Commission Implementing Regulation (EU) No 1011/2014 of 22 September 2014 laying down detailed rules for implementing Regulation (EU) No 1303/2013 of the European Parliament and of the Council as regards the models for submission of certain information to the Commission and the detailed rules concerning the exchanges of information between beneficiaries and managing authorities, certifying authorities, audit authorities and intermediate bodies

The notification of a selected major project by the managing authority to the Commission in accordance with the first subparagraph of Article 102(1) of Regulation (EU) No 1303/2013 shall be drawn up in accordance with the format set out in Annex I to this Regulation.

When submitting financial data to the Commission for monitoring purposes in accordance with Article 112 of Regulation (EU) No 1303/2013, the Member States shall use the model set out in Annex II to this Regulation.

1 The description of the functions and procedures in place for the managing authority and, where appropriate, the certifying authority shall be drawn up in accordance with the model set out in Annex III to this Regulation.

2 Where a common system applies to several operational programmes, a single description of the functions and procedures referred to in paragraph 1 may be drawn up.

1 The audit report of the independent audit body referred to in Article 124(2) of Regulation (EU) No 1303/2013 shall be drawn up in accordance with the model set out in Annex IV to this Regulation.

2 Where a common system applies to several operational programmes, a single audit report referred to in paragraph 1 may be drawn up.

1 The opinion of the independent audit body referred to in Article 124(2) of Regulation (EU) No 1303/2013 shall be drawn up in accordance with the model set out in Annex V to this Regulation.

2 Where a common system applies to several operational programmes, a single opinion referred to in paragraph 1 may be drawn up.

The payment application referred to in Articles 41(4) and 131(6) of Regulation (EU) No 1303/2013 shall be drawn up in accordance with the model set out in Annex VI to this Regulation and shall include, where applicable, additional information concerning financial instruments.

The accounts referred to in Article 137(1) of Regulation (EU) No 1303/2013 shall be submitted to the Commission in accordance with the model set out in Annex VII to this Regulation.

1 ‘Electronic data exchange systems’, as referred to in the first subparagraph of Article 122(3) of Regulation (EU) No 1303/2013 shall mean mechanisms and instruments allowing the electronic exchange of documents and data, including audiovisual media supports, scanned documents and electronic files. The exchange of documents and data shall include reporting on progress, payment claims and exchange of information related to management verifications and audits.

2 The electronic data exchange systems shall enable administrative verification in respect of each application for reimbursement by beneficiaries under Article 125(5) of Regulation (EU) No 1303/2013 and audits to rely on information and documents available through the electronic data exchange systems, when such information and documents are exchanged in electronic form in compliance with Article 122(3) of that regulation. Paper documents may only be requested by these responsible authorities in exceptional cases, following a risk analysis, and only if paper documents are the true source of the scanned documents uploaded in the electronic data exchange systems.

1 The electronic data exchange systems shall ensure data security, data integrity, data confidentiality, authentication of the sender in accordance with Articles 122(3), 125(4)(d), 125(8) and 140 of Regulation (EU) No 1303/2013. The electronic data exchange systems shall be available and operational during and outside standard office hours, except for technical maintenance activities.

2 If a Member State, on its own initiative, imposes a compulsory use of electronic data exchange systems upon beneficiaries, it shall ensure that the technical characteristics of those systems will not disrupt smooth implementation of the Funds nor restrict access for any beneficiaries. This requirement does not apply to electronic data exchange systems for beneficiaries which were made compulsory by a Member State during a previous programming period and comply with other requirements laid down in this Regulation.

3 The electronic data exchange systems shall be equipped with at least the following functionalities: (a) interactive forms and/or forms prefilled by the system on the basis of the data which are stored at consecutive steps of the procedures; (b) automatic calculations where applicable; (c) automatic embedded controls which reduce repeated exchanges of documents or information as far as possible; (d) system-generated alerts to inform the beneficiary that certain actions can be performed; (e) online status tracking allowing the beneficiary to monitor the current status of the project; (f) availability of all previous data and documents processed by the electronic data exchange system.

1 The beneficiaries and the authorities referred to in the first subparagraph of Article 122(3) of Regulation (EU) No 1303/2013, shall add the documents and data for which they are responsible, and any updates thereto, to the electronic data exchange systems in the electronic format defined by the Member State. The Member State shall lay down detailed terms and conditions of electronic data exchange in the document setting out the conditions for support for each operation referred to in Article 125(3)(c) of Regulation (EU) No 1303/2013.

2 Exchanges of data and transactions shall bear an electronic signature compatible with one of the three types of electronic signature defined by Directive 1999/93/EC of the European Parliament and of the Council .

3 The date of transmission of documents and data by the beneficiary to the authorities referred to in the first subparagraph of Article 122(3) of Regulation (EU) No 1303/2013 and vice versa shall be considered to be the date of electronic submission of the information which is stored in the electronic data exchange systems.

4 Submission of documents and data through the electronic data exchange systems shall be made only once as referred to in the second subparagraph of Article 122(3) of Regulation (EU) No 1303/2013 as regards the same operation for all authorities implementing the same programme. These authorities shall work together at legal, organisational, semantic and technical levels ensuring effective communication, as well as the exchange and re-use of information and knowledge. This is without prejudice of processes allowing the beneficiary to update erroneous or obsolete data or unreadable documents.

5 The electronic data exchange systems shall be accessible either directly through an interactive user interface (a web application) or via a technical interface that allows for automatic synchronisation and transmission of data between beneficiaries' and Member States' systems.

6 When processing information, the electronic data exchange systems shall guarantee the protection of privacy of personal data for individuals and commercial confidentiality for legal entities according to Directive 2002/58/EC of the European Parliament and of the Council , Directive 2009/136/EC of the European Parliament and of the Council and Directive 95/46/EC of the European Parliament and of the Council .

7 In cases of force majeure, and in particular of malfunctioning of the electronic data exchange systems or a lack of a lasting data connection, the beneficiary concerned may submit the information required to the competent authorities in the forms and using the means determined by the Member State for such cases. As soon as the cause of the force majeure ceases, the Member State shall ensure that the relevant documents are integrated into the database related to the electronic data exchange systems. By way of derogation from paragraph 3, the date taken into account for submitting the required information shall be deemed to be the date of sending of the documents in the required forms.

8 Member States shall ensure that all beneficiaries can use the electronic data exchange systems referred to in Article 122(3) of Regulation (EU) No 1303/2013, including the beneficiaries of ongoing operations at the date on which the electronic data exchange systems become operational and to which electronic data exchange applies.

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.