Implementation Report (ETC)

implementation-report-etc.pdf

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PURPOSE

This document describes the specifications and details related to the Implementation Report (ETC) procedure related to the European Territorial Cooperation goal (ETC) under the CPR Regulation.

From 2016, the IRs are to be submitted by 31^st May until 2023. So, the last Implementation Report is the 2022 one.

For the reports submitted in 2017 and 2019, deadline shall be 30^th June. For the Final Implementation Report, the deadline for submission is 15^th February 2025 or 1^st of March 2025 in exceptional cases. (Article 111 of CPR)

REGULATIONS

More details about the regulation regarding the Implementation Report (ETC) can be found in the About SFC2014 section of this portal.

ROLES

Roles involved in the Implementation Report for ETC are:

MS Managing Authority

Record the Implementation Report for ETC

Upload the Implementation Report for ETC

Consult the Implementation Report for ETC

Delete the Implementation Report for ETC

Validate the Implementation Report for ETC

Send the Implementation Report for ETC

Return the Implementation Report for ETC

Create New Version of an Implementation Report for ETC

MS Audit Authority

Consult the Implementation Report for ETC

FUNDS

ETC

PRE-CONDITIONS

The ETC Programme is Adopted by the Commission and when creating the IR the specific Reporting Year doesn’t yet exist.

Workflow

This section shows the lifecycle to create and manage the Annual and Final Implementation Report for ETC. If the Commission rejects an IR ETC, the programme is returned and a new version has to be created and go through the whole process. The Commission cannot change an IR – only respond.

Click here to see the AIR ETC state diagram in high resolution.

Create the Implementation Report (ETC)

REMARK

To create the Implementation Report ETC you must have MS Managing Authority with Update access.

An ETC Operational Programme must have been Adopted by the Commission in order for you to create the Implementation Report ETC.

In tables with achievement year columns, only the years equal and before the Reporting Year will be shown.

To access into the Implementation Report ETC section, first click on the Monitoring menu (1) and then on the Implementation Report (ETC) link (2).

Click on the Create New Implementation Report link to create a new Implementation Report (ETC).

You are redirected to the Implementation Report (ETC) creation wizard:

Enter or Select the following information:

(1) Select a CCI.

The CCI list contains all adopted ETC Programmes which contain Funds for which the User is registered. The list returns the CCI and the Programme Title.

(2) Select a Reporting Year.

The Reporting Year list contains all years smaller than the current year, starting from 2015 for which no Annual Implementation Report exists. The last Annual Report will be for year 2022 and will be submitted in 2023, unless a Final Implementation Report exists. From 1/10/2022 onwards, the list will also contain 9999 for the Final Implementation Report.

(3) Select the Report approval date by the monitoring committee.

When work version is 0 the Report approval date by the monitoring committee should not be empty.

(4) Click on the Finish button to confirm the creation.

The status of the Implementation Report is Open.

REMARK

The Implementation Report is linked to the last adopted version of the Operational Programme, except when a request already exists from the EC to link the IR to another Programme version.

The records of the following Tables will automatically be created from the equivalent tables in the linked Cooperation Programme Version:

Section 3.1, Indicator Tables (1 and 2), Performance Framework Table (3) and Major Projects (7).

The annual achievement values for previous Reporting Years are copied from the Implementation Report of the previous Reporting Year.

Also the Financial Instruments data are copied from the Implementation Report of the previous Reporting Year.

The Final Implementation Report will contain 3 extra annexes (I, II, III) as described in the Closure Guidelines [R6].

Record/Edit the Implementation Report (ETC)

Find all the information to complete each screen of the IR for ETC. Below are the links to the main sections:

General
2. Overview
3. Implementation
4. Synthesis of the evaluations
5. Issues affecting performance
6. Citizen's summary
7. Report on financial instruments
8. Progress of Major Projects & joint actions plans
9. Assessment of implementation of OP
10. Obligatory information and assessment
11. Additional information
13. Smart, sustainable and inclusive growth
14. Issues affecting performance

Note

In AIRs 2017, 2019, 2020, 2021 and 2022 the following sections and their sub-sections are shown in the print, but are not shown in the web because they are not editable:

9, 10, 11.1, 11.2, 11.4, 12, 13, 14.

General

Version Information

The Version Information contains information on the identification and status of the Implementation Report (ETC) version; like the CCI, the Title, the Version Number, the Status, the Current Node, etc. It also shows the results of the last validation done on this Implementation Report version.

In the Last validation results list, Warning Messages that already existed in the previous minor version will be shown in grey and ordered at the end of the list.

Only the Report approval date by the monitoring committee can be updated.

Clicking on the Edit button will enable you the modification of the Report approval date by the monitoring committee.

The Edit Details pop-up window appears:

Enter or select the modifications:

(1) Enter the new Report approval date by the monitoring committee.

(2) Click on the Update link to save the information.

Officials in Charge

Note

Officials in Charge can be updated at any time, independent from the status of the Implementation Report (ETC).

The email is directly accessible via the email link.

Click on the Add button to add a new official in charge.
Select an official and click in the Edit button to modify the information of this official.
Select an official and click on the Remove button to delete the official in charge selected.

Click on the Add button to add a new official in charge.

The Edit Details popup window appears:

Enter the following information:

(1) Enter the Name.

(2) Enter the Email.

(3) Click on Update to save the information.

Note

Commission Officials (email domain "ec.europa.eu") can only be created/updated/deleted by Commission Users.

History

This section shows all the actions that happened in the Implementation Report (ETC) since it was created, for example:

Documents

The following documents will be foreseen:

Description	Non-Integral	Integral	System	Required
Snapshot of data before send		X	X	X
Acknowledgment of Receipt			X	X
Citizens' Summary		X
MS Reply to Article 50(8) observations *	X
MS reply to observations in EC acceptance letter (other than Article 50(8))*	X
MS request for technical return**	X

*Only allow on IR versions in status 'Accepted by EC'

**Only allow on IR versions in status 'Accepted by EC (Request technical return allowed) '

REMARK

! The 'Other Member state document' type can no longer be uploaded in the Implementation Report.

REMARK

Integral documents can only be added, updated or deleted when the main object is editable.

Integral documents are automatically sent - together with the encoded data – when the AIR is submitted to the EC.

Referential/Non-integral Documents (ie. 'MS Reply to Observations in EC Acceptance Letter (other than Article 50(8))') can be sent at any time independently when the status of the IR is 'Accepted by EC'.

The non-integral type demands a manual submission (they are NOT sent automatically within the Programme).

A document is only visible to the Commission when the sent date is visible.

Uploading & Sending Documents

Citizens' Summary document can be uploaded in the Implementation Report (ETC), is optional.

Clicking on the Add button will open a pop up window allowing you to add a new document type with attachments.
Selecting a document row and click in the Edit buttonwill allow you to modify the document information.
Selecting a row of a previously uploaded document and click on the Remove button to delete the document and associated attachments.

Click on the Add button to add a new document.

The document detail pop-up window appears:

Enter or select the following information:

(1) Select a Document Type

(2) Enter a Title for your Document

(3) Enter a Document Date

(4) Click on the Add button to add a new attachment

You can add multiple attachments by clicking on the Add button
You can remove unwanted attachments by selecting the attachment and clicking on the Remove button

(5) Enter a Title for your attachment.

(6) Select the Language of the document.

(7) Select the file to upload.

(8) Click on Update to save the information.

REMARK

Commission Registration N° is only enabled for Commission Users, while Local Reference is only enabled for Member State Users.

The pop-up window closes and the documents are uploaded.

Deletion of an unsent document

Select a row (1) of a previously uploaded document and click on the Remove button (2) to delete the document and associated attachments.

A confirmation window appears:

Click on Yes to confirm deletion. Click on No to return to the Implementation Report (FEAD) documents.

Observations

This section is used to provide any relevant information about the Implementation Report (ETC). It can be used as a type of 'chat' between the Member State and Commission.

(1) Enter an observation.

All users who have Read and Observation permission on the Implementation Report will be able to send an Observation and participate in the conversation.

(2) Click on Add to save the information.

All Observations are kept against the specific version of the Implementation Report (ETC).

2. Overview

Clicking on the Edit button will open a pop-up window allowing you to enter an overview of the Implementation of the Cooperation Programme.

The Edit Details pop-up appears:

Enter the following information:

(1) Enter a description text.

(2) Click on the Update link to save the information.

3. Implementation

Implementation of the Priority Axis

3.1 Overview

Key information on the Implementation of the Priority Axis.

REMARK

The records will be automatically created from the Priority Axes of the linked Programme at creation time.

Clicking on the Edit button will open a pop-up window allowing you to enter the information on the implementation of the Priority Axis.

The Edit Details pop-up appears:

Note

The Key Information field is mandatory.

Enter the following information:

(1) Enter a description text.

(2) Click on the Update link to save the information.

3.2 Indicators

Common and programme specific indicators

Non-TA priority Axes

Priority Axes other than technical assistance

Priority Axis 1, Investment priority: 1a

Table 2: Output Indicators

Common and programme specific output indicators

Clicking on the Edit button will open a pop-up window allowing you to enter the amounts for the indicators.

The Edit Details pop-up appears:

REMARK

The records will be automatically created from the Table 4 (for non-TA priority Axes) and from Table 11 (for TA Priority Axes) of the linked Programme at creation time. For each record in the Programme, 2 records will be created in Table 2, one for "Outputs to be delivered by selected operations" and one for "Outputs delivered by operations".

The Indicators are linked to a Priority Axis/Investment Priority.

Enter the following information:

(1) Enter the amounts for the 2015 Total

(2) Enter the amounts for the 2014 Total

(3) Enter the Observations

(4) Click on the Update link to save the information.

Specific objective: 1

Table 1: Result Indicators

Clicking on the Edit button will open a pop-up window allowing you to enter the amounts for the result indicators.

The Edit Details pop-up appears:

REMARK

The records will be automatically created from Table 3 for non-TA Priority Axes/Investment Priorities/Specific Objectives and from Table 10 for TA Priority Axes/Specific Objectives of the linked Programme at creation time.

The Indicators are linked to a Priority Axis/Investment Priority/Specific Objective.

Enter the following information:

(1) Enter the amounts for the 2015 Total

(2) Enter the amounts for the 2014 Total

(3) Enter the Observations

(4) Click on the Update link to save the information.

TA Priority Axes

Priority Axes for technical assistance

Priority Axis

Table 2: Output Indicators

Common and programme specific output indicators for TA Priority Axes

Clicking on the Edit button will open a pop-up window allowing you to enter the output indicators.

The table becomes editable:

Enter the following information:

(1) Enter the amounts for the 2015 Total

(2) Enter the amounts for the 2014 Total

(3) Enter the Observations

(4) Click on the Update link to save the information.

Specific Objective

Table 1: Result indicators

Clicking on the Edit button will open a pop-up window allowing you to enter the result indicators.

The table becomes editable:

Enter the following information:

(1) Enter the amounts for the 2015 Total

(2) Enter the amounts for the 2014 Total

(3) Enter the Observations

(4) Click on the Update link to save the information.

3.3 Table 3: Performance framework

Information on the milestones and targets defined in the performance framework

Clicking on the Edit button will open a pop up window allowing you to update the achievements.

The Table becomes editable:

Enter the following information:

(1) Enter the amounts for the 2017 Total

(2) Enter the amounts for the 2016 Total

(3) Enter the amounts for the 2015 Total

(4) Enter the amounts for the 2014 Total

(5) Enter the Observations

(6) Click on the Update link to save the information.

Note

The records will be automatically created from Table 5 of the linked Programme at creation time.

All Achievement values for all types of Indicators need to be encoded. Nothing is calculated.

Previous year’s Achievement values can always be updated.

Indicators with a qualitative target can only exist for Key Implementation Steps for ERDF/CF in the Programme Table 5. If such qualitative Key Implementation Step Indicator exists, Table 3 will be generated with additional target and annual qualitative columns.

In the PRINT however, it will appear the quantitative and qualitative values in the same columns ‘YYYY CUM TOTAL’.

3.4 Financial Data

Table 4: By Priority Axis

Financial information at priority axis and programme level

REMARK

The table is shown as it exists in Table 1 of the Financial Data submitted for 31/01/Last available Reporting Year. For a Final Implementation Report, the table is shown as it exists in Table 1 of the Financial Data submitted for 31/01/Last available Reporting Year.

There is no Section 15 as such in the AIR, this section describes for the 2019 submission an additional column on Table 4 which the MS can find here under section 3.4.

The column “Total eligible expenditure incurred by beneficiaries and paid by 31/12/2018 and certified to the Commission” is only displayed in AIR2018. Its value comes from the ‘2018’ value of the Financial Indicators for each Priority Axis and Fund in Table 3.

The column “Total eligible expenditure incurred by beneficiaries and paid by 31/12/2023 and certified to the Commission” is only displayed in FIR. Its value comes from the ‘2023’ value of the Financial Indicators for each Priority Axis and Fund in Table 3.

Contribution from third countries

Clicking on the Edit button will open a pop-up window allowing you to enter the use of any contribution from third countries.

The Edit details pop-up window appears:

Enter the following information:

(1) Provide a description of any contribution from a third country

(2) Click on the Update link to save the information.

Table 5: By Categories

Breakdown of the cumulative financial data by category of intervention

REMARK

The table is shown as it exists in Table 2 of the Financial Data submission of 31/01/Reporting Year+1. For a Final Implementation Report, the table is shown as it exists in Table 2 of the Financial Data submitted for 31/01/Last available Reporting Year.

Table 6: Operations outside

Cumulative cost of all or part of an operation implemented outside the Union part of the programme area

Clicking on the Edit button will open a pop-up window allowing you to enter the financial information.

Note

Similar to Table 9 of IGJ, not per Priority Axis but per Operation(s)

The Edit Details pop-up window appears:

Enter the following information:

(1) Enter the Operation.

(2) Enter the amount support to be used of an operation implemented outside the Union.

(3) Enter the eligible expenditure of support incurred outside the Union part of the Programme area.

(4) Click on the Update link to save the information.

4. Synthesis of the evaluations

Synthesis of the findings of all evaluations of the programme that have become available during previous financial year, with reference of name and reference period of the evaluation reports used.

Clicking on the Edit button will open a pop-up window allowing you to enter the synthesis of the evaluations.

The Edit Details pop-up window appears:

Enter the following information:

(1) Provide a description of the findings of all evaluations of the programme.

(2) Click on the Update link to save the information.

Click on the Add button to add the information in the evaluation table.

The Edit Details pop-up window appears:

Select the following information:

(1) Enter the Name

(2) Select the Funds

The Funds list contains all Funds covered by the Programme.

(3) Enter the reference period from month, from year & to month, to year.

(4) Select the type of evaluation

(5) Select the Thematic Objectives

The Thematic Objectives list contains all Thematic Objectives covered by the Programme.

(6) Enter the topic

(7) Enter the findings

(8) Click on the Update link to save the information.

5. Issues affecting performance

Issues affecting the performance of the programme and measures taken.

5.a Issues and measures taken

(a) Issues which affect the performance of the programme and the measures taken

Clicking on the Edit button will open a pop-up window allowing you to enter the synthesis of the evaluations.

The Edit Details pop-up window appears:

Enter the following information:

(1) Provide a description of the issues which affect the performance of the programme.

(2) Click on the Update link to save the information.

5.b Assessment of whether progress is sufficient

(b) OPTIONAL FOR LIGHT REPORTS, otherwise it will be included in point 9.1. An assessment of whether progress made towards targets is sufficient to ensure their fulfilment, indicating any remedial actions taken or planned, where appropriate.

Clicking on the Edit button will open a pop-up window allowing you to enter an assessment of whether progress made is sufficient.

The Edit Details pop-up window appears:

Enter the following information:

(1) Provide a description of the issues which affect the performance of the programme.

(2) Click on the Update link to save the information.

6. Citizen's summary

A citizen's summary of the contents of the annual and the final implementation reports shall be made public and uploaded as a separate file in the form of annex to the annual and the final implementation report.

Clicking on the General > Documents link will open a pop-up window allowing you to upload a citizen's summary.

Click on the Add button to add a new document:

The document detail pop-up window appears:

Enter or select the following information:

(1) Select the Citizen's summary document

(2) Enter a Title for your Document

(3) Enter a Document Date

(4) Click on the Add button to add a new attachment

You can add multiple attachments by clicking on the Add button
You can remove unwanted attachments by selecting the attachment and clicking on the Remove button

(5) Enter a Title for your attachment.

(6) Select the Language of the document.

(7) Select the file to upload.

(8) Click on Update to save the information or Update & Send to send the document to the Commission.

REMARK

Commission Registration N° is only enabled for Commission Users, while Local Reference is only enabled for Member State Users.

7. Report on Financial Instruments

List of Financial Instruments

REMARK

There are structural changes implemented in the Financial Instruments from AIR 2017 onwards:

1. Elements 33, 34, 38, 38.3.1, 38.3.2, 39, 39.1, 39.2, 39.3 and 40 will not occur anymore under the Financial Instrument but under the Product(s).

2. The calculated achieved leverage effect (39.2) will be persisted so that the reports do not have to implement the calculation formulas.

3. Since the calculated achieved leverage effect (39.2) has been moved from FI level to Product level, the formulas to calculate were modified.

4. Elements 12 and 12.1 under "MA" are not shown any more from AIR2017 onwards.

5. Element 26.1 under "SF" were added from AIR2017 onwards.

6. Elements 18, 19 and 20 under "FoF" are not shown any more from AIR2017 onwards.

7. The labels for elements 24, 25, 27, 28, 33, 34, 39.1, 39.2 and 39.3 were made product specific.

Now on the creation of a new Annual Implementation Report, the Financial Instruments data is also imported from previous Annual Implementation Report year’s.

REMARK

There are changes implemented in the Financial Instruments from AIR 2018 onwards:

1. New elements under FOF, SF/FoF, SF: 7.3, 37.3, 38.1.A & 38.2A.

2. New elements under Equity & Loan: 38.3A.

3. Modified element descriptions: 7.2, 10, III, 11.1, VII, 37, 37.1 & 40.

4. Changed Reference Data:

- Implementation Arrangement Type: c changed and renamed to d, new c and changed b

- Implementation Body Type: changed b4

- Implementation Body Selection Procedure: new 6

Clicking on the Add button will open a pop up window allowing you to add a financial instrument.

The Edit Details pop-up window appears:

Enter the following information:

(1) Enter the name of the financial instrument

(2) Select the type of the financial instrument

There are 4 different options:

(3) Select the related Fund of Funds

(4) Click on the Update link to save the information.

Financial Instrument (FoF)

Financial instrument (Fund of Funds)

Clicking on the Edit button will open the financial instrument table allowing you to enter the information.

The table becomes editable:

PRE-AIR 2017

Enter the following information:

(1) Select the Priority Axis

The list of Priority Axes (1.1) contains all Priority Axes of the linked Programme Version.

(2) Select the name of ESI Fund supporting the financial instrument:

REMARK

The list of Funds (2) contains all Funds of the selected Priority Axis. When the Priority Axis is mono-Fund, this Fund will be selected by default.

(3) Select the CCI number of each other ESI Fund:

REMARK

The list of Other ESI Fund Programmes (4.1) contains all IGJ, EMFF and EAFRD Programmes of the same Member State as the linked Programme.

(4) Select the date of completion of the ex-ante assessment.

(5) Select yes or no if the selection or designation process has been launched.

(6) Enter the address of business of the financial instrument

(7) Select yes or no if the financial instruments set up at Union level, is managed directly or indirectly by the Commission.

(8) Enter the Name of the Union-level financial instrument

The Name of the Union-level financial instrument (7.1.1) is only to be enabled when 7.1 is true.

(9) Select the legal status

(10) Select the type of implementing body

(11) Enter the Name of body

(12) Enter the official address of business of the body implementing the financial instrument

(13) Select the procedure

(14) Select the date of signature of the funding agreement with the body implementing the financial instrument

(15) Enter the total amount of programme contributions committed in the funding agreement

(16) Enter the total amount of programme contributions committed in the funding agreement out of which ESI Funds contributions, ERDF, Cohesion Fund, ESF, EAFRD and EMFF (optional).

(17) Enter the total amount of programme contributions paid to the financial instrument out of which ERDF, Cohesion Fund, ESF, EAFRD, and EMFF (in EUR).

(18) Enter the total amount of programme contributions paid to the financial instrument out of which total amount of national co-financing out of which total amount of national public funding and private funding.

(19) Enter the total amount of programme contributions paid to the financial instrument under YEI.

(20) Enter the total amount of management costs and fees paid out of programme contributions.

(21) Enter the amount out of which base remuneration and performance-based remuneration.

(22) Select whether the financial instrument was still operational at the end of the reporting year.

(23) Select the date of the winding-up if it was not operational.

(24) Enter the interest and other gains generated by payments from ESI Funds to the financial instrument.

(25) Enter the Amounts of resources reused which were paid back to the financial instrument and are attributable to ESI Funds.

(26) Enter the Amounts of resources reused which were paid back to the financial instrument and are attributable to ESI Funds out of which amounts paid for preferential remuneration of private investors operating under the market economy principle.

(27) Enter the Amounts of resources reused which were paid back to the financial instrument and are attributable to ESI Funds out of which amounts paid for the reimbursement of management costs incurred and payment of management fees of the financial instrument.

(28) Enter the total amount of other contributions, outside the ESI Funds committed in the funding agreement with the body.

(28) Enter the total amount of other contributions outside the ESI Funds paid to the financial instrument out of which public contributions and private contributions.

(29) Click on the Update link to save the information.

REMARK

The list of Priority Axes (1.1) contains all Priority Axes of the linked Programme Version.

The Name of the Union-level financial instrument (7.1.1) is only to be enabled when 7.1 is true.

The Description of the other procedure (12.1) is only to be enabled when the value of 12 = 'Others'

Elements 18 to 21 are only to be enabled when Final Implementation Report.

The Date of winding-up (32.1) is only to be enabled when 32 is false.

2017 AIR Onwards

REMARK

Elements 33, 34, 38, 38.3.1, 38.3.2, 39, 39.1, 39.2, 39.3 and 40 will not occur anymore under the Financial Instrument but under the Product(s).

2017AIR onwards, element 21 is only to be enabled when Final Implementation Report.

The content for 38.2, 38.2.1, 38.2.2 are optional in the years 2017 and 2019.

New elements from AIR 2018 onwards: 7.3, 37.3, 38.1.A & 38.2A.

Enter the following information:

(1) Select the Priority Axis

The list of Priority Axes (1.1) contains all Priority Axes of the linked Programme Version.

(2) Select the name of ESI Fund supporting the financial instrument:

REMARK

The list of Funds (2) contains all Funds of the selected Priority Axis. When the Priority Axis is mono-Fund, this Fund will be selected by default.

(3) Select the CCI number of each other ESI Fund:

REMARK

The list of Other ESI Fund Programmes (4.1) contains all IGJ, EMFF and EAFRD Programmes of the same Member State as the linked Programme.

(4) Select the date of completion of the ex-ante assessment.

(5) Select yes or no if the selection or designation process has been launched.

(6) Enter the information for section II. Description of the financial instrument and implementation arrangements.

The Name of the Union-level financial instrument (7.1.1) is only to be enabled when 7.1 is true.

(7) Enter the information for section III. Identification of the body implementing the financial, and the body implementing fund of funds where applicable.

The Description of the other procedure (12.1) is only to be enabled when the value of 12 = 'Others' (code 5).

(8) Enter the information for section IV. Total amount of programmes contributions, by priority or measure, paid to the financial instrument and management costs incurred or management fees paid.

2017AIR onwards, element 21 is only to be enabled when Final Implementation Report.

(9) Enter the information for section VI. The performance of the financial instrument, including progress in its set-up an in selection of bodies implementing the financial instrument.

(10) Enter the information for section VII. Interest and other gains generated by support from the ESI Funds to the financial instrument.

(11) Enter the information for section VIII. Progress in achieving the expected leverage effect of investments made by the financial instrument and value of investments.

(12) Click on the Update link to save the information.

Thematic objectives

Clicking on the Add button will open the thematic objectives table allowing you to enter the information.

The Edit Details pop-up window appears:

Enter the following information:

(1) Select the Thematic objective

The list of Thematic Objectives (3) contains all Thematic Objectives covered by the selected Priority Axis.

(2) Enter the amount of ESI funds committed to this thematic objective

(3) Click on the Update link to save the information.

REMARK

The list of Thematic Objectives (3) contains all Thematic Objectives covered by the selected Priority Axis.

Financial Instrument (SF/FoF): Specific Fund

Clicking on the Edit button will open the Financial instrument: Specific Fund table allowing you to enter the information.

The table becomes editable:

PRE-AIR 2017

Enter the following information:

(1) Enter the Official address of the financial instrument

(2) Select the tailor-made or financial instrument

(3) Select the off-the-self instrument type

(4) Select the type of products provided by financial instrument: loans, micro-loans, guarantees, equity or quasi-equity investments, other financial products or other support combined with a financial instrument

(5) Enter a description of the other financial product

(6) Enter the other support

(7) Select the legal status of the financial instrument

(8) Select the type of implementing body

(9) Enter the name of the body

(10) Enter the official address of the body

(11) Select the procedure of selecting the body

(12) Select the date of signature of the funding agreement with the body

(13) Enter the total amount of programme contributions committed in the funding agreement

(14) Enter the amount of programme contributions committed in the funding agreement out of which ESI Funds contributions (in EUR), ERDF (optional), Cohesion Fund (optional), ESF Fund (optional), EAFRD (optional), EMFF (optional)

(15) Enter the amount of programme contributions paid to the financial instrument out of which amount ERDF, Cohesion Fund, ESF, EAFRD, EMFF (in EUR)

(16) Enter the amount of programme contributions paid out of which total amount of national public funding

(17) Enter the amount of programme contributions paid out of which total amount of national private funding

(18) Enter the total amount of programme contributions paid to the financial instrument under YEI

(19) Enter the total amount of management costs and fees paid out of programme contributions

(20) Enter the amount of management costs and fees paid out of which base remuneration

(21) Enter the amount of management costs and fees paid out of which performance-based remuneration

(22) Select yes or no for the information whether the financial instrument was still operational at the end of the reporting year

(23) Select the date of the winding-up

(24) Enter the total number of disbursed loans defaulted or total number of guarantees provided

(25) Enter the total amount of disbursed loans defaulted (in EUR) or total amount committed for guarantees provided

(26) Enter the interest and other gains generated by payments from ESI Funds

(27) Enter the amount repaid to the financial instrument attributable to support from ESI Funds out of which capital repayments

(28) Enter the amount repaid to the financial instrument attributable to support from ESI Funds out of which gains, other earnings and yields

(29) Enter the amounts of resources reused which were paid back to the financial instrument and are attributable to ESI Funds

(30) Enter the amounts of resources reused which were paid back to the financial instrument out of which amounts paid for preferential remuneration of private investors operating under the market economy principle

(31) Enter the amounts of resources reused which were paid back to the financial instrument out of which amounts paid for the reimbursement of management costs incurred and payment of management fees

(32) Enter the amount of value of investments and participations in equity

(33) Enter the total amount of other contributions, outside the ESI Funds committed in the funding agreement with the body

(34) Enter the total amount of other contributions, outside the ESI Funds paid to the financial instrument out of which public contributions

(35) Enter the total amount of other contributions, outside the ESI Funds paid to the financial instrument out of which private contributions

(36) Enter the total amount of other contributions, outside the ESI Funds mobilised at the level of final recipients out of which public contributions

(37) Enter the total amount of other contributions, outside the ESI Funds mobilised at the level of final recipients out of which private contributions

(38) Enter the expected leverage effect for loan/guarantee/equity or quasi-equity investment/other financial product, by reference to the funding agreement

(39) Enter the investment mobilised through ESIF financial instruments for loan/guarantee/equity and quasi-equity investment (optional)

(40) Click on the Update link to save the information.

REMARK

The Off-the-shelf instrument type (8.1.1) is only to be enabled when 8.1 is true.

The Description of the other financial product (9.1) is only to be enabled when 9.0.6 is true.

The Description of the other financial product (9.2) is only to be enabled when 9.0.7 is true.

The Description of the other procedure (12.1) is only to be enabled when the value of 12 = 'Others' (Internal code 5).

Elements 18 to 21 are only to be enabled when Final Implementation Report.

The Date of winding-up (32.1) is only to be enabled when 32 is false.

2017 AIR Onwards

REMARK

Elements 18 to 21 are only to be enabled when Final Implementation Report.

Enter the following information:

(1) Enter the Official address of the financial instrument

(2) Select the tailor-made or financial instrument

(3) Select the off-the-self instrument type

(5) Enter a description of the other financial product

(6) Enter the other support

(7) Select the legal status of the financial instrument

(8) Select the type of implementing body

(9) Enter the name of the body

(10) Enter the official address of the body

(11) Select the procedure of selecting the body

(12) Enter the description

(13) Select the date of signature of the funding agreement with the body

(14) Enter the total amount of programme contributions committed in the funding agreement

(15) Enter the amount of programme contributions committed in the funding agreement out of which ESI Funds contributions (in EUR), ERDF (optional), Cohesion Fund (optional), ESF Fund (optional), EAFRD (optional), EMFF (optional)

(16) Enter the amount of programme contributions paid to the financial instrument out of which amount ERDF, Cohesion Fund, ESF, EAFRD, EMFF (in EUR)

(17) Enter the amount of programme contributions paid out of which total amount of national public funding

(18) Enter the amount of programme contributions paid out of which total amount of national private funding

(19) Enter the total amount of management costs and fees paid out of programme contributions & out of which base remuneration and out of which performance-based.

(20) Elements 18 to 21 are only to be enabled when Final Implementation Report.

(21) Select yes or no for the information whether the financial instrument was still operational at the end of the reporting year

(22) Select the date of the winding-up

(23) Enter the interest and other gains generated by payments from ESI funds

(24) Enter the amount repaid to the financial instrument attributable to support from ESI Funds out of which capital repayments

(25) Enter the amounts of resources reused which were paid back to the financial instrument and are attributable to ESI Funds

(26) Enter the amounts of resources reused which were paid back to the financial instrument out of which amounts paid for preferential remuneration of private investors operating under the market economy principle & out of which amounts paid for the reimbursement of management costs incurred and payment of management fees.

(27) Enter the total amount of other contributions, outside the ESI Funds committed in the funding agreement with the body.

(28) Enter the total amount of other contributions, outside the ESI Funds paid to the financial instrument out of which public contributions and out of which private contributions

(29) Click on the Update link to save the information.

REMARK

The Off-the-shelf instrument type (8.1.1) is only to be enabled when 8.1 is true.

The Description of the other financial product (9.1) is only to be enabled when 9.0.6 is true.

The Description of the other financial product (9.2) is only to be enabled when 9.0.7 is true.

The Description of the other procedure (12.1) is only to be enabled when the value of 12 = 'Others' (Internal code 5).

Elements 18 to 21 are only to be enabled when Final Implementation Report.

The Date of winding-up (32.1) is only to be enabled when 32 is false.

Indicators

Clicking on the Add button will open the indicators table allowing you to enter the information.

The Edit Details pop-up window appears:

Enter the following information:

(1) Select the Output indicator.

(2) Enter the Target value of the output indicator (CO2).

(3) Enter the value achieved by the financial instrument in relation to the target value of the output indicator (CO2).

(4) Click on the Update link to save the information.

REMARK

The list of Output Indicators (41) contains all Common and Programme Specific Output Indicators used in the linked Programme version under the selected Priority Axis.

Products

Clicking on the Add button will open the products table allowing you to enter the information.

The Edit Details pop-up window appears:

Enter the following information:

(1) Enter the Name of financial product

(2) Select the type of financial product offered

(3) Click on the Update link to save the information.

REMARK

The list of Financial Product Types (22.1) contains all the Financial Product Types relevant for the Financial Instrument Type.

Equity

Clicking on the Edit button will open the financial instrument table allowing you to enter the information.

The table becomes editable:

PRE-AIR 2017

Enter the following information:

(1) Enter the Name of financial product.

(2) Enter the total amount of programme contributions committed in this equity.

(3) Enter the total amount of programme contributions committed in this equity out of which total amount of ESI Funds contributions.

(4) Enter the total amount of programme contributions paid to final recipients through this equity.

(5) Enter the total amount of programme contributions paid to final recipients through this equity paid to final recipients out of which ERDF, Cohesion Fund, ESF, EAFRD, EMFF (in EUR)

(6) Enter the amount of programme contributions paid to final recipients through this equity paid to final recipients out of which total amount of national public co-financing.

(7) Enter the amount of programme contributions paid to final recipients through this equity paid to final recipients out of which total amount of national private co-financing.

(8) Enter the number of loan/guarantee/equity financial product contracts signed with final recipients.

(9) Enter the number of loan/guarantee/equity financial product investments signed with final recipients.

(10) Enter the number of financial recipients supported by the financial product out of which large enterprises, out of which SMEs, out of which microenterprises, out of which individuals/natural persons, out of which other type of final recipients supported.

(11) Enter a description of other type of final recipients supported.

(12) Click on the Update link to save the information.

2017 AIR Onwards

Enter the following information:

(1) Enter the Name of financial product.

(2) Enter the total amount of programme contributions committed in this equity & out of which total amount of ESI Funds contributions.

(3) Enter the total amount of programme contributions paid to final recipients through this equity, out of which ERDF, Cohesion Fund, ESF, EAFRD, EMFF (in EUR)

(4) Enter the amount of programme contributions paid to final recipients through this equity paid to final recipients out of which total amount of national public & private co-financing.

(5) Enter the number of equity or quasi-equity contracts signed with final recipients.

(6) Enter the number of equity or quasi-equity investments made in final.

(7) Enter the number of financial recipients supported by the financial product out of which large enterprises, out of which SMEs, out of which microenterprises, out of which individuals/natural persons, out of which other type of final recipients supported.

(8) Enter the description of other type of final recipient.

(9) Enter the total amount of other contributions outside the ESI funds, out of which public & private contributions.

(10) Enter the expected leverage effect for equity or quasi-equity investment.

(11) Enter the investment mobilised through ESIF financial instruments for equity and quasi-equity investment.

(12) Click on the Update link to save the information.

REMARK

The Description of other type of financial recipients (29.4.1) is only to be enabled when the value of 29.4 > 0.

New element from AIR 2018 onwards: 38.3A.

Guarantee

Clicking on the Edit button will open the guarantee table allowing you to enter the information.

The table becomes editable:

PRE-AIR 2017

Enter the following information:

(1) Enter the Name of financial product.

(2) Enter the total amount of programme contributions committed in this guarantee.

(3) Enter the amount out of which total amount of ESI Funds contributions.

(4) Enter the total amount of programme contributions paid to final recipients through this guarantee.

(5) Enter the total amount of programme contributions paid to final recipients through this guarantee paid to final recipients out of which ERDF, Cohesion Fund, ESF, EAFRD, EMFF (in EUR)

(6) Enter the amount of programme contributions paid to final recipients through this guarantee paid to final recipients out of which total amount of national public co-financing.

(7) Enter the amount of programme contributions paid to final recipients through this guarantee paid to final recipients out of which total amount of national private co-financing.

(8) Enter the number of loan/guarantee/equity financial product contracts signed with final recipients in relation to the guarantee contracts signed.

(9) Enter the number of loan/guarantee/equity financial product investments signed with final recipients.

(11) Enter a description of other type of final recipients supported.

(12) Click on the Update link to save the information.

REMARK

The Total value of new debt finance (26.1) is only to be enabled when the value of 7.1 in the master Fund of Funds is true.

The Description of other type of financial recipients (29.4.1) is only to be enabled when the value of 29.4 > 0.

2017 AIR Onwards

Enter the following information:

(1) Enter the Name of financial product.

(2) Enter the total amount of programme contributions committed in this guarantee and out of which total amount of ESI Funds contributions.

(3) Enter the total amount of programme contributions in the case of guarantee, committed for loans paid to final recipients.

(4) Enter the total amount of programme contributions paid to final recipients through this equity paid to final recipients out of which ERDF, Cohesion Fund, ESF, EAFRD, EMFF (in EUR)

(5) Enter the amount of programme contributions paid to final recipients through this guarantee paid to final recipients out of which total amount of national public co-financing & private co-financing.

(6) Enter the total number number of loans paid to final recipients in relation to the guarantee contracts signed.

(7) Enter the total value of new debt finance created by the SME initiative.

(8) Enter the number of loans signed with final recipients.

(9) Enter the number of loans paid to final recipients.

(11) Enter a description of other type of final recipients supported.

(12) Enter the total number provided and called due to the loan default.

(13) Enter the total amount committed for guarantees provided and called due to loan default.

(14) Enter the expected leverage effect.

(15) Enter the investment mobilised through ESIF financial instruments.

(16) Click on the Update link to save the information.

REMARK

The Total value of new debt finance (26.1) is only to be enabled when the value of 7.1 in the master Fund of Funds is true.

The Description of other type of financial recipients (29.4.1) is only to be enabled when the value of 29.4 > 0.

Elements 33, 34, 38, 38.3.1, 38.3.2, 39, 39.1, 39.2, 39.3 and 40 will not occur anymore under the Financial Instrument but under the Product(s).

Loan

Clicking on the Edit button will open the loan table allowing you to add the information.

The table becomes editable:

PRE-AIR 2017

Enter the following information:

(1) Enter the Name of financial product.

(2) Enter the total amount of programme contributions committed in this loan.

(3) Enter the total amount of programme contributions committed in this loan out of which total amount of ESI Funds contributions.

(4) Enter the total amount of programme contributions paid to final recipients through this loan.

(5) Enter the total amount of programme contributions paid to final recipients through this loan out of which ERDF, Cohesion Fund, ESF, EAFRD, EMFF (in EUR)

(6) Enter the total amount of programme contributions paid to final recipients through this loan out of which total amount of national public co-financing (in EUR)

(7) Enter the total amount of programme contributions paid to final recipients through this loan out of which total amount of national private co-financing (in EUR)

(8) Enter the number of loan/guarantee/equity financial product contracts signed with final recipients.

(9) Enter the number of loan/guarantee/equity financial product investments signed with final recipients.

(11) Enter a description of other type of final recipients supported.

(12) Click on the Update link to save the information.

REMARK

The Description of other type of financial recipients (29.4.1) is only to be enabled when the value of 29.4 > 0.

2017 AIR Onwards

Enter the following information:

(1) Enter the Name of financial product.

(2) Enter the total amount of programme contributions committed in this loan.

(3) Enter the total amount of programme contributions committed in this loan out of which total amount of ESI Funds contributions.

(4) Enter the total amount of programme contributions paid to final recipients through this loan.

(5) Enter the total amount of programme contributions paid to final recipients through this loan paid to final recipients out of which ERDF, Cohesion Fund, ESF, EAFRD, EMFF (in EUR)

(6) Enter the amount of programme contributions paid to final recipients through this loan paid to final recipients out of which total amount of national public & private co-financing.

(7) Enter the number of loan contracts signed with final recipients.

(8) Enter number of loan investments made in final recipients.

(9) Enter the number of financial recipients supported by the financial product out of which large enterprises, out of which SMEs, out of which microenterprises, out of which individuals/natural persons, out of which other type of final recipients supported.

(10) Enter a description of other type of final recipients supported.

(11) Enter the total number of disbursed loans defaulted.

(12) Enter the total amount of disbursed loans.

(13) Out of which public & private contributions.

(14) Enter the expected leverage effect for loan.

(15) Enter the investment mobilised through ESIF for loan.

(16) Click on the Update link to save the information.

REMARK

The Description of other type of financial recipients (29.4.1) is only to be enabled when the value of 29.4 > 0.

New element: 38.3A.

Other

Other Support combined within the financial instrument

Clicking on the Edit button will open the other table allowing you to add the information.

The table becomes editable:

PRE-AIR 2017

Enter the following information: