3. Requirements on the Financial and Operational Capacity of the Applicant

Connecting Europe Facility 2014-2020
CEF Telecom Call for proposalS 2018
CEF-TC-2018-1
APPLICATION FORM
PART B
Administrative information
Title of the proposed Action
Application Form Part B
/ EUROPEAN COMMISSION / CONNECTING EUROPE FACILITY
TELECOM SECTOR / B
ADMINISTRATIVE INFORMATION ON APPLICANTS

1.Legal Entity

All applicants(except EU Member States, regions or provinces; EEA countries and third countries)and allentities designated asaffiliated entities(see definition in the Guide for Applicants) mustbe registered in the Research Participant Portal:

2. Grounds for exclusion

All applicants (except EU Member States, regions or provinces; EEA countries and third countries) and their designated affiliated entities must complete part B1 or B2 of the application form, as applicable.

3. Requirements on the financial and operational capacity of the applicant

3.1. Overview

For each applicant, the legal status is to be indicated in the table below, using the following categories:

(1) / EU Member State/EEA country
(2) / Third country
(3) / Public sector undertaking or body established in the EU/EEA country
(4) / Private sector undertaking or body established in the EU/EEA country
(5) / Public sector undertaking or body established outside the EU/EEA country
(6) / Private sector undertaking or body established outside the EU/EEA country
(7) / International organisation
(8) / European Economic Interest Grouping
(9) / Joint Undertaking[1]

Applicants under categories (1), (2), (3), (7) and/or (9) as listed above are exempt from proving their financial and operational capacity. Applicants that fall under category (8) in which at least one member is a public body are also exemptfrom proving their financial and operational capacity.

Applicants which fall under above categories (4), (5), (6) and/or (8), in which no member is a public body,must prove that they have the financial and operational capacity to carry out the proposed Action.

For each applicant, pleasespecify in the table below – adding rows as needed for multi-applicant proposals – the applicant's name, legal status, and whether it is exempt from demonstrating its financial and operational capacity.

For all applicants which must demonstrate their financial and operational capacity, please confirm that supporting documents and information have been provided.

Applicant name / Applicant legal status
(to be chosen among the categories (1) to (9) listed above) / Does this applicant need to provide proof of financial/operational capacity?(see exceptions above) (Yes/No) / Supporting documents/ information provided(see sections 3.2 and 3.3 below) (Yes/No)
Financial capacity / Operational capacity

If these supporting documents/information are notprovided for the applicant(s) required to prove their financial and operational capacity, please explain why:

3.2. Financial capacity

Applicants that have to demonstrate their financial capacity (see above) must provide the following documents relating to their financial capacityin accordance with section 7.1 of the call text:

1. Requested grants less than €60,000 (per applicant)

A declaration on the applicant's honour

2. Requested grants equal to or higher than €60,000 (per applicant):

The completed financial capacity check form available on the call web page, accessible via the following link:

Please refer to the Guide for Applicants for more information.

The profit and loss account + balance sheet for the last financial year for which the accounts were closed.
Only for newly created entities and/or applicants that do not have financial data available for the last financial year: a letter of support from a third party (another company such as the parent company or from another applicant in the same proposal). The letter of support must also be accompanied by the Financial Capacity Check form completed by the party providing support, including the relevant annexes (financial statements for the last year) and showing 'satisfactory' or 'good' as the result of the ratio analysis.

3. Requested grants higher than €750,000 (per applicant):

The completed financial capacity check form available on each individual call page, accessible via the following link: profit and loss account + balance sheet for the last financial year for which the accounts were closed.
An audit report from an approved external auditor certifying the accounts for the last financial year available
Only for newly created entities and/or applicants that do not have financial data available for the last financial year: a letter of support from a third party (another company such as the parent company or from another applicant in the same proposal). The letter of support must also be accompanied by the financial capacity check form completed by the party providing support, including the relevant annexes (financial statements for the last year) and showing 'satisfactory' or 'good' as the result of the ratio analysis.

For the financial documents, only those reference documents containing the data used to complete the financial capacity check form should be submitted. It is important that there is a clear link between the figures entered in the financial capacity form and the submitted supporting documents. One possibility to ensure this is to add the electronic Excel table indicating the aggregated amounts.

3.3. Operational capacity

For each applicant required to demonstrate its operational capacity, please provide with the application the appropriate documents attesting operational capacity:

description of the profiles of the people primarily responsible for managing and implementing the operation, accompanied by a curriculum vitae
the organisation's activity reports for at least the last year
a list of previous actions and activities carried out in equivalent actions in related fields

3.4 Designated affiliated entities

If thedesignated affiliated entities will be the only ones implementing the proposed Action, theymust demonstrate that they have the financial and operational capacity to carryout the proposed Action.

Documents demonstrating the financial and operational capacity do not need to be submitted at the time of the application, but will be requested during grant agreement preparation. If unsatisfactory, the affiliated entity concerned may not be included in the grant agreement.

Complete the table below, adding rows as needed.

Applicant(s) / Designated affiliated entity(ies)
(as indicated in application form part A2.4) / Does/will the affiliated entity fully implement the proposed Action?
Yes/No

4. Requirements for applicants that are third countries or entities established in third countries

Applications submitted by third countries and/or entities established in third countries must be put forward in a consortium with applicants from EU Member States/EEA countries. They must include:

The agreement of a Member State concerned by the proposed Action
(Application form part A2.3)
Only for entities established in third countries: Proof of the support of the third country authorities concerned (part B3)
Only for third countries and entities established in third countries:Explanation(s)why the participation of the third country applicant(s) is necessary and/or indispensable (part B4)

5. Financial Identification

The coordinating applicant must provide the Financial Identification form:

Include the completed and stamped Financial Identification form in your submission package, along with any additional documents referred to in the form (e.g. recent bank statement).

Application Form Part B
/ EUROPEAN COMMISSION / CONNECTING EUROPE FACILITY
TELECOM SECTOR / B1
DECLARATION FORM OF PUBLIC OR PRIVATE UNDERTAKINGS OR BODIES APPLYING FOR EU FINANCIAL AID

In accordance with Article 131 of Regulation (EU, EURATOM) No 966/2012[2]on the applications for grants, and in accordance with Commission delegated Regulation No 1268/2012,[3] I declare on my honour that:

the body or undertaking I am representing is NOT in any of the following situations which would exclude it from participating in a grant award procedure(If yes, please indicate in annex to this declaration which situation and the name(s) of the concerned body or undertaking with a brief explanation):

a)it is bankrupt, subject to insolvency or winding up procedures, its assets are being administered by a liquidator or by a court, it is in an arrangement with creditors, its business activities are suspended or it is in any analogous situation arising from a similar procedure provided for under national legislation or regulations;

b)it has been established by a final judgement or a final administrative decision that it is in breach of its obligations relating to the payment of taxes or social security contributions in accordance with the law of the country in which it is established, with those of the country in which the authorising officer is located or those of the country of the performance of the contract;

c)it has been established by a final judgement or a final administrative decision that it is guilty of grave professional misconduct by having violated applicable laws or regulations or ethical standards of the profession to which the entity belongs, or by having engaged in any wrongful conduct which has an impact on its professional credibility where such conduct denotes wrongful intent or gross negligence, including, in particular, any of the following:

fraudulently or negligently misrepresenting information required for the verification of the absence of grounds for exclusion or the fulfilment of selection criteria or in the performance of a contract, a grant agreement or a grant decision;
entering into agreement with other persons with the aim of distorting competition;
violating intellectual property rights;
attempting to influence the decision-making process of the Commission/the Agency during the award procedure;
attempting to obtain confidential information that may confer upon it undue advantages in the award procedure;

d)it has been established by a final judgement that it is guilty of the following:

fraud, within the meaning of Article 1 of the Convention on the protection of the European Communities' financial interests, drawn up by the Council Act of 26 July 1995;
corruption, as defined in Article 3 of the Convention on the fight against corruption involving officials of the European Communities or officials of EU Member States, drawn up by the Council Act of 26 May 1997, and in Article 2(1) of Council Framework Decision 2003/568/JHA, as well as corruption as defined in the legal provisions of the country where the authorising officer is located, the country in which the entity is established or the country of the performance of the contract;
participation in a criminal organisation, as defined in Article 2 of Council Framework Decision 2008/841/JHA;
money laundering or terrorist financing, as defined in Article 1 of Directive 2005/60/EC of the European Parliament and of the Council;
terrorist-related offences or offences linked to terrorist activities, as defined in Articles 1 and 3 of Council Framework Decision 2002/475/JHA, respectively, or inciting, aiding, abetting or attempting to commit such offences, as referred to in Article 4 of that Decision;
child labour or other forms of trafficking in human beings as defined in Article 2 of Directive 2011/36/EU of the European Parliament and of the Council;

e)it has shown significant deficiencies in complying with the main obligations in the performance of a contract, a grant agreement or a grant decision financed by the Union’s budget, which has led to its early termination or to the application of liquidated damages or other contractual penalties, or which has been discovered following checks, audits or investigations by an Authorising Officer, OLAF or the Court of Auditors;

f)it has been established by a final judgment or final administrative decision that it has committed an irregularity within the meaning of Article 1(2) of Council Regulation (EC, Euratom) No 2988/95;

g)for the situations of grave professional misconduct, fraud, corruption, other criminal offences, significant deficiencies in the performance of the contract or irregularity, it is subject to:

facts established in the context of audits or investigations carried out by the Court of Auditors, OLAF or internal audit, or any other check, audit or control performed under the responsibility of an authorising officer of an EU institution, of a European office or of an EU agency or body;
non-final administrative decisions which may include disciplinary measures taken by the competent supervisory body responsible for the verification of the application of standards of professional ethics;
decisions of the ECB, the EIB, the European Investment Fund or international organisations;
decisions of the Commission relating to the infringement of the Union's competition rules or of a national competent authority relating to the infringement of Union or national competition law;
decisions of exclusion by an authorising officer of an EU institution, of a European office or of an EU agency or body.

the body or undertaking I am representing undertakes to provide, as soon as possible, the documents referred to in Articles 141 and 197 of Commission delegated Regulation No 1268/2012 at the request of the European Commission/ Agency, failing which the grant may not be awarded in accordance with Article 131 of Regulation No 966/2012;
this application for funding is not the subject of any other application for funding under the EU budget and that the body or undertaking I am representing has not received any other Union funding to carry out the action subject to this grant application.
If applicable (in case the applicant is a private body or undertaking): In accordance with Article 196 of Commission delegated Regulation No 1268/2012, the private body or undertaking I am representing has the financial and operational capacity to complete the action proposed in this grant application.

Ifany of the requirements listed in points II to IV is NOT satisfied, please indicate in annex to this declaration which and the name of the concerned entity(ies) with a brief explanation.

Remedial measures

If, for the body or undertaking subject to this declaration, it has been declared that it is in one of the situations of exclusion listed above (section I), an annex to this declaration must indicate the measures the body or undertaking has taken to remedy the exclusion situation, thus demonstrating its reliability. This may include e.g. technical, organisational and personnel measures to prevent further occurrence, compensation of damage or payment of fines. The annex must include relevant documentary evidence which illustrates the remedial measures taken. Remedial measures cannot be proposed for situations referred in point (d).

Evidence upon request

The Commission/Agency may request the body or undertaking subject to this declaration to provide information and the applicable evidence concerning the body or undertaking itself and/or on any person that is member of an administrative, management or supervisory body (persons with powers of representation, decision or control with regard to that body or undertaking).

Evidence may be requested as follows:

For situations described in (a), (c), (d) or (f) of section I, production of a recent extract from the judicial record is required or, failing that, an equivalent document recently issued by a judicial or administrative authority in the country of establishment of the entity showing that those requirements are satisfied.

For the situation described in point (a) or (b) of section I, production of recent certificates issued by the competent authorities of the State concerned are required. These documents must provide evidence covering all taxes and social security contributions for which the entity is liable, including for example, VAT, income tax (natural persons only), company tax (legal persons only) and social security contributions. Where any document described above is not issued in the country concerned, it may be replaced by a sworn statement made before a judicial authority or notary or, failing that, a solemn statement made before an administrative authority or a qualified professional body in its country of establishment.

If an entity has already submitted such evidence for the purpose of another procedure and provided that the submitted documents are still valid and that the time that has elapsed since the issuing date of the documents does not exceed one year, the entity will berequested to declare on its honour that the documentary evidence has already been provided and confirm that no changes have occurred in its situation.

If selected to be awarded a grant, the body or undertaking subject to this declaration accept(s) the terms and conditions laid down in the grant agreement.

The body or undertaking subject to this declaration may be subject to rejection from this procedure and to administrative sanctions (exclusion or financial penalty) if any of the declarations or information provided as a condition for participating in this procedure prove to be false.

Date:
Name:
Function:
Representing the following body or undertaking (full official name and address, and if any, VAT/ Registration number):
Signature: / ______
Application Form Part B
/ EUROPEAN COMMISSION / CONNECTING EUROPE FACILITY
TELECOM SECTOR / B2
DECLARATION FORM OF AFFILIATED ENTITIESDESIGNATED BY UNDERTAKINGS OR BODIES APPLYING FOR
EU FINANCIAL AID

In accordance with Articles 122(2) and 131 of Regulation (EU, EURATOM) No 966/2012,[4] and in accordance with Commission delegated Regulation No 1268/2012,[5] I declare on my honour that:

the body or undertaking I am representing is affiliated to the following undertaking or body applying for EU financial aid: ("the applicant") in the meaning of Article 122(2) of Regulation (EU, EURATOM) No 966/2012, and

that the body or undertaking I am representing undertakes to provide, as soon as possible, the necessary supporting documents that may be requested by the European Commission/ Agency to prove the link it has with the applicant, failing which it may not be considered an affiliated entity should the application be retained for funding.

the body or undertaking I am representing is NOT in any of the following situations which would exclude it from participating in a grant award procedure (If yes, please indicate in annex to this declaration which situation and the name(s) of the concerned body or undertaking with a brief explanation):