputs. Do not include minor sub-items, internal working papers, meeting minutes, etc. Limit the number of deliverables to max 10-15 for the entire project. You may be asked to further reduce the number during grant preparation. For deliverables such as meetings, events, seminars, trainings, workshops, webinars, conferences, etc., enter each deliverable separately and provide the following in the 'Description' field: invitation, agenda, signed presence list, target group, number of estimated participants, duration of the event, report of the event, training material package, presentations, evaluation report, feedback questionnaire. For deliverables such as manuals, toolkits, guides, reports, leaflets, brochures, training materials etc., add in the ‘Description’ field: format (electronic or printed), language(s), approximate number of pages and estimated number of copies of publications (if any). For each deliverable you will have to indicate a due month by when you commit to upload it in the Portal. The due month of the deliverable cannot be outside the duration of the work package and must be in line with the timeline provided below. Month 1 marks the start of the project and all deadlines should be related to this starting date. The labels used mean: Public — fully open ( automatically posted online on the Project Results platforms) 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. Milestone No Milestone Name Work Package Lead Beneficiary Description Due Date Means of Verification (continuous numbering No (month number) not linked to WP) MS3 Trainings to ADR 3 TTJA We expect to organise at least 3 12 Trainings carried out members seminars/trainings organised Deliverable No Deliverable Name Work Package Lead Beneficiary Type Dissemination Due Date Description (continuous numbering No Level (month number) (including format and linked to WP) language) 21 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 D3.1 Trainings to the 3 TTJA [OTHER] [PU — Public] 12 Training language will be members of ADR Estonian. 3 trainings on different topics. Estimated budget — Resources See detailed budget table (annex 1 to Part B). 4.3 Timetable Timetable (projects up to 2 years) Fill in cells in beige to show the duration of activities. Repeat lines/columns as necessary. Note: Use the project month numbers instead of calendar months. Month 1 marks always the start of the project. In the timeline you should indicate the timing of each activity per WP. MONTHS ACTIVITY M M M M M M M M M M M M M M M M M M M M M M M M 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 Task 1.1 Task 2.1 Task 3.1 4.4 Subcontracting Subcontracting 22 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 Give details on subcontracted project tasks (if any) and explain the reasons why (as opposed to direct implementation by the Beneficiaries/Affiliated Entities). Subcontracting — Subcontracting means the implementation of ‘action tasks’, i.e. specific tasks which are part of the EU grant and are described in Annex 1 of the Grant Agreement. Note: Subcontracting concerns the outsourcing of a part of the project to a party outside the consortium. It is not simply about purchasing goods or services. We normally expect that the participants have sufficient operational capacity to implement the project activities themselves. Subcontracting should therefore be exceptional. Include only subcontracts that comply with the rules (i.e. best value for money and no conflict of interest; no subcontracting of coordinator tasks). Work Package No Subcontract No Subcontract Description Estimated Costs Justification Best-Value-for-Money (continuous Name (including task number and (EUR) (why is subcontracting (how do you intend to numbering linked to (subcontracted BEN to which it is linked) necessary?) ensure it?) WP) action tasks) 1 S1.1 Developing and Contract will be concluded 8000 The campaign content and Creative agency will be creating the with a creative agency, who media plan should be chosen according to the awareness will be chosen according to worked out by procurement rules raising the procurement rules. The professionals e.g. by campaign contract will include creative agency. targeted to working out the concept consumers and (story solution) and traders. creating the content of the awareness raising campaign (educational advertising video, media, or social media ads, etc). Contract will also include the task of creating the media plan for distribution of the campaign, etc 1 S1.2 Implementing Contract will be concluded 10000 The media plan should be Media agency will be the media plan with a media agency, who implemented by chosen according to the of the will organise the distribution professionals e.g. by procurement rules awareness of the materials, ads, video media agency. raising clips etc. Including the campaign. publication of the campaign in TV, radio, internet, outdoors - depending on the decided tools. Other issues: Creating the awareness raising campaign and the dissemination of campaign is the most expensive activity in the frame of the current project. The reason is mainly the costs of services in the creative and If subcontracting for the project goes beyond 30% of the total eligible 23 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 costs, give specific reasons. advertising sector. However, we are hoping to benefit most of the awareness raising campaign, since it will be very wide national activity and will raise awareness among traders and consumer all over Estonia. The outcome of the campaign has also a very high sustainable value since the materials of the campaign remain easily accessible in internet also after the end of the project. 24 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 5. OTHER 5.1 Ethics Ethics Not applicable 5.2 Security Security Not applicable 6. DECLARATIONS Higher funding rate (if applicable) YES/NO Do you fulfil the conditions set out in the Call document for a higher funding rate? no If YES, explain and provide details. Double funding Information concerning other EU grants for this project Please note that there is a strict prohibition of double funding from the EU budget (except YES/NO under EU Synergies actions). We confirm that to our best knowledge neither the project as a whole nor any parts of it have yes benefitted from any other EU grant (including EU funding managed by authorities in EU Member States or other funding bodies, e.g. Erasmus, EU Regional Funds, EU Agricultural Funds, European Investment Bank, etc). If NO, explain and provide details. We confirm that to our best knowledge neither the project as a whole nor any parts of it are yes (nor will be) submitted for any other EU grant (including EU funding managed by authorities in EU Member States or other funding bodies, e.g. Erasmus, EU Regional Funds, EU Agricultural Funds, European Investment Bank, etc). If NO, explain and provide details. Financial support to third parties (if applicable) Not applicable. 25 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 26 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 ANNEXES LIST OF ANNEXES Standard Detailed budget table (annex 1 to Part B) — mandatory LIST OF PREVIOUS PROJECTS List of previous projects Please provide a list of your previous projects for the last 4 years. Participant Project Reference No Period (start Role Amount Website (if any) and Title, Funding and end date) (COO, (EUR) programme BEN, AE, OTHER) Consumer 800797 — ECC-NET 01.01.2018 BEN 143 041.28 www.ecc.ee Protection EE SGA 2018 - Board 31.12.2018 Consumer 847533 — ECC-Net 01.01.2019 BEN 160 194.46 www.ecc.ee Protection EE SGA 2019 - Board 31.12.2019 Consumer 875149 — ECC-Net 01.01.2020 BEN 163 522.68 www.ecc.ee Protection EE SGA 2020 - and 31.12.2020 Technical Regulatory Authority Consumer 101017699 — ECC- 01.01.2021 BEN 213 944.36 www.ecc.ee Protection Net EE SGA 2021 - and 31.12.2021 Technical Regulatory Authority Consumer 01.04.2020 BEN Payment not www.komisjon.e 882125 – CONS-ADR- Protection – finalised yet e 2019 and 31.03,2021 Technical Regulatory Authority 27 Call: [insert call identifier] — [insert call name] Associated with document Ref. Ares(2022)5350091 - 25/07/2022 EU Grants: Application form (SMP CONS): V1.0 – 15.04.2021 HISTORY OF CHANGES VERSIO PUBLICATION CHANGE N DATE 2.0 04.05.2022 Work package 1 removed (project management) and other 3 WP revised accordingly. 2.0 04.05.2022 Additional information provided on the staff allocation under the quality criteria, 2 members added to the project team. 2.0 04.05.2022 Short name CPTRA changed to the TTJA (short name in Estonian) 3.0 19.07.2022 Project officer added to the section 2.2 Consortium set-up: 2.3 Project teams, staff and experts and 2.5 Project management, quality assurance and monitoring and evaluation strategy. 3.0 19.07.2022 Personnel costs added to Detailed Budget Table. 3.0 19.07.2022 Short name CPTRA changed to the TTJA (short name in Estonian) in the Detailed Budget Table 4.0 20.07.2002 Personnel costs and effort/month by the staff member corrected in the Detailed Budget Table 4.0 20.07.2022 The content of subcontracting costs adjusted in the Detailed Budget Table as well added to the sections 2.3 and 4.4 of the description of the action. 28 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 DETAILED BUDGET TABLE SMP CONS — PROPOSAL Please complete the table below for each applicant (beneficiary/affiliated entity - separate budget table for coordinator and for each consortium member). Please provide a detailed justification and explanation in the textboxes. The justification, among other parts of your application, will be used for the evaluation of the award criteria on budget. Partner number (same as on Submission System screens) SEP-210776451 Short name TTJA PIC number 898981936 Persons working exclusively on the action Staff member (name Estimated number Total costs per Monthly rate (€) and role) of months person (€) Project officer (not (A) Personnel costs 1806,30 1,33 2402,38 hired yet) (please insert a new line for each staff member) Staff member (name Estimated number Total costs per Daily rate (€) and role) of days1 person (€) n/a 0,00 Total costs (A) 2402,38 Costs (€) Task(s)/Justification (B) Subcontracting costs (please repeat line for each subcontract foreseen) Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Subcontract no 1. - Developing and creating the awareness raising campaign targeted to consumers and traders. Contract will be concluded with a creative agency, who will be chosen according to the procurement rules. The contract will include working 8000,00 out the concept (story solution) and creating the content of the (B) Subcontracting costs awareness raising campaign (educational advertising video, media, (please repeat line for each subcontract foreseen) or social media ads, etc). Contract will also include the task of creating the media plan for distribution of the campaign, etc Subcontract no 2 - Implementing the media plan of the campaign. Contract will be concluded with a media agency, who will organise 10000,00 the distribution of the materials, ads, video clips etc. Including the publication of the campaign in TV, radio, internet, outdoors - depending on the decided tools. Total costs (B) 18000,00 (C) Purchase costs Costs (€) Justification (C.1) Travel n/a Costs (€) Justification (C.2) Equipment n/a Costs (€) Justification Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Training for ADR members and chairmen on IT-tools and programs. The purpose of this training is to provide up to date tools and methods to face the challenges of online trade alternative dispute resolution entity might face when settling consumer disputes between consumers and traders. Consumers increasingly shop online and traders use increasingly sophisticated online business models. Thus, it is important to enhance ADR workers digital capacities. Training shall cover the following aspects: 5000,00 - Give an up to date overview of new e-commerce business models (including on social media). - Provide tools and methods to detect a trader operating on a specific web site or e-commerce platform. - Provide tools and methods to inspect web site history to ascertain terms and conditions presented on the website at a particular point in the past. (C.3) Other goods, works and services - Give tools and methods to detect unjustified geo-blocking by traders. Two trainings for ADR members and chairmen on the new EU legislation (adopting the Omnibus Directive, Directive (2019/771, etc) and the relevant changes in the national law.Trainings include 4000,00 practical aspects on how the new legislation implements the consumer rights and trader obligations, as well influences the dispute handling. Seminar series for Estonian traders (retail sector, e-commerce sector) - 3-4 seminars. We expect to have at least 60-80 participants at each seminar. The invitations to the seminars will be sent to relevant trader organizations as well advertised via online 10000,00 channels (committee’s webpage, social media, etc). The seminars will be organised in cooperation with relevant traders’ organisations.The costs include the rent of rooms, seminar equipment, etc. Lectors will be experts from ADR and CPTRA, or relevant Ministries. Total Costs (C) 19000,00 Total costs (€) (E) Indirect Costs (7% on A, B and C) 2758,17 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Total estimated eligible costs 42160,55 1 Rounded up or down to the nearest half-day. Grant Agreement number: 101070829 — SMP-CONS-2021-ADR — SMP-CONS-2021-ADR SMP Ref. Associated with document MGAAres(2022)5350091 — Multi & Mono:-v1.0 25/07/2022 ANNEX 2 ESTIMATED BUDGET FOR THE ACTION Estimated eligible1 costs (per budget category) Estimated EU contribution2 Direct costs Indirect costs EU contribution to eligible costs Maximum B. E. Indirect Total costs Funding Maximum EU Requested EU grant amount6 A. Personnel costs Subcontracting C. Purchase costs D. Other cost categories costs3 rate %4 contribution5 contribution costs A.1 Employees A.4 SME B. C.2 Equipment C.3 Other goods, D.1 Financial support to third parties E. Indirect costs (or equivalent) owners and Subcontracting C.1 Travel and subsistence works and natural person services A.2 Natural beneficiaries persons under direct contract Travel Accommodation Subsistence A.3 Seconded persons Forms of funding Unit7 or Unit7 or Unit7 or Actual costs Unit costs7 Actual costs Actual costs Actual costs Actual costs Unit costs7 Flat-rate costs8 actual costs actual costs actual costs e = flat-rate * (a1 + a3 + b + c1a + a1 a3 b c1a c1b c1c c2 c3 d1a d1b f = a+b+c+d+e U g = f * U% h m c1b + c1c + c2 + c3 + d1a + d1b) 1 - TTJA 2 402.38 0.00 18 000.00 0.00 0.00 0.00 0.00 19 000.00 0.00 0.00 2 758.17 42 160.55 50 21 080.28 19 795.00 19 795.00 1 See Article 6 for the eligibility conditions. All amounts must be expressed in EUR (see Article 21 for the conversion rules). 2 The consortium remains free to decide on a different internal distribution of the EU funding (via the consortium agreement; see Article 7). 3 Indirect costs already covered by an operating grant (received under any EU funding programme) are ineligible (see Article 6.3). Therefore, a beneficiary/affiliated entity that receives an operating grant during the action duration cannot declare indirect costs for the year(s)/reporting period(s) covered by the operating grant, unless they can demonstrate that the operating grant does not cover any costs of the action. This requires specific accounting tools. Please immediately contact us via the EU Funding & Tenders Portal for details. 4 See Data Sheet for the funding rate(s). 5 This is the theoretical amount of the EU contribution to costs, if the reimbursement rate is applied to all the budgeted costs. This theoretical amount is then capped by the 'maximum grant amount'. 6 The 'maximum grant amount' is the maximum grant amount decided by the EU. It normally corresponds to the requested grant, but may be lower. 7 See Annex 2a 'Additional information on the estimated budget' for the details (units, cost per unit). 8 See Data Sheet for the flat-rate. Page 1 of 1 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 ANNEX 2a ADDITIONAL INFORMATION ON UNIT COSTS AND CONTRIBUTIONS SME owners/natural person beneficiaries without salary (Decision C(2020) 71151) Type: unit costs Units: days spent working on the action (rounded up or down to the nearest half-day) Amount per unit (daily rate): calculated according to the following formula: {EUR 5 080 / 18 days = 282,22} multiplied by {country-specific correction coefficient of the country where the beneficiary is established} The country-specific correction coefficients used are those set out in the Horizon Europe Work Programme (section Marie Skłodowska-Curie actions) in force at the time of the call (see Portal Reference Documents). 1 Commission Decision of 20 October 2020 authorising the use of unit costs for the personnel costs of the owners of small and medium- sized enterprises and beneficiaries that are natural persons not receiving a salary for the work carried out by themselves under an action or work programme (C(2020)7115). 1 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Travel and subsistence (Decision C(2021)352) Travel Type: unit costs Units: travel (journeys) for the action Amount per unit: standard: for travel of 50 -399km (inside EU countries): Country Unit costs in € Country Unit costs in € Country Unit costs in € AT 60 FI 36 PL 20 BE 46 FR 64 PT 40 BG 12 HR 36 RO 16 CZ 20 HU 28 SE 56 DE 64 IE 36 SI 27 DK 76 IT 52 SK 20 EE 16 LT 20 EL 36 LV 16 ES 52 NL 49 2 Commission Decision of 12 January 2021 authorising the use of unit costs for travel, accommodation and subsistence costs under an action or work programme under the 2021-2027 multi-annual financial framework (C(2021)35). 2 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 for travel of 50 -399km (land-based; between EU countries): MS AT BE BG CZ DE DK EE EL ES FI FR HR HU IE IT LT LU LV NL PL PT RO SE SI SK AT 58 65 64 58 58 58 58 58 58 58 BE 82 82 50 82 BG 37 36 26 17 CZ 58 65 64 36 26 20 19 37 21 DE 65 82 65 76 82 65 65 82 65 65 65 DK 76 76 76 EE 22 22 EL 37 ES 82 54 FI 55 FR 64 82 64 82 82 82 82 82 HR 58 36 36 65 36 50 36 37 HU 589 26 26 36 50 26 26 37 26 IE IT 58 65 82 50 50 50 LT 22 19 20 LU 50 82 82 82 LV 22 19 20 NL 82 65 76 82 82 PL 58 20 65 26 20 20 20 21 PT 54 RO 58 17 19 36 26 20 21 SE 76 55 SI 58 37 65 37 37 50 37 SK 58 21 26 21 21 37 No connection below 400 km for travel of 50-399km not covered above: EUR 196 3 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 for travel of 400 km or more* (air or rail or combined air/rail): Distance Band Unit costs in € Distance Band Unit costs in € Distance Band Unit costs in € 400-600 196 1601-2000 295 4501-6000 637 601-800 209 2001-2500 343 6001-7500 720 801-1200 221 2501-3500 433 7501-10000 961 1201-1600 230 3501-4500 527 10001-Max 1 101 * All distances to be measured using the rail calculator or flight calculator. special rates: for travel from EU countries to EU outermost regions or OCTs: Remote region Unit costs in € Remote region Unit costs in € Remote region Unit costs in € Aruba 1 343 French Guiana 905 Saint Helena 2 395 Bonaire 1 344 Martinique 958 Saint Martin 939 Curaçao 1 302 Mayotte 1 170 Saint Pierre and Miquelon 1 832 French Polynesia 2 204 New Caledonia 2 065 Wallis and Fotuna 2 398 Greenland 1 118 Réunion 1 040 Guadeloupe 801 Saba 1 286 for travel to/from location 400 km or more from nearest airport: increase applicable unit cost by 50% Accomodation Type: unit costs Units: nights spent on travel for the action Amount per unit: 4 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Accommodation Accommodation Accommodation - Country Country Country - € per night - € per night € per night Albania 101 Greece 107 North Macedonia 95 Algeria 157 Hungary 105 Norway 145 Armenia 115 Iceland 190 Palestine 140 Austria 126 Ireland 139 Poland 103 Azerbaijan 136 Israel 187 Portugal 109 Belarus 108 Italy 114 Romania 109 Belgium 137 Jordan 140 Serbia 105 Bosnia and Herzegovina 90 Kosovo 92 Slovakia 98 Bulgaria 110 Latvia 95 Slovenia 113 Croatia 104 Lebanon 154 Spain 117 Cyprus 120 Libya 146 Sweden 158 Czechia 107 Lichtenstein 135 Switzerland 178 Denmark 158 Lithuania 94 Syria 145 Egypt 152 Luxembourg 163 Tunisia 99 Estonia 107 Malta 141 Turkey 116 Finland 146 Moldova 133 Ukraine 122 France 166 Montenegro 98 United Kingdom 151 Germany 119 Morocco 129 Georgia 134 Netherlands 133 Subsistence Type: unit costs Units: days spent on travel for the action 5 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Amount per unit (‘daily rate’): Subsistence daily Subsistence daily Subsistence daily Country Country Country rate in € rate in € rate in € Albania 50 Greece 82 North Macedonia 50 Algeria 85 Hungary 64 Norway 80 Armenia 70 Iceland 85 Palestine 60 Austria 102 Ireland 108 Poland 67 Azerbaijan 70 Israel 105 Portugal 83 Belarus 90 Italy 98 Romania 62 Belgium 102 Jordan 60 Serbia 60 Bosnia and Herzegovina 65 Kosovo 60 Slovakia 74 Bulgaria 57 Latvia 73 Slovenia 84 Croatia 75 Lebanon 70 Spain 88 Cyprus 88 Libya 50 Sweden 117 Czech Republic 70 Lichtenstein 80 Switzerland 80 Denmark 124 Lithuania 69 Syria 80 Egypt 65 Luxembourg 98 Tunisia 60 Estonia 80 Malta 88 Turkey 55 Finland 113 Moldova 80 Ukraine 80 France 102 Montenegro 60 United Kingdom 125 Germany 97 Morocco 75 Georgia 80 Netherlands 103 6 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 SMP COSME EYE unit costs for financial support to third parties 3 Type: unit costs Units: months spent by the entrepreneurs in the country of exchange Amount per unit: see table below (for each entrepreneur) Monthly unit costs for financial support to be paid to a third party Amount per month Country of exchange while staying in this country/ EUR EU Member States: Austria 900 Belgium 830 Bulgaria 560 Croatia 720 Cyprus 780 Czech Republic 610 Denmark 1100 Estonia 670 Finland 950 France 900 Germany 830 Greece 780 Hungary 670 Ireland 1000 Italy 900 Latvia 610 Lithuania 560 Luxembourg 830 Malta 720 Netherlands 830 Poland 610 Portugal 780 Romania 560 Slovakia 610 Slovenia 720 Spain 830 Sweden 950 Entrepreneurs from/to: Outermost Regions of the EU (referred to in Article 349 TFEU) and Outermost Countries and Territories 1100 (referred to in Article 198 TFEU) Entrepreneurs with disabilities 1100 (regardless of the country of stay) Non-EU countries (if associated to the SMP Programme) Albania 530 Armenia 610 Bosnia-Herzegovina 560 Iceland 900 Kosovo4 560 Lichtenstein 1100 Moldova 530 Montenegro 560 North Macedonia 560 Norway 1100 Serbia 560 3 Decision of 8 March 2022 authorising the use of unit costs for the Erasmus for Young Entrepreneurs action under the Single Market Programme. 4 This designation is without prejudice to positions on status, and is in line with UNSCR 1244/1999 and the ICJ Opinion on the Kosovo declaration of independence. 7 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 Turkey 750 Ukraine 530 United Kingdom 1000 Entrepreneurs with disabilities 1100 (regardless of the country of stay) The minimum length of the exchange is one month and maximum is 6 months. SMP ESS personnel costs based on time5 Type: unit costs Units: days spent working on the action (rounded up or down to the nearest half-day) Amount per unit: see (for each beneficiary/affiliated entity) the unit cost table in Annex 2b 5 Decision of 6 April 2021 authorising the use of unit costs for eligible personnel costs for actions implemented by Eurostat. 8 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 ANNEX 4 SMP MGA — MULTI + MONO FINANCIAL STATEMENT FOR [PARTICIPANT NAME] FOR REPORTING PERIOD [NUMBER] 1 2 Eligible costs (per budget category) EU contribution Revenues Direct costs Indirect costs EU contribution to eligible costs Total requested EU Income generated by the Total costs Requested EU contribution action A. Personnel costs B. Subcontracting costs C. Purchase costs D. Other cost categories 2 3 4 E. Indirect costs Funding rate % Maximum EU contribution contribution [OPTION for Grants [OPTION for COSME [OPTION for European [OPTION for European for EEN : D.3 EEN [OPTION for all SMP ToA except [OPTION for all SMP ToA except European Statistics: A.6 ESS Statistics: A.7 ESS C.3 Other goods, works and Procurement :D.2. additional European Statistics: A.1 [OPTION for all SME B. Subcontracting C.1 Travel and subsistence C.2 Equipment Statistics: D.1 Financial support to third E. Indirect costs personnel costs based personnel costs based services PPI procurement coordination and Employees (or equivalent) ToA except European parties] on time ] on deliverables ] costs] networking costs] Statistics: A.4 SME owners and natural A.2 Natural persons under direct person beneficiaries] contract Travel Accommodation Subsistence A.3 Seconded persons ] Forms of funding [ Actual costs] 5 5 [ Actual costs] Actual costs 5 5 5 Actual costs Actual costs [ [ Actual costs] ] 5 [ Actual costs] [ Lump sum costs] 6 Unit costs [ Unit costs ] Unit or actual costs Unit or actual costs Unit or actual costs [ [ Unit costs ] ] Flat-rate costs [OPTION for all SMP ToA except COSME EEN and [OPTION for all SMP ToA except Grants for Financial European Statistics: e = flat-rate * (a1 + a3 + b + Support and COSME EEN g = f*U%] c1a + c1b + c1c + c2 + c3 + [ d1a][ d1b] [ + d2] )] [OPTION for Grants for Financial Support: g = (a1 + [OPTION for COSME EEN: f= [ U] [ a1] a3 [ a5] [ a6] b c1a c1b c1c c2 c3 [ [ d1a] ] [ [ d1b] ] [ d2] [ d3] a3 + b + c1a + c1b + c1c + c2 + c3 + e)* V% + h m (i) n e = flat-rate * (a1 + a3 + b + c1a + c1b + c1c + c2 + a+b+c+d+e [ V, W] [ d1a][ d1b] * W%] c3 +d1a +d3) ] [OPTION for COSME EEN: g = (a1 + a3 + b + c1a + c1b [OPTION for European Statistics + c1c + c2 + c3 + d1a + e)* V% + d3* W%] e = flat-rate * (a5 + a6 ) ] XX – [short name beneficiary/affiliated entity] The beneficiary/affiliated entity hereby confirms that: The information provided is complete, reliable and true. The costs and contributions declared are eligible (see Article 6). The costs and 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). For the last reporting period: that all the revenues have been declared (see Article 22). i Please declare all eligible costs and contributions, even if they exceed the amounts indicated in the estimated budget (see Annex 2). Only amounts that were declared in your individual financial statements can be taken into account lateron, in order to replace costs/contributions that are found to be ineligible. 1 See Article 6 for the eligibility conditions. All amounts must be expressed in EUR (see Article 21 for the conversion rules). 2 If you have also received an EU operating grant during this reporting period, you cannot claim indirect costs - unless you can demonstrate that the operating grant does not cover any costs of the action. This requires specific accounting tools. Please contact us immediately via the Funding & Tenders Portal for details. 3 See Data Sheet for the reimbursement rate(s). 4 This is the theoretical amount of EU contribution to costs that the system calculates automatically (by multiplying the reimbursement rates by the costs declared). The amount you request (in the column 'requested EU contribution') may be less. 5 See Annex 2a 'Additional information on the estimated budget' for the details (units, cost per unit). 6 See Data Sheet for the flat-rate. Associated with document Ref. Ares(2022)5350091 - 25/07/2022 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. 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 1 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 comply with their obligations under this Agreement (in particular, by obtaining the necessary licences and authorisations from the rights holders concerned). Access rights for third parties to ensure continuity and interoperability Where the call conditions impose continuity or interoperability obligations, the beneficiaries must make the materials, documents and information and results produced in the framework of the action available to the public (freely accessible on the Internet under open licences or open source licences). Different rights of use In view of the specific business model of standardisation organisations (and unless otherwise agreed with the granting auhority), access rights in European Standards actions do not include the following: - the right to make available standards and standardisation deliverables to persons working for other EU services (including institutions, bodies, offices, agencies, etc.) other than the granting authority or to persons working for an EU Member State institution or body; copying or reproducing them in whole or in part, in unlimited numbers; and communication through press information services - the right to distribute to the public standards and standardisation deliverables (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) - the right to edit or redraft standards and standardisation deliverables - the translation of standards and standardisation deliverables - the processing, analysing, aggregating of standards and standardisation deliverables received and producing derivative works. 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 - upload the public project results to the Single Market Programme Project Results 2 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 platform, available through the Funding & Tenders Portal SPECIFIC RULES FOR CARRYING OUT THE ACTION (— ARTICLE 18) Specific rules for PPI Grants for Procurement When implementing procurements in PPI Grants for Procurement, the beneficiaries must respect the following conditions: - avoid any conflict of interest and comply with the principles of transparency, non- discrimination, equal treatment, sound financial management, proportionality and competition rules - assign the ownership of the intellectual property rights under the contracts to the contractors (unless there are exceptional overriding public interests which are duly justified in Annex 1), with the right of the buyers to access results — on a royalty-free basis — for their own use and to grant (or to require the contractors to grant) non- exclusive licences to third parties to exploit the results for them — under fair and reasonable conditions — without any right to sub-license - allow for all communications to be made in English (and any additional languages chosen by the beneficiaries) - ensure that prior information notices, contract notices and contract award notices contain information on the EU funding and a disclaimer that the EU is not participating as contracting authority in the procurement - allow for the award of multiple procurement contracts within the same procedure (multiple sourcing) - where the call conditions impose a place of performance obligation: ensure that the part of the activities that is subject to the place of performance obligation is performed in the eligible countries or target countries set out in the call conditions - to ensure reciprocal level of market access: where the WTO Government Procurement Agreement (GPA) does not apply, ensure that the participation in tendering procedures is open on equal terms to bidders from EU Member States and all countries with which the EU has an agreement in the field of public procurement under the conditions laid down in that agreement, including all Horizon Europe associated countries. Where the WTO GPA applies, ensure that tendering procedures are also open to bidders from states that have ratified this agreement, under the conditions laid down therein. Specific rules for blending operations When implementing blending operations, the beneficiaries acknowledge and accept that: - the grant depends on the approved financing from the Implementing Partner and/or public or private investors for the project - they must inform the granting authority both about the approval for financing and the financial close — within 15 days 3 Associated with document Ref. Ares(2022)5350091 - 25/07/2022 - the payment deadline for the first prefinancing is automatically suspended until the granting authority is informed about the approval for financing - 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. 4 Digitally sealed by the European Commission Date: 2022.07.25 13:20:23 CEST This electronic receipt is a digitally signed version of the document submitted by your organisation. Both the content of the document and a set of metadata have been digitally sealed. This digital signature mechanism, using a public-private key pair mechanism, uniquely binds this eReceipt to the modules of the Funding & Tenders Portal of the European Commission, to the transaction for which it was generated and ensures its full integrity. Therefore a complete digitally signed trail of the transaction is available both for your organisation and for the issuer of the eReceipt. Any attempt to modify the content will lead to a break of the integrity of the electronic signature, which can be verified at any time by clicking on the eReceipt validation symbol. More info about eReceipts can be found in the FAQ page of the Funding & Tenders Portal. (https://ec.europa.eu/info/funding-tenders/opportunities/portal/screen/support/faq) Commission européenne/Europese Commissie, 1049 Bruxelles/Brussel, BELGIQUE/BELGIË - Tel. +32 22991111

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