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Annex 1: EESSI Transition Keys to Production National level Institutional level Preparation & Coordination Transition Integration Planning Business Strategy & Organisation Activities + Architecture Readiness Criteria National Institution Project Management • Project Management • Communication & Change Management • Reporting Execution NA Service Desk AP Deployment Define IR in CSN & RINA Ready 32 countries Training in production Monitoring & Sharing Best Practices July 2017 July 2019 1  Objective Transition Ensure that the Participating Country has put in place the organisational structure and Planning & elements that will allow a successful deployment of EESSI within the Participating Organisation Country Checklist 1. National EESSI Project Governance a. Create a sustainable National organisational model and structure (governance, funding resources...) for EESSI implementation and operations covering the different project areas (planning, legal, business, architecture, operations…) b. Create the National vision and objectives for the National/Workstream Implementation Strategy c. Identify the National/Workstream projects d. Define relevant EESSI roles and responsibilities (see recommended roles*), then assign people (if not already done) e. Define National Service Desk Vision and organisation (L1 & L2) f. Create a high-level National training strategy for all target audiences 2. Communication & Managing Change g. Develop a National communication plan based on a stakeholder analysis and mapping h. Define a National change leadership strategy to get people actively involved in EESSI 3. Project Planning i. Plan the EESSI Go-Live strategy for the various National APs/sectors/institutions j. Create the National Implementation roadmap and project plans 2  Objective Transition Ensure that the Participating Country has put in place the organisational structure and Planning & elements that will allow a successful deployment of EESSI within the Participating Organisation Country Checklist 4. Resources Management k Assess integration and business implementation capabilities and conduct gap analysis; engage actions as needed l. Identify costs and secure budget (HR, infrastructure, HW, SW development activities, licences, certificates, adapting/translating of training materials, training, dev of national documentation for end users, etc.) m. Perform Procurement activities (ex: decision on entities responsible for tenders, securing budget, elaboration of tender specs based on NI strategy and gap analysis, monitoring the implementation, …) n. Issue Call for Tender (if needed) 5. Alignment of National Legislation, Security and IT-Operations o. Assess national legislative framework to determine if adaptations are needed for EESSI purposes. Implement legislative adaptations through relevant decision making procedures p. Assess and align the security policies and standards. National/ sectorial dissemination of the info on Security rules approved for EESSI (obtain confirmation). q. Ensure that the agreed EESSI ToC* and accompanying SLAs are followed. Create and agree national ToC/SLAs* if needed 6. Follow-up & Reporting r. Follow-up on progress as agreed with the EESSI Central team (first ensure the right mechanisms are in place to collect information) s. Monitoring and reporting mechanisms are in place nationally *Terms of Collaboration, Service Level Agreement 3  Objective Transition Ensure that the Participating Country has put the organisational structure and Planning & elements into place that will enable the successful deployment of EESSI Organisation Key Outputs (national level) National/Workstream Project Charters (Vision, Scope, Governance, Budget, Timeline...) National Project Roadmaps/Plans Procurement of necessary resources Project Management Reporting (Quarterly Monitoring Dashboards) Validation Points • Governance in place • Service Desk Vision defined • Nationally agreed plan in place • Budget secured to support the plan • Capabilities and resources in place to support the plan • National legislation alignments (if needed) 4  Objective Business Align National Business processes to the International Business Model (BUCs, SEDs, activities Business rules) Checklist a. Conduct As-Is vs. To-Be analysis of procedures/workflows b. Align national processes/workflows with the international electronic exchanges (BUCs). Consider business process optimisation if applicable c. Map the national data model to the international data model d. Define the business transition approach and roadmap from paper to electronic exchange (e.g. actions required for clerks to manage the parallel use of paper and electronic format of BUCs during the Transition period) e. Define and assign the Institution Organisation Scenarios for electronic exchange per each BUC Type f. Map competences of institutions to the BUCs g. Update the roles and responsibilities at the Institution level in line with new procedures/workflows h. Plan and manage the business implementation activities based on the agreed BUC-by-BUC rollout i. Prepare/update relevant instructions/supporting documentation (e.g. manuals, internal operating procedures) for clerk related activities in EESSI (to include if needed also translations of EESSI business documentation such as BUCs and BUCs Guidelines) j. Train clerks about the business model to be used in EESSI 5  Objective Business Align National Business processes to International Business Model (BUCs, SEDs, activities Business rules) Key Outputs (national level) Institution Organisation Scenarios assigned for electronic exchange per each BUC Type Mapping of the competences of institutions to BUCs Updated business processes/workflows and procedures Designated roles and responsibilities for electronic exchange Validation Points • Each BUC-type is mapped to relevant institution(s) • Business implementation activities are planned and managed based on the agreed BUC rollout approach • Clerks are trained for relevant BUCs • Participating Country is business ready for specific BUCs 6 Integration Objective Strategy Each Participating Country has defined its National Integration Strategy, Architecture + and approach to ensure successful EESSI implementation Architecture Checklist a. Analyse implementation options for each institution: - with or without a National Gateway - RINA only ("Full stack") - RINA + National Applications - National Applications b. Decide on usage of AP National Access Services (Archiving, Intelligent Routing, Antimalware, Monitoring and Reporting) c. Decide on the most appropriate national implementation option and prepare the national architecture vision d. Design National Conceptual Architecture for integration of National Systems/ Applications with EESSI systems e. Design Institutional Application Architecture for the integration of Institution Applications with EESSI/ National systems f. Prepare national application specifications for adapting and integration of National Systems & Applications g. Plan and manage the transition to the national architecture vision h. Optional: do a proof-of-concept 7 Integration Objective Strategy Each Participating Country has defined its National Integration Strategy, Architecture + and approach to ensure successful EESSI implementation Architecture Key Outputs (national level) • National Conceptual Architecture for integration of National Systems/Applications with EESSI systems • Institutional Application Architecture for integration of Institution Applications with EESSI / National systems • National application specifications for adapting and integration of National Systems & Application Validation Points • National Architecture is defined • Application architecture is defined for each Institution 8  Objective Service Ensure that incident and event communications within the country and between the Desk Country Service Desk(s) and the EESSI Service Desk are in place and up and running. Checklist a. Appoint National /AP team(s) that will act as Service Desk L2; they will communicate with EESSI Central Service Desk (L3) b. Train the appointed team(s) on relevant EESSI courses (technical or operational ones depending on the Trainee profile and duties) c. Appoint team(s) that will act as Service Desk L1 and will communicate with National /AP team(s) that will act as Service Desk L2 d. Define and implement procedure(s) to communicate incidents from Institutions (or Clerks) to the L 1 Service Desk e. Define and implement procedure(s) to communicate incidents from L1 Service Desk to the L 2 Service Desk f. Communicate the procedure(s) to the relevant entities g. Create and communicate a knowledge base considering FAQs and common issues h. Create and communicate a procedure for informing about the planned and unplanned downtimes i. Define and implement monitoring, reporting procedures and tools related to SLAs 9  Objective Service Ensure that incident and event communications within the country and between the Desk Country Service Desk(s) and the EESSI Service Desk are in place and up and running. Key Outputs (national level) • Service desk members have followed the EESSI training courses and have the knowledge and skills to support the Institutions in the different domains • Support procedures have been defined and implemented for EESSI (incidents, events, SLAs) Validation Points • National supporting and reporting procedures are implemented • L2 National EESSI Service Desk team is trained and ready to provide support services • L1 EESSI Service Desk team is trained and ready to provide support services 10  AP Objective Deployment Deploy and prepare for operations of APs in each Participating Country Checklist a. Prepare for AP Deployment: get and train human resources, AP hardware infrastructure and software for AP National Access Services (e.g. Antimalware) - for the different environments b. Configure TESTA Connectivity & publish/update DNS records c. Create the infrastructure environments for installation of the AP d. Install & Configure AP Infrastructure Software e. Install & Configure AP Application Software f. Validate Installation & Connectivity g. Define the AP in the Institution Repository (together with EESSI Service Desk) h. Perform Synchronisation of CDM and Institution Repository i. Implement the National Access Services (Antimalware – mandatory, other NAS -optional) and configure the related AP NAS interfaces j. Test Message Exchanges k. Implement Security Policies l. Define and implement AP operational procedures (e.g. backup and restore, update and upgrade, health monitoring, etc.) m. Declare Access Point as Active 11  AP Objective Deployment Deploy and prepare for operations of APs in each Participating Country Key Outputs (national level) The Access Point application is up and running within the given environment (TEST, ACCEPTANCE or PRODUCTION). Validation Points • The AP(s) is registered in IR • The CDM and IR are synchronised to the AP • Test Message Exchange is successful • AP is compliant with the security policies • Operational procedures are in place • AP is declared as Active 12  Objective Define IR Register the institutions in the IR, ensuring the quality of the data, for: in CSN identification of the correct institution, electronic exchange and PAI Checklist a. Prepare the necessary data for the Institution Repository, based on the selected Institution Organisational Scenarios for electronic exchange b. Ensure that data migrated from MD is in accordance with the quality standards defined for the IR c. Input the institution business data to IR (manually or using the import tool) d. Assign competences to institutions (BUC Types and Application Roles) e. Establish which institution identification parameters will be used at BUC Type level f. Add the values for the specific identification parameters and map them with the competent institutions g. Input the institution technical data to IR (manually or using the import tool) h. Publish and activate the institution data i. Enable institutions for electronic exchange (where applicable) 13  Objective Define IR Register the institutions in the IR, ensuring the quality of the data, for: in CSN PAI, identification of correct institution and electronic exchange Key Outputs (national level) IR data is available for national electronic exchange and synchronisation to AP and national domain Validation Points • Institution Business Information is populated in IR • BUC Type is declared "EESSI Ready" for electronic exchange 14  RINA Objective Ready Deploy and configure RINA in the institutions which will use RINA Checklist RINA 1 Installation & Configuration a. Prepare for RINA Deployment: obtain and train human resources, acquire hardware & software, prepare documentation to install HW, SW, … for the different environments b. Install and configure the hardware / software according to the specifications c. Verify that dedicated institution(s) exists in the IR (including certificates) d. Install and configure RINA software according to the documentation e. Test the connection between RINA and AP f. Synchronise the CDM and IR artefacts to RINA 2 Administration of RINA g. Based on the business analysis: configure users, groups and assignment policies/processes h. Optional: Configure NIE, Archiving policies, Case/Message retention policies and external LDAP synchronisation 15  RINA Objective Deploy and configure RINA in the institutions which will use RINA Ready Checklist 3 Administrative activities i. Train the clerks on RINA usage j. Identify and implement security requirements and procedures that must be adapted/implemented for the operation of RINA k. Define and implement RINA operational procedures (e.g. backup and restore, update and upgrade, monitoring, etc.) l. Finalise support and operations procedures as well as service desk/service desk relationships m. Declare RINA ready for operation for the Institution Key Outputs (national level) RINA application is up and running within the given environment (TEST, ACCEPTANCE or PRODUCTION). Validation Points • Test Message Exchange is successful • Clerks are trained to use the RINA application 16  Objective Deploy the National Domain Application (NA/NG) in the institutions which have made the decision to use those options NA/NG Ready Note: Activities related to the national domain are dependent upon the software development methodology used within the specific Institution Checklist National Application /National Gateway 1 Preparation for development a. Prepare for NA/NG Deployment: obtain human resources, acquire hardware & software to install, licences … for the different environments (DEVELOPMENT, TEST, ACCEPTANCE, PRODUCTION) b. Acquire hardware and software licences as required; get digital certificate(s) for the relevant environment (DEVELOPMENT, TEST, ACCEPTANCE, PRODUCTION ) c. Elaborate National Architecture documentation (e.g. data exchange protocols between NG - if used - and CI.s, with decisions on RINA components/interfaces to be used) d. Verify that dedicated institutions exist in the IR (including certificates) 2 Development and testing e. Install the required new infrastructure (HW, SW, Network, certificates …) f. Develop the necessary software components based on the requirements and the chosen integration option of the NA in order to have a fully integrated solution for the selected BUCs g. Carry out internal/external and conformance testing and all activities to go into production h. Rollout the new integrated NA in the relevant Institutions 17  Objective Deploy the National Domain Application (NA/NG) in the institutions which have make the decision to use those options NA/NG Ready Note: The activities related to the national domain are dependent on the software development methodology used within the specific Institution Checklist 3 Administrative activities i. Train the clerks (not applicable for NG) and necessary technical roles on National Application usage j. Ensure that security requirements are implemented adequately k. Define and implement NA/NG operational procedures (e.g. backup and restore, update and upgrade, monitoring etc) l. Declare NA/NG ready for operation for the Institution Key Outputs (national level) NA/NG is up and running on the given environment in the Institution Validation Points • Conformance Testing has been performed successfully for the application • Declaration that the NG is ready for operation (if applicable) • Declaration that the NA is ready for operation 18  Objective Country Ensure the readiness of Participating Country per BUC-Type before starting Readiness electronic exchanges with other Participating Countries per BUC Readiness criteria a. AP is declared as Active b. IR is defined for electronic exchange c. Conformance Testing has been performed for the National Application or National Gateway d. End-to-end message exchange testing has been performed e. Declare, per Institution and per BUC-type, EESSI-ready f. Confirm security compliance with the EESSI security policies and standards g. Confirm that operational procedures are in place h. Ensure availability of documentation: guidelines and procedures for the operation of EESSI i. National supporting and reporting procedures are implemented j. L2 National EESSI Service Desk team is ready to provide support services k. L1 EESSI Service Desk team is ready to provide support services 19  European Commission Innovation and Networks Executive Agency (INEA) Connecting Europe Facility Final report 1. INFORMATION ON THE ACTION Grant Agreement Nº INEA/CEF/…. Action Title (Art. 1 of G.A.) Action number (Art. 1 of the G.A.) Author of the report Name Position Coordinator's Legal Name Telephone Nº E-mail 2. IMPLEMENTATION OF THE ACTION 2.1. Overall completion of the A ction Planned Start/End date Actual Start/End date Completion FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT 2 .2 . Completion per activity /work package Activity 1 Title Planned Start/End date 3 Actual Start/End date Completion FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT Milestone no Title 3 Planned date 3 Actual date Reach ed (Y/N) FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT Activity 2 Title 3 Planned Start/End date 3 Actual Start/End date Completion FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT Milestone no Title 3 Planned date 3 Actual date Reach ed (Y/N) FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT Activity n Title 3 Planned Start/End date 3 Actual Start/End date Completion FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT Milestone no Title 3 Planned date 3 Actual date Reach ed (Y/N) FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT FORMTEXT 2.3 . Description of the implementation of the Action, including the a ctual status at the end of the A ction and possible d eviations from the planned activities , and, if applicable, compliance with any relevant specific provisions as indicated in the Annex I of the GA FORMTEXT 2.4 . Conclusions on results of the Action, including the impact of the possible deviation on 1) the objectives of the action, 2) the completion of the planned activities and 3) the cost-breakdown FORMTEXT 3 . VISIBILITY OF UNION FUNDING What measures have been taken to publicize the Action , including EU funding (GA II.7.1) ? FORMTEXT 4. OTHER SOURCES OF EUROPEAN UNION FUNDS If applicable, provide information about other sources of EU funds ( CEF, ERDF, Cohesion Fund, H2020, TEN, EEPR, EIPA, etc. ) used for the action (including previous or subsequent phases not covered by the Grant Agreement). FORMTEXT 5 . COMPLIANCE WITH EU LEGISLATION Where relevant, provide i nformation on the compliance with EU legislation regarding other matters (notably public procurement, competition, regulatory matters, etc…) . FORMTEXT 6 . COMPLIANCE WITH CORE PLATFORM AND POLICY OBJECTIVES I nformation on the compliance with the core service, including conformity with relevant technical specifications and alignment with the policy objectives of the D igital S ervice I nfrastructure (as specified in the relevant CEF Telecom Work Programme ) . FORMTEXT ANNEX: Financial statement Annex VII Model terms of reference for the certificate on the financial statements For options [ in italics in square brackets ]: choose the applicable option. Options not chosen should be deleted. For fields in [ grey in square brackets ]: enter the appropriate data The model terms of reference for the certificate on the financial statements include templates for: the Terms of Reference for an Independent Report of Factual Findings on costs declared under a Grant Agreement financed under the Connecting Europe Facility (CEF), and the independent report of factual findings on costs declared under a grant agreement financed under the Connecting Europe Facility (CEF), including its annex. Terms of Reference for an Independent Report of Factual Findings on costs declared under a Grant Agreement financed under the Connecting Europe Facility ( CEF) This document sets out the ‘ Terms of Reference (ToR) ’ under which [OPTION 1: [insert name of the beneficiary] (‘the Beneficiary’)] [OPTION 2: [insert name of the affiliated entity] (‘the Affiliated Entity'), entity affiliated to the Beneficiary [insert name of the beneficiary] (‘the Beneficiary’)][OPTION 3: [insert name of the implementing body] ('the Implementing Body'), entity designated by the Beneficiary [insert name of the beneficiary] ('the Beneficiary') for the implementation of the action] agrees to engage [ insert legal name of the auditor ] (‘the Auditor’) to produce an independent report of factual findings (‘the Report’) concerning the Financial Statement(s) drawn up by the [Beneficiary] [Affiliated Entity] [Implementing Body] for the CEF grant agreement [ insert number of the grant agreement, title of the action, acronym and duration from/to ] (‘the Agreement’), and to issue a Certificate on the Financial Statements’ (‘CFS’) referred to in Article II.23.2 of the Agreement based on the compulsory reporting template stipulated by the Commission . The Agreement has been concluded under the Connecting Europe Facility (CEF) [Telecommunications][Energy][Transport] sector between the Beneficiary and the Innovation and Networks Executive Agency (INEA ) (‘the Agency’), under the powers delegated by the European Commission (‘the Commission’ ). The Agency is mentioned as a signatory of the Agreement with the Beneficiary only. The Agency is not a party to this engagement. 1.1 Subject of the engagement The coordinator must submit to the Agency the [OPTION 1: request for interim payment within [60 days following the end of the reporting period][8 months following the end of the reporting period]] [OPTION 2: request for final payment within [OPTION 2a for CEF-Telecom: 60 days][Option 2b for CEF-Energy/Transport: 12 months] following the end of the last reporting period] which should include, amongst other documents, a CFS for each beneficiary, each Affiliated Entity and Implementing Body, for which a total contribution of EUR 325 000 or more is requested, as reimbursement of actual eligible costs and unit costs calculated on the basis of its usual cost accounting practices (see Article II.23.2 of the Agreement). The CFS must cover all reporting periods of the beneficiary, Affiliated Entity or Implementing Body indicated above. The Beneficiary must submit to the coordinator the CFS for itself, its Affiliated Entity(ies) and its Implementing Body(ies), if the CFS must be included in the request for [interim][final] payment according to Article II.23.2 of the Agreement . The CFS is composed of two separate documents: The Terms of Reference (‘the ToR’) to be signed by the [Beneficiary][Affiliated Entity][Implementing Body] and the Auditor; The Auditor’s Independent Report of Factual Findings (‘the Report’) to be issued on the Auditor’s letterhead, dated, stamped and signed by the Auditor (or the competent public officer) which includes the agreed-upon procedures (‘the Procedures’) to be performed by the Auditor, and the standard factual findings (‘the Findings’) to be confirmed by the Auditor. If the CFS must be included in the [interim][final] report according to Article II.23.2 of the Agreement, the request for [interim payment][payment of the balance] relating to the Agreement cannot be made without the CFS. However, the payment for reimbursement of costs covered by the CFS does not preclude the Commission, the Agency , the European Anti-Fraud Office and the European Court of Auditors from carrying out checks, reviews, audits and investigations in accordance with Article II.27 of the Agreement. 1.2 Responsibilities The [Beneficiary][Affiliated Entity][Implementing Body]: must draw up the Financial Statement(s) for the action financed by the Agreement in compliance with the obligations under the Agreement. The Financial Statement(s) must be drawn up according to the [Beneficiary’s] [Affiliated Entity’s] [Implementing Body's] accounting and book-keeping system and the underlying accounts and records; must send the Financial Statement(s) to the Auditor; is responsible and liable for the accuracy of the Financial Statement(s); is responsible for the completeness and accuracy of the information provided to enable the Auditor to carry out the Procedures. It must provide the Auditor with a written representation letter supporting these statements. The written representation letter must state the period covered by the statements and must be dated; accepts that the Auditor cannot carry out the Procedures unless it is given full access to the [Beneficiary’s] [Affiliated Entity’s] [Implementing Body's] staff and accounting as well as any other relevant records and documentation. The Auditor: [Option 1 by default: is qualified to carry out statutory audits of accounting documents in accordance with 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, amending Council Directives 78/660/EEC and 83/349/EEC and repealing Council Directive 84/253/EEC or similar national regulations ] . [Option 2 if the Beneficiary, Affiliated Entity or Implementing Body has an independent Public Officer: is a competent and independent Public Officer for which the relevant national authorities have established the legal capacity to audit the Beneficiary ]. [Option 3 if the Beneficiary, Affiliated Entity or Implementing Body is an international organisation: is an [internal] [external] auditor in accordance with the internal financial regulations and procedures of the international organisation ]. The Auditor: must be independent from the Beneficiary [and the Affiliated Entity] [and the Implementing Body] , in particular, it must not have been involved in preparing the [Beneficiary’s] [Affiliated Entity’s] [Implementing Body's] Financial Statement(s ) or providing consultancy advice on the related operations and underlying transactions; must plan work so that the Procedures may be carried out and the Findings may be assessed; must adhere to the Procedures laid down and the compulsory report format; must carry out the engagement in accordance with this ToR; must document matters which are important to support the Report; must base its Report on the evidence gathered; must submit the Report to the [Beneficiary] [Affiliated Entity] [Implementing Body] . The Agency sets out the Procedures to be carried out by the Auditor. The Auditor is not responsible for their suitability or pertinence. As this engagement is not an assurance engagement, the Auditor does not provide an audit opinion or a statement of assurance. 1.3 Applicable Standards The Auditor must comply with these Terms of Reference and with : the International Standard on Related Services (‘ISRS’) 4400 Engagements to perform Agreed-upon Procedures regarding Financial Information as issued by the International Auditing and Assurance Standards Board (IAASB); the Code of Ethics for Professional Accountants issued by the International Ethics Standards Board for Accountants (IESBA). Although ISRS 4400 states that independence is not a requirement for engagements to carry out agreed-upon procedures, the Agency requires that the Auditor also complies with the Code’s independence requirements. The Auditor’s Report must state that there is no conflict of interests in establishing this Report between the Auditor and the Beneficiary [and the Affiliated Entity][and the Implementing Body] , and must specify - if the service is invoiced - the total fee paid to the Auditor for providing the Report. 1.4 Reporting The Report must be written in [ insert language] in accordance with Article 4.3 of the Agreement. Under Article II.27 of the Agreement, the Commission, the Agency, the European Anti-Fraud Office and the Court of Auditors have the right to audit any work that is carried out under the action and for which costs are declared from the European Union budget. This includes work related to this engagement. The Auditor must provide access to all working papers (e.g. recalculation of hourly rates, verification of the time declared for the action) related to this assignment if the Commission, the Agency, the European Anti-Fraud Office or the European Court of Auditors requests them. 1.5 Timing The Report must be provided by [ dd Month yyyy ] . 1.6 Other terms [ The [Beneficiary] [Affiliated Entity] [Implementing Body] and the Auditor can use this section to agree other specific terms, such as the Auditor’s fees, liability, applicable law, etc. Those specific terms must not contradict the terms specified above. ] [ legal name of the Auditor ] [ legal name of the [Beneficiary][Affiliated Entity][Implementing Body] ] Represented by [ name & function of authorised representative ] Represented by [ name & function of authorised representative ] [ dd Month yyyy ] [ dd Month yyyy ] Signature of the Auditor Signature of the [Beneficiary][Affiliated Entity][Implementing Body] Independent Report of Factual Findings on costs declared under the Connecting Europe Facility (CEF) (To be printed on the Auditor’s letterhead) To [ name of contact person(s) ], [ Position ] [ [ Beneficiary’s ] [ Affiliated Entity’s ] [ Implementing Body's ] name ] [ Address ] [ dd Month yyyy ] Dear [ Name of contact person(s) ], As agreed under the terms of reference dated [ dd Month yyyy ] with [OPTION 1: [ insert name of the beneficiary ] (‘the Beneficiary’)] [OPTION 2: [ insert name of the affiliated entity ] (‘the Affiliated Entity’), entity affiliated to the Beneficiary [ insert name of the beneficiary ] (‘the Beneficiary’)] [OPTION 3: [insert name of the implementing body] ('the Implementing Body'), entity designated by the Beneficiary [insert name of the beneficiary] ('the Beneficiary') for the implementation of the action] , we [ name of the auditor ] (‘the Auditor’), established at [ full address/city/state/province/country ] , represented by [ name and function of an authorised representative ] , have carried out the procedures agreed with you regarding the costs declared in the Financial Statement(s) of the [Beneficiary] [Affiliated Entity] [Implementing Body] concerning the grant agreement [ insert grant agreement reference: number, title of the action and acronym ] (‘the Agreement’), with a total cost declared of EUR [ total amount ], and a total of actual costs and ‘direct personnel costs declared as unit costs calculated in accordance with the [Beneficiary’s] [Affiliated Entity’s] [Implementing Body's] usual cost accounting practices’ declared of EUR [ sum of total actual costs and total direct personnel costs declared as unit costs calculated in accordance with the [Beneficiary’s] [Affiliated Entity’s] [Implementing Body's] usual cost accounting practices ] , and hereby provide our Independent Report of Factual Findings (‘the Report’) using the compulsory report format agreed with you. The Report Our engagement was carried out in accordance with the terms of reference (‘the ToR’) appended to this Report. The Report includes the agreed-upon procedures (‘the Procedures’) carried out and the standard factual findings (‘the Findings’) examined. The Procedures were carried out solely to assist the Agency in evaluating whether the [Beneficiary’s] [Affiliated Entity’s] [Implementing Body's] costs in the accompanying Financial Statement(s) were declared in accordance with the Agreement. The Agency draws its own conclusions from the Report and any additional information it may require. The scope of the Procedures was defined by the Agency . Therefore, the Auditor is not responsible for their suitability or pertinence. Since the Procedures carried out constitute neither an audit nor a review made in accordance with International Standards on Auditing or International Standards on Review Engagements, the Auditor does not give a statement of assurance on the Financial Statements. Had the Auditor carried out additional procedures or an audit of the [Beneficiary’s] [Affiliated Entity’s] [Implementing Body's] Financial Statements in accordance with International Standards on Auditing or International Standards on Review Engagements, other matters might have come to its attention and would have been included in the Report. Not applicable Findings We examined the Financial Statement(s) stated above and considered the following Findings not applicable: Explanation (to be removed from the Report): If a Finding was not applicable, it must be marked as ‘ N.A .’ (‘Not applicable’) in the corresponding row on the right-hand column of the table and means that the Finding did not have to be corroborated by the Auditor and the related Procedure(s) did not have to be carried out. The reasons of the non-application of a certain Finding must be obvious i.e.: i) if no cost was declared under a certain category then the related Finding(s) and Procedure(s) are not applicable; ii) if the condition set to apply certain Procedure(s) are not met the related Finding(s) and those Procedure(s) are not applicable. For instance, for ‘beneficiaries with accounts established in a currency other than euro’ the Procedure and Finding related to ‘beneficiaries with accounts established in euro’ are not applicable. Similarly, if no additional remuneration is paid, the related Finding(s) and Procedure(s) for additional remuneration are not applicable. List here all Findings considered not applicable for the present engagement and explain the reasons of the non-applicability. …. Exceptions Apart from the exceptions listed below, the [Beneficiary] [Affiliated Entity] [Implementing Body] provided the Auditor all the documentation and accounting information needed by the Auditor to carry out the requested Procedures and evaluate the Findings. Explanation (to be removed from the Report): If the Auditor was not able to successfully complete a procedure requested, it must be marked as ‘ E ’ (‘Exception’) in the corresponding row on the right-hand column of the table. The reason such as the inability to reconcile key information or the unavailability of data that prevents the Auditor from carrying out the Procedure must be indicated below. If the Auditor cannot corroborate a standard finding after having carried out the corresponding procedure, it must also be marked as ‘ E ’ (‘Exception’) and, where possible, the reasons why the Finding was not fulfilled and its possible impact must be explained here below. List here any exceptions and add any information on the cause and possible consequences of each exception, if known. If the exception is quantifiable, include the corresponding amount. …. Example (to be removed from the Report): The Beneficiary was unable to substantiate the Finding number 1 on … because …. After carrying out the agreed procedures to confirm the Finding number 31, the Auditor found a difference of EUR _____________. The difference can be explained by … Further Remarks In addition to reporting on the results of the specific procedures carried out, the Auditor would like to make the following general remarks: Example (to be removed from the Report): Regarding Finding number 8 the conditions for additional remuneration were considered as fulfilled because … In order to be able to confirm the Finding number 15 we carried out the following additional procedures: …. Use of this Report This Report may be used only for the purpose described in the above objective. It was prepared solely for the confidential use of the [Beneficiary] [Affiliated Entity] [Implementing Body] and the Agency, and only to be submitted to the Agency in connection with the requirements set out in Article II.23.2 of the Agreement. The Report may not be used by the [Beneficiary] [Affiliated Entity] [Implementing Body] or by the Agency for any other purpose, nor may it be distributed to any other parties. The Agency may only disclose the Report to authorised parties, in particular to the European Anti-Fraud Office (OLAF) and the European Court of Auditors. This Report relates only to the Financial Statement(s) submitted to the Agency by the [Beneficiary] [Affiliated Entity] [Implementing Body] for the Agreement. Therefore, it does not extend to any other of the [Beneficiary’s] [Affiliated Entity’s] [Implementing Body's] Financial Statement(s). There was no conflict of interest between the Auditor and the Beneficiary [and Affiliated Entity] [and Implementing Body] in establishing this Report. The total fee paid to the Auditor for providing the Report was EUR ______ (including EUR ______ of deductible VAT). We look forward to discussing our Report with you and would be pleased to provide any further information or assistance. [ legal name of the Auditor ] [ name and function of an authorised representative ] [ dd Month yyyy ] Signature of the Auditor Agreed -upon procedures to be performed and standard factual findings to be confirmed by the Auditor The Agency reserves the right to i) provide the A uditor with additional guidance regarding the procedures to be followed or the facts to be ascertained and the way in which to present them (this may include sample coverage and findings) or to ii) change the procedures, by notifying the Beneficiary in writing. The procedures carried out by the A uditor to confirm the standard factual finding are listed in the table below. If this certificate relates to an Affiliated Entity or Implementing Body, any reference here below to ‘the Beneficiary’ is to be considered as a reference to ‘the Affiliated Entity’ or 'Implementing Body' respectively. The ‘result’ column has three different options: ‘C’, ‘E’ and ‘N.A.’: ‘C’ stands for ‘confirmed’ and means that the A uditor can confirm the ‘standard factual finding’ and, therefore, there is no exception to be reported. ‘E’ stands for ‘exception’ and means that the Auditor carried out the procedures but cannot confirm the ‘standard factual finding’, or that the Auditor was not able to carry out a specific procedure (e.g. because it was impossible to reconcile key information or data were unavailable), ‘N.A.’ stands for ‘not applicable’ and means that the Finding did not have to be examined by the Auditor and the related Procedure(s) did not have to be carried out. The reasons of the non-application of a certain Finding must be obvious i.e. i) if no cost was declared under a certain category then the related Finding(s) and Procedure(s) are not applicable; ii) if the condition set to apply certain Procedure(s) are not met then the related Finding(s) and Procedure(s) are not applicable. For instance, for ‘beneficiaries with accounts established in a currency other than the euro’ the Procedure related to ‘beneficiaries with accounts established in euro’ is not applicable. Similarly, if no additional remuneration is paid, the related Finding(s) and Procedure(s) for additional remuneration are not applicable. Ref Procedures Standard factual finding Result (C / E / N.A.) A ACTUAL PERSONNEL COSTS AND UNIT COSTS CALCULATED BY THE BENEFICIARY IN ACCORDANCE WITH ITS USUAL COST ACCOUNTING PRACTICE The Auditor draws a sample of persons whose costs were declared in the Financial Statement(s) to carry out the procedures indicated in the consecutive points of this section A. ( The sample should be selected randomly so that it is representative. Full coverage is required if there are fewer than 10 people (including employees, natural persons working under a direct contract and personnel seconded by a third party), otherwise the sample should have a minimum of 10 people, or 10% of the total, whichever number is the highest) The Auditor sampled ______ people out of the total of ______ people. A.1 PERSONNEL COSTS For the persons included in the sample and working under an employment contract or equivalent act (general procedures for individual actual personnel costs and personnel costs declared as unit costs) To confirm standard factual findings 1-6 listed in the next column, the Auditor reviewed following information/documents provided by the Beneficiary: a list of the persons included in the sample indicating the period(s) during which they worked for the action, their position (classification or category) and type of contract; the payslips of the employees included in the sample; reconciliation of the personnel costs declared in the Financial Statement(s) with the accounting system (project accounting and general ledger) and payroll system; information concerning the employment status and employment conditions of personnel included in the sample, in particular their employment contracts or equivalent; the Beneficiary’s usual policy regarding payroll matters (e.g. salary policy, overtime policy, variable pay); applicable national law on taxes, labour and social security and any other document that supports the personnel costs declared. The Auditor also verified the eligibility of all components of the retribution (see Article II.19.1 and II.19.2.a) of the Agreement) and recalculated the personnel costs for employees included in the sample. The employees were i) directly hired by the Beneficiary in accordance with its national legislation, ii) under the Beneficiary’s sole technical supervision and responsibility and iii) remunerated in accordance with the Beneficiary’s usual practices. Personnel costs were recorded in the Beneficiary's accounts/payroll system. Costs were adequately supported and reconciled with the accounts and payroll records. Personnel costs did not contain any ineligible elements. There were no discrepancies between the personnel costs charged to the action and the costs recalculated by the Auditor. The personnel costs declared were incurred within the reporting period and free from non-eligible costs set out in Article II.19.4 of the Agreement . Further procedures if ‘additional remuneration’ is paid To confirm standard factual findings 7-8 listed in the next column, the Auditor: reviewed relevant documents provided by the Beneficiary (legal form, legal/statutory obligations, the Beneficiary’s usual policy on additional remuneration, criteria used for its calculation…); recalculated the amount of additional remuneration eligible for the action based on the supporting documents received (full-time or part-time work, exclusive or non-exclusive dedication to the action, etc.) to arrive at the applicable full time equivalent ( FTE ) /year and pro-rata rate (see data collected in the course of carrying out the procedures under A.2 ‘ Productive hours’ and A.4 ‘ Time recording system’). The amount of additional remuneration paid corresponded to the Beneficiary’s usual remuneration practices and was consistently paid whenever the same kind of work or expertise was required. The criteria used to calculate the additional remuneration were applied by the Beneficiary regardless of the source of funding used. Additional procedures in case “unit costs calculated by the Beneficiary in accordance with its usual cost accounting practices” is applied: Apart from carrying out the procedures indicated above to confirm standard factual findings 1- 6 and, if applicable, also 7 - 8 , the Auditor carried out following procedures to confirm standard factual findings 9-13 listed in the next column : reviewed the grant agreement in order to make sure the use of unit costs calculated by the beneficiary according to its usual accounting practice was permitted obtained a description of the Beneficiary's usual cost accounting practice to calculate unit costs; reviewed whether the Beneficiary's usual cost accounting practice was applied for the Financial Statements subject of the present CFS; verified the employees included in the sample were charged under the correct category (in accordance with the criteria used by the Beneficiary to establish personnel categories) by reviewing the contract/HR-record or analytical accounting records; verified that there is no difference between the total amount of personnel costs used in calculating the cost per unit and the total amount of personnel costs recorded in the statutory accounts; verified whether actual personnel costs were adjusted on the basis of budgeted or estimated elements and, if so, verified whether those elements used were relevant for the calculation, reasonable and correspond to objective and verifiable information supported by documents. The grant agreement permits the use of unit costs calculated by the beneficiary according with its usual cost accounting practice. The personnel costs included in the Financial Statement were calculated in accordance with the Beneficiary's usual cost accounting practice. The employees were charged under the correct category . Total personnel costs used in calculating the unit costs were consistent with the expenses recorded in the statutory accounts. Any estimated or budgeted element used by the Beneficiary in its unit-cost calculation were relevant for calculating personnel costs and corresponded to objective and verifiable information. For natural persons included in the sample and working with the Beneficiary under a direct contract other than an employment contract, such as consultants. To confirm standard factual findings 14-18 listed in the next column the Auditor reviewed following information/documents provided by the Beneficiary: the contracts, especially the cost, contract duration, work description, place of work, ownership of the results and reporting obligations to the Beneficiary; the employment conditions of staff in the same category to compare costs and; any other document that supports the costs declared and its registration (e.g. invoices, accounting records, etc.). The natural persons reported to the Beneficiary (worked under the Beneficiary’s instructions). They worked at the Beneficiary’s premises (unless otherwise agreed with the Beneficiary). The results of work carried out belong to the Beneficiary. Their costs were not significantly different from those for staff who perform similar tasks under an employment contract with the Beneficiary. The costs were supported by audit evidence and registered in the accounts. A.2 PRODUCTIVE HOURS To confirm standard factual findings 1 9 -23 listed in the next column, the Auditor reviewed relevant documents, especially national legislation, labour agreements and contracts and time records of the persons included in the sample, to verify that: the annual productive hours applied were calculated in accordance with one of the methods described below ; the full-time equivalent (FTEs) ratios for employees not working full-time were correctly calculated. If the Beneficiary applied method B , the A uditor verified that the correctness in which the total number of hours worked was calculated and that the contracts specified the annual workable hours. If the Beneficiary applied method C , the A uditor verified that the ‘annual productive hours’ applied when calculating the hourly rate were equivalent to at least 90 % of the ‘standard annual workable hours’. The Auditor can only do this if the calculation of the standard annual workable hours can be supported by records, such as national legislation, labour agreements, and contracts. Beneficiary's Productive hours' for persons working full time shall be one of the following methods: A . 1720 annual productive hours (pro-rata for persons not working full-time) ; B . the total number of hours worked by the person for the beneficiary in the year (this method is also referred to as ‘total number of hours worked’ in the next column). The calculation of the total number of hours worked was done as follows: annual workable hours of the person according to the employment contract, applicable labour agreement or national law plus overtime worked minus absences (such as sick leave or special leave); C . the standard number of annual hours generally applied by the beneficiary for its personnel in accordance with its usual cost accounting practices (this method is also referred to as ‘total annual productive hours’ in the next column). This number must be at least 90% of the standard annual workable hours. Annual workable hours’ means the period during which the personnel must be working, at the employer’s disposal and carrying out his/her activity or duties under the employment contract, applicable collective labour agreement or national working time legislation. The Beneficiary applied method [ choose one option and delete the others ] [ A : 1720 hours] [ B : the ‘total number of hours worked’] [ C : ‘annual productive hours’ used correspond to usual accounting practices] Productive hours were calculated annually. For employees not working full-time the full-time equivalent (FTE) ratio was correctly applied. If the Beneficiary applied method B . The calculation of the number of ‘annual workable hours’, overtime and absences was verifiable based on the provided by the Beneficiary. If the Beneficiary applied method C . The calculation of the number of ‘standard annual workable hours’ was verifiable based on the documents provided by the Beneficiary. The ‘annual productive hours’ used for calculating the hourly rate were consistent with the usual cost accounting practices of the Beneficiary and were equivalent to at least 90 % of the ‘annual workable hours’. A.3 HOURLY PERSONNEL RATES I) For unit costs calculated in accordance to the Beneficiary's usual cost accounting practice (unit costs): The Auditor: reviewed the documentation provided by the Beneficiary, including manuals and internal guidelines that explain how to calculate hourly rates; recalculated the unit costs (hourly rates) of staff included in the sample following the results of the procedures carried out in A.1 and A.2. II) For individual hourly rates: The Auditor: reviewed the documentation provided by the Beneficiary, including manuals and internal guidelines that explain how to calculate hourly rates; recalculated the hourly rates of staff included in the sample following the results of the procedures carried out in A.1and A.2. “ Unit costs calculated by the Beneficiary in accordance with its usual cost accounting practices”: It is calculated b y dividing the total amount of personnel costs of the category to which the employee belongs verified in line with procedure A.1 by the number of FTE and the annual total productive hours of the same category calculated by the Beneficiary in accordance with procedure A.2. Hourly rate for individual actual personal costs: It is calculated by dividing the total amount of personnel costs of an employee verified in line with procedure A.1 by the number of annual productive hours verified in line with procedure A.2. The Beneficiary applied [ choose one option and delete the other ]: [Option I: “Unit costs (hourly rates) were calculated in accordance with the Beneficiary’s usual cost accounting practices”] [Option II: Individual hourly rates were applied] For O ption I concerning unit costs: The unit costs re-calculated by the Auditor were the same as the rates applied by the Beneficiary. For O ption II concerning individual hourly rates: The individual rates re-calculated by the Auditor were the same as the rates applied by the Beneficiary. A.4 TIME RECORDING SYSTEM To verify that the time recording system ensures the fulfilment of all minimum requirements and that the hours declared for the action were correct, accurate and properly authorised and supported by documentation, the Auditor made the following checks for the persons included in the sample that declare time as worked for the action on the basis of time records: description of the time recording system provided by the Beneficiary (registration, authorisation, processing in the HR-system); its actual implementation; time records were signed at least monthly by the employees (on paper or electronically) and authorised by the project manager or another manager; the hours declared were worked within the reporting period; there were no hours declared as worked for the action if HR-records showed absence due to holidays or sickness (further cross-checks with travels are carried out in B.1 below) ; the hours charged to the action matched those in the time recording system. Only the hours worked on the action can be charged. All working time to be charged should be recorded throughout the duration of the REPORTING PERIOD, adequately supported by evidence of their reality and reliability (see specific provisions below for persons working exclusively for the action without time records). All persons recorded their time dedicated to the action on a daily/ weekly/ monthly basis using a paper / computer-based system. [ delete the answers that are not applicable] Their time-records were authorised at least monthly by the project manager or other superior. Hours declared were worked within the reporting period and were consistent with the presences/absences recorded in HR-records. There were no discrepancies between the number of hours charged to the action and the number of hours recorded. If the persons are working exclusively for the action and without time records For the persons selected that worked exclusively for the action without time records, the Auditor verified evidence available demonstrating that they were in reality exclusively dedicated to the action and that the Beneficiary signed a declaration confirming that they have worked exclusively for the action. The exclusive dedication is supported by a declaration signed by the Beneficiary’s and by any other evidence gathered. B AWARDED CONTRACTS NECESSARY FOR THE IMPLEMENTATION OF THE ACTION B.1 The Auditor obtained the detail/breakdown of procured costs and sampled ______ cost items selected randomly for testing of the applied procurement procedure ( full coverage is required if there are fewer than 5 items, otherwise the sample should have a minimum of 5 it em s , or 10 % of the total, whichever number is the highe st ). In order to select the sample, a full schedule of all contracts awarded relevant to the costs declaration certified was made available for the A uditor including the name of the Contracting Authority /Entity, supplier name, subject of the contract, type of procurement procedure applied, level and means of advertisement (including references to contract notices and contract award notices or other means), the initial contract value and the aggregate value including all subsequent amendments to the original contract and date of publication of the relevant tender or at least the date of the award of the contract if no publication took place. To confirm standard factual finding 33 listed in the next column, the Auditor reviewed the following for the items included in the sample: B.1.1) For all contracts From the sampled contracts, the Auditor verified that (33- 4 3 ) : the contracted tasks are relevant for the activities (or sub-activities) defined in the Agreement (Article 1 and Annex I of the Agreement); the declared costs arising from the contract were allocated to the correct activity (or sub-activity) as defined in the Agreement; the declared costs arising from the contract were incurred during the reporting period covered by the cost declaration; the declared costs were accounted in line with the beneficiary's usual accounting practice; 'The Auditor verified that no ineligible costs such as deductible VAT, exchange rate losses, excessive or reckless expenditure were declared (see Article II.19.4 of the Agreement), in line with the wording used in other sections of the audit certificate ; the Beneficiary followed their usual procurement rules; supporting documents on the selection and award procedure demonstrate that the selected contractor offered the best value (or lowest price) according to the criteria defined by the beneficiary; original offers of all bidding parties were reviewed and consistent with the evaluation documents (entity name / price/submissio n date) - (Article II.27.2 GA); the Beneficiary ensured that there was no conflict of interest when selecting and awarding the contract to the contractor . For the items included in the sample the Auditor also verified that: the contracts were not awarded to other Beneficiaries listed in the Agreement ( in such cases, the costs should be declared on an actual cost basis by the co-beneficiary and not as a profit generating contract between beneficiaries ) ; there were signed agreements between the Beneficiary and the contractor; there was evidence that the contract was executed by the contractor (i.e. services were provided, works/supply were delivered). The required information on all contracts signed relevant to the costs declared was provided by the beneficiary in order to select the sample. The contracted works/ services/ supplies were linked to the activities covered in the Agreement. The contracts were not signed with other co- Beneficiaries The Beneficiary provided original signed contracts with the contractor. The Beneficiary provided adequate evidence that the services/ works were provided by the contractors. The cost allocation of the declared costs was consistent with the activities performed and the activities covered by the Agreement. The costs declared were incurred within the reporting period and free from non-eligible costs set out in Article II.19.4 of the Agreement. The declared costs were accounted according to the Beneficiary's usual accounting practice. The beneficiary complied with its usual procurement rules There were documents of requests to different providers, different offers and assessment of the offers before selection of the provider in line with internal procedures and procurement rules. Contracts were awarded in accordance with the principle of best value for money (or lowest price) . ( When different offers were not collected the Auditor explains the reasons provided by the Beneficiary under the caption “Exceptions” of the Report. The Agency will analyse this information to evaluate whether these costs might be accepted as eligible) . No conflict of interest was evident in the procurement process followed. Original offers of selected and non-selected bidders were provided without exception in compliance with Article II.27.2 of the Agreement and could be reconciled to the tender evaluation documents. B.1 .2) The national law transposing the EU Directives on public procurement procedures is applicable to the contract(s) in question The Auditor , in addition to the verification s listed under point B1.1 ) (3 3 -4 3 ) , verified that (4 4 -5 6 ): a) In case t he national law transposing the EU Directives on public procurement procedures is applicable to the contract(s) in question: the applicable national law on public procurement was followed and that the award of the contract necessary for the implementation of the Action complied with the Terms and Conditions of the Agreement; the respective EU p ublic procurement thresholds were not bypassed by artificial contract splitting by the beneficiary; (This can be considered by examining the list of all contracts signed (obtained under section B.1.1 ) above), their value and type of procedure. If the subjects of several contracts are so closely linked to another one in the cost claim, that they could or should have been tendered together, and the concerned contracts – usually below EU thresholds - were awarded to the same contractor(s), the auditor provides a clear explanation of why each contract had to be considered as separate procurement exercise); the procurement procedure used was in compliance with the national law transposing the EU legal framework (EU Directive(s) on public procurement procedures); adequate justification is provided on the use of negotiated procedures with or without prior call for competition under the national law transposing Directive 2004/18/EC and for negotiated procedures without prior call for competition under the national law transposing Directive 2004/17/EC ; the procedure was sufficiently transparent and non-discriminatory (the exclusion, selection and award criteria enabled fair completion and did not unfairly favour any bidder); the deadline for submitting offers / invitations to tender was consistent with the national / European legal framework; the selection and award criteria were predefined in the contract notice / tender specifications and were not changed during the evaluation process; in its communication the Beneficiary had ensured equal treatment of candidates (question responses sent to all bidders, unsuccessful bidders duly informed etc.); the evaluation was sufficiently documented, with a clear audit trail leading to the selection of the contractor recommended by the evaluation process; exclusions during the tender evaluation were compliant with the tender specifications and could be validated by the Auditor; the amount, duration and conditions of the contract signed following the award process were consistent with the provisions stipulated in the tender documentation; tender and contractual performance guarantees required in the specifications were provided as set out in the tender documentation; an adequate level of publicity was ensured during the tendering process in line with the national legislation (contract notice, contract award notice is available or level of publicity is satisfactory if prior call for publication in the Official Journal is not needed) . Beneficiary acted as a Contracting Authority within the meaning of Directive 2004/18/EC or a Contracting Entity in the meaning of Directive 2004/17/EC (or previous or subsequent EU Directives on public procurement procedures) and followed the applicable national legal framework . The contract(s) in question falls within the scope of application of the national law transposing the EU Directives on public procurement procedures . No indications of artificial contractual splitting aimed at avoiding the application of the national law transposing the EU Directives on public procurement procedures were observed based on the review of the complete contract listing . (When indications are noted the Auditor explains the reasons provided by the Beneficiary under the caption "Exceptions" of the Report. The Agency will analyse this information to evaluate whether these costs might be accepted as eligible) . The procurement procedure selected was in compliance with the national law transposing the EU Directives on public procurement procedures . The conditions for publication according to national law transposing the EU law were respected (contract notice / contract award notice) . The procurement procedures applied were transparent and non-discriminatory . The deadlines to request participation, submit tenders, or ask for information were compliant with the requirements of the applicable national law transposing the EU Directives o n public procurement procedures. The selection and award criteria were published in the contract notice / tender specifications. No changes to the exclusion / selection / award criteria were made after the submission of offers. Original offers of selected and non-selected bidders were provided without exception in compliance with Article II.27.2 of the Agreement and could be reconciled with the tender evaluation documents. In case of offers excluded during the evaluation process the exclusion was justified and consistent with the requirements in the contract notice / tender specifications (exclusion, selection and award criteria). The evaluation was based on pre-defined criteria. The award decision was consistent with the results obtained and the contract was awarded to the best ranked tender. The amount, duration and conditions of the contract signed following the award process were consistent with the winning offer and tender specifications. The use of negotiated procedures with or without prior call for competition under Directive 2004/18/EC and the use of negotiated procedures without prior call for competition under Directive 2004/17/EC were justified by the Beneficiary from a legal and technical point of view as necessary. b) In case the national law transposing the EU Directives on public procurement procedures are not or only partially applicable to a contract(s) the Auditor verified that (5 7 -5 8 ): the principle of sound financial management and basic principles of the Treaty of the Functioning of the European Union are respected (transparency, equal treatment, non-discrimination) . In case there is a cross-border interest, if an adequate level of publicity has been ensured and the provisions of Commission Communication 2006/C 179/02 have been respected. For Beneficiaries acting as Contracting Authorities or Contracting Entities, in case the national law transposing the Directives is not or only partially applicable due to exceptions provided by the Directives, the principle of sound financial management and basic principles of the Treaty (transparency, equal treatment, non-discrimination) are respected. For Beneficiaries acting as Contracting Authorities or Contracting Entities, in case the national law on public procurement transposing the Directives is not or only partially applicable due to exceptions provided by the Directives and there is a cross-border interest, verify if an adequate level of publicity has been ensured in line with Commission Communication 2006/C 179/02. c ) In the case of framework contracts, the Auditor verified that (5 9 ): the procurement procedure used to award the framework contract was in compliance with the national law transposing the EU Directives on public procurement procedures ; the conditions required in the framework contract in order to establish a specific contract were followed, respecting the principles of tr ansparency and equal treatment; an adequate level of publicity was ensured during the tendering process in line with the national legislation . The procurement procedure used to award a framework contract was in line with the applicable national law transposing the EU Directives on public procurement procedures and the respective specific contract were awarded in line with the conditions set forth by the framework contract. d ) In the case of post contract award amendments , the Auditor verified that ( 60 -6 3 ): the beneficiary has produced documented technical and legal justification for the amendment, and its compliance with the requirements of the applicable national law transposing the EU Directives on public procurement procedures ; the amendments signed were compliant with national law transposing the EU Directives (a strict interpretation of the requirements of the national transposing the Directives is required as the use of negotiated procedures without prior call for competition always constitute an exception and shall be justified under Article 31 of Directive 2004/18/EC or Article 40 of Directive 20014/17/EC by the party seeking to rely on their use) ; amendments do not introduce changes which are materially different in character from the conditions of the original contract showing the intention to renegotiate essential terms of the contract; amendments do not introduce conditions which, had they been part of the initial award procedure, would have allowed for the admission of tenderers other than those initially admitted or would have allowed for the acceptance of a tender other than the one initially accepted; the scope of the contract has not been extended considerably to encompass services not covered initially; the economic balance of the contract has not changed in favour of the supplier in a manner which was not provided for in the terms of the initial tender documents. The sampled contractual amendments signed were compliant with national law transposing the EU Directives . In case of amendments, the beneficiary has produced documented technical and legal justification for the amendment, and its compliance with the requirements of the applicable national law transposing the EU Directives on public procurement procedures (in particular with Article 31 of Directive 2004/18/EC or Article 40 of Directive 2004/17/EC as applicable) . In case of amendments the scope of the contract has not been extended considerably to encompass services not covered initially; In case of amendments the economic balance of the contract has not changed in favour of the supplier in a manner which was not provided for in the terms of the initial tender documents. C COSTS OF PROVIDING FINANCIAL SUPPORT TO THIRD PARTIES C.1 The Auditor obtained the detail/breakdown of the costs of providing financial support to third parties and sampled ______ cost items selected randomly ( full coverage is required if there are fewer than 5 items, otherwise the sample should have a minimum of 5 item, or 10% of the total, whichever number is the highest ). If the possibility to give financial support to third parties is provided for in the Agreement (Article 17 of the Agreement), the Auditor verified that the following minimum conditions were met: the maximum amount of financial support for each third party did not exceed EUR 60 000, unless it is the primary aim of the action as specified in Annex I of the Agreement; the financial support to third parties was agreed in Annex I of the Agreement and the other provisions on financial support to third parties included in Annex I were respected (i.e. the criteria for determining the exact amount of the financial support, the different types of activity that may receive financial support on the basis of a fixed list, the definition of the persons or categories of persons which may receive financial support, the criteria for giving the financial support); in case the financial support takes the form of a prize, the financial support to third parties was given in accordance with the conditions specified in Annex I of the Agreement, including inter alia the conditions for participation, the award criteria, the amount of the prize and the payment arrangements. All minimum conditions of Article 17 were met. The costs declared were incurred within the reporting period and free from non-eligible costs set out in Article II.19.4 of the Agreement. D OTHER ACTUAL DIRECT COSTS D.1 COSTS OF TRAVEL AND RELATED SUBSISTENCE ALLOWANCES The Auditor sampled ______ cost items selected randomly ( full coverage is required if there are fewer than 5 items, otherwise the sample should have a minimum of 5 items, or 10% of the total, whichever number is the highest ). The Auditor inspected the sample and verified that: travel and subsistence costs were consistent with the Beneficiary's usual policy for travel. In this context, the Beneficiary provided evidence of its normal policy for travel costs (e.g. use of first class tickets, reimbursement by the Beneficiary on the basis of actual costs, a lump sum or per diem) to enable the Auditor to compare the travel costs charged with this policy; travel costs are correctly identified and allocated to the action (e.g. trips are directly linked to the action) by reviewing relevant supporting documents such as minutes of meetings, workshops or conferences, their registration in the correct project account, their consistency with time records or with the dates/duration of the workshop/conference; no ineligible costs or excessive or reckless expenditure was declared (see Articles II.19.3 and II.19.4 of the Agreement). Costs were incurred, approved and reimbursed in line with the Beneficiary's usual policy for travels. There was a link between the trip and the action. The supporting documents were consistent with each other regarding subject of the trip, dates, duration and reconciled with time records and accounting. No ineligible costs or excessive or reckless expenditure was declared. The costs declared were incurred within the reporting period and free from non-eligible costs set out in Article II.19.4 of the Agreement. D.2 COSTS FOR EQUIPMENT, INFRASTRUCTURE OR OTHER ASSETS The Auditor sampled ______ cost items selected randomly ( full coverage is required if there are fewer than 5 items, otherwise the sample should have a minimum of 5 items, or 10% of the total, whichever number is the highest ). In addition to the verifications listed under point B.1.1) (standard findings 3 3 -4 3 ) or, if applicable, also under point B.1.2) (standard findings 4 4 -6 3 ) , the Auditor performed the following: If only the depreciation costs are eligible in accordance with Article II.19.2 (c) of the Agreement: the Auditor recalculated the depreciation costs and verified that they were in line with the applicable rules in the international accounting standards and the usual accounting practices of the Beneficiary (e.g. depreciation calculated on the acquisition value) ; The extent to which the assets were used for the action (as a percentage) was supported by reliable documentation (e.g. usage overview table); The Auditor verified that no ineligible costs such as deductible VAT, exchange rate losses, excessive or reckless expenditure were declared (see Articles II.19.3 and II.19.4 of the Agreement) ; Costs of contracts for goods, works or services or of subcontracts are considered to be incurred when the contract or subcontract (or part of it) is executed, i.e. when the goods, works or services (including studies) are supplied, delivered or provided (see Article II.19.1 of the Agreement) . [choose one option and delete the other] . [ Option 1: Only the depreciation costs for equipment, infrastructure or other assets are eligible in accordance with Article II.19.2 (c) of the Agreement] . [ Option 2: The full purchase costs are eligible in accordance with Article II.19.2 (c) of the Agreement] . Where only depreciation costs are eligible, the depreciation method used to charge the asset to the action was in line with the applicable rules of the Beneficiary's country and the Beneficiary's usual accounting policy. Where only the depreciation costs are eligible, the amount charged corresponded to the actual usage for the action. Where the full purchase costs are eligible, the assets purchased are treated as capital expenditure in accordance with the tax and accounting rules applicable to the beneficiary, and are recorded in the fixed assets account of its balance sheet. D.3 COSTS OF SUBCONTRACTING in line with Article II.2.10 The Auditor sampled ______ cost items selected randomly ( full coverage is required if there are fewer than 10 items, otherwise the sample should have a minimum of 10 ite m s , or 10% of the total, whichever number is the highest ). For the items included in the sample, i n addition to the verifications listed under point B.1.1) (standard findings 3 3 -4 3 ) or, if applicable, also under point B.1.2) (standard findings 4 4 -6 3 ) , the Auditor reviewed the following in order to c onfirm standard factual finding 7 5 in the next column : the use of subcontractors was foreseen in Annex I or communicated by the coordinator and approved by the Commission (see Article II . 10.2 of the Agreement); f or Agreements signed under the CEF-Telecom , subcontracting costs were declared in the subcontracting category of Annex III and the Financial Statement . The use of claimed subcontracting costs was foreseen in Annex I for all sectors of CEF and for CEF Telecom the costs were declared in Annex III and the Financial Statements under the subcontracting category. D.4 COSTS RELATED TO LAND AND BUILDING ACQUISITION Only applicable for Agreements signed under the CEF-Transport, which specifically provide for the eligibility of land and building acquisition. The Auditor sampled ______ cost items selected randomly ( full coverage is required if there are fewer than 5 items, otherwise the sample should have a minimum of 5 item, or 10% of the total, whichever number is the highest ). For the purchase of land included in the sample the Auditor verified that: the costs of purchase of land not built on and land built on were eligible in accordance with Article 15 of the Agreement and did not exceed 10 % of the total eligible costs of the action; the costs of purchase of derelict sites and purchase of sites formerly in industrial use which comprise buildings were eligible in accordance with Article 15 of the Agreement and did not exceed 15 % of the total eligible costs of the action; the costs did not exceed the limit agreed upon in the Agreement for operations concerning environmental conservation (Article 15 of the Agreement); they were correctly identified, and allocated to the proper action. The Auditor verified that no ineligible costs were declared (Articles II.19.3 and II.19.4 of the Agreement). Land / building acquisition costs are eligible in accordance with Article 15 of the Agreement. Costs were allocated to the correct action. Costs do not exceed the maximum ceiling as specified in the Agreement. Costs were charged in line with the Beneficiary’s accounting policy and were adequately supported. The costs declared were incurred within the reporting period and free from non-eligible costs set out in Article II.19.4 of the Agreement. E USE OF EXCHANGE RATES E.1 a) For Beneficiaries with accounts established in a currency other than euros The Auditor sampled ______ cost items selected randomly and verified that the exchange rates used for converting other currencies into euros were in accordance with the following rules established in the Agreement ( full coverage is required if there are fewer than 5 items, otherwise the sample should have a minimum of 5 item, or 10% of the total, whichever number is the highest) : Costs incurred in another currency shall be converted into euro at the average of the daily exchange rates published in the C series of Official Journal of the European Union ( https://www.ecb.int/stats/exchange/eurofxref/html/index.en.html ) , determined over the corresponding reporting period. If no daily euro exchange rate is published in the Official Journal of the European Union for the currency in question, conversion shall be made at the average of the monthly accounting rates established by the Commission and published on its website ( http://ec.europa.eu/budget/contracts_grants/info_contracts/inforeuro/inforeuro_en.cfm ), determined over the corresponding reporting period. The exchange rates used to convert other currencies into Euros were in accordance with the rules established in the Grant Agreement and there was no difference in the final figures. b) For Beneficiaries with accounts established in euros The Auditor sampled ______ cost items selected randomly and verified that the exchange rates used for converting other currencies into euros were in accordance with the following rules established in the Agreement ( full coverage is required if there are fewer than 5 items, otherwise the sample should have a minimum of 5 item, or 10% of the total, whichever number is the highest) : Costs incurred in another currency shall be converted into euro by applying the Beneficiary’s usual accounting practices. The Beneficiary applied its usual accounting practices. Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 CEF general model agreement: 31 July 2014 Innovation and Networks Executive Agency Department C - Connecting Europe Facility (CEF) GRANT AGREEMENT UNDER THE CONNECTING EUROPE FACILITY (CEF) - TELECOMMUNICATIONS SECTOR AGREEMENT No INEA/CEF/ICT/A2017/1442560 The Innovation and Networks Executive Agency (INEA) ("the Agency"), under the powers delegated by the European Commission ("the Commission"), represented for the purposes of signature of this Agreement by the Head of Department C of the Agency, Andreas Boschen, on the one part, and 1. Health and Welfare Information Systems Centre (HWISC) Public law body Registration No 70009770 Uus-Tatari 25 / Veerenni 13 10134 Tallinn Estonia VAT No EE101941259, hereinafter referred to as “the coordinator”, represented for the purposes of signature of this Agreement by Director General of the Health and Welfare Information Systems Centre, Katrin Reinhold and the following other beneficiaries: 2. Estonian Health Insurance Fund (EHIF) - established in Estonia 3. Estonian Social Insurance Board (ESIB) - established in Estonia 4. Estonian Ministry of Social Affairs (EMSA) - established in Estonia duly represented by the coordinator by virtue of the mandates included in Annex IV for the signature of this Agreement, hereinafter referred to collectively as “the beneficiaries”, and individually as “beneficiary” for the purposes of this Agreement where a provision applies without distinction between the coordinator or another beneficiary, 1 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 on the other part, HAVE AGREED to the Special Conditions (hereinafter referred to as “the Special Conditions”) and the following Annexes: Annex I Description of the action Annex II General Conditions (hereinafter referred to as “the General Conditions”) Annex III Estimated budget of the action Annex IV Mandates provided to the coordinator by the other beneficiaries Annex V Model technical report(s) Annex VI Model financial statement(s) Annex VII Model terms of reference for the certificate on the financial statements which form an integral part of this Agreement, hereinafter referred to as "the Agreement". The terms set out in the Special Conditions shall take precedence over those set out in the Annexes. The terms of Annex II "General Conditions" shall take precedence over the other Annexes. 2 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 SPECIAL CONDITIONS TABLE OF CONTENT ARTICLE 1 – SUBJECT MATTER OF THE AGREEMENT ARTICLE 2 – ENTRY INTO FORCE OF THE AGREEMENT AND DURATION OF THE ACTION ARTICLE 3 – MAXIMUM AMOUNT AND FORM OF THE GRANT ARTICLE 4 – ADDITIONAL PROVISIONS ON REPORTING, PAYMENTS AND PAYMENT ARRANGEMENTS ARTICLE 5 – BANK ACCOUNT FOR PAYMENTS ARTICLE 6 – DATA CONTROLLER AND COMMUNICATION DETAILS OF THE PARTIES ARTICLE 7 – ENTITIES AFFILIATED TO THE BENEFICIARIES ARTICLE 8 – IMPLEMENTING BODIES DESIGNATED BY THE BENEFICIARIES ARTICLE 9 – MONO-BENEFICIARY GRANT ARTICLE 10 – ADDITIONAL PROVISIONS ON REIMBURSEMENT OF COSTS DECLARED ON THE BASIS OF THE BENEFICIARY'S USUAL COST ACCOUNTING PRACTICES ARTICLE 11 – ADDITIONAL PROVISIONS ON USE OF THE RESULTS (INCLUDING INTELLECTUAL AND INDUSTRIAL PROPERTY RIGHTS) ARTICLE 12 – OBLIGATION TO CONCLUDE AN INTERNAL CO-OPERATION AGREEMENT ARTICLE 13 – INAPPLICABILITY OF THE NO-PROFIT PRINCIPLE ARTICLE 14 – INELIGIBILITY OF VALUE ADDED TAX ARTICLE 15 – SPECIAL PROVISIONS ON ELIGIBLE COSTS ARTICLE 16 – WAIVING OF THE OBLIGATION TO PROVIDE CERTIFICATES ON THE FINANCIAL STATEMENTS ARTICLE 17 – FINANCIAL SUPPORT TO THIRD PARTIES ARTICLE 18 – IMPLEMENTATION OF ACTION TASKS BY BENEFICIARIES NOT RECEIVING EU FUNDING ARTICLE 19 – SETTLEMENT OF DISPUTES WITH NON EU BENEFICIARIES ARTICLE 20 – BENEFICIARIES WHICH ARE INTERNATIONAL ORGANISATIONS ARTICLE 21 – JOINT AND SEVERAL FINANCIAL LIABILITY FOR RECOVERIES ARTICLE 22 – IMPLEMENTATION OF ACTIVITIES NOT FINANCIALLY SUPPORTED UNDER THE AGREEMENT 3 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ARTICLE 1 – SUBJECT MATTER OF THE AGREEMENT The Commission has decided to award a grant, under the terms and conditions set out in the Special Conditions, the General Conditions and the other Annexes to the Agreement, for the action entitled "Estonian integration with the EESSI system" ("the action"), action number 2017-EE-IA-0009 as described in Annex I. With the signature of the Agreement, the beneficiaries accept the grant and agree to implement the action, acting on their own responsibility. ARTICLE 2 – ENTRY INTO FORCE OF THE AGREEMENT AND DURATION OF THE ACTION 2.1 The Agreement shall enter into force on the date on which the last party signs. 2.2 The action shall run from 05/06/2017 (“the starting date”) until 31/05/2019 (“the completion date”). ARTICLE 3 - MAXIMUM AMOUNT AND FORM OF THE GRANT The grant for the action shall be of a maximum amount of EUR 1,149,086. The grant shall take the form of: (a) the reimbursement of 75.00% of the eligible costs of the action ("reimbursement of eligible costs"), which are estimated at EUR 1,532,114 and which are: (i) actually incurred (“reimbursement of actual costs”) (ii) reimbursement of unit costs: not applicable (iii) reimbursement of lump sum costs: not applicable (iv) for indirect costs declared on the basis of a flat-rate of 7% of the total eligible direct costs minus subcontracting costs within the meaning of Article II.10 and costs of financial support to third parties within the meaning of Article II.11 (“reimbursement of flat-rate costs”); (v) declared on the basis of an amount per unit calculated in accordance with the beneficiary’s usual cost accounting practices (“reimbursement of costs declared on the basis of the beneficiary's usual cost accounting practices”) for personnel costs (b) unit contribution: not applicable (c) lump sum contribution: not applicable (d) flat-rate contribution: not applicable ARTICLE 4 – ADDITIONAL PROVISIONS ON REPORTING, PAYMENTS AND PAYMENT ARRANGEMENTS 4.1 Reporting periods and payments 4 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 In addition to the provisions set out in Articles II.23 and II.24, the following reporting and payment arrangements shall apply: 4.1.1 Reporting periods The action is divided into the following reporting periods:  One single reporting period from the starting date to the completion date of the action. 4.1.2 Payments Upon entry into force of the Agreement, the Agency shall make the pre-financing payment of EUR 574,543 (five hundred seventy-four thousand five hundred forty-three euros) to the coordinator in accordance with Article II.24.1. At the end of each reporting period, except the last reporting period, the Agency shall make an interim payment to the coordinator in accordance with Article II.24.2. At the end of the last reporting period, the Agency shall make the payment of the balance to the coordinator in accordance with Article II.24.3. 4.2 Time limit for payments The time limit for the Agency to make the payment of the balance is 90 days. 4.3 Language and submission means of requests for payment, reports and financial statements All requests for payments, reports and financial statements shall be submitted in English. Those documents or, if applicable, scanned copies of the original signed paper versions and electronic files, shall be sent via e-mail to the e-mail address specified in Article 6.2. ARTICLE 5 – BANK ACCOUNT FOR PAYMENTS All payments shall be made to the coordinator's bank account as indicated below: Name of bank: AS SEB Pank Address of branch: Tornimae 2, 15010 Tallinn, Estonia Precise denomination of the account holder: Ministry of Finance Full account number (including bank codes): EE221010220027690221; reference on payment: 2800048574 BIC code: EEUHEE2X ARTICLE 6 - DATA CONTROLLER AND COMMUNICATION DETAILS OF THE PARTIES 6.1 Data controller The entity acting as a data controller according to Article II.6 shall be the Director of the 5 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 Agency. 6.2 Communication details of the Agency Any communication addressed to the Agency by post or e-mail shall be sent to the following address: Innovation and Networks Executive Agency (INEA) Department C - Connecting Europe Facility (CEF) Unit C4 Energy & ICT B-1049 Brussels Fax: +32(0)2 297 37 27 E-Mail addresses: For general communication: [email protected] For the submission of requests for payment, reports and financial statements: INEA- [email protected] Any communication addressed to the Agency by registered mail, courier service or hand- delivery shall be sent to the following address: Innovation and Networks Executive Agency (INEA) Avenue du Bourget, 1 B-1140 Brussels (Evere) 6.3 Communication details of the beneficiaries Any communication from the Agency to the beneficiaries shall be sent to the following addresses: For Health and Welfare Information Systems Centre: Lehor Meius Project Manager Uus-Tatari 25 / Veerenni 13 , 10134 Tallinn, Estonia E-mail address: [email protected] ARTICLE 7 – ENTITIES AFFILIATED TO THE BENEFICIARIES Not applicable. ARTICLE 8 - IMPLEMENTING BODIES DESIGNATED BY THE BENEFICIARIES Not applicable. ARTICLE 9 - MONO-BENEFICIARY GRANT Not applicable. ARTICLE 10 – ADDITIONAL PROVISIONS ON REIMBURSEMENT OF COSTS DECLARED ON THE BASIS OF THE BENEFICIARY'S USUAL COST 6 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ACCOUNTING PRACTICES In addition to the conditions set out in Article II.20.5, where, in accordance with point (v) of Article 3(a) the grant takes the form of the reimbursement of unit costs, lump sum costs or flat-rate costs declared by the beneficiary on the basis of its usual cost accounting practices, the beneficiary shall ensure that the cost accounting practices used are also in compliance with the conditions laid down in Commission Decision C(2016)478 of 3 February 2016. ARTICLE 11 – ADDITIONAL PROVISIONS ON USE OF THE RESULTS (INCLUDING INTELLECTUAL AND INDUSTRIAL PROPERTY RIGHTS) In addition to the provisions of Article II.8.3, the beneficiaries shall warrant that the Agency has the rights to: – summarise the results of the action and distribute the summary; – extract a part (e.g. audio or video files) of, divide into parts or compile the results of the action. ARTICLE 12 – OBLIGATION TO CONCLUDE AN INTERNAL CO-OPERATION AGREEMENT Not applicable. ARTICLE 13 - INAPPLICABILITY OF THE NO-PROFIT PRINCIPLE Not applicable. ARTICLE 14 - INELIGIBILITY OF VALUE ADDED TAX By way of derogation from point (h) of Article II.19.2, amounts of value added tax (VAT) paid are not eligible for the following beneficiaries: Estonian Health Insurance Fund, Health and Welfare Information Systems Centre, Estonian Social Insurance Board and Estonian Ministry of Social Affairs. ARTICLE 15 - SPECIAL PROVISIONS ON ELIGIBLE COSTS Not applicable. ARTICLE 16 – WAIVING OF THE OBLIGATION TO PROVIDE CERTIFICATES ON THE FINANCIAL STATEMENTS Not applicable. ARTICLE 17 - FINANCIAL SUPPORT TO THIRD PARTIES Article II.11 is not applicable. ARTICLE 18 — IMPLEMENTATION OF ACTION TASKS BY BENEFICIARIES NOT RECEIVING EU FUNDING 7 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 Not applicable. ARTICLE 19 – SETTLEMENT OF DISPUTES WITH NON EU BENEFICIARIES Not applicable. ARTICLE 20 – BENEFICIARIES WHICH ARE INTERNATIONAL ORGANISATIONS Not applicable. ARTICLE 21 – JOINT AND SEVERAL FINANCIAL LIABILITY FOR RECOVERIES Not applicable. ARTICLE 22 – IMPLEMENTATION OF ACTIVITIES NOT FINANCIALLY SUPPORTED UNDER THE AGREEMENT Not applicable. SIGNATURES For the coordinator For the Agency Katrin Reinhold Andreas Boschen Done at Tallinn, on Done at Brussels, on In duplicate in English 8 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ANNEX I DESCRIPTION OF THE ACTION ARTICLE I.1 – SCOPE AND OBJECTIVES OF THE ACTION The action aims at integrating the national Estonian infrastructure with the EESSI electronic communication (Core) platform and at improving cross-border communication between Estonian and other EU social security institutions. The Health and Welfare Information Systems Centre (HWISC) mandated by the Estonian Ministry of Social Affairs and in co- operation with this Ministry and local competent institutions, such as Estonian Health Insurance Fund (EHIF) and Estonian Social Insurance Board (ESIB), will prepare, test and deploy all resources, software components and related business artefacts necessary for the cross-border exchange of social security information according to EESSI rules and regulations, best practices and experiences. While doing so, HWISC will take into account the specificities of the already available infrastructures, services and electronic registries in Estonia. The action will result in complete EESSI-readiness of each competent institution, as well as in integration of high-priority Business Use Cases (BUCs) into their information systems and business processes. The scope of the action includes: 1. Consultancy and training for deployment and maintenance of EESSI related software components; 2. Acquisition of additional software licenses for the installation, connection and operation of Estonian EESSI Access Point (AP); 3. Installation and configuration of Estonian EESSI AP in Production and Acceptance environments; 4. Set up and training of first and second level IT support teams of Estonian AP and RINAs; 5. Training of end users in several Estonian competent institutions in the use of EESSI cross- border business processes; 6. Distribution, installation and configuration, development and deployment of national applications to allow competent institutions to connect to the EESSI Core platform and their compliance with cross-border business processes. This will include: - installations of full Reference Implementation of National Application (RINA) instances for several competent institutions, - back-end systems integration reusing RINA components in two different Estonian competent institutions. 7. Development and configuration of adapter software to enable communication of RINAs and Estonian AP through national data exchange layer X-road; 8. Development and configuration of a "pilot" solution for using RINA as a component in automatic data exchange between institutions; 9. Local adaptations of EESSI operational documentation, including technical guidelines, local business procedures, analysis of data model and procedures implementation, translations and development of user manuals and training materials. This action will be carried out as part of the national EESSI project in Estonia covering other relevant institutions and activities in the EESSI domain. 9 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ARTICLE I.2 – LOCATION OF THE ACTION I.2.1 Member State(s): Estonia I.2.2 EEA country(ies): not applicable I.2.3 Third country(ies): not applicable ARTICLE I.3 – ACTIVITIES I.3.1 Activities timetable Activity Activity title Indicative Indicative Milestone number start date end date number 1 Preparing and implementing EESSI 05/06/2017 26/04/2019 1, 2 exchange service in Estonia 2 Preparing and implementing EESSI 05/06/2017 03/05/2019 3, 4, 5, 6 integration in the Estonian Social Insurance Board (ESIB) and in the Estonian Health Insurance Fund (EHIF) 3 EESSI service and integration testing 01/12/2017 31/05/2019 7, 8, 9, 10, and approval 15 4 Setup and launch of EESSI service 07/08/2017 31/05/2019 11, 12 support in Estonia and ESIB 5 Training and consultancy for EESSI 05/06/2017 31/05/2019 13, 14 stakeholder groups 6 Governance and management of EESSI 05/06/2017 31/05/2019 16 integration I.3.2 Activities description Activity 1: Preparing and implementing EESSI exchange service in Estonia This activity aims at establishing the necessary prerequisites for EESSI exchanges of information for all Estonian competent institutions. It includes the following tasks: - T1.1 Plan activities towards national implementation Within this task a national preparation and implementation plan will be created. - T1.2 Design national domain architecture This task is dedicated to analysing and designing national EESSI architecture in Estonia taking into account Estonian requirement for using X-road layer for any official electronic communication between public institutions. National Access Services will be selected and confirmed with all stakeholder institutions. Also, a national Domain Architecture document will be prepared. - T1.3 Design sample institutional domain architecture for the Estonian Social Insurance Board (ESIB) - RINA integration Within this task sample institution architecture for Estonian Social Insurance Board (ESIB) will be prepared using the common programming interface (CPI) and the National 10 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 Information Exchange (NIE) interface of RINA to establish connection with ESIB's main information system. - T1.4 Establish common organizational requirements and procedures for all Estonian stakeholder institutions This task ensures that identified and agreed requirements and procedures are in place, described in an appropriate document, and signed by each stakeholder institution. - T1.5 Establish legal, security and privacy requirements and procedures for all Estonian stakeholder institutions Within this task a document governing the legal and security aspects of EESSI operation in each Estonian competent institution will be prepared. - T1.6 Acquire and deploy necessary additions to supporting national domain software Within this task all supporting software for EESSI Acceptance and Production environments required by National Architecture will be acquired and deployed by the dates set in the EESSI implementation plan. The type of software to be acquired includes additional BizTalk licenses, Microsoft and SQL licenses as well as subcontracted customization of Estonian State Information System Authority’s X-road adapter software. - T1.7 Establish common project management repositories for EESSI integration activities This task is dedicated to establishing a common national EESSI software and documentation repositories which will be made accessible for specified roles in all Estonian stakeholder institutions. - T1.8 Assure semantic interoperability. This task assures that semantics is aligned between structured electronic document (SED) datasets and EESSI-related data in each Estonian institution's data model as well as between Estonian institutions. Estonian competent institutions and Information System Authority (RIA) will be consulted and cooperated with as necessary in this task. - T1.9 Ensure deployment and configuration of AP software, X-road adapters, National Access Services and RINA's into pre-production (Test and Acceptance) environments Within this task HWISC will deploy and configure software for EESSI service operation over the integration period as necessary, proceeding from national EESSI implementation plan. It will ensure that pre-production environments are established and accessible in each Estonian stakeholder institution. - T1.10 Make preparations for national testing This task is dedicated to preparation of base documentation (national testing strategy and test plan), as well as resources (test cases, test data, contacts in relevant partner Member States) for testing. Activity 2: Preparing and implementing EESSI integration in the Estonian Social Insurance Board (ESIB) and in the Estonian Health Insurance Fund (EHIF) The aim of this activity is to establish prerequisites for EESSI exchanges in: 11 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 - Estonian Social Insurance Board (ESIB), responsible for the sectors Applicable Legislation, Family Benefits, Pensions, Miscellaneous, Horizontal and Recovery; - Estonian Health Insurance Fund (EHIF), responsible for the sectors Sickness and Accidents at Work and Occupational Diseases. Activity 2 includes the following tasks: - T2.1 Plan activities Within this task Institutional preparation and implementation plans for both institutions will be prepared. - T2.2 Design Institutional Domain Architecture Within this task EHIF will analyse EESSI software and business needs for EESSI BUC integration, as well as national architecture (T1.2) and sample architecture of ESIB (T1.3) and design appropriate and cost-effective integration solution. A document on EHIF-specific interface architecture will be prepared. - T2.3 Review EESSI organizational requirements and procedures taking into account the capabilities and requirements of ESIB and EHIF Within this task both ESIB and EHIF will review and give feedback to the summary of organizational requirements, roles and procedures for EESSI service operation prepared by HWISC under activity 1. Furthermore, both institutions will submit to HWISC a signed document describing organizational EESSI roles and actors. - T2.4 Establish legal, security and privacy requirements and procedures for ESIB and EHIF proceeding from general EESSI requirements delivered by HWISC Within this task both ESIB and EHIF will collaborate with HWISC to establish legal, security and privacy requirements appropriate for EESSI Business Use Cases processed. They will review and give feedback to a document summarising legal and security aspects of EESSI operation in Estonia prepared by prepared by HWISC under activity 1. - T2.5 Launch of the business use case from the Applicable Legislation sector ESIB will launch the first use case of cross-border EESSI exchanges, using a simple and common BUC from the Applicable Legislation sector (LA_BUC_04). Results of the pilot launch will be shared after three months period with other competent institutions in Estonia as well as interested organizations in other countries. The task will result in a report on the launch of LA_BUC_04 in production environment. - T2.6 Prepare and implement EESSI integration solutions for EHIF Within this task EHIF will subcontract the work to analyse, develop and test software solutions for fully integrating high priority BUCs into its business processes and information system using interfaces between its backend systems and RINA. The software specifications of the integration solution will be reviewed and accepted by EHIF and shared with HWISC. As a result of this task, EESSI integration solutions of EHIF will be operating in acceptance environment. - T2.7 Prepare and implement EESSI integration solutions for ESIB Within this task ESIB will subcontract the work to analyse, develop and test software solutions for fully integrating high priority BUCs into its business processes and information systems using RINA building blocks wherever realistic to do so. As a result of this task 12 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 EESSI integration solutions of ESIB will be deployed and operating in acceptance environment. - T2.8 Local deployment of all required EESSI software components to institutional pre- production (test and acceptance) environments Under this task EHIF will deploy RINA and related software into EHIF's institutional part of national pre-production environment. - T2.9 Make preparations for testing according to national and institutional plan Within this task both ESIB and EHIF will cooperate with HWISC and other competent institutions in writing test cases and creating test data, as well as will prepare to participate in testing of Business Use Cases which have been attributed to their organisations. ESIB and EHIF will provide input to base documentation and testing resources. Activity 3: EESSI service and integration testing and approval This activity has the following two aims: 1) to test, audit and provide evidence about technical and organizational EESSI readiness of Estonian stakeholder institutions on the one hand and about EESSI software components, Common Data Model and Institution Repository on the other; 2) to ensure business readiness of EESSI platform and nationally developed software from the perspective of ESIB and EHIF. Activity 3 includes the following tasks: - T3.1 Coordinate pre-production testing to assure quality of EESSI service in Estonia Within this task HWISC will first deploy all new EESSI releases into pre-production environments to enable the compatibility testing of national components of Estonian EESSI architecture. HWISC will keep schedules of all testing efforts and share test cases and test data as necessary. Subsequently, acceptance and other pre-production test reports will be finalised by dates specified in the test plan. - T3.2 Perform national EESSI audit Within this task HWISC will organize an internal audit for each Estonian competent institution. This audit will focus on legal, organizational and security aspects to provide evidence of fulfilment of the requirements set by guidelines of both national authorities and European Commission. This audit will cover components of national EESSI solution: national competent institutions, their infrastructure and EESSI-related organisational practices as well as X-road adapters and National Application – RINA integration solutions. Components provided by the European Commission, DG Employment (Access Point and RINA software code) will not be part of the audit, except when important security issues with these have become apparent by the time of the audit. In this case audit will check whether measures against these issues have been implemented. HWISC will also ensure that the audit is repeated by external accredited contractors no less than three months before the end of EESSI integration period. The task will result in reports on the internal and external EESSI audits of Estonian stakeholder institutions. - T3.3 Preparation of country readiness approval 13 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 Within this task HWISC will provide objective evidence of technical and business readiness of the own and each Estonian competent institution. Since the involved institutions will not begin cross-border exchanges at the same time, a separate readiness statement summarizing results of acceptance tests and at least the internal audit performed by HWISC will be written each time a new institution goes into production. - T3.4 EESSI service deployment After task T3.3 is successfully completed, HWISC will deploy all required EESSI software into national EESSI production environment. Other institutions will deploy their own required components according to the service procedures agreed within the context of task T1.4. - T3.5 Perform acceptance and other required pre-production testing to assure quality of EESSI service provision by ESIB Within this task HWISC and the developer of ESIB's institutional systems will first deploy all new releases of RINA and integrated software into pre-production environments, to make sure that the national and international compatibility is maintained. ESIB will be responsible for organising and subcontracting institution level testing as agreed with HWISC and its partners outside Estonia. Acceptance and other pre-production test reports will be submitted to HWISC. - T3.6 Assure the institutional readiness of ESIB Based on results of acceptance tests and internal EESSI audit organized by HWISC, HWISC will present ESIB with EESSI Readiness Statement, which outlines the status of ESIB's organizational EESSI readiness, as well as possible adjustments to its organizational and business processes and deadlines for their completion. ESIB will confirm the necessary adjustments introduced to become authorization to start cross-border exchanges with live data. - T3.7 Pass the conformance testing provided by EESSI Core Service Platform By the end of the current action, national EESSI system established as a result of this action will need to have passed the conformance testing provided by the EESSI Core Service Platform. Changes to the source code to address possible non-conformance issues will be made. This task may require participation of all partner institutions and will be coordinated by HWISC. Activity 4: Setup and launch of EESSI service support in Estonia and ESIB This activity has the following two aims: 1) launch of organizational procedures necessary for setup and operation of national EESSI helpdesk and EESSI service, as well as change management and bug fixing processes for national EESSI-related software development; 2) launch of organizational procedures necessary for setup and operation of EESSI helpdesk in ESIB, as well as procedures related to development of EESSI-related software in that institution. Since ESIB will launch its Business Use Cases (BUCs) in several stages, EESSI service support processes for ESIB will be gradually extended by adding new features and resources as necessary. Activity 4 includes the following tasks: 14 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 - T4.1 Setup of service provision and monitoring processes HWISC will coordinate the technical aspects of EESSI service in Estonia and will take direct responsibility for maintaining and monitoring the AP (APEE01) and related software for all institutions; moreover, HWISC will provide RINA-related services for ESIB and for the Tax and Customs Board (EMTA). As a result of this task, EESSI service will be up and running for all Estonian competent institutions in a sustainable manner and in line with the agreed specifications. Furthermore, service and performance monitoring tools and procedures will be adopted, enabling support to intervene in case of performance degradation or service interruption. - T4.2 Setup of national helpdesk service This task is dedicated to establishing a national problem ticketing process to manage incidents, issues and change requests. HWISC will also collect and process end user input on behalf of the Tax and Customs Board (EMTA). For other Estonian competent institutions first level helpdesk operators will be granted access to HWISC's common ticketing system. - T4.3 Setup of change management and bug fixing processes As part of this task EESSI Change Management process and bug fixing procedures will be applied in all Estonian competent institutions. HWISC will gather information through different means and use it to produce issue, improvement and new feature tickets either in EESSI Central Service Desk or, in case of nationally developed EESSI system components, in appropriate national ticketing systems. - T4.4 Setup of first level EESSI helpdesk in ESIB Within this task ESIB will adopt national helpdesk platform of HWISC, filtering institutionally raised issues to single out and resolve problems related to EESSI business in the institutional domain of ESIB. - T4.5 Setup of change management and bug fixing processes at ESIB This task is dedicated to enabling ESIB's input into HWISC's change management system. ESIB users will have only the responsibility to submit business level change requests into the national EESSI ticketing system provided by HWISC. HWISC's helpdesk will decide whether they should be solved in institutional, national or international domain and will forward them into appropriate channels. Activity 5: Training and consultancy for EESSI stakeholder groups The aim of this activity is to orchestrate educational, informative, training and consultative initiatives to empower and support EESSI technical personnel, clerks, system developers and mobile citizens, as well as to ensure sustainability of EESSI service in Estonia. Activity 5 includes the following tasks: - T5.1 Overall communication strategy This task is dedicated to elaborating an overall communication strategy to ensure dissemination of EESSI knowledge. This will include a prior analysis of affected EESSI stakeholder groups, such as administrative personnel and clerks in other public sector institutions, technical personnel, software development companies and in certain cases mobile Estonian citizens and health care providers. 15 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 - T5.2 Education and training of personnel Taking into account the needs of each Estonian stakeholder institution, the Ministry of Social Affairs after consultation with HWISC and the Estonian competent institutions will specify a training plan and organize specific training sessions for selected groups of Estonian specialists in all institutions at least on the following topics: - EESSI base technologies (BizTalk, Bonita), 1-2 sessions, for 5-10 persons per session; - Installing, configuring and administrating national component applications (AP, National Access Services, X-road adapters), 10-12 sessions, for 2-5 persons per session; - Institution Repository Management, 2 sessions, for 2-3 persons per session; - RINA installation and configuration, 3 sessions, for 2-5 persons per session; - RINA administration, 3 sessions, for 2-5 persons per session; - EESSI operational procedures, including change management and central support, 3 sessions, for 2-5 persons per session; - EESSI security procedures, 5 sessions, for 10-20 persons per session; - RINA user portal, 5 sessions, for 5-20 persons per session; - BUC/SED overview (EESSI case management for clerks, 10 sessions, for 5-20 persons per session; - EESSI and integration solutions (institution-specific sessions), 2-5 sessions, for 5-10 persons per session; - Use of EESSI Service Desk, 3 sessions, for 5-20 persons per session; - EESSI testing procedures, 3-10 sessions, for 2-10 persons per session. The number of sessions and participants will be defined once the number and content of trainings provided by DG Employment will be communicated. With regard to the training sessions which cannot be organised in Estonia (for example BizTalk course and trainings provided by the European Commission, DG Employment to Member State EESSI specialists and trainers), participation of relevant personnel will be ensured, if required. Moreover, should the participation of EESSI specialists from Estonian competent institutions not part of this action be required and justified, the Ministry of Social Affairs may involve them in those training sessions.. Since Ministry does not possess necessary technical and business level knowledge, external consultants will be hired for each topic if necessary and various trainings provided by DG Employment EESSI Transition Team will be used to maximum extent whenever they are appropriate for national training needs (for example, to train national level trainers). Furthermore, HWISC and Estonian competent institutions will assist in preparation, translation and extension of required technical, operational and business level documentation and/or training materials as well as conducting national training sessions for key actors in national EESSI organisation as necessary. Trainings will be scheduled over the entire integration period as necessary to coincide with the launches of BUC's in different institutions. As a result of this task, a national training plan and schedule will be elaborated, and both technical and business level training sessions conducted. - T5.3 Promoting regional EESSI development community Within this task Ministry of Social Affairs will organize two events (RINA integration boot camp/hackathon for 30 participants and RINA security hackathon for 20 participants) to familiarize local software developers with RINA building blocks and to include them 16 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 possibly in future international RINA community. A particular attention will be given to the security and reliability of RINA solution as well as to solutions for using RINA as a component in automatic data exchanges. These activities concern the RINA-related development, technological consultation and training efforts in a different format. As a result of this task, a local RINA community development road-map will be elaborated. RINA community events will address local software developers, universities, experts from national competent institutions and interested partners in neighbouring EU Member States. Organisation of RINA boot camp/integration hackathon will be subcontracted, while security hackathon will be held by the Ministry. - T5.4 Communication and dissemination of information This task is dedicated to contacting each target group with necessary information through selected channels, as outlined in the overall communication strategy. Public advertisement campaign will be held to inform healthcare service providers in private sector of the EESSI integration and of the possibility to use the system in the process of confirming the entitlement for insurance. Moreover, one external EESSI communication event for 40 delegates from 17 countries will be held with the aim of finding immediate testing partners in other early adopting competent institutions in other EU Member States. Finally, within this task an informative video will be produced by an external contractor to present EESSI nationally (both to other government institutions and to the management of competent institutions themselves) as viable and necessary data exchange channel about to be launched. As a result of this task, EESSI will be introduced in Estonia on business level as a necessary and reliable tool for data exchanges. Activity 6: Governance and management of EESSI integration This activity aims at establishing appropriate national project governance structure to assure sustainable EESSI integration of Estonian competent institutions and to keep EU level stakeholders and other Member States up-to-date about status of Estonian EESSI integration. Furthermore, should any business travel be necessary to successfully accomplish the tasks described in previous activities (for example consulting with EESSI specialists in other EU Member States, participating in common testing or installation events), these travels will be arranged as part of EESSI governance and management by HWISC. An exception to this is participation in any training events, which will be handled by the Ministry of Social Affairs under activity 5. Activity 6 includes the following tasks: - T6.1 Establish Project Governance model and Rules of Procedure. This task is dedicated to establishing a national EESSI integration project governance model, taking into the account relationships between local stakeholder institutions, as well as instructions and recommendations from EESSI governance bodies and major partners in other Member States. Furthermore, common Rules of Procedure for the project will be established. - T6.2 Accomplish, manage and report national activities This task is dedicated to ensuring execution of tasks in the proposed national integration plan, managing issues and maintaining required assets to do so, keeping national and international 17 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 stakeholders up-to-date about the proceedings. Furthermore, the beneficiaries will ensure that the EESSI Transition Monitoring Dashboard provided by the European Commission, DG Employment is regularly updated to confirm progress of national implementation activities defined as part of the "EESSI Transition Keys to Production" approach and that the validation points have been successfully accomplished. ARTICLE I.4 – MILESTONES AND MEANS OF VERIFICATION Milestone Milestone description Indicative Means of number completion verification date 1 Hardware and supporting software 31/08/2018 Test report / digitally components in the respective domains of signed statements by competent institutions have been deployed appropriate domain managers 2 National pre-production environments have 28/02/2018 Test report / digitally been established and are accessible signed confirmation by Access Point Manager 3 LA_BUC_04 has been launched in Estonia 04/06/2018 Report (document) 4 RINA has been deployed in pre-production 29/06/2018 Test report / signed environments of EHIF statement by EHIF domain manager and Estonian Access Point Manager 5 EESSI integration solutions are deployed 03/05/2019 Test report / signed and operating in pre-production statement by EHIF environments of EHIF domain manager and Access Point Manager. Copies of software code and release notes 6 All EESSI integration solutions are 03/05/2019 Test report / signed deployed and operating in pre-production statement by ESIB environments of ESIB domain manager and Access Point Manager. Copies of software code and release notes 7 Report of the internal EESSI audit of 29/06/2018 Audit report Estonian stakeholder institutions (document) 8 All national domain EESSI software (AP, 31/08/2018 Test report / signed RINAs, X-road adapters) has been statement by deployed to production environment HWISC's IT infrastructure manager 9 Report of the external EESSI audit of 28/02/2019 Report (document) Estonian stakeholder institutions 10 Acceptance and other pre-production test 29/03/2019 Acceptance and 18 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 reports other pre-production test reports (documents) 11 EESSI Help Desk service and support is up 31/08/2018 Description of Help and running in HWISC and accessible in Desk System in Estonian competent institutions. EESSI HWISC and of Help Help Desk service and support is up and Desk role in ESIB running in ESIB (document). List of support tickets produced over a period of 1 month 12 EESSI change management and bug fixing 31/12/2018 Analysis of EESSI procedures are in place and operating tickets submitted in 2018 - report (document) 13 A number of RINA community events, as 30/03/2018 Invitations, agendas specified in road map, has been organised of events, presentations, signed lists of participants 14 Technical and business level training 31/05/2019 Agendas, signed lists sessions, as specified in national training of participants at plan training sessions 15 EESSI system in Estonia has passed the 31/05/2019 Conformance test conformance test provided by the EESSI report Core Service Platform 16 Validation points confirming progress of 31/05/2019 Report generated national implementation activities defined from the EESSI as part of the "EESSI Transition Keys to Transition Production" approach have been Monitoring successfully accomplished. EESSI Dashboard every six Transition Monitoring Dashboard has been months from the updated start of the action 19 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ANNEX II GENERAL CONDITIONS TABLE OF CONTENT PART A – LEGAL AND ADMINISTRATIVE PROVISIONS II.1 – GENERAL OBLIGATIONS AND ROLES OF THE BENEFICIARIES II.2 – COMMUNICATIONS BETWEEN THE PARTIES II.3 – LIABILITY FOR DAMAGES II.4 – CONFLICT OF INTERESTS II.5 – CONFIDENTIALITY II.6 – PROCESSING OF PERSONAL DATA II.7 – VISIBILITY OF UNION FUNDING II.8 – PRE-EXISTING RIGHTS AND OWNERSHIP AND USE OF THE RESULTS (INCLUDING INTELLECTUAL AND INDUSTRIAL PROPERTY RIGHTS) II.9 – AWARD OF CONTRACTS NECESSARY FOR THE IMPLEMENTATION OF THE ACTION II.10 – SUBCONTRACTING OF TASKS FORMING PART OF THE ACTION II.11 – FINANCIAL SUPPORT TO THIRD PARTIES II.12 – AMENDMENTS TO THE AGREEMENT II.13 – ASSIGNMENT OF CLAIMS FOR PAYMENTS TO THIRD PARTIES II.14 – FORCE MAJEURE II.15 – SUSPENSION OF THE IMPLEMENTATION OF THE ACTION II.16 – TERMINATION OF THE AGREEMENT II.17 – NOT APPLICABLE II.18 – APPLICABLE LAW, SETTLEMENT OF DISPUTES AND ENFORCEABLE DECISION PART B – FINANCIAL PROVISIONS II.19 – ELIGIBLE COSTS II.20 – IDENTIFIABILITY AND VERIFIABILITY OF THE AMOUNTS DECLARED II.21 – ELIGIBILITY OF COSTS OF ENTITIES AFFILIATED TO THE BENEFICIARIES AND OF IMPLEMENTING BODIES DESIGNATED BY THE BENEFICIARIES II.22 – BUDGET TRANSFERS II.23 – TECHNICAL AND FINANCIAL REPORTING – REQUESTS FOR PAYMENT AND SUPPORTING DOCUMENTS II.24 – PAYMENTS AND PAYMENT ARRANGEMENTS II.25 – DETERMINING THE FINAL AMOUNT OF THE GRANT II.26 – RECOVERY II.27 – CHECKS, AUDITS AND EVALUATION 20 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 PART A – LEGAL AND ADMINISTRATIVE PROVISIONS ARTICLE II.1 – GENERAL OBLIGATIONS AND ROLES OF THE BENEFICIARIES II.1.1 General obligations and role of the beneficiaries The beneficiaries shall: (a) be jointly and severally responsible for carrying out the action in accordance with the terms and conditions of the Agreement; (b) be responsible for complying with any legal obligations incumbent on them jointly or individually under applicable EU, international and national law; (c) make appropriate internal arrangements for the proper implementation of the action, consistent with the provisions of this Agreement; where provided for in the Special Conditions, those arrangements shall take the form of an internal co-operation agreement between the beneficiaries. II.1.2 General obligations and role of each beneficiary Each beneficiary shall: (a) inform the coordinator immediately of any change likely to affect or delay the implementation of the action of which the beneficiary is aware; (b) inform the coordinator immediately of any change in its legal, financial, technical, organisational or ownership situation or of its affiliated entities and of any change in its name, address or legal representative or of its affiliated entities; (c) submit in due time to the coordinator: (i) the data needed to draw up the reports, financial statements and other documents provided for in the Agreement; (ii) all the necessary documents in the event of audits, checks or evaluation in accordance with Article II.27; (iii) any other information to be provided to the Agency according to the Agreement, except where the Agreement requires that such information is submitted directly by the beneficiary to the Agency. II.1.3 General obligations and role of the coordinator The coordinator shall: (a) monitor that the action is implemented in accordance with the Agreement; 21 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 (b) be the intermediary for all communications between the beneficiaries and the Agency, except where provided otherwise in the Agreement, and, in particular, the coordinator shall: (i) immediately provide the Agency with the information related to any change in the name, address, legal representative as well as in the legal, financial, technical, organisational or ownership situation of any of the beneficiaries or of its affiliated entities, or to any event likely to affect or delay the implementation of the action, of which the coordinator is aware; (ii) bear responsibility for supplying all documents and information to the Agency which may be required under the Agreement, except where provided otherwise in the Agreement; this includes responsibility for submitting the deliverables identified in Annex I, in accordance with the timing and conditions set out in it; where information is required from the other beneficiaries, the coordinator shall bear responsibility for obtaining and verifying this information before passing it on to the Agency; (c) make the appropriate arrangements for providing any financial guarantees required under the Agreement; (d) establish the requests for payment in accordance with the Agreement; (e) ensure that all the appropriate payments are made to the other beneficiaries without unjustified delay; (f) bear responsibility for providing all the necessary documents in the event of checks and audits initiated before the payment of the balance, and in the event of evaluation in accordance with Article II.27. The coordinator shall not subcontract any part of its tasks to the other beneficiaries or to any other party. ARTICLE II.2 – COMMUNICATIONS BETWEEN THE PARTIES II.2.1 Form and means of communications Any communication relating to the Agreement or to its implementation shall be made in writing (in paper or electronic form), shall bear the number of the Agreement and shall be made using the communication details identified in Article 6. Electronic communications shall be confirmed by an original signed paper version of that communication if requested by any of the parties provided that this request is submitted without unjustified delay. The sender shall send the original signed paper version without unjustified delay. Formal notifications shall be made by registered mail with return receipt or equivalent, or by equivalent electronic means. 22 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 II.2.2 Date of communications Any communication is deemed to have been made when it is received by the receiving party, unless the agreement refers to the date when the communication was sent. Electronic communication is deemed to have been received by the receiving party on the day of successful dispatch of that communication, provided that it is sent to the addressees listed in Article 6. Dispatch shall be deemed unsuccessful if the sending party receives a message of non-delivery. In this case, the sending party shall immediately send again such communication to any of the other addresses listed in Article 6. In case of unsuccessful dispatch, the sending party shall not be held in breach of its obligation to send such communication within a specified deadline. Mail sent to the Agency using the postal services is considered to have been received by the Agency on the date on which it is registered by the department identified in Article 6.2. Formal notifications made by registered mail with return receipt or equivalent, or by equivalent electronic means, shall be considered to have been received by the receiving party on the date of receipt indicated on the return receipt or equivalent. ARTICLE II.3 – LIABILITY FOR DAMAGES II.3.1 The Agency shall not be held liable for any damage caused or sustained by any of the beneficiaries, including any damage caused to third parties as a consequence of or during the implementation of the action. II.3.2 Except in cases of force majeure, the beneficiaries shall compensate the Agency for any damage sustained by it as a result of the implementation of the action or because the action was not implemented or implemented poorly, partially or late. ARTICLE II.4 - CONFLICT OF INTERESTS II.4.1 The beneficiaries shall take all necessary measures to prevent any situation where the impartial and objective implementation of the Agreement is compromised for reasons involving economic interest, political or national affinity, family or emotional ties or any other shared interest (“conflict of interests”). II.4.2 Any situation constituting or likely to lead to a conflict of interests during the implementation of the Agreement shall be notified to the Agency, in writing, without delay. The beneficiaries shall immediately take all the necessary steps to rectify this situation. The Agency reserves the right to verify that the measures taken are appropriate and may require additional measures to be taken within a specified deadline. ARTICLE II.5 – CONFIDENTIALITY II.5.1 The Agency and the beneficiaries shall preserve the confidentiality of any information and documents, in any form, which are disclosed in writing or orally in relation to the implementation of the Agreement and which are explicitly indicated in writing as 23 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 confidential. II.5.2 The beneficiaries shall not use confidential information and documents for any reason other than fulfilling their obligations under the Agreement, unless otherwise agreed with the Agency in writing. II.5.3 The Agency and the beneficiaries shall be bound by the obligations referred to in Articles II.5.1 and II.5.2 during the implementation of the Agreement and for a period of five years starting from the payment of the balance, unless: (a) the party concerned agrees to release the other party from the confidentiality obligations earlier; (b) the confidential information becomes public through other means than in breach of the confidentiality obligation through disclosure by the party bound by that obligation; (c) the disclosure of the confidential information is required by law. ARTICLE II.6 – PROCESSING OF PERSONAL DATA II.6.1 Processing of personal data by the Agency Any personal data included in the Agreement shall be processed by the Agency pursuant to Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data. Such data shall be processed by the data controller identified in Article 6.1 solely for the purposes of the implementation, management and monitoring of the Agreement, without prejudice to possible transmission to the bodies charged with the monitoring or inspection tasks n application of Union law. The beneficiaries shall have the right of access to their personal data and the right to rectify any such data. Should the beneficiaries have any queries concerning the processing of their personal data, they shall address them to the data controller, identified in Article 6.1. The beneficiaries shall have the right of recourse at any time to the European Data Protection Supervisor. II.6.2 Processing of personal data by the beneficiaries Where the Agreement requires the processing of personal data by the beneficiaries, the beneficiaries may act only under the supervision of the data controller identified in Article 6.1, in particular with regard to the purpose of the processing, the categories of data which may be processed, the recipients of the data and the means by which the data subject may exercise his or her rights. The access to data that the beneficiaries grant to their personnel shall be limited to the extent 24 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 strictly necessary for the implementation, management and monitoring of the Agreement. The beneficiaries undertake to adopt appropriate technical and organisational security measures having regard to the risks inherent in the processing and to the nature of the personal data concerned, in order to: (a) prevent any unauthorised person from gaining access to computer systems processing personal data, and especially: (i) unauthorised reading, copying, alteration or removal of storage media; (ii) unauthorised data input as well as any unauthorised disclosure, alteration or erasure of stored personal data; (iii) unauthorised persons from using data-processing systems by means of data transmission facilities; (b) ensure that authorised users of a data-processing system can access only the personal data to which their access right refers; (c) record which personal data have been communicated, when and to whom; (d) ensure that personal data being processed on behalf of third parties can be processed only in the manner prescribed by the Agency; (e) ensure that, during communication of personal data and transport of storage media, the data cannot be read, copied or erased without authorisation; (f) design their organisational structure in such a way that it meets data protection requirements. ARTICLE II.7 – VISIBILITY OF UNION FUNDING II.7.1 Information on Union funding and use of European Union emblem Unless the Agency requests or agrees otherwise, any communication or publication related to the action, made by the beneficiaries jointly or individually, including at conferences, seminars or in any information or promotional materials (such as brochures, leaflets, posters, presentations, etc.), shall indicate that the action has received funding from the Union and shall display the European Union emblem. When displayed in association with another logo, the European Union emblem must have appropriate prominence. The obligation to display the European Union emblem does not confer to the beneficiaries a right of exclusive use. The beneficiaries shall not appropriate the European Union emblem or any similar trademark or logo, either by registration or by any other means. For the purposes of the first, second and third subparagraphs and under the conditions 25 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 specified therein, the beneficiaries are exempted from the obligation to obtain prior permission from the Agency to use the European Union emblem. II.7.2 Disclaimers excluding Agency responsibility Any communication or publication related to the action, made by the beneficiaries jointly or individually in any form and using any means, shall indicate that it reflects only the author's view and that the Agency is not responsible for any use that may be made of the information it contains. ARTICLE II.8 – PRE-EXISTING RIGHTS AND OWNERSHIP AND USE OF THE RESULTS (INCLUDING INTELLECTUAL AND INDUSTRIAL PROPERTY RIGHTS) II.8.1 Ownership of the results by the beneficiaries Unless stipulated otherwise in the Agreement, ownership of the results of the action, including industrial and intellectual property rights, and of the reports and other documents relating to it, shall be vested in the beneficiaries. II.8.2 Pre-existing industrial and intellectual property rights Where industrial and intellectual property rights, including rights of third parties, exist prior to the conclusion of the Agreement, the beneficiaries shall establish a list which shall specify all rights of ownership and use of the pre-existing industrial and intellectual property rights and disclose it to the Agency at the latest before the commencement of implementation. The beneficiaries shall ensure that they or their affiliated entities have all the rights to use any pre-existing industrial and intellectual property rights during the implementation of the Agreement. II.8.3 Rights of use of the results and of pre-existing rights by the Agency Without prejudice to Articles II.1.1, II.3 and II.8.1, the beneficiaries grant the Agency the right to use the results of the action for the following purposes: (a) use for its own purposes, and in particular, making available to persons working for the Agency, Union institutions, other Union agencies and bodies and to Member States' institutions, as well as copying and reproducing in whole or in part and in unlimited number of copies; (b) distribution to the public, and in particular, publication in hard copies and in electronic or digital format, publication on the internet, including on the Europa website, as a downloadable or non-downloadable file, broadcasting by any kind of technique of transmission, public display or presentation, communication through press information services, inclusion in widely accessible databases or indexes; (c) translation; 26 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 (d) giving access upon individual requests without the right to reproduce or exploit, as provided for by Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents; (e) storage in paper, electronic or other format; (f) archiving in line with the document management rules applicable to the Agency; (g) rights to authorise or sub-licence the modes of exploitation set out in points (b) and (c) to third parties. Additional rights of use for the Agency may be provided for in the Special Conditions. The beneficiaries shall warrant that the Agency has the right to use any pre-existing industrial and intellectual property rights, which have been included in the results of the action. Unless specified otherwise in the Special Conditions, those pre-existing rights shall be used for the same purposes and under the same conditions applicable to the rights of use of the results of the action. Information about the copyright owner shall be inserted when the result is divulged by the Agency. The copyright information shall read: "© – [year] – [name of the copyright owner]. All rights reserved. Licenced to the Innovation and Networks Executive Agency under conditions.". ARTICLE II.9 – AWARD OF CONTRACTS NECESSARY FOR THE IMPLEMENTATION OF THE ACTION II.9.1 Where the implementation of the action requires the procurement of goods, works or services, the beneficiaries shall award the contract to the tender offering best value for money or, as appropriate, to the tender offering the lowest price. In doing so, they shall avoid any conflict of interests. The beneficiaries shall ensure that the Agency, the Commission, the European Anti- Fraud Office (OLAF) and the European Court of Auditors may exercise their rights under Article II.27 also towards the contractor. II.9.2 Beneficiaries acting in their capacity of contracting authorities within the meaning of Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public work contracts, public supply contracts and public service contracts or contracting entities within the meaning of Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors shall abide by the applicable national public procurement rules. II.9.3 The beneficiaries shall retain sole responsibility for carrying out the action and for compliance with the provisions of the Agreement. The beneficiaries shall ensure that any procurement contract contains provisions stipulating that the contractor has no 27 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 rights vis-à-vis the Agency under the Agreement. II.9.4 The beneficiaries shall ensure that the conditions applicable to them under Articles II.3, II.4, II.5 and II.8 are also applicable to the contractor. II.9.5 Where, in accordance with Article 3(a), the grant takes the form of the reimbursement of eligible costs:  If a beneficiary breaches any of its obligations under Article II.9.1, the costs related to the contract concerned shall be ineligible;  If a beneficiary breaches any of its obligations under Article II.9.2, II.9.3 or II.9.4, the grant may be reduced in proportion to the seriousness of the breach of obligations. Where, in accordance with Article 3(b), (c) or (d) the grant takes the form of a unit, lump sum or flat-rate contribution, if a beneficiary breaches any of its obligations under Article II.9.1, II.9.2, II.9.3 or II.9.4, the grant may be reduced in proportion to the seriousness of the breach of obligations. ARTICLE II.10 – SUBCONTRACTING OF TASKS FORMING PART OF THE ACTION II.10.1 A "subcontract" is a procurement contract within the meaning of Article II.9, which covers the implementation by a third party of tasks forming part of the action as described in Annex I. II.10.2 Beneficiaries may subcontract tasks forming part of the action, provided that, in addition to the conditions specified in Article II.9.1, the following conditions are complied with: (a) subcontracting only covers the implementation of a limited part of the action; (b) recourse to subcontracting is justified having regard to the nature of the action and what is necessary for its implementation; (c) the estimated costs of the subcontracting are clearly identifiable in the estimated budget set out in Annex III; (d) any recourse to subcontracting, if not provided for in Annex I, is communicated by the coordinator and approved by the Agency without prejudice to Article II.12.2. II.10.3 Beneficiaries acting in their capacity of contracting authorities within the meaning of Directive 2004/18/EC of the European Parliament and of the Council of 31 March 2004 on the coordination of procedures for the award of public work contracts, public supply contracts and public service contracts or contracting entities within the meaning of Directive 2004/17/EC of the European Parliament and of the Council of 31 March 2004 coordinating the procurement procedures of entities operating in the 28 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 water, energy, transport and postal services sectors shall abide by the applicable national public procurement rules. II.10.4 The beneficiaries shall retain sole responsibility for carrying out the action and for compliance with the provisions of the Agreement. The beneficiaries shall ensure that any subcontract contains provisions stipulating that the subcontractor has no rights vis-à-vis the Agency under the Agreement. II.10.5 The beneficiaries shall ensure that the conditions applicable to them under Articles II.3, II.4, II.5, II.7 and II.8 are also applicable to the subcontractor. II.10.6 Where, in accordance with Article 3(a), the grant takes the form of the reimbursement of eligible costs:  If a beneficiary breaches any of its obligations under Article II.10.2, the costs related to the subcontract concerned shall be ineligible;  If a beneficiary breaches any of its obligations under Article II.10.3, II.10.4 or II.10.5, the grant may be reduced in proportion to the seriousness of the breach of obligations. Where, in accordance with Article 3(b), (c) or (d) the grant takes the form of a unit, lump sum or flat-rate contribution if a beneficiary breaches any of its obligations under Article II.10.2, II.10.3, II.10.4 or II.10.5, the grant may be reduced in proportion to the seriousness of the breach of obligations. ARTICLE II.11 - FINANCIAL SUPPORT TO THIRD PARTIES II.11.1 Where the implementation of the action requires giving financial support to third parties, the beneficiaries shall give such financial support in accordance with the conditions specified in Annex I, which shall at least contain: (a) the maximum amount of financial support, which shall not exceed EUR 60 000 for each third party except where the financial support is the primary aim of the action as specified in Annex I; (b) the criteria for determining the exact amount of the financial support; (c) the different types of activity that may receive financial support, on the basis of a fixed list; (d) the definition of the persons or categories of persons which may receive financial support; (e) the criteria for giving the financial support. The beneficiaries shall ensure that the Agency, the Commission, the European Anti- Fraud Office (OLAF) and the European Court of Auditors may exercise their rights under Article II.27 also towards the third parties receiving financial support. 29 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 II.11.2 By way of derogation from Article II.11.1, in case the financial support takes the form of a prize, the beneficiaries shall give such financial support in accordance with the conditions specified in Annex I, which shall at least contain: (a) the conditions for participation; (b) the award criteria; (c) the amount of the prize; (d) the payment arrangements. The beneficiaries shall ensure that the Agency, the Commission, the European Anti- Fraud Office (OLAF) and the European Court of Auditors may exercise their rights under Article II.27 also towards the third parties receiving a prize. II.11.3 The beneficiaries shall ensure that the conditions applicable to them under Articles II.3, II.4, II.5, II.7 and II.8 are also applicable to the third parties receiving financial support. II.11.4 Where, in accordance with Article 3(a), the grant takes the form of the reimbursement of eligible costs:  If a beneficiary breaches any of its obligations under Article II.11.1 or II.11.2, the costs related to the financial support shall be ineligible;  If a beneficiary breaches any of its obligations under Article II.11.3, the grant may be reduced in proportion to the seriousness of the breach of obligations. Where, in accordance with Article 3(b), (c) or (d) the grant takes the form of a unit, lump sum or flat-rate contribution if a beneficiary breaches any of its obligations under Article II.11.1 II.11.2 or II.11.3, the grant may be reduced in proportion to the seriousness of the breach of obligations. ARTICLE II.12 – AMENDMENTS TO THE AGREEMENT II.12.1 Any amendment to the Agreement shall be made in writing. II.12.2 An amendment may not have the purpose or the effect of making changes to the Agreement which would call into question the decision awarding the grant or be contrary to the equal treatment of applicants. II.12.3 Any request for amendment shall be duly justified and shall be sent to the other party in due time before it is due to take effect, and in any case three months before the end of the period set out in Article 2.2, except in cases duly substantiated by the party requesting the amendment and accepted by the other party. II.12.4 A request for amendment on behalf of the beneficiaries shall be submitted by the 30 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 coordinator. If a change of coordinator is requested without its agreement, the request shall be jointly submitted by all other beneficiaries or shall be submitted by a beneficiary acting on behalf of all beneficiaries. II.12.5 Amendments shall enter into force on the date on which the last party signs or on the date of approval of the request for amendment. Amendments shall take effect on a date agreed by the parties or, in the absence of such an agreed date, on the date on which the amendment enters into force. ARTICLE II.13 – ASSIGNMENT OF CLAIMS FOR PAYMENTS TO THIRD PARTIES II.13.1 Claims for payments of the beneficiaries against the Agency may not be assigned to third parties, except in duly justified cases where the situation warrants it. The assignment shall only be enforceable against the Agency if it has accepted the assignment on the basis of a written and reasoned request to that effect made by the coordinator on behalf of the beneficiaries. In the absence of such an acceptance, or in the event of failure to observe the terms thereof, the assignment shall have no effect on the Agency. II.13.2 In no circumstances shall such an assignment release the beneficiaries from their obligations towards the Agency. ARTICLE II.14 – FORCE MAJEURE II.14.1 "Force majeure" shall mean any unforeseeable exceptional situation or event beyond the parties' control, which prevents either of them from fulfilling any of their obligations under the Agreement, which was not attributable to error or negligence on their part or on the part of subcontractors, affiliated entities, implementing bodies or third parties involved in the implementation and which proves to be inevitable in spite of exercising all due diligence. Any default of a service, defect in equipment or material or delays in making them available, unless they stem directly from a relevant case of force majeure, as well as labour disputes, strikes or financial difficulties cannot be invoked as force majeure. II.14.2 A party faced with force majeure shall formally notify the other party without delay, stating the nature, likely duration and foreseeable effects. II.14.3 The parties shall take the necessary measures to limit any damage due to force majeure. They shall do their best to resume the implementation of the action as soon as possible. II.14.4 The party faced with force majeure shall not be held to be in breach of its obligations under the Agreement if it has been prevented from fulfilling them by force majeure. 31 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ARTICLE II.15 – SUSPENSION OF THE IMPLEMENTATION OF THE ACTION II.15.1 Suspension of the implementation by the beneficiaries The coordinator, on behalf of the beneficiaries, may suspend the implementation of the action or any part thereof, if exceptional circumstances make such implementation impossible or excessively difficult, in particular in the event of force majeure. The coordinator shall inform the Agency without delay, giving all the necessary reasons and details and the foreseeable date of resumption. Unless the Agreement or the participation of a beneficiary is terminated in accordance with Articles II.16.1, II.16.2 or points (c) or (d) of Article II.16.3.1, the coordinator shall, once the circumstances allow resuming the implementation of the action, inform the Agency immediately and present a request for amendment of the Agreement as provided for in Article II.15.3. II.15.2 Suspension of the implementation by the Agency II.15.2.1 The Agency may suspend the implementation of the action or any part thereof: (a) if the Agency has evidence that a beneficiary has committed substantial errors, irregularities or fraud in the award procedure or in the implementation of the Agreement or if a beneficiary fails to comply with its obligations under the Agreement; (b) if the Agency has evidence that a beneficiary has committed systemic or recurrent errors, irregularities, fraud or breach of obligations under other grants funded by the Union or the European Atomic Energy Community which were awarded to that beneficiary under similar conditions, provided that those errors, irregularities, fraud or breach of obligations have a material impact on this grant; (c) if the Agency suspects substantial errors, irregularities, fraud or breach of obligations committed by a beneficiary in the award procedure or in the implementation of the Agreement and needs to verify whether they have actually occurred; or (d) following an evaluation of the progress of the project, in particular in the event of major delays in the implementation of the action. II.15.2.2 Before suspending the implementation the Agency shall formally notify the coordinator of its intention to suspend, specifying the reasons thereof, and, in the cases referred to in points (a), (b) and (d) of Article II.15.2.1, the necessary conditions for resuming the implementation. The coordinator shall be invited to submit observations on behalf of all beneficiaries within 30 calendar days from receipt of this notification. If, after examination of the observations submitted by the coordinator, the Agency decides to stop the suspension procedure, it shall formally notify the 32 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 coordinator thereof. If no observations have been submitted or if, despite the observations submitted by the coordinator, the Agency decides to pursue the suspension procedure, it may suspend the implementation by formally notifying the coordinator thereof, specifying the reasons for the suspension and, in the cases referred to in points (a), (b) and (d) of Article II.15.2.1, the definitive conditions for resuming the implementation or, in the case referred to in point (c) of Article II.15.2.1, the indicative date of completion of the necessary verification. The coordinator shall inform the other beneficiaries immediately. The suspension shall take effect five calendar days after the receipt of the notification by the coordinator or on a later date, where the notification so provides. In order to resume the implementation, the beneficiaries shall endeavour to meet the notified conditions as soon as possible and shall inform the Agency of any progress made in this respect. Unless the Agreement or the participation of a beneficiary is terminated in accordance with Articles II.16.1, II.16.2 or points (c), (i), (j) or (k) of Article II.16.3.1, the Agency shall, as soon as it considers that the conditions for resuming the implementation have been met or the necessary verification, including on-the-spot checks, has been carried out, formally notify the coordinator thereof and invite the coordinator to present a request for amendment of the Agreement as provided for in Article II.15.3. II.15.3 Effects of the suspension If the implementation of the action can be resumed and the Agreement is not terminated, an amendment to the Agreement shall be made in accordance with Article II.12 in order to establish the date on which the action shall be resumed, to extend the duration of the action and to make any other modifications that may be necessary to adapt the action to the new implementing conditions. The suspension is deemed lifted as from the date of resumption of the action agreed by the parties in accordance with the first subparagraph. Such a date may be before the date on which the amendment enters into force. Any costs incurred by the beneficiaries, during the period of suspension, for the implementation of the suspended action or the suspended part thereof, shall not be reimbursed or covered by the grant. The right of the Agency to suspend the implementation is without prejudice to its right to terminate the Agreement or the participation of a beneficiary in accordance with Article II.16.3 and its right to reduce the grant or recover amounts unduly paid in accordance with Articles II.25.4 and II.26. Neither party shall be entitled to claim compensation on account of a suspension by the other party. 33 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ARTICLE II.16 – TERMINATION OF THE AGREEMENT II.16.1 Termination of the Agreement by the coordinator In duly justified cases, the coordinator, on behalf of all beneficiaries, may terminate the Agreement by formally notifying the Agency thereof, stating clearly the reasons and specifying the date on which the termination shall take effect. The notification shall be sent before the termination is due to take effect. If no reasons are given or if the Agency considers that the reasons exposed cannot justify the termination, it shall formally notify the coordinator, specifying the grounds thereof, and the Agreement shall be deemed to have been terminated improperly, with the consequences set out in the fourth subparagraph of Article II.16.4.1. II.16.2 Termination of the participation of one or more beneficiaries by the coordinator In duly justified cases, the participation of any one or several beneficiaries in the Agreement may be terminated by the coordinator, acting on request of that beneficiary or those beneficiaries, or on behalf of all the other beneficiaries. When notifying such termination to the Agency, the coordinator shall include the reasons for the termination of the participation, the opinion of the beneficiary or beneficiaries the participation of which is terminated, the date on which the termination shall take effect and the proposal of the remaining beneficiaries relating to the reallocation of the tasks of that beneficiary or those beneficiaries or, where relevant, to the nomination of one or more replacements which shall succeed that beneficiary or those beneficiaries in all their rights and obligations under the Agreement. The notification shall be sent before the termination is due to take effect. If the coordinator’s participation is terminated without its agreement, the formal notification must be done by another beneficiary (acting on behalf of the other beneficiaries). If no reasons are given or if the Agency considers that the reasons exposed cannot justify the termination, it shall formally notify the coordinator, specifying the grounds thereof, and the participation shall be deemed to have been terminated improperly, with the consequences set out in the fourth subparagraph of Article II.16.4.1. Without prejudice to Article II.12.2, an amendment to the Agreement shall be made, in order to introduce the necessary modifications. II.16.3 Termination of the Agreement or the participation of one or more beneficiaries by the Agency II.16.3.1 The Agency may decide to terminate the Agreement or the participation of any one or several beneficiaries participating in the action, in the following circumstances: (a) if a change to the beneficiary’s legal, financial, technical, organisational or ownership situation is likely to affect the implementation of the Agreement substantially or calls into question the decision to award the grant; 34 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 (b) if, following the termination of the participation of any one or several beneficiaries, the necessary modifications to the Agreement would call into question the decision awarding the grant or would result in unequal treatment of applicants; (c) if the beneficiaries do not implement the action as specified in Annex I or if a beneficiary fails to comply with another substantial obligation incumbent on it under the terms of the Agreement; (d) in the event of force majeure, notified in accordance with Article II.14, or in the event of suspension by the coordinator as a result of exceptional circumstances, notified in accordance with Article II.15, where resuming the implementation is impossible or where the necessary modifications to the Agreement would call into question the decision awarding the grant or would result in unequal treatment of applicants; (e) if a beneficiary is declared bankrupt, is being wound up, is having its affairs administered by the courts, has entered into an arrangement with creditors, has suspended business activities, is the subject of any other similar proceedings concerning those matters, or is in an analogous situation arising from a similar procedure provided for in national legislation or regulations; (f) if a beneficiary or any related person, as defined in the second subparagraph, have been found guilty of professional misconduct proven by any means; (g) if a beneficiary is not in compliance with its obligations relating to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which it is established or in which the action is implemented; (h) if the Agency has evidence that a beneficiary or any related person, as defined in the second subparagraph, have committed fraud, corruption, or are involved in a criminal organisation, money laundering or any other illegal activity detrimental to the Union's financial interests; (i) if the Agency has evidence that a beneficiary or any related person, as defined in the second subparagraph, have committed substantial errors, irregularities or fraud in the award procedure or in the implementation of the Agreement, including in the event of submission of false information or failure to submit required information in order to obtain the grant provided for in the Agreement; (j) if the Agency has evidence that a beneficiary has committed systemic or recurrent errors, irregularities, fraud or breach of obligations under other grants funded by the Union or the European Atomic Energy Community which were awarded to that beneficiary under similar conditions, provided that those errors, irregularities, fraud or breach of obligations have a 35 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 material impact on this grant; (k) following an evaluation of the progress of the project, in particular in the event of major delays in the implementation of the action; (l) if the action has not started within two years of the starting date set out in Article 2.2 or, for grants for studies, if the action has not started within one year of the starting date set out in Article 2.2. For the purposes of points (f), (h) and (i), "any related person" shall mean any natural person who has the power to represent the beneficiary or to take decisions on its behalf. II.16.3.2 Before terminating the Agreement or the participation of any one or several beneficiaries, the Agency shall formally notify the coordinator of its intention to terminate, specifying the reasons thereof and inviting the coordinator, within 45 calendar days from receipt of the notification, to submit observations on behalf of all beneficiaries and, in the case of point (c) of Article II.16.3.1, to inform the Agency about the measures taken to ensure that the beneficiaries continue to fulfil their obligations under the Agreement. If, after examination of the observations submitted by the coordinator, the Agency decides to stop the termination procedure, it shall formally notify the coordinator thereof. If no observations have been submitted or if, despite the observations submitted by the coordinator, the Agency decides to pursue the termination procedure, it may terminate the Agreement or the participation of any one or several beneficiaries by formally notifying the coordinator thereof, specifying the reasons for the termination. In the cases referred to in points (a), (b), (c), (e), (g) and (k) of Article II.16.3.1, the formal notification shall specify the date on which the termination takes effect. In the cases referred to in points (d), (f), (i), (j), (l) of Article II.16.3.1, the termination shall take effect on the day following the date on which the formal notification was received by the coordinator. II.16.4 Effects of termination II.16.4.1 Where the Agreement is terminated, payments by the Agency shall be limited to the amount determined in accordance with Article II.25 on the basis of the eligible costs incurred by the beneficiaries and the actual level of implementation of the action on the date when the termination takes effect. Costs relating to current commitments, which are not due for execution until after the termination, shall not be taken into account. The coordinator shall have 60 days from the date when the termination of the Agreement takes effect, as provided for in Articles II.16.1 and II.16.3.2, to produce a request for payment of the balance in accordance with Article II.23.2. If no request for payment of the balance is received within this 36 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 time limit, the Agency shall not reimburse or cover any costs which are not included in a financial statement approved by it or which are not justified in a technical report approved by it. In accordance with Article II.26, the Agency shall recover any amount already paid, if its use is not substantiated by the technical reports and, where applicable, by the financial statements approved by the Agency. Where the participation of a beneficiary is terminated, the beneficiary concerned shall submit to the coordinator a technical report and, where applicable, a financial statement covering the period from the end of the last reporting period according to Article 4.1.1 for which a report has been submitted to the Agency to the date on which the termination takes effect. The technical report and the financial statement shall be submitted in due time to allow the coordinator to draw up the corresponding payment request. Only those costs incurred by the beneficiary concerned up to the date when termination of its participation takes effect shall be reimbursed or covered by the grant. Costs relating to current commitments, which were not due for execution until after the termination, shall not be taken into account. The request for payment for the beneficiary concerned shall be included in the next payment request submitted by the coordinator in accordance with the schedule laid down in Article 4. Where the Agency, in accordance with point (c) of Article II.16.3.1, is terminating the Agreement on the grounds that the coordinator has failed to produce the request for payment and, after a reminder, has still not complied with this obligation within the deadline set out in Article II.23.3, the first subparagraph shall apply, subject to the following: (a) there shall be no additional time period from the date when the termination of the Agreement takes effect for the coordinator to produce a request for payment of the balance in accordance with Article II.23.2; and (b) the Agency shall not reimburse or cover any costs incurred by the beneficiaries up to the date of termination or up to the end of the period set out in Article 2.2, whichever is the earlier, which are not included in a financial statement approved by it or which are not justified in a technical report approved by it. In addition to the first, second and third subparagraphs, where the Agreement or the participation of a beneficiary is terminated improperly by the coordinator within the meaning of Articles II.16.1 and II.16.2, or where the Agreement or the participation of a beneficiary is terminated by the Agency on the grounds set out in points (c), (f), (h), (i), (j) and (k) of Article II.16.3.1, the Agency may also reduce the grant or recover amounts unduly paid in accordance with Articles II.25.4 and II.26, in proportion to the gravity of the failings in question and after allowing the coordinator, and, where relevant, the beneficiaries concerned, to submit their observations. II.16.4.2 Where the Agency, in accordance with point (l) of Article II.16.3.1, is terminating the Agreement on the ground that the action has not started by the set deadline, the 37 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 following shall apply: (a) the coordinator shall not produce a request for payment of the balance; and (b) the final amount of the grant shall be EUR 0 (zero euro). The Agency shall recover any amounts unduly paid in accordance with Article II.26. II.16.4.3 Neither party shall be entitled to claim compensation on account of a termination by the other party. ARTICLE II.17 – NOT APPLICABLE ARTICLE II.18 – APPLICABLE LAW, SETTLEMENT OF DISPUTES AND ENFORCEABLE DECISION II.18.1 The Agreement is governed by the applicable Union law complemented, where necessary, by the law of Belgium. II.18.2 Pursuant to Article 272 TFEU, the General Court or, on appeal, the Court of Justice of the European Union, shall have sole jurisdiction to hear any dispute between the Union and any beneficiary concerning the interpretation, application or validity of this Agreement, if such dispute cannot be settled amicably. II.18.3 By virtue of Article 299 TFEU, for the purposes of recoveries within the meaning of Article II.26 or financial penalties, the Commission may adopt an enforceable decision to impose pecuniary obligations on persons other than States. An action may be brought against such decision before the General Court of the European Union pursuant to Article 263 TFEU. 38 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 PART B – FINANCIAL PROVISIONS ARTICLE II.19 – ELIGIBLE COSTS II.19.1 Conditions for the eligibility of costs "Eligible costs" of the action are costs actually incurred by the beneficiary which meet the following criteria: (a) they are incurred in the period set out in Article 2.2, with the exception of costs relating to the request for payment of the balance and the corresponding supporting documents referred to in Article II.23.2. Costs of contracts for goods, works or services or of subcontracts are considered to be incurred when the contract or subcontract (or a part of it) is executed, i.e. when the goods, works or services (including studies) are supplied, delivered or provided; (b) they are indicated in the estimated budget of the action set out in Annex III; (c) they are incurred in connection with the action as described in Annex I and are necessary for its implementation; in particular, for the costs of contracts for goods, the goods are supplied in a Member State or in any other countries where the action is implemented as described in Annex I; for the costs of contracts for works, the works are delivered in a Member State or in any other countries where the action is implemented as described in Annex I; for the costs of contracts for services (including studies), the services provided concern a Member State or any other countries where the action is implemented as described in Annex I; (d) they are identifiable and verifiable, in particular being recorded in the accounting records of the beneficiary and determined according to the applicable accounting standards of the country where the beneficiary is established and with the usual cost accounting practices of the beneficiary; (e) they comply with the requirements of applicable tax and social legislation; and (f) they are reasonable, justified, and comply with the principle of sound financial management, in particular regarding economy and efficiency. II.19.2 Eligible direct costs "Direct costs" of the action are those specific costs which are directly linked to the implementation of the action and can therefore be attributed directly to it. They may not include any indirect costs. To be eligible, direct costs shall comply with the conditions of eligibility set out in Article II.19.1. In particular, the following categories of costs are eligible direct costs, provided that they satisfy the conditions of eligibility set out in Article II.19.1 as well as the following 39 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 conditions: (a) the costs of personnel working under an employment contract with the beneficiary or an equivalent appointing act and assigned to the action, comprising actual salaries plus social security contributions and other statutory costs included in the remuneration, provided that these costs are in line with the beneficiary's usual policy on remuneration; those costs may also include additional remunerations, including payments on the basis of supplementary contracts regardless of the nature of those contracts, provided that they are paid in a consistent manner whenever the same kind of work or expertise is required, independently from the source of funding used; The costs of natural persons working under a contract with the beneficiary other than an employment contract may be assimilated to such costs of personnel, provided that the following conditions are fulfilled: (i) the natural person works under the instructions of the beneficiary and, unless otherwise agreed with the beneficiary, in the premises of the beneficiary; (ii) the result of the work belongs to the beneficiary; and (iii) the costs are not significantly different from the costs of staff performing similar tasks under an employment contract with the beneficiary; (b) costs of travel and related subsistence allowances, provided that these costs are in line with the beneficiary's usual practices on travel; (c) the full costs of purchase of equipment and other assets shall be eligible, provided that they are treated as capital expenditure in accordance with the tax and accounting rules applicable to the beneficiary and are recorded in the fixed assets account of its balance sheet and if the asset has been purchased in accordance with Article II.9.1. The costs of rental or lease of equipment or other assets are also eligible, provided that these costs do not exceed the depreciation costs of similar equipment or assets and are exclusive of any finance fee; (d) costs of consumables and supplies, provided that they are purchased in accordance with the first subparagraph of Article II.9.1 and are directly assigned to the action; (e) costs arising directly from requirements imposed by the Agreement (dissemination of information, specific evaluation of the action, audits, translations, reproduction), including the costs of requested financial guarantees, provided that the corresponding services are purchased in accordance with the first subparagraph of Article II.9.1; (f) costs entailed by service contracts, including costs of environmental studies on the protection of the environment and on compliance with the relevant Union law, provided that the corresponding services are purchased in accordance with the first subparagraph of Article II.9.1 and costs entailed by subcontracts within the meaning of Article II.10, provided that the conditions laid down in Article II.10.2 are met; 40 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 (g) costs of financial support to third parties within the meaning of Article II.11, provided that the conditions laid down in Article II.11.1 or II.11.2 are met; (h) duties, taxes and charges paid by the beneficiary, notably non-deductible value added tax (VAT), provided that they are included in eligible direct costs, and unless specified otherwise in the Agreement. II.19.3 Indirect costs "Indirect costs" of the action are those costs which are not specific costs directly linked to the implementation of the action and can therefore not be attributed directly to it. They may not include any costs identifiable or declared as eligible direct costs. Eligible indirect costs shall be declared on the basis of a flat rate of 7% of the total eligible direct costs minus subcontracting costs within the meaning of Article II.10 and costs of financial support to third parties within the meaning of Article II.11. II.19.4 Ineligible costs In addition to any other costs which do not fulfill the conditions set out in Article II.19.1, the following costs shall not be considered eligible: (a) return on capital; (b) debt and debt service charges; (c) provisions for losses or debts; (d) interest owed; (e) doubtful debts; (f) exchange losses; (g) costs of transfers from the Agency charged by the bank of a beneficiary; (h) costs declared by the beneficiary in the framework of another action receiving a grant financed from the Union budget (including grants awarded by a Member State and financed from the Union budget and grants awarded by other bodies than the Commission for the purpose of implementing the Union budget);in particular, indirect costs shall not be eligible under a grant for an action awarded to a beneficiary which already receives an operating grant financed from the Union budget during the period in question; (i) contributions in kind from third parties; (j) excessive or reckless expenditure; (k) deductible VAT; 41 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 (l) costs of land and building acquisition (including expropriation costs). ARTICLE II.20 – IDENTIFIABILITY AND VERIFIABILITY OF THE AMOUNTS DECLARED II.20.1 Reimbursement of actual costs Where, in accordance with Article 3(a)(i), the grant takes the form of the reimbursement of actual costs, the beneficiary must declare as eligible costs the costs it actually incurred for the action. If requested to do so in the context of the checks or audits described in Article II.27, the beneficiary must be able to provide adequate supporting documents to prove the costs declared, such as contracts, invoices and accounting records. In addition, the beneficiary's usual accounting and internal control procedures must permit direct reconciliation of the amounts declared with the amounts recorded in its accounting statements as well as with the amounts indicated in the supporting documents. II.20.2 Reimbursement of pre-determined unit costs or pre-determined unit contribution Where, in accordance with Article 3(a)(ii) or (b), the grant takes the form of the reimbursement of unit costs or of a unit contribution, the beneficiary must declare as eligible costs or as requested contribution the amount obtained by multiplying the amount per unit specified in Article 3(a)(ii) or (b) by the actual number of units used or produced. If requested to do so in the context of the checks or audits described in Article II.27, the beneficiary must be able to provide adequate supporting documents to prove the number of units declared. However, the beneficiary does not need to identify the actual eligible costs covered or to provide supporting documents, notably accounting statements, to prove the amount declared per unit. II.20.3 Reimbursement of pre-determined lump sum costs or pre-determined lump sum contribution Where, in accordance with Article 3(a)(iii) or (c), the grant takes the form of the reimbursement of lump sum costs or of a lump sum contribution, the beneficiary must declare as eligible costs or as requested contribution the global amount specified in Article 3(a)(iii) or (c), subject to the proper implementation of the corresponding tasks or part of the action as described in Annex I. If requested to do so in the context of the checks or audits described in Article II.27, the beneficiary must be able to provide adequate supporting documents to prove the proper implementation. However, the beneficiary does not need to identify the actual eligible costs covered or to provide supporting documents, notably accounting statements, to prove the amount declared as lump sum. 42 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 II.20.4 Reimbursement of pre-determined flat-rate costs or pre-determined flat-rate contribution Where, in accordance with Article 3(a)(iv) or (d), the grant takes the form of the reimbursement of flat-rate costs or of a flat-rate contribution, the beneficiary must declare as eligible costs or as requested contribution the amount obtained by applying the flat rate specified in Article 3(a)(iv) or (d). If requested to do so in the context of the checks or audits described in Article II.27, the beneficiary must be able to provide adequate supporting documents to prove the eligible costs or requested contribution to which the flat rate applies. However, the beneficiary does not need to identify the actual eligible costs covered or to provide supporting documents, notably accounting statements, for the flat rate applied. II.20.5 Reimbursement of costs declared on the basis of the beneficiary's usual cost accounting practices Where, in accordance with Article 3(a)(v), the grant takes the form of the reimbursement of unit costs declared on the basis of the beneficiary's usual cost accounting practices, the beneficiary must declare as eligible costs the amount obtained by multiplying the amount per unit calculated in accordance with its usual cost accounting practices by the actual number of units used or produced. If requested to do so in the context of the checks or audits described in Article II.27, the beneficiary must be able to provide adequate supporting documents to prove the number of units declared. Where, in accordance with Article 3(a)(v), the grant takes the form of the reimbursement of lump sum costs declared on the basis of the beneficiary's usual cost accounting practices, the beneficiary must declare as eligible costs the global amount calculated in accordance with its usual cost accounting practices, subject to the proper implementation of the corresponding tasks or part of the action. If requested to do so in the context of the checks or audits described in Article II.27, the beneficiary must be able to provide adequate supporting documents to prove the proper implementation. Where, in accordance with Article 3(a)(v), the grant takes the form of the reimbursement of flat-rate costs declared on the basis of the beneficiary's usual cost accounting practices, the beneficiary must declare as eligible costs the amount obtained by applying the flat rate calculated in accordance with its usual cost accounting practices. If requested to do so in the context of the checks or audits described in Article II.27, the beneficiary must be able to provide adequate supporting documents to prove the eligible costs to which the flat rate applies. In all three cases provided for in the first, second and third subparagraphs, the beneficiary does not need to identify the actual eligible costs covered, but it must ensure that the cost accounting practices used for the purpose of declaring eligible costs are in compliance with the following conditions: (a) the cost accounting practices used constitute its usual cost accounting practices 43 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 and are applied in a consistent manner, based on objective criteria independent from the source of funding; (b) the costs declared can be directly reconciled with the amounts recorded in its general accounts; and (c) the categories of costs used for the purpose of determining the costs declared are exclusive of any ineligible cost or costs covered by other forms of grant in accordance with Article 3. ARTICLE II.21 – ELIGIBILITY OF COSTS OF ENTITIES AFFILIATED TO THE BENEFICIARIES AND OF IMPLEMENTING BODIES DESIGNATED BY THE BENEFICIARIES II.21.1 Where the Special Conditions contain a provision on entities affiliated to the beneficiaries or a provision on implementing bodies, costs incurred by such an entity or body are eligible, provided that they satisfy the same conditions under Articles II.19 and II.20 as apply to the beneficiary, and that the beneficiary to which the entity is affiliated or by which the implementing body is designated ensures that the Agency, the Commission, the European Anti-Fraud Office (OLAF) and the European Court of Auditors may exercise their rights under Article II.27 also towards the entity or body. II.21.2 The beneficiary to which the entity is affiliated or by which the implementing body is designated shall ensure that the conditions applicable to it under Articles II.3, II.4, II.5, II.7, II.9 and II.10 are also applicable to the entity or body. II.21.3 The beneficiaries shall retain sole responsibility for carrying out the action and for compliance with the provisions of the Agreement. The beneficiaries shall ensure that any agreement or contract with an affiliated entity or implementing body contains provisions stipulating that the affiliated entity or implementing body has no right vis- à-vis the Agency under the Agreement. ARTICLE II.22 – BUDGET TRANSFERS The estimated budget set out in Annex III may be adjusted by transfers of amounts between beneficiaries and between budget categories, without this adjustment being considered as an amendment of the Agreement within the meaning of Article II.12, provided that the action is implemented as described in Annex I. The beneficiaries may not however: - adjust amounts which, in accordance with Article 3(a)(iii) or (c), take the form of lump sums; - add costs relating to subcontracts not provided for in Annex I, unless such additional subcontracts are approved in accordance with Article II.10. By way of derogation from the first subparagraph, should beneficiaries want to modify the 44 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 value of the estimated CEF contribution that each of them is entitled to as referred to in point (b) of Article II.17.1 and point (c) of II.26.3, the coordinator shall request an amendment in accordance to Article II.12. ARTICLE II.23 – TECHNICAL AND FINANCIAL REPORTING – REQUESTS FOR PAYMENT AND SUPPORTING DOCUMENTS II.23.1 Action Status Reports - Requests for further pre-financing payments and supporting documents Not applicable. II.23.2 Interim and final reports - Requests for interim payments or for payment of the balance and supporting documents The coordinator shall submit a request for an interim payment or for payment of the balance within 60 days following the end of each reporting period for which, in accordance with Article 4.1, an interim payment or the payment of the balance is due. This request shall be accompanied by the following documents: (a) an interim report (“interim technical report”) or, for the payment of the balance, a final report on implementation of the action (“final technical report”), drawn up in accordance with Annex V; the interim or final technical report must contain the information needed to justify the eligible costs declared or the contribution requested on the basis of unit costs and lump sums where the grant takes the form of the reimbursement of unit or lump sum costs or of a unit or lump sum contribution in accordance with Article 3(a)(ii), (iii), (b) or (c), as well as information on subcontracting as referred to in Article II.10.2(d); (b) an interim financial statement (“interim financial statement”) or, for the payment of the balance, a final financial statement (“final financial statement”); the interim or final financial statements must include a consolidated statement as well as a breakdown of the amounts claimed by each beneficiary, its affiliated entities and implementing bodies; they must be drawn up in accordance with the structure of the estimated budget set out in Annex III and with Annex VI and detail the amounts for each of the forms of grant set out in Article 3 for the reporting period concerned; (c) only for the payment of the balance, a summary financial statement (“summary financial statement”); this statement must include a consolidated financial statement and a breakdown of the amounts declared or requested by each beneficiary, its affiliated entities and its implementing bodies, aggregating the financial statements already submitted previously and indicating the receipts referred to in Article II.25.3.2 for each beneficiary, its affiliated entities and its implementing bodies; it must be drawn up in accordance with Annex VI; (d) only for the payment of the balance and for beneficiaries established in the European Union, the certification by the Member State in which the beneficiary is established that (i) the information provided is full, reliable and true and (ii) the costs declared in the 45 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 final financial statement are real and eligible in accordance with this Agreement; in exceptional cases, at the request of the beneficiary, the certification may be provided by the Member State in which the action is implemented; (e) unless the Special Conditions provide otherwise, for each beneficiary for which the total contribution in the form of reimbursement of actual costs as referred to in Article 3(a)(i) is at least EUR 750 000 and which requests a reimbursement in that form of at least EUR 325 000 (when adding all previous reimbursements in that form for which a certificate on the financial statements has not been submitted), a certificate on the financial statements and underlying accounts (“certificate on the financial statements”); This certificate shall be produced by an approved auditor or, in case of public bodies, by a competent and independent public officer and drawn up in accordance with Annex VII. It shall certify that the costs declared in the interim or final financial statement by the beneficiary concerned, its affiliated entities or and its implementing bodies for the categories of costs reimbursed in accordance with Article 3(a)(i) are real, accurately recorded and eligible in accordance with the Agreement. In addition, for the payment of the balance, it shall certify that all the receipts referred to in Article II.25.3.2 have been declared. The coordinator shall certify that the information provided in the request for interim payment or for payment of the balance is full, reliable and true. It shall also certify that the costs incurred can be considered eligible in accordance with the Agreement and that the request for payment is substantiated by adequate supporting documents that can be produced in the context of the checks or audits described in Article II.27. In addition, for the payment of the balance, it shall certify that all the receipts referred to in Article II.25.3.2 have been declared. II.23.3 Non-submission of documents Where the coordinator has failed to submit a request for interim payment or payment of the balance accompanied by the documents referred to above by the deadline set out in Article II.23.2 and where the coordinator still fails to submit such a request within 60 days following a written reminder sent by the Agency, the Agency reserves the right to terminate the Agreement in accordance with Article II.16.3.1(c), with the effects described in the third and the fourth subparagraphs of Article II.16.4.1. II.23.4 Currency for requests for payment and financial statements and conversion into euro Requests for payment and financial statements shall be drafted in euro. Beneficiaries with general accounts in a currency other than the euro shall convert costs incurred in another currency into euro at the average of the daily exchange rates published in the C series of Official Journal of the European Union, determined over the corresponding reporting period. Where no daily euro exchange rate is published in the Official Journal of the European Union for the currency in question, conversion shall be made at the average of the monthly accounting rates established by the Commission and published on its website (http://ec.europa.eu/budget/contracts_grants/info_contracts/inforeuro/inforeuro_en.cfm), determined over the corresponding reporting period. 46 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 Beneficiaries with general accounts in euro shall convert costs incurred in another currency into euro according to their usual accounting practices. ARTICLE II.24 – PAYMENTS AND PAYMENT ARRANGEMENTS II.24.1 Pre-financing II.24.1.1 The pre-financing is intended to provide the beneficiaries with a float. It remains the property of the Union until it is cleared against the payment of the balance to the coordinator. Where payment of pre-financing is conditional on receipt of a financial guarantee, the financial guarantee shall fulfill the following conditions: (a) it is provided by an approved bank or an approved financial institution. The guarantee shall be denominated in euros. Where a beneficiary is established in a third country, the Agency may agree that a bank or a financial institution established in that third country may provide the guarantee if it considered that the bank or financial institution offers equivalent security and characteristics as those offered by a bank or financial institution established in a Member State. At the request of the coordinator and acceptance by the Agency, the financial guarantee may be replaced by a joint and several guarantee by a third party; (b) the guarantor stands as first-call guarantor and does not require the Agency to have recourse against the principal debtor (i.e. the beneficiary concerned); and (c) it provides that it remains in force until the pre-financing is cleared against the payment of the balance by the Agency and, in case the payment of the balance is made in the form of a debit note, three months after the debit note is notified to the coordinator. The Agency shall release the guarantee within the following month. II.24.1.2 Without prejudice to Article II.24.5, where Article 4.1 provides for a pre-financing payment upon entry into force of the Agreement or following a later date, the Agency shall pay to the coordinator within 30 days following that date or, where required by Article 4.1, following receipt of the financial guarantee. II.24.2 Interim payments Interim payments are intended to reimburse or cover the eligible costs incurred for the implementation of the action during the corresponding reporting periods. Without prejudice to Articles II.24.4 and II.24.5, on receipt of the documents referred to in Article II.23.2, the Agency shall pay to the coordinator the amount due as interim payment within the time limit specified in Article 4.2. This amount shall be determined following approval of the request for interim payment and 47 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 of the accompanying documents and in accordance with the fourth subparagraph. Approval of the request for interim payment and of the accompanying documents shall not imply recognition of the regularity or of the authenticity, completeness and correctness of the declarations and information they contain. The amount due as interim payment shall be determined as follows: (a) the following amounts, which depend on the form of the grant, shall be added: (i) where, in accordance with Article 3(a), the grant takes the form of the reimbursement of eligible costs, the amount obtained by application of the reimbursement rate specified in that Article to the eligible costs of the action approved by the Agency for the concerned reporting period and the corresponding categories of costs, beneficiaries, affiliated entities and implementing bodies; (ii) where, in accordance with Article 3(b), the grant takes the form of a unit contribution, the amount obtained by multiplying the unit contribution specified in that Article by the actual number of units approved by the Agency for the concerned reporting period and for the corresponding beneficiaries, affiliated entities and implementing bodies; (iii) where, in accordance with Article 3(c), the grant takes the form of a lump sum contribution, the lump sum specified in that Article for the corresponding beneficiaries, affiliated entities and implementing bodies, subject to approval by the Agency of the proper implementation during the concerned reporting period of the corresponding tasks or part of the action in accordance with Annex I; (iv) where, in accordance with Article 3(d), the grant takes the form of a flat-rate contribution, the amount obtained by applying the flat rate referred to in that Article to the eligible costs or to the contribution accepted by the Agency for the concerned reporting period and the corresponding beneficiaries, affiliated entities and implementing bodies. (b) the amount obtained in accordance with point (a) shall be limited to the difference between the ceiling for pre-financing and interim payments set out in Article 4.1.3 and the total amount of the pre-financing and interim payments already made. II.24.3 Payment of the balance The payment of the balance, which may not be repeated, is intended to reimburse or cover after the end of the period set out in Article 2.2 the remaining part of the eligible costs incurred by the beneficiaries for its implementation. Where the total amount of earlier payments is greater than the final amount of the grant determined in accordance with Article II.25, the payment of the balance may take the form of a recovery as provided for by Article II.26. Without prejudice to Articles II.24.4 and II.24.5, on receipt of the documents referred to in Article II.23.2, the Agency shall pay the amount due as the balance within the time limit specified in Article 4.2. 48 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 This amount shall be determined following approval of the request for payment of the balance and of the accompanying documents and in accordance with the fourth subparagraph. Approval of the request for payment of the balance and of the accompanying documents shall not imply recognition of the regularity or of the authenticity, completeness and correctness of the declarations and information they contain. The amount due as the balance shall be determined by deducting, from the final amount of the grant determined in accordance with Article II.25, the total amount of pre-financing and interim payments already made. II.24.4 Suspension of the time limit for payment The Agency may suspend the time limit for payment specified in Article 4.2, at any time by formally notifying the coordinator that its request for payment cannot be met, either because it does not comply with the provisions of the Agreement, or because the appropriate supporting documents have not been produced, or because there is doubt about the eligibility of the costs declared in the financial statement. The coordinator shall be notified as soon as possible of any such suspension, together with the reasons thereof. Suspension shall take effect on the date when notification is sent by the Agency. The remaining payment period shall start to run again from the date on which the requested information or revised documents are received or the necessary further verification, including on-the-spot checks, is carried out. Where the suspension exceeds two months, the coordinator may request a decision by the Agency on whether the suspension is to be continued. Where the time limit for payment has been suspended following the rejection of one of the technical reports or financial statements provided for by Article II.23 and the new report or statement submitted is also rejected, the Agency reserves the right to terminate the Agreement in accordance with Article II.16.3.1(c), with the effects described in Article II.16.4. II.24.5 Suspension of payments II.24.5.1 The Agency may, at any time during the implementation of the Agreement, suspend the pre-financing payments, interim payments or payment of the balance for all beneficiaries, or suspend the pre-financing payments or interim payments for any one or several beneficiaries: (a) if the Agency has evidence that a beneficiary has committed substantial errors, irregularities or fraud in the award procedure or in the implementation of the grant, or if a beneficiary fails to comply with its obligations under the Agreement; (b) if the Agency has evidence that a beneficiary has committed systemic or recurrent errors, irregularities, fraud or breach of obligations under other grants funded by the Union or by the European Atomic Energy Community 49 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 which were awarded to that beneficiary under similar conditions, provided that those errors, irregularities, fraud or breach of obligations have a material impact on this grant; (c) if the Agency suspects substantial errors, irregularities, fraud or breach of obligations committed by a beneficiary in the award procedure or in the implementation of the Agreement and needs to verify whether they have actually occurred; or (d) following an evaluation of the progress of the project, in particular in the event of major delays in the implementation of the action. II.24.5.2 Before suspending payments, the Agency shall formally notify the coordinator of its intention to suspend payments, specifying the reasons thereof and, in the cases referred to in points (a), (b) and (d) of Article II.24.5.1, the necessary conditions for resuming payments. The coordinator shall be invited to make any observations on behalf of all beneficiaries within 30 calendar days from receipt of this notification. If, after examination of the observations submitted by the coordinator, the Agency decides to stop the procedure of payment suspension, the Agency shall formally notify the coordinator thereof. If no observations have been submitted or if, despite the observations submitted by the coordinator, the Agency decides to pursue the procedure of payment suspension, it may suspend payments by formally notifying the coordinator, specifying the reasons for the suspension and, in the cases referred to in points (a), (b) and (d) of Article II.24.5.1, the definitive conditions for resuming payments or, in the case referred to in point (c) of Article II.24.5.1, the indicative date of completion of the necessary verification. The coordinator shall inform the other beneficiaries immediately. The suspension of payments shall take effect on the date when the notification is sent by the Agency. In order to resume payments, the beneficiaries shall endeavour to meet the notified conditions as soon as possible and shall inform the Agency of any progress made in this respect. The Agency shall, as soon as it considers that the conditions for resuming payments have been met or the necessary verification, including on-the-spot checks, has been carried out, formally notify the coordinator thereof. During the period of suspension of payments and without prejudice to the right to suspend the implementation of the action in accordance with Article II.15.1 or to terminate the Agreement or the participation of a beneficiary in accordance with Article II.16.1 and Article II.16.2, the coordinator is not entitled to submit any requests for payments or, where the suspension concerns the pre-financing 50 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 payments or interim payments for one or several beneficiaries only, any requests for payments and supporting documents relating to the participation of the concerned beneficiary or beneficiaries in the action. The corresponding requests for payments and supporting documents may be submitted as soon as possible after resumption of payments or may be included in the first request for payment due following resumption of payments in accordance with the schedule laid down in Article 4.1. II.24.6 Notification of amounts due The Agency shall formally notify the amounts due, specifying whether it is a further pre- financing payment, an interim payment or the payment of the balance. In the case of payment of the balance, it shall also specify the final amount of the grant determined in accordance with Article II.25. II.24.7 Interest on late payment On expiry of the time limits for payment specified in Articles 4.2 and II.24.1, and without prejudice to Articles II.24.4 and II.24.5, the beneficiaries are entitled to interest on late payment at the rate applied by the European Central Bank for its main refinancing operations in euros ("the reference rate"), plus three and a half points. The reference rate shall be the rate in force on the first day of the month in which the time limit for payment expires, as published in the C series of the Official Journal of the European Union. The first subparagraph shall not apply where all beneficiaries are Member States of the Union, including regional and local government authorities and other public bodies acting in the name and on behalf of the Member State for the purpose of this Agreement. The suspension of the time limit for payment in accordance with Article II.24.4 or of payment by the Agency in accordance with Article II.24.5 may not be considered as late payment. Interest on late payment shall cover the period running from the day following the due date for payment, up to and including the date of actual payment as established in Article II.24.9. The interest payable shall not be considered for the purposes of determining the final amount of grant within the meaning of Article II.25.3. By way of derogation from the first subparagraph, when the calculated interest is lower than or equal to EUR 200, it shall be paid only upon request submitted by the coordinator within two months of the late payment. II.24.8 Currency for payments Payments by the Agency shall be made in euro. II.24.9 Date of payment Payments by the Agency shall be deemed to be effected on the date when they are debited to 51 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 the Agency's account. II.24.10 Costs of payment transfers Costs of the payment transfers shall be borne in the following way: (a) costs of transfer charged by the bank of the Agency shall be borne by the Agency; (b) costs of transfer charged by the bank of a beneficiary shall be borne by the beneficiary; (c) all costs of repeated transfers caused by one of the parties shall be borne by the party which caused the repetition of the transfer. II.24.11 Payments to the coordinator The Agency shall make all payments to the coordinator. Payments to the coordinator shall discharge the Agency from its payment obligation. ARTICLE II.25 – DETERMINING THE FINAL AMOUNT OF THE GRANT II.25.1 Calculation of the final amount Without prejudice to Articles II.25.2, II.25.3 and II.25.4, the final amount of the grant shall be determined as follows: (a) where, in accordance with Article 3(a), the grant takes the form of the reimbursement of eligible costs, the amount obtained by application of the reimbursement rate(s) specified in that Article to the eligible costs of the action approved by the Agency for the corresponding categories of costs, beneficiaries, affiliated entities and implementing bodies; (b) where, in accordance with Article 3(b), the grant takes the form of a unit contribution, the amount obtained by multiplying the unit contribution specified in that Article by the actual number of units approved by the Agency for the corresponding beneficiaries, affiliated entities and implementing bodies; (c) where, in accordance with Article 3(c), the grant takes the form of a lump sum contribution, the lump sum specified in that Article for the corresponding beneficiaries, affiliated entities and implementing bodies, subject to approval by the Agency of the proper implementation of the corresponding tasks or part of the action in accordance with Annex I; (d) where, in accordance with Article 3(d), the grant takes the form of a flat-rate contribution, the amount obtained by applying the flat rate referred to in that Article to the eligible costs or to the contribution accepted by the Agency for the corresponding beneficiaries, affiliated entities and implementing bodies. Where Article 3 provides for a combination of different forms of grant, these amounts shall be added. 52 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 II.25.2 Maximum amount The total amount paid by the Agency for the action may in no circumstances exceed the maximum amount of the grant specified in Article 3. Where the amount determined in accordance with Article II.25.1 exceeds this maximum amount, the final amount of the grant shall be limited to the maximum amount specified in Article 3. II.25.3 No-profit rule and taking into account of receipts II.25.3.1 The grant may not produce a profit for the beneficiaries, unless specified otherwise in the Special Conditions. "Profit" shall mean a surplus of the receipts over the eligible costs of the action. II.25.3.2 The receipts to be taken into account are the consolidated receipts established, generated or confirmed on the date on which the request for payment of the balance is drawn up by the coordinator, which fall within one of the following two categories: (a) income generated by the action; or (b) financial contributions specifically assigned by the donors to the financing of the eligible costs of the action reimbursed by the Agency in accordance with Article 3(a)(i). II.25.3.3 The following shall not be considered as receipts to be taken into account for the purpose of verifying whether the grant produces a profit for the beneficiaries: (a) financial contributions referred to in point (b) of Article II.25.3.2, which may be used by the beneficiaries to cover costs other than the eligible costs under the Agreement; (b) financial contributions referred to in point (b) of Article II.25.3.2, the unused part of which is not due to the donors at the end of the period set out in Article 2.2. II.25.3.4 The eligible costs to be taken into account are the consolidated eligible costs approved by the Agency for the categories of costs reimbursed in accordance with Article 3(a). II.25.3.5 Where the final amount of the grant determined in accordance with Articles II.25.1 and II.25.2 would result in a profit for the beneficiaries, the profit shall be deducted in proportion to the final rate of reimbursement of the actual eligible costs of the action approved by the Agency for the categories of costs referred to in Article 3(a)(i). This final rate shall be calculated on the basis of the final amount of the grant in the form referred to in Article 3(a)(i), as determined in accordance with Articles II.25.1 and II.25.2. 53 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 II.25.4 Reduction for poor, partial or late implementation, or breach of contractual obligations If the action is not implemented properly in accordance with Annex I, or if any beneficiary fails to comply with any other obligations under this Agreement, the Agency may reduce the grant amount set out in Article 3 in proportion to the improper implementation of the action or to the seriousness of the breach of obligations. ARTICLE II.26 – RECOVERY II.26.1 Recovery at the time of payment of the balance Where the payment of the balance takes the form of a recovery, the Agency shall formally notify the coordinator of its intention to recover the amount unduly paid: (a) specifying the amount due and the reasons for recovery; (b) inviting the coordinator to make any observations within a specified period ; and (c) requesting the coordinator to submit a report on the distribution of payments to the beneficiaries within a specified period. If no observations have been submitted or if, despite the observations submitted by the coordinator, the Agency decides to pursue the recovery procedure, the Agency may confirm recovery by formally notifying to the coordinator a debit note (“debit note”), specifying the terms and the date for payment. If the coordinator does not repay the Agency by the date specified in the debit note and has not submitted the report on the distribution of payments, the Agency or the Commission shall recover the amount due from the coordinator in accordance with Article II.26.3, even if it has not been the final recipient of the amount due. If the coordinator does not repay the Agency by the date specified in the debit note but has submitted the report on the distribution of payments made to the beneficiaries, the Agency shall recover the amount due from the beneficiary which has been the final recipient of the amount due. For that purpose, the Agency shall: (a) where, in accordance with Article 3(a), the grant takes the form of the reimbursement of eligible costs: (i) identify the beneficiaries for which the amount calculated as follows is negative: {{{ {Beneficiary's costs (including the costs of its affiliated entities and implementing bodies if applicable) declared in the final financial statement and approved by the Agency multiplied by the reimbursement rate(s) set out in Article 3(a) for the beneficiary concerned} 54 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 divided by the amount calculated according to Article II.25.1} multiplied by the final grant amount calculated according to Article II.25}, minus the pre-financing and interim payments received by the beneficiary} (ii) formally notify to each beneficiary identified according to point (i) a debit note specifying the terms and date for payment. The amount of the debit note shall be calculated as follows: { {amount calculated according to point (i) for the beneficiary concerned divided by the sum of the amounts calculated according to point (i) for all the beneficiaries identified according to point (i) } multiplied by the amount set out in the debit note formally notified to the coordinator } (b) where, in accordance with Article 3(b), (c) or (d) the grant takes the form of a unit, lump sum or flat-rate contribution, formally notify to each beneficiary a debit note specifying the terms and date for payment. The amount of the debit note shall be calculated as follows: { {the pre-financing and interim payments received by the beneficiary divided by the total amount of pre-financing and interim payments paid by the Agency} multiplied by the amount set out in the debit note formally notified to the coordinator }; (c) where Article 3 provides for a combination of different forms of grant, these amounts shall be added. If the beneficiary concerned does not repay the Agency by the date specified in the debit note, the Agency or the Commission shall recover the amount due from the beneficiary in accordance with Article II.26.3. II.26.2 Recovery after payment of the balance Where an amount is to be recovered in accordance with Articles II.27.6, II.27.7 and II.27.8, 55 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 the beneficiary concerned by the audit or OLAF findings shall repay the Agency the amount in question. Where the audit findings do not concern a specific beneficiary, the coordinator shall repay the Agency the amount in question, even if it has not been the final recipient of the amount due. Before recovery, the Agency shall formally notify the beneficiary concerned or the coordinator of its intention to recover the amount unduly paid: (a) specifying the amount due (including any amount unduly paid by the Agency as a contribution towards the costs incurred by its affiliated entities or its implementing bodies) and the reasons for recovery; (b) inviting the beneficiary concerned or the coordinator to make any observations within a specified period. If no observations have been submitted or if, despite the observations submitted by the beneficiary concerned or the coordinator, the Agency decides to pursue the recovery procedure, the Agency may confirm recovery by formally notifying to the beneficiary concerned or the coordinator a debit note (“debit note”), specifying the terms and the date for payment. If the beneficiary concerned or the coordinator does not repay the Agency by the date specified in the debit note, the Agency shall recover the amount due from the beneficiary concerned or the coordinator in accordance with Article II.26.3. II.26.3 Recovery procedure failing repayment by the date specified in the debit note If payment has not been made by the date specified in the debit note, the Agency or the Commission shall recover the amount due: (a) by offsetting it against any amounts owed to the beneficiary concerned by the Union or the European Atomic Energy Community (Euratom) (“offsetting”); in exceptional circumstances, justified by the necessity to safeguard the financial interests of the Union, the Agency may recover by offsetting before the due date; the beneficiary’s prior consent shall not be required; an action may be brought against such offsetting before the General Court of the European Union pursuant to Article 263 TFEU; (b) by drawing on the financial guarantee where provided for in accordance with Article 4.1 (“drawing on the financial guarantee”); (c) where provided for in the Special Conditions, by holding the beneficiaries jointly and severally liable; (d) by taking legal action in accordance with Article II.18.2 or with the Special Conditions or by adopting an enforceable decision in accordance with Article II.18.3. II.26.4 Interest on late payment 56 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 If payment has not been made by the date set out in the debit note, the amount due shall bear interest at the rate established in Article II.24.7. Interest on late payment shall cover the period running from the day following the due date for payment, up to and including the date when the Agency or the Commission actually receives payment in full of the outstanding amount. Any partial payment shall first be appropriated against charges and interest on late payment and then against the principal. II.26.5 Bank charges Bank charges incurred in connection with the recovery of the sums owed to the Agency shall be borne by the beneficiary concerned except where Directive 2007/64/EC of the European Parliament and of the Council of 13 November 2007 on payment services in the internal market amending Directives 97/7/EC, 2002/65/EC, 2005/60/EC and 2006/48/EC and repealing Directive 97/5/EC applies. ARTICLE II.27 – CHECKS, AUDITS AND EVALUATION II.27.1 Technical and financial checks, audits, interim and final evaluations The Commission or the Agency may carry out technical and financial checks and audits in relation to the use of the grant. It may also check the statutory records of the beneficiaries for the purpose of periodic assessments of lump sum, unit cost or flat-rate amounts. Information and documents provided in the framework of checks or audits shall be treated on a confidential basis. In addition, the Commission or the Agency may carry out interim or final evaluation of the impact of the action measured against the objective of the Union programme concerned, in order to assess whether the objectives, including those relating to environmental protection, have been attained. Checks, audits or evaluations made by the Commission or the Agency may be carried out either directly by its own staff or by any other outside body authorised to do so on its behalf. Such checks, audits or evaluations may be initiated during the implementation of the Agreement and for a period of five years starting from the date of payment of the balance. This period shall be limited to three years if the maximum amount specified in Article 3 is not more than EUR 60 000. The check, audit or evaluation procedure shall be deemed to be initiated on the date of receipt of the letter of the Commission or the Agency announcing it. II.27.2 Duty to keep documents The beneficiaries shall keep all original documents, especially accounting and tax records, stored on any appropriate medium, including digitalised originals when they are authorised by their respective national law and under the conditions laid down therein, for a period of 57 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 five years starting from the date of payment of the balance. This period shall be limited to three years if the maximum amount specified in Article 3 is not more than EUR 60 000. The periods set out in the first and second subparagraphs shall be longer if there are on-going audits, appeals, litigation or pursuit of claims concerning the grant, including in the case referred to in Article II.27.7. In such cases, the beneficiaries shall keep the documents until such audits, appeals, litigation or pursuit of claims are closed. II.27.3 Obligation to provide information Where a check or audit is initiated before the payment of the balance, the coordinator shall provide any information, including information in electronic format, requested by the Commission or the Agency, or by any other outside body authorised by it. Where appropriate, the Commission or the Agency may request such information to be provided directly by a beneficiary. Where a check or audit is initiated after payment of the balance, such information shall be provided by the beneficiary concerned. For an evaluation, the coordinator shall provide any information, including information in electronic format, requested by the Commission or the Agency, or by any other outside body authorised by it. Where appropriate, the Commission or the Agency may request such information to be provided directly by a beneficiary. In case the beneficiary concerned does not comply with the obligations set out in the first and second subparagraphs, the Commission or the Agency may consider: (a) any cost insufficiently substantiated by information provided by the beneficiary as ineligible; (b) any unit, lump sum or flat-rate contribution insufficiently substantiated by information provided by the beneficiary as undue. II.27.4 On-the-spot visits During an on-the-spot visit, the beneficiaries shall allow Commission or Agency staff and outside personnel authorised by the Commission or the Agency to have access to the sites and premises where the action is or was carried out, and to all the necessary information, including information in electronic format. They shall ensure that the information is readily available at the moment of the on-the-spot visit and that information requested is handed over in an appropriate form. In case a beneficiary refuses to provide access to the sites, premises and information in accordance with the first and second subparagraphs, the Commission or the Agency may consider: (a) any cost insufficiently substantiated by information provided by the beneficiary as ineligible; 58 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 (b) any unit, lump sum or flat-rate contribution insufficiently substantiated by information provided by the beneficiary as undue. II.27.5 Contradictory audit procedure On the basis of the findings made during the audit, a provisional report (“draft audit report”) shall be drawn up. It shall be sent by the Commission or the Agency or its authorised representative to the beneficiary concerned, which shall have 30 days from the date of receipt to submit observations. The final report (“final audit report”) shall be sent to the beneficiary concerned within 60 days of expiry of the time limit for submission of observations. II.27.6 Effects of audit findings On the basis of the final audit findings, the Commission or the Agency may take the measures which it considers necessary, including recovery at the time of payment of the balance or after payment of the balance of all or part of the payments made by it, in accordance with Article II.26. In the case of final audit findings made after the payment of the balance, the amount to be recovered shall correspond to the difference between the revised final amount of the grant, determined in accordance with Article II.25, and the total amount paid to the beneficiaries under the Agreement for the implementation of the action. II.27.7 Correction of systemic or recurrent errors, irregularities, fraud or breach of obligations II.27.7.1 The Commission or the Agency may take all measures which it considers necessary, including recovery at the time of payment of the balance or after payment of the balance of all or part of the payments made by it under the Agreement, in accordance with Article II.26, where the following conditions are fulfilled: (a) the beneficiary is found, on the basis of an audit of other grants awarded to it 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) the final audit report containing the findings of the systemic or recurrent errors, irregularities, fraud or breach of obligations is received by the beneficiary within the period referred to in Article II.27.1. II.27.7.2 The Commission or the Agency shall determine the amount to be corrected under the Agreement: (a) wherever possible and practicable, on the basis of costs unduly declared as eligible under the Agreement. For that purpose, the beneficiary concerned shall revise the financial 59 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 statements submitted under the Agreement taking account of the findings and resubmit them to the Commission or the Agency within 60 days from the date of receipt of the final audit report containing the findings of the systemic or recurrent errors, irregularities, fraud or breach of obligations. In the case of systemic or recurrent errors, irregularities, fraud or breach of obligations found after the payment of the balance, the amount to be recovered shall correspond to the difference between the revised final amount of the grant, determined in accordance with Article II.25 on the basis of the revised eligible costs declared by the beneficiary and approved by the Commission or the Agency, and the total amount paid to the beneficiaries under the Agreement for the implementation of the action; (b) where it is not possible or practicable to quantify precisely the amount of ineligible costs under the Agreement, by extrapolating the correction rate applied to the eligible costs for the grants for which the systemic or recurrent errors or irregularities have been found. The Commission or the Agency shall formally notify the extrapolation method to be applied to the beneficiary concerned, which shall have 60 days from the date of receipt of the notification to submit observations and to propose a duly substantiated alternative method. If the Commission or the Agency accepts the alternative method proposed by the beneficiary, it shall formally notify the beneficiary concerned thereof and determine the revised eligible costs by applying the accepted alternative method. If no observations have been submitted or if the Commission or the Agency does not accept the observations or the alternative method proposed by the beneficiary, the Commission or the Agency shall formally notify the beneficiary concerned thereof and determine the revised eligible costs by applying the extrapolation method initially notified to the beneficiary. In the case of systemic or recurrent errors, irregularities, fraud or breach of obligations found after the payment of the balance, the amount to be recovered shall correspond to the difference between the revised final amount of the grant, determined in accordance with Article II.25 on the basis of the revised eligible costs after extrapolation, and the total amount paid to the beneficiaries under the Agreement for the implementation of the action; or (c) where ineligible costs cannot serve as a basis for determining the amount to be corrected, by applying a flat rate correction to the maximum amount of the grant specified in Article 3 or part thereof, having regard to the principle of proportionality. The Commission or the Agency shall formally notify the flat rate to be applied to the beneficiary concerned, which shall have 60 days from the 60 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 date of receipt of the notification to submit observations and to propose a duly substantiated alternative flat rate. If the Commission or the Agency accepts the alternative flat rate proposed by the beneficiary, it shall formally notify the beneficiary concerned thereof and correct the grant amount by applying the accepted alternative flat rate. If no observations have been submitted or if the Commission or the Agency does not accept the observations or the alternative flat rate proposed by the beneficiary, the Commission or the Agency shall formally notify the beneficiary concerned thereof and correct the grant amount by applying the flat rate initially notified to the beneficiary. In the case of systemic or recurrent errors, irregularities, fraud or breach of obligations found after the payment of the balance, the amount to be recovered shall correspond to the difference between the revised final amount of the grant after flat-rate correction and the total amount paid to the beneficiaries under the Agreement for the implementation of the action. II.27.8 Checks and inspections by OLAF The European Anti-Fraud Office (OLAF) shall have the same rights as the Commission and the Agency, notably right of access, for the purpose of checks and investigations. By virtue of Council Regulation (Euratom, EC) No 2185/961 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 and Regulation (EU) No 883/20132 of the European Parliament and the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office (OLAF), OLAF may also carry out on-the-spot checks and inspections in accordance with the procedures laid down by Union law for the protection of the financial interests of the Union against fraud and other irregularities. Where appropriate, OLAF findings may lead to recovery by the Agency. They may also lead to criminal prosecution under national law. II.27.9 Checks and audits by the European Court of Auditors The European Court of Auditors shall have the same rights as the Agency and the Commission, notably right of access, for the purpose of checks and audits. 1 OJ L 292, 15.11.1996, p.2 2 OJ L 248, 18.09.2013, p.1 61 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ANNEX III ESTIMATED BUDGET OF THE ACTION Table 1: Planned sources of financing of the eligible costs of the action Financing sources Amount of financial Amount of financial Amount of financial Amount of financial contribution to the contribution to the contribution to the contribution to the action eligible costs action eligible costs action eligible costs action eligible costs (EUR) (EUR) (EUR) (EUR) HWISC EHIF ESIB EMSA 1. CEF-Telecom financing 316,046 375,000 340,892 117,148 2. Beneficiary's own resources 105,348.65 125,000 113,630.62 39,049.28 3. State budget(s) 0 0 0 0 4. Regional/ local budget(s) 0 0 0 0 5. Income generated by the 0 0 0 0 action 6. Other sources 0 0 0 0 TOTAL 421,394.65 500,000 454,522.62 156,197.28 62  Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 Table 2: Indicative breakdown per activity and per beneficiary of estimated eligible costs of the action (EUR) Direct eligible costs Indirect eligible Total eligible Estimated CEF Subcontracting costs costs contribution Personnel costs Other costs Total costs Activity 1 12,507 8,448 50,000 70,955 4,375.49 75,330.49 56,497.87 HWISC 12,507 8,448 50,000 70,955 4,375.49 75,330.49 56,497.87 Activity 2 57,888 799,059 0 856,947 4,052.16 860,999.16 645,749.37 EHIF 0 500,000 0 500,000 0 500,000 375,000 ESIB 57,888 299,059 0 356,947 4,052.16 360,999.16 270,749.37 Activity 3 62,545 80,688 0 143,233 4,378.15 147,611.15 110,708.36 HWISC 38,592 30,000 0 68,592 2,701.44 71,293.44 53,470.08 ESIB 23,953 50,688 0 74,641 1,676.71 76,317.71 57,238.28 Activity 4 151,152 0 9,600 160,752 11,252.64 172,004.64 129,003.48 HWISC 135,072 0 9,600 144,672 10,127.04 154,799.04 116,099.28 ESIB 16,080 0 0 16,080 1,125.6 17,205.6 12,904.2 Activity 5 61,254 26,146 60,289 147,689 8,508.01 156,197.01 117,147.76 EMSA 61,254 26,146 60,289 147,689 8,508.01 156,197.01 117,147.76 Activity 6 72,038 0 40,085 112,123 7,848.61 119,971.61 89,978.71 HWISC 72,038 0 40,085 112,123 7,848.61 119,971.61 89,978.71 TOTAL 417,384 914,341 159,974 1,491,699 40,415.06 1,532,114.06 1,149,085.54 HWISC 258,209 38,448 99,685 396,342 25,052.58 421,394.58 316,045.94 EHIF 0 500,000 0 500,000 0 500,000 375,000 ESIB 97,921 349,747 0 447,668 6,854.47 454,522.47 340,891.85 EMSA 61,254 26,146 60,289 147,689 8,508.01 156,197.01 117,147.76 63 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ANNEX IV MANDATE 1 I, the undersigned, Rain Laane, Chairman of the Management Board of the Estonian Health Insurance Fund, representing, Estonian Health Insurance Fund (EHIF) Public law body Registration No 74000091 Lastekodu 48 10144 Tallinn Estonia VAT No EE100859517, hereinafter referred to as "the beneficiary", for the purposes of the signature and the implementation of the grant agreement No INEA/CEF/ICT/A2017/1442560 for the Action No 2017-EE-IA-0009 entitled "Estonian integration with the EESSI system" with the Innovation and Networks Executive Agency (hereinafter referred to as "the grant agreement") hereby mandate: Health and Welfare Information Systems Centre (HWISC) Public law body Registration No 70009770 Uus-Tatari 25 / Veerenni 13 10134 Tallinn Estonia VAT No EE101941259, represented by Katrin Reinhold, Director General of the Health and Welfare Information Systems Centre (hereinafter referred to as "the coordinator”) 1. to sign in my name and on my behalf the grant agreement and its possible subsequent amendments with the Innovation and Networks Executive Agency, and 2. to act on behalf of the beneficiary in compliance with the grant agreement. I hereby confirm that the beneficiary accepts all terms and conditions of the grant agreement and, in particular, all provisions affecting the coordinator and the other beneficiaries. In particular, I acknowledge that, by virtue of this mandate, the coordinator alone is entitled to receive funds from the Innovation and Networks Executive Agency and distribute the amounts corresponding to the beneficiary's participation in the action. 64 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 I hereby accept that the beneficiary will do everything in its power to help the coordinator fulfil its obligations under the grant agreement, and in particular, to provide to the coordinator, on its request, whatever documents or information may be required. I hereby declare that the beneficiary agrees that the provisions of the grant agreement, including this mandate, shall take precedence over any other agreement between the beneficiary and the coordinator which may have an effect on the implementation of the grant agreement. This mandate shall be annexed to the grant agreement and shall form an integral part thereof. SIGNATURE Rain Laane, Chairman of the Management Board of the Estonian Health Insurance Fund Done at Tallinn, on In duplicate in English 65 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 MANDATE 2 I, the undersigned, Egon Veermäe, Director General of Estonian Social Insurance Board, representing, Estonian Social Insurance Board (ESIB) Public law body Registration No 70001975 Endla 8 15092 Tallinn Estonia VAT No EE100675490, hereinafter referred to as "the beneficiary", for the purposes of the signature and the implementation of the grant agreement No INEA/CEF/ICT/A2017/1442560 for the Action No 2017-EE-IA-0009 entitled "Estonian integration with the EESSI system" with the Innovation and Networks Executive Agency (hereinafter referred to as "the grant agreement") hereby mandate: Health and Welfare Information Systems Centre (HWISC) Public law body Registration No 70009770 Uus-Tatari 25 / Veerenni 13 10134 Tallinn Estonia VAT No EE101941259, represented by Katrin Reinhold, Director General of the Health and Welfare Information Systems Centre (hereinafter referred to as "the coordinator”) 1. to sign in my name and on my behalf the grant agreement and its possible subsequent amendments with the Innovation and Networks Executive Agency, and 2. to act on behalf of the beneficiary in compliance with the grant agreement. I hereby confirm that the beneficiary accepts all terms and conditions of the grant agreement and, in particular, all provisions affecting the coordinator and the other beneficiaries. In particular, I acknowledge that, by virtue of this mandate, the coordinator alone is entitled to receive funds from the Innovation and Networks Executive Agency and distribute the amounts corresponding to the beneficiary's participation in the action. 66 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 I hereby accept that the beneficiary will do everything in its power to help the coordinator fulfil its obligations under the grant agreement, and in particular, to provide to the coordinator, on its request, whatever documents or information may be required. I hereby declare that the beneficiary agrees that the provisions of the grant agreement, including this mandate, shall take precedence over any other agreement between the beneficiary and the coordinator which may have an effect on the implementation of the grant agreement. This mandate shall be annexed to the grant agreement and shall form an integral part thereof. SIGNATURE Egon Veermäe, Director General of Estonian Social Insurance Board Done at Tallinn, on In duplicate in English 67 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 MANDATE 3 I, the undersigned, Marika Priske, Secretary General, representing, Estonian Ministry of Social Affairs (EMSA) Registration No 70001952 Suur-Ameerika 1 10122 Tallinn Estonia VAT No EE100535271, hereinafter referred to as "the beneficiary", for the purposes of the signature and the implementation of the grant agreement No INEA/CEF/ICT/A2017/1442560 for the Action No 2017-EE-IA-0009 entitled "Estonian integration with the EESSI system" with the Innovation and Networks Executive Agency (hereinafter referred to as "the grant agreement") hereby mandate: Health and Welfare Information Systems Centre (HWISC) Public law body Registration No 70009770 Uus-Tatari 25 / Veerenni 13 10134 Tallinn Estonia VAT No EE101941259, represented by Katrin Reinhold, Director General of the Health and Welfare Information Systems Centre (hereinafter referred to as "the coordinator”) 1. to sign in my name and on my behalf the grant agreement and its possible subsequent amendments with the Innovation and Networks Executive Agency, and 2. to act on behalf of the beneficiary in compliance with the grant agreement. I hereby confirm that the beneficiary accepts all terms and conditions of the grant agreement and, in particular, all provisions affecting the coordinator and the other beneficiaries. In particular, I acknowledge that, by virtue of this mandate, the coordinator alone is entitled to receive funds from the Innovation and Networks Executive Agency and distribute the amounts corresponding to the beneficiary's participation in the action. 68 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 I hereby accept that the beneficiary will do everything in its power to help the coordinator fulfil its obligations under the grant agreement, and in particular, to provide to the coordinator, on its request, whatever documents or information may be required. I hereby declare that the beneficiary agrees that the provisions of the grant agreement, including this mandate, shall take precedence over any other agreement between the beneficiary and the coordinator which may have an effect on the implementation of the grant agreement. This mandate shall be annexed to the grant agreement and shall form an integral part thereof. SIGNATURE Marika Priske, Secretary General Done at Tallinn, on In duplicate in English 69 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ANNEX V MODEL TECHNICAL REPORT(S) The templates for technical report(s) as referred to in Article II.23 are those provided by the Agency, and are available on the Agency website at the following link: http://ec.europa.eu/inea/en/connecting-europe-facility/cef-telecom/beneficiaries-info-point ANNEX VI MODEL FINANCIAL STATEMENT(S) The templates for financial statements as referred to in Article II.23 are those provided by the Agency, and are available on the Agency website at the following link: http://ec.europa.eu/inea/en/connecting-europe-facility/cef-telecom/beneficiaries-info-point 70 Agreement number: INEA/CEF/ICT/A2017/1442560 Action No: 2017-EE-IA-0009 ANNEX VII MODEL TERMS OF REFERENCE FOR THE CERTIFICATE ON THE FINANCIAL STATEMENTS The model terms of reference for the certificate on the financial statements as referred to in Article II.23 are those provided by the Agency, and are available on the Agency website at the following link: http://ec.europa.eu/inea/en/connecting-europe-facility/cef-telecom/beneficiaries-info-point The model terms of reference for the certificate on the financial statements include templates for:  the Terms of Reference for an Independent Report of Factual Findings on costs declared under a Grant Agreement financed under the Connecting Europe Facility (CEF), and  the independent report of factual findings on costs declared under a grant agreement financed under the Connecting Europe Facility (CEF), including its annex. 71  EESSI integratsiooni p rojektiorganisatsiooni ja kodukorra kirjeldus v1. 4 1. Riiklik integratsiooniprojekt EESSI integratsioon nõuab koordineeritud koostööd mitmes asutuses, mis ei kuulu formaalselt ühte juhtimisstruktuuri ega isegi ühte haldusalasse. Samas on EESSI platvormi tehnoloogia Eesti asutustele suhteliselt tundmatu, äriloogika nõuab teadaolevalt edasist arendamist ja integratsiooniperiood on võrdlemisi lühike. EESSI projektiorganisatsioon ja kodukord peavad seega tagama kiire koostöö erinevate asutuste vahel ning selge vastutuse jaotumise erinevate osapoolte vahel. Organisatsioon ja kodukord tuleb kinnitada osalevate asutuste tippjuhtimise tasemel, et oleks tagatud sellest kinni pidamine. Teatud juhtudel võivad integratsiooniprojekti rollid üle võtta juba enne projekti algust EESSI integratsiooniga seotud töörühmad, kuid nende liikme li sus ja töökorraldused tuleb läbi vaadata ja uuendada. Samuti, EESSI integratsiooniprojekti eesmärk on tekitada Eestis toimiv EESSI teenus ning seda jätkusuutlikult pakkuv organisatsioon. Peale teenuse käivitumist ei ole osade projektirollide tegevus enam vajalik, teiste osatähtsus aga kasvab. Käesolevas dokumendi versioonis on rollidele lisatud vastavad märkused. Riiklik EESSI integratsiooni järelevalvenõukogu EESSI teenust ja integratsiooni puudutavad strateegilise taseme otsused kinnitab Eestis riiklik EESSI integratsiooni järelevalvenõukogu . Nõukogusse kuuluvad Sotsiaalala ning E-teenuste arendamise ja innovatsiooni asekantslerid Sotsiaalministeeriumist ning integratsiooniprojektis osalevate asutuste tippjuhid või nende ametlikult nimetatud esindajad . EESSI integratsiooniga seotud asutused on Tervise ja Heaolu Infosüsteemide Keskus (TEHIK), Sotsiaalkindlustusamet (SKA), Haigekassa (EHK), Töötukassa ning Maksu- ja Tolliamet. Järelevalvenõukogu tagab, et kõigi asutuste huvid on võrdselt kaasatud Eesti EESSI integratsioonipoliitika kavandamisel ning et tehtud otsustel oleks vajalik autoriteet kõigis seotud haldusalades. Järelevalvenõukogu võtab üle EESSI-ga seotud strateegilist e otsuste kinnitamise praeguselt Sotsiaalministeeriumi piiriüleste teenuste arendamise juhtrühmalt. Juhtrühma e-tervise teemasid arutatakse edasi väiksemas koosseisus, kuhu kuuluvad ainult asjasse puutuvate asutuste esindajad. EESSI integratsiooni järelevalvenõukogu kohtub vastavalt vajadusele. Selle kokku kutsujaks võib olla iga järelevalvenõukogu liige või EESSI teenuseomanik . Igal järelevalvenõukogu liikmel on õigus kaasata kohtumistele lisaliikmeid, kui nad peavad seda vajalikuks. Peale integratsiooniprojekti lõppu vaadatakse järelevalve koosseis ja koos käimine läbi lähtudes siseriikliku EESSI teenuse vajadustest. Järelevalvenõukogu otsused tuleb protokollida. Teenuseomanik allkirjastab protokolli ning need säilitatakse EESSI integratsiooniprojekti tulemite juures. EESSI integratsiooni järelevalvenõukogusse kuuluvad käesolevaga: Asutus Rollid Sotsiaalministeerium E-teenuste asekantsler Sotsiaalministeerium Sotsiaalala asekantsler Tervise ja Heaolu Infosüsteemide Keskus TEHIK-u p eadirektor Töötukassa Töötukassa juhatuse liige Haigekassa Haigekassa juhatuse esimees Sotsiaalkindlustusamet Sotsiaalkindlustusameti hüvitiste juht Järelevalvenõukogu meililist on [email protected] Maksu- ja Tolliamet ei ole integratsiooniprojekti jooksul EESSI järelevalvenõukogus esindatud, kuna vastutus EMTA vajaduste eest seismise eest on EESSI osas delegeeritud TEHIK-usse . EMTA nõusolekul esindab EMTA huve järelevalvenõukogus TEHIK-u peadirektor. EESSI teenuseomanik EESSI teenuse välja ehitamiseks Eestis ja integratsiooniperioodijärgseks koordineerimiseks nimetab Järelevalvenõukogu Sotsiaalministeeriumi tasemel ametisse teenuseomaniku , kelle ülesanne on jälgida siseriikliku EESSI teenuse ärilist ja juriidilist konteksti ning tagada, et see areneks Eesti EESSI tarbija jaoks vastuvõetavas suunas . Integratsiooniperioodi vältel on t eenuseomaniku ülesanne sõnastada EESSI-d puudutavad strateegilise taseme otsused Järelevalvenõukogule kinnitamiseks ning veenduda, et need on ellu viidud EESSI integratsiooni alamprojektides. T a vastutab integratsiooniperioodi lõpuni projektile täiendavate ressursside hankimise eest, kinnitab formaalselt integratsiooniprojekti riikliku tegevusplaani ja teised vahepealsed tulemid ("verstapostid") , eskaleerib järelevalvenõukogusse projekti juhtrühma ettepanekud pr ojekti strateegiliste valikute muutmiseks ning sõnastab konfliktide ja kriitiliste olukordade lahendamiseks mõeldud otsused järelevalvenõukogule kinnitamiseks. Lisaks vastutab teenuseomanik integratsiooniprojektile vajaliku toetuse organiseerimise eest Järelevalvenõukogus. EESSI tarkvara ja äriloogika jätkavad arengut ka peale integratsio oniprojekti lõppu, mille järgselt on teenuseomaniku ülesanne jälgida, et Euroopa Komisjoni äriprotsesside disain arvestaks Eesti asutuste huvidega. Sealhulgas kooskõlastab teenuseomanik Eesti asutuste muudatusettepanekud ning esitab need vastavalt Euroopa Komisjoni EESSI Change Management protsessile ja on Eesti esindajaks Andme töötluse Tehnilises Komisjonis. Tehnilistes küsimustes toetab teenuseomanikku peale integratsiooniperioodi lõppu EESSI teenusehaldur TEHIK-us . Te enuseomaniku lisarollid Eesti EESSI organisatsioonis on : Eesti EESSI SPOC (esmane EESSI kontakt kõigile välis - ja siseriiklikele osapooltele Eestis) Andmetöötluse Tehnilise Komisjoni liige Integratsioonperioodi vältel on teenuseomaniku rollideks ka: EESSI Training SPOC Koolituste ja kommunikatsiooni projektijuht EESSI teenuseomanik Eesti Vabariigis on käesolevaga: Siret Tuula ( [email protected] ), Sotsiaalministeeriumi Sotsiaalkindlustuse osakonna peaspetsialist. EESSI teenusehaldur Peale i ntegratsiooniprojekti lõppu võtab EESSI teenuse igapäevase juhtimise Eestis üle EESSI teenusehaldur , kelle ülesanne on tagada teenuse jätkusuutlik pakkumine ning selle kujundamine võimalikult vastavaks siseriiklike tarbijate huvidele . Integratsiooniperioodi jooksul on teenusehalduri vastutuseks EESSI teenuse haldusprotseduuride, kordade ja lepingute (sh SLA-d ja OLA-d ) välja töötami se ja kooskõlastamise koordineerimine; projekti järgselt on tema ülesanne hoida neid lepinguid ja protseduure ajakohasena. Teenusehaldur tagab EESSI infrastruktuuri pakkumise ning teenuse monitoorimise Eestis, korraldab EESSI teenusetoe riiklike tasemete töö ning osaleb vajalike arendus- ja hooldustööde hangete tehniliste kirjelduste koostamisel. EESSI tarkvara ja äriloogika jätkavad arengut ka peale integratsio oniprojekti lõppu ning teenusehalduri ü lesanne on jälgida, et ka EESSI tehnoloogilise ja ärilise infrastruktuuri areng tulevikus arvestaks Eesti asutuste huvidega. Teenusehaldur koondab Eesti asutuste ärivajadused ning vaatab läbi ja analüüsib EESSI kesksüsteemile esitatud muudatusettepanekute mõju. Ta esindab Eesti EESSI-ga seotud asutusi Andmetöötluse Tehnilises Komisjonis ning toetab teenuseomanikku Eesti seisukohtade kujundamisel tehnilistes küsimustes nii EESSI Tehnilise kui Halduskomisjoni tasemel. Integratsiooniprojekti järgselt võib teenusehaldur üle võtta ka EESSI tehnilise ja ärilise dokumentatsiooni haldamise ja lõppkasutajate koolitamise ülesanded. Teenusehalduri lisarollid Eesti EESSI organisatsioonis on seega : Eesti AP SPOC ( esmane kontaktisik nii Euroopa Komisjoni le kui Eesti asutustele Access Pointiga seonduvates küsimustes) Andmetöötluse Tehnilise Komisjoni asendus liige EESSI teenusehaldur Eesti Vabariigis on käesolevaga: Nele Paluste ( [email protected] ), TEHIK, E-teenuste juhtimise osakond Riiklik EESSI integratsiooniprojekti juhtrühm Teenuseomanikku ja teenusehaldurit toeta b integratsiooniprojekti vältel EESSI integratsiooniproje kti juhtrühm, mis ühtlasi langetab tegev- ja taktikalisi juhtimisotsuseid riikliku EESSI integratsiooni eesmärkide saavutamiseks. Juhtrühma kuuluvad teenuseomanik ja teenusehaldur, kõigi EESSI integratsiooni tegevusvaldkondade vastutavad isikud osalevatest asutustest ning vajadusel seotud asutuste kontaktisikud. Kuna suur osa Eesti EESSI integratsiooni tegevustes on finantseeritud INEA CEF rahadega ja TEHIK on EESSI CEF taotluse koordineeriv taotleja, juhib projekti juhtrühma integratsiooniprojekti juht TEHIK-ust . EESSI integratsiooniprojekti juht on käesolevaga: Lehor Meius ( [email protected] ), TEHIK, E-teenuste juhtimise osakond. Projekti juhtrühm jälgib EESSI projekti tegevuste edenemist ning säilitab suhtlemise teiste liikmesriikidega ja EESSI keskprojekti üleminekumeeskonna ( Transition Team ) poolt nimetatud SPOC-iga Euroopa Komisjoni Tööhõive Direktoraadis . ( Eesti integratsiooni SPOC Euroopa Komisjoni Tööhõive Direktoraadis on käesolevaga: Mary- Michele McCabe ( [email protected] ) ) Juhtrühm spetsifitseerib projekti ülesanded ja tulemid, langetab otsuseid tuginedes liikmete ettepanekutele ja arutelule , esitab projektijuhile ettepanekuid integratsiooni projekti ressursside, skoobi, ajakava ning eelarve muutmiseks, lepib kokku meetmed probleemide lahendamiseks ja riskide vähendamiseks ning annab projektijuhile, teenusehaldurile ja t eenuseomanikule viivitamatult märku kriitilistest olukordadest riiklikus integratsiooniprojektis. Juhtrühm kohtub kord täies koosseisus kord kuus. Koosolekul võib osaleda ka Skype'i vahendusel või muude elektrooniliste koostöövahendite kaudu. Liikmetel on õigus saata koosolekule enda esindaja. Juhtrühma otsused tuleb protokollida. Protokollid allkirjastab integratsiooniprojekti juht ning need säilitatakse EESSI integratsiooniprojekti tulemite juures. Riikliku integratsiooniprojekti juht vastutab projekti plaanide ja ajakavade visandamise ja ajakohasena hoidmise eest, kirjutab kohtumiste memod ja varundab need ning kirjutab aruanded integratsioonitegevuste edenemise kohta Euroopa Komisjoni Tööhõive Direktoraadi üleminekumeeskonnale ( Transition Team ), INEA- le Teenuseomaniku palvel projekti järelevalvenõukogule. Tavaolukorras on kontaktiks juhtrühma ja järelevalvenõukogu vahel EESSI teenuseomanik. Peale integratsiooniprojekti lõppu määratletakse Eesti EESSI teenuse rollid ja vastutused organisatsioonide vaheliste lepingutega. Teenuse juhtimise riiklikul tasemel võtab üle EESSI teenusehaldur TEHIK-us . Alljärgnevalt on ära toodud integratsiooniprojekti juhtrühma koosseis. Sinises kirjas on Euroopa Komisjoni poolt määratud EESSI teenuse rollid, mis peavad olema täidetud igas liikmesriigis ka peale integratsiooniperioodi lõppu. Juhtrühma meililist: [email protected] Roll Nimi Asutus Lisarollid Kontakt EESSI teenuseomanik Siret Tuula Sotsiaalministeerium, Sotsiaalkindlustuse osakond Eesti EESSI SPOC Andmetöötluse Tehnilise Komisjoni liige EESSI Training SPOC Koolituste ja kommunikatsiooni projektijuht +372 626 9237 [email protected] EESSI teenusehaldur Nele Paluste TEHIK, E-teenuste juhtimise osakond EESSI teenusehaldur Andmetöötluse Tehnilise Komisjoni asendusliige AP SPOC [email protected] EESSI integratsiooni juht Lehor Meius TEHIK, E-teenuste juhtimise osakond EESSI Executive Board'i liige ("Troika Presidency Past ") EESSI Institution Repository Business SPOC EESSI Data Modelling Expert Group Member EMTA integratsiooni vastutav isik +372 53 411 911 [email protected] EESSI AP Manager Siim Tina TEHIK, Infosüsteemihalduse osakond +372 526 4284 [email protected] EESSI riikliku i nfrastruktuuri arendusjuht Elari Moks TEHIK, Infrastruktuuri ja rakenduste halduse talitus +372 521 8373 [email protected] AP Admin Raul Juurma TEHIK, infrastruktuuri osakond EESSI Institution Repository technical SPOC SKA/MTA RINA admin +372 55 628 955 [email protected] AP Deputy Admin Tõnis Kalle TEHIK, infrastruktuuri osakond EESSI Institution Repository technical SPOC ( deputy ) [email protected] EESSI Security SPOC / Security Coordinator Tõnis Komp TEHIK, turvaülem [email protected] Riiklik EESSI testjuht Bret Rand TEHIK PB SPOC (Piloot / integratsioonitestimise eest vastutav isik) [email protected] SKA integratsiooniprojekti juht Merle Trufanova SKA [email protected] Haigekassa integratsiooniprojekti juht Helen Hoyer EHK [email protected] Haigekassa ärianalüüsi projekt i juht Avely Raid-Lelov EHK [email protected] Haigekassa RINA kontakt Priit Ainsoo EHK [email protected] Töötukassa ärianalüüsi projektijuht Katrin Pops Töötukassa EESSI Institution Repository Business SPOC ( deputy ) [email protected] Töötukassa tehnilise integratsiooni projektijuht Hermo Nagel Töötukassa [email protected] Töötukassa IT juht ( ad hoc kontakt tehnilistes küsimustes) Oliver Närep Töötukassa [email protected] EMTA kontaktisik ärilistes küsimustes Irena Lipatova EMTA [email protected] E MTA ad hoc kontaktisik andmekaitse ja infoturbe küsimustes Tõnis Kuuse E MTA, sisekontrolli osakonna peaspetsialist +372 676 2757 [email protected] EMTA kontaktisik tehnilistes küsimustes Marko Mäe RMIT [email protected] RIA konsultant Vitali Stupin RIA [email protected] Integratsiooniprojekti järgselt määrab TEHIK lisaks tee nusehaldurile ka tarnejuhi rolli , vahendades kõigile asutustele uusi Euroopa Komisjoni poolt laekuvaid EESSI tarkvaratarneid (vastavalt Andmetöötluse Tehnilise Komisjoni kokkulepetele on Tööhõive Direktoraadil plaanis üks tarne aastas). EESSI tooteomanik (st. RINA ja AP tarkvara omanik) on Euroopa Komisjon, Tööhõive Direktoraat. 2018. aastal esindab neid Eestis integratsiooniprojekti juht Lehor Meius . Ekspertgrupid Informeeritud otsuste langetamiseks moodustab projekti juhtrühm neli ekspertgruppi . Ekspertgrupid on mõeldud EESSI integratsiooni tehniliste, turva-, juriidiliste ja äriteemade üle arutlemiseks ning koosnevad vastavatest spetsialistidest EESSI-ga seotud asutustest. Teenuseomanik , teenusehaldur ja projekti juhtrühm a liikmed konsulteerivad nende gruppidega kui on vaja ekspertteadmisi otsuste langetamisel. Samuti on gruppidel õigus teavitada juhtrühma probleemidest, mida nad on iseseisvalt avastanud. Ekspertgrupid peavad kord kahe nädala tagant andma vastused neile eelneva perioodi jooksul laekunud küsimustele. Vastuste tähtaegse esitamise eest vastutab iga ekspertgrupi juht ( alltoodud koosseisude tabelites on tema nimi alla joonitud). Ekspertgruppide lõppseisukohad tuleb esitada meili teel. Vähemalt koopias peab alati olema EESSI teenuseomanik. Seisukohad säilitatakse EESSI projektitulemite juures. Ekspertgrupid on järgmised: Tehniline ekspertgrupp tegeleb kõigi tarkvaralist ja riistvaralist infrastruktuuri, EESSI tehnoloogiaid ning arhitektuuri puudutavate teemadega. Tehniline ekspertgrupp täidab ka Komisjoni " Terms of Cooperation " dokumendis ette nähtud " EESSI RINA Installation and integration team "'i rolli. Koosseis: Isik Asutus Teema Lehor Meius TEHIK EESSI ja RINA tooteomanik (ajutine) Raul Juurma TEHIK Riikliku domeeni tarkvarasüsteemide administraator Artur Novek TEHIK Riikliku domeeni arhitekt Priit Raspel TEHIK Andemodelleerimine Priit Ainsoo Haigekassa RINA admin , Haigekassa infrastruktuuri kontakt Deniss Andrijevski Haigekassa Haigekassa domeeni arhitekt Anti Urm TEHIK SKA domeeni arhitekt Hermo Nagel Töötukassa RINA admin , Töötukassa infrastruktuuri projektijuht Helen Hoyer Haigekassa Haigekassa integratsiooni kontakt Oliver Närep Töötukassa Töötukassa IT juht Vitali Stupin RIA RIA konsultant EMTA integratsiooni puudutavates küsimustes võib ekspertgrupp pöörduda RMIT-i poole, kontaktisik Marko Mäe . Tehnilise ekspertgrupi ametlik m eililist on : [email protected] Turvaekspertide grupp nõustab integratsiooniprojekti ja EESSI teenusehaldurit EESSI turvalisuse ja andmekaitse teemadel ning korraldab EESSI turvaraportite täitmist ja saatmist Euroopa Komisjonile. Vajadusel viib ekspertgrupp läbi asjakohased turvaauditid või hangib need väljast. Ekspertgrupi liikmed esindavad Eestit EESSI Security Expert Forum’i SEF poolt korraldatavatel kohtumistel. Isik Asutus Teema Tõnis Komp TEHIK EESSI Security Coordinator Nele Paluste TEHIK EESSI teenusehaldur Lehor Meius TEHIK Integratsiooniprojekti juht Hermo Nagel Töötukassa EESSI turvanõuete täitmine Töötukassas Katre Kuklase Haigekassa EESSI turvanõuete täitmine Haigekassas Ivari Õunapuu SKA EESSI turvanõuete täitmine SKA-s Tõnis Kuuse RMIT EESSI turvanõuete täitmine EMTA-s Turvaekspertide grupi ametlik meililist on: [email protected] Juriidiline ekspertgrupp tegeleb EESSI andmevahetusest võrsuvate õigusalaste küsimustega. Koosseis: Isik Asutus Teema Siret Tuula SKA EL sotsiaalkindlustuse koordineerimise põhimõtted Õiguste kohaldamine Perehüvitiste koordineerimine Pensionide koordineerimine Silvia Azojan SKA SKA tagasinõuded välisriikidest Leila Siiroja SKA Helen Hoyer Haigekassa Haigekassa integratsiooni kontakt Katrin Pops Töötukassa Töötukassa integratsiooni kontakt Urve Jelle Haigekassa Tervisekindlustuse koordineerimine Ira Songisepp Töötukassa Töötushüvitiste koordineerimine Piret Põld EMTA Tagasinõuded välisriikidest Nele Nisu SoM EL sotsiaalkindlustuse koordineerimise põhimõtted Juriidilise ekspertgrupi ametlik m eililist on : [email protected] Ärivajaduste ekspertgrupp tegeleb EESSI kui peamise välisasjade lahendamise töövahendi kasutamisest tulenevate praktiliste küsimustega. EESSI integratsiooniga seotud asutused määravad igale enda EESSI BUC- ile ( Business Use Case ) ärilise vastutaja või "omaniku". Kõik BUC- ide ärilised vastutajad peavad kuuluma käesolevasse ekspertgruppi, st tegemist on koosseisult kõige suurema ekspertgrupiga. Igas asutuses vastutab tähtaegse tagasiside eest juhtivekspert ning kogu grupi kui terviku tagasiside eest vastutab omakorda ekspertgrupi juht, kes on alltoodud loetelus esimesel kohal: Meililist: [email protected] Koosseis: Juhtiv ekspert Asutus Merle Trufanova Sotsiaalkindlustusamet Miret Tuur Haigekassa Katrin Pops Töötukassa Irena Lipatova Maksuamet Lehor Meius TEHIK Helen Hoyer Haigekassa integratsiooni kontakt Kasutuslugu Asutus Omanik Kontakt 1 Kontakt 2 Kontakt 3 Kontakt 4 LA_BUC_01 SKA Merle Trufanova N/A N/A N/A N/A LA_BUC_02 SKA Merle Trufanova N/A N/A N/A N/A LA_BUC_03 SKA Merle Trufanova N/A N/A N/A N/A LA_BUC_04 SKA Merle Trufanova N/A N/A N/A N/A LA_BUC_05 SKA Merle Trufanova N/A N/A N/A N/A LA_BUC_06 SKA Merle Trufanova N/A N/A N/A N/A H_BUC_01 Kõik Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_02a SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_02b SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_02c SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_03a SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_03b SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_04 SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_05 SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_06 SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_07 SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_08 SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_09 SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_10 SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_01_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_02_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_03a_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_03b_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_04_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_05_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_06_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_07_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_08_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_09_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A H_BUC_10_Sub SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A M_BUC_01 SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A M_BUC_02 SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A M_BUC_03a SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A M_BUC_03b SKA Merle Trufanova Katrin Pops (TK) Avely Raid-Lelov (EHK) Irena Lipatova (MTA) N/A AW_BUC_01a Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_01b Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_02 Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_03 Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_04a Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_04b Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_04c Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_05 Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_06a Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_06b Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_06c Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_07a Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_07b Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_07c Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_07d Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_08 Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_09a Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_09b Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_10a Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_10b Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_11 Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_12 Töötukassa Katrin Pops N/A N/A N/A N/A AW_BUC_13 Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_14 Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_15 Haigekassa Avely Raid-Lelov N/A N/A N/A N/A AW_BUC_23 Haigekassa Avely Raid-Lelov N/A N/A N/A N/A FB_BUC_01 SKA Barbara Hirs N/A N/A N/A N/A FB_BUC_02 SKA Barbara Hirs N/A N/A N/A N/A FB_BUC_03 SKA Barbara Hirs N/A N/A N/A N/A FB_BUC_04 SKA Barbara Hirs N/A N/A N/A N/A P_BUC_01 SKA Kadri Tomingas N/A N/A N/A N/A P_BUC_02 SKA Kadri Tomingas N/A N/A N/A N/A P_BUC_03 Töötukassa Hainer Krenštrauch Kadri Tomingas (SKA) N/A N/A N/A P_BUC_04 SKA Kadri Tomingas N/A N/A N/A N/A P_BUC_05 SKA / Töötukassa Kadri Tomingas Hainer Krenštrauch (TK) N/A N/A N/A P_BUC_06 SKA / Töötukassa Kadri Tomingas Hainer Krenštrauch (TK) N/A N/A N/A P_BUC_07 SKA / Töötukassa Kadri Tomingas Hainer Krenštrauch (TK) N/A N/A N/A P_BUC_08 SKA / Töötukassa Kadri Tomingas Hainer Krenštrauch (TK) N/A N/A N/A P_BUC_09 SKA / Töötukassa Kadri Tomingas Hainer Krenštrauch (TK) N/A N/A N/A P_BUC_10 SKA / Töötukassa Kadri Tomingas Hainer Krenštrauch (TK) N/A N/A N/A S_BUC_01 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_01a EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_02 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_03 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_04 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_05 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_06 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_07 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_08 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_09 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_11 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_12 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_14 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_14a EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_14b EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_15 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_17 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_17a EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_18 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_18a EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_19 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_21 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_22 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_23 EHK Avely Raid-Lelov N/A N/A N/A N/A S_BUC_24 EHK Avely Raid-Lelov N/A N/A N/A N/A UB_BUC_01 Töötukassa Katrin Pops N/A N/A N/A N/A UB_BUC_02 Töötukassa Katrin Pops N/A N/A N/A N/A UB_BUC_03 Töötukassa Katrin Pops N/A N/A N/A N/A UB_BUC_04 Töötukassa Katrin Pops N/A N/A N/A N/A R_BUC_01 Kõik Annely Sinilaid (SKA) Triin Küngas (MTA) Merle Trufanova (SKA) Katrin Pops (TK) Avely Raid-Lelov (EHK) R_BUC_02 Kõik Annely Sinilaid (SKA) Triin Küngas (MTA) Merle Trufanova (SKA) Katrin Pops (TK) Avely Raid-Lelov (EHK) R_BUC_03 Kõik Annely Sinilaid (SKA) Triin Küngas (MTA) Merle Trufanova (SKA) Katrin Pops (TK) Avely Raid-Lelov (EHK) R_BUC_04 Kõik Annely Sinilaid (SKA) Triin Küngas (MTA) Merle Trufanova (SKA) Katrin Pops (TK) Avely Raid-Lelov (EHK) R_BUC_05 Kõik Annely Sinilaid (SKA) Triin Küngas (MTA) Merle Trufanova (SKA) Katrin Pops (TK) Avely Raid-Lelov (EHK) R_BUC_06 Kõik Annely Sinilaid (SKA) Triin Küngas (MTA) Merle Trufanova (SKA) Katrin Pops (TK) Avely Raid-Lelov (EHK) R_BUC_07 Kõik Annely Sinilaid (SKA) Triin Küngas (MTA) Merle Trufanova (SKA) Katrin Pops (TK) Avely Raid-Lelov (EHK) AD_BUC_01_Sub TEHIK Lehor Meius N/A N/A N/A N/A AD_BUC_02_Sub TEHIK Lehor Meius N/A N/A N/A N/A AD_BUC_03_Sub TEHIK Lehor Meius N/A N/A N/A N/A AD_BUC_04_Sub TEHIK Lehor Meius N/A N/A N/A N/A AD_BUC_05_Sub TEHIK Lehor Meius N/A N/A N/A N/A AD_BUC_06_Sub TEHIK Lehor Meius N/A N/A N/A N/A AD_BUC_07_Sub TEHIK Lehor Meius N/A N/A N/A N/A AD_BUC_08_Sub TEHIK Lehor Meius N/A N/A N/A N/A AD_BUC_09_Sub TEHIK Lehor Meius N/A N/A N/A N/A AD_BUC_10_Sub TEHIK Lehor Meius N/A N/A N/A N/A Asutuste projektimeeskonnad Riikliku integratsiooniprojekti tulemid saavutatakse asutuste meeskondades, millel on projektis konkreetsed vastutusalad. Iga projektimeeskonna juht on ka EESSI integratsiooniprojekti juhtrühma liige. Projektijuht vastutab EESSI integratsiooniks vajalike tegevuste saavutamise eest enda valdkonnas. Oma alamprojektidele võivad nad kehtestada enda protseduurireeglid, projektiplaanid, sisekorrad ja ajakavad, kuid need peavad olema kooskõlas riikliku integratsiooniprojekti reeglitega (n. töötundide registreerimine INEA lõpparuande jaoks ) ning integratsiooniprojekti ajakavaga. Asutuste projektimeeskonnad informeerivad projekti juhtrühma igakuiselt oma edenemisest ning eskaleerivad probleemid, mida ei ole võimalik lahendada enda meeskonna siseselt. Projektimeeskondade poolt esi tatud sisend tuleb arhiveerida EESSI projekti materjalide juures ühises projektikeskkonnas. EESSI integratsiooni projektis on järgnevad meeskonnad: Nimetus Tegevus Asutus Vastutaja Liikmed Access Point ja infrastruktuur Realiseerib EESSI riikliku domeeni vastavalt kokkulepitud arhitektuurile kõigis keskkondades, sh Access Point ’ i paigaldamine ja selle repositooriumite täitmine ning X-tee adapterite tekitamine; samuti RINA-de paigaldamine kokkulepitud keskkondades kokkulepitud asutustele. Infrastruktuuri meeskond vastab EESSI Terms of Cooperation 'is mainitud üksusele " National Access Point Installation and Service Desk Team " TEHIK Elari Moks Raul Juurma Tõnis Kalle Artur Novek Lehor Meius Siim Tina Organisatsiooniline valmidus Sõnastab ja kooskõlastab EESSI teenuse rollid , protseduurid ja nõuded kõigile Eesti asutustele. Tagab EESSI-ga liidestuvate asutuste vastavuse EL taseme ja siseriiklikele nõuetele , sh turvanõuetele, ning EESSI ülalpidamise tugiteenuste käivitumise kõigis asutustes TEHIK Nele Paluste Lehor Meius Tõnis Komp Meelis Kerbo Martin Hunt EESSI testimine Koordineerib ja korraldab riiklikul tasemel ning välispartneritega igasugust EESSI testimist. TEHIK Bret Rand SKA, EMTA, Töötukassa ja Haigekassa EESSI juhtivtestijad EESSI riiklik teenusetugi Koordineerib ja teostab EESSI kasutajatuge riiklikul tasemel kõigis Eesti asutustes. Peaks sisaldama EESSI teenusehaldurit , TEHIK 2. taseme kasutajatuge ning kõigi asutuste 1. taseme kasutajatoe töötajaid. TEHIK Nele Paluste TEHIK 2. taseme kasutajatugi Asutuste kasutajatoed SKA integratsioon Korraldab kõik vajalikud tegevused EESSI integratsiooniks Sotsiaalkindlustusameti tasemel (ärianalüüsid, ärivajaduste sõnastamise , kaastöö arenduste hankimisel, rakenduste testimise, juurutamistegevused ). SKA Merle Trufanova Ivari Õunapuu Kadri Tomingas Barbara Hirs Merle Sumil - Laanemaa Merlin Loorits Anneli Sinilaid EHK integratsioon Korraldab kõik vajalikud tegevused Haigekassa tehnilise ks ja ärilise ks EESSI integratsiooni ks (ärianalüüsid, ärivajaduste sõnastamise , arenduste hankimise, rakenduste testimise , juurutamistegevused jne ). EHK Helen Hoyer Priit Ainsoo Miret Tuur Seidi Vilba Avely Raid-Lelov Deniss Andrijevski Urve Jelle Töötukassa äriline integratsioon Korraldab kõik vajalikud tegevused Töötukassa ärilise ks EESSI integratsiooni ks Töötukassa Katrin Pops Hainer Krenštrauch Töötukassa tehniline integratsioon Korraldab kõik vajalikud tegevused Töötukassa tehnilise ks EESSI integratsiooni ks Töötukassa Hermo Nagel Oliver Närep EMTA integratsioon Korraldab kõik vajalikud tegevused EMTA ärilise ks EESSI integratsiooni ks TEHIK Lehor Meius Irena Lipatova (EMTA) Triin Küngas (EMTA) Marko Mäe (RMIT) EESSI andmekaitse ja infoturbe küsimustes on E MTA kontaktisik Tõnis Kuuse E MTA sisekontrolli osakonna peaspetsialist, tel: 6762757, e-post: [email protected] Koolitused ja kommunikatsioon Korraldab kõik vajalikud tehnilise ja äritaseme koolitusmaterjalid, koolitused ning kommunikatsiooniüritused EESSI tutvustamiseks, sh EESSI tarkvaratehnoloogiaid tundva kogukonna kujunemise Eestis. S o M Siret Tuula Karin Volmer Merle Trufanova Katrin Pops 2. Ühised töövahendid Kõik EESSI integratsiooniprojekti alusmaterjalid paigutatakse TEHIK-u Confluence'i : EESSI - Electronic Exchange of Social Security Information Kõigil projektiorganisatsiooni liikmetele tekitatakse ligipääs nimetatud keskkonnale. Kõigi töörühmade ametlikud koosolekud dokumenteeritakse TEHIK-u Confluence'is koosoleku korraldaja poolt . Koosolekute memod, mis sisaldavad otsuseid, tuleb enne projekti tulemites arhiveerimist digitaalselt allkirjastada. TEHIK kasutab INEA Grant Agreementis kirjeldatud projekti tegevu ste juhtimiseks TEHIK-u JIRA-t. Teistele asutustele ei ole JIRA kasutamine kohustuslik, TEHIK esitab projekti ajakavad nende jaoks sobival kujul. Kõigile ülalkirjeldatud gruppidele luuakse TEHIK-u poolt eraldi meililistid kohe peale koosseisude kinnitamist. Projekti ametlik kommunikatsioon toimub meili teel. Vastavalt vajadusele võivad grupid omavaheliseks suhtlemiseks kasutada Skype'i gruppe või teisi rakendusi, kuid Skype'i kaudu vahetatud sõnumeid ei loeta ametlikuks. Keskkond Haldaja Otstarve https://wiki.sm.ee/display/EES TEHIK Projektidokumentatsiooni, EESSI dokumentatsiooni ajakohased versioonid https://smjira.sm.ee/secure/RapidBoard.jspa?rapidView=130&view=detail&selectedIssue=EES-183 TEHIK EESSI integratsiooniprojekti Kanban Board , EESSI tööülesanded ja tööaja arvestus https://repo.e-tervis.ee/svn/ eessi/tarkvara TEHIK EESSI tarkvaraversioonide (AP, RINA), CDM-i repositoorium . TEHIK teeb ligipääsud taotluse alusel. https://webgate.ec.europa.eu/CITnet/confluence/pages/viewpage.action?pageId=354091399 Euroopa Komisjon EESSI Confluence https://webgate.ec.europa.eu/CITnet/jira/secure/RapidBoard.jspa?projectKey=EESSIDRY&rapidView=1648 Euroopa Komisjon EESSI Central Service Desk / JIRA 3. Täiendavad rollid EESSI üleeuroopaline integratsiooniprojekt nõuab igas liikmesriigis teatud rollide täitmist. Oma vajadustest lähtuvalt võib liikmesriik anda ühele isikule ka mitu rolli. EESSI integratsiooni rollid ja nendega seotud isikud on toodud alljärgnevas tabelis. Roll Selgitus Täitja Eestis EESSI SPOC Vastavalt Sotsiaalkindlustussüsteemide Koordineerimise Halduskomisjoni teatisele AC009/10 REV peab iga liikmesriik määrama EESSI kontaktisiku ( Single Point of Contact ). SPOC on kontaktisik, kelle kaudu saab ühendust ministeeriumiga, kelle haldusalasse EESSI kuulub, riiklike Halduskomisjoni ja Tehnilise Komisjoni esindajatega, ning riikliku Access Point'iga administratiivsetes või koordineerimise küsimustes. Samuti on ta kontaktiks EESSI Central Project Team'ile (Service Desk , Secretariat , jne) kõigis küsimustes, mis ei ole seotud konkreetse Access Point'iga . Lühidalt, EESSI SPOC on ühendajaks riiklike organisatsioonide, riikliku AP, EESSI tsentraalse projekti ja EL vahel. Tal peab olema õigus rääkida kõigi riiklike EESSI organisatsioonide, sektorite ja AP nimel, et ühtlustada ja vähendada administratiivset suhtlemist. EESSI SPOC peab tagama, et keskprojektist tulev informatsioon kommunitseeritakse õigetele siseriiklikele sihtrühmadele ja et siseriiklikult konsulteeritakse vastamisel õige oskusteabega sihtrühmi ning vajalikud vastused on keskprojektile edastatud riiklikult koordineeritud viisil. EESSI SPOC- il peaks olema ka tugev koordineeriv roll EESSI ettevalmistuste erinevate strateegiate, metoodikate jne väljatöötamisel. EESSI SPOC koordineerib liikmesriigi vastuste koostamist administratiivsetele ja juriidilistele küsimustele ning muid riiklikku koordineerimist nõudvaid tegevusi (nagu tõlkimistööd, tekstide toimetamine, koolitused...). Tema otsused kehtivad kõigile liikmesriigi AP-dele. Seega tegu on liikmesriigi ja EESSI keskprojekti kommunikatsiooni ainuisikulise vahendajaga. SoM EESSI teenuseomanik Asetäitja: TEHIK, EESSI teenusehaldur Tehnilise Komisjoni liige EESSI integratsiooni tehnilisi küsimusi ja probleeme arutatakse Andmetöötluse Tehnilises Komisjonis, kuhu iga liikmesriik peab nimetama oma esindaja ning ühe asetäitja. 2017. aasta teises pooles on Tehnilise Komisjoni eesistujaroll samuti Eesti kanda. EESSI teenuseomanik EESSI teenusehaldur EESSI Executive Board liige EESSI keskprojekti meeskond konsulteerib küsimuste tekkimi sel EESSI keskprojekti juhatuse ga, kuhu kuuluvad liikmesriikide poolt nimetatud eksperdid. Nood ei esinda aga juhtrühmas oma riike vaid pakuvad ainult ekspertarvamust. Peale nende kuuluvad juhtrühma eelmise, praeguse ja järgmise eesistujariigi esindajad. 2017. ja 2018. aasta esimeses pooles täidab n eid rolle EB-s TEHIK-u projektijuht. TEHIK, integratsiooni projektijuht Ad Hoc grupi liige Spetsiifiliste äriliste ja tehniliste küsimuste lahendamiseks konsulteerib EESSI keskprojekt liikmesriikide poolt nimetatud ekspertgruppidega. Neisse on varasemalt kuulunud mitme Eesti asutuste esindajad. Pole AP Manager Liikmesriigi AP asukoha juht - juhataja, direktor, st. isik, kes vastutab liikmesriigi AP ja kõige selles toimuva eest juriidilises mõttes. Teda võivad abistada tehnilised eksperdid või isegi eraldi EESSI projektimeeskond (Eesti puhul on tema abilisteks TEHIK-u tehnilised eksper d id infrastruktuuri ja süsteemide administreerimise alal). Muu hulgas on AP Manager vastutav tehniliste ressursside jagamise eest EESSI marsruutimise tehniliseks teostamiseks, lähtudes AP administraatori koostatud plaanist. AP Manageril peab olema formaalne õigus langetada otsuseid AP hostimise infrastruktuuri kohta. Euroopa Komisjon soovitab määrata ühe AP Manageri, tema assistendi ja assistendi asetäitja. Eesti puhul on assistendiks TEHIK-u rakenduste halduse talituse juhataja. TEHIK, Infosüsteemide halduse osakonna juhataja Asetäitja: TEHIK, Rakenduste halduse talituse juhataja AP SPOC AP-l peaks olema üks kontaktisik kõigi seotud asutuste (nii Eestis kui teistes liikmesriikides) ja EESSI Central Service Desk -i jaoks Euroopa Komisjoni poolel. AP SPOC korraldab Eesti seotud asutustele riikliku esimese taseme kasutajatoe pakkumise, probleemide registreerimise ja eskaleerimise kas riiklikule kasutajatoele või Euroopa Komisjonile (ECSD). Sisuliselt on tegu AP Helpdeski juhiga Eestis. AP SPOC- il on ainsana õigus edastada Euroopa Komisjonile AP ja Eesti rakendusasutuste nimel sõnumeid ja veateateid (need tuleb sisestada EESSI JIRA-sse ). Võib ka olla, et tal on tulevikus vaja õigust avada EESSI sõnumeid ( SED-e ), mida ei ole õnnestunud edastada seotud asutusse. Vajadusel abistab teda siseriiklik AP Help Desk tiim. Komisjoni soovitusel peaks olema vähemalt üks AP SPOC, kes võib olla kasutajatugi, kuid tuleks defineerida SPOC- ina . AP SPOC peaks vastutama AP Manageri ees, kuid Eesti puhul peaks siis AP Manager olema TEHIK-u peadirektor, nii et se e kriteerium ei ole meie puhul vajalik. TEHIK, Teenusehaldur AP Admin Liikmesriigi Access Point administraator. Vastutab AP ülalhoiu ja uuenduste eest nii Euroopa Komisjoni kui Eesti EESSI asutuste ees. Peab planeerima riikliku EESSI sõnumite marsruutimisstrateegia. Algupäraselt vastutas ka asutuste kataloogi andmete õigsuse ja uuendamise eest, hiljem kehtestati nende ülesannete täitmiseks eraldi IR SPOC. Eesti vaates ei ole siiski põhjust neid rolle eristada, kuna asutusi on vähe. Komisjoni soovitus oli, et igal EESSI sektoril võiks olla eraldi admin istraator , kuid Eesti puhul ei ole see põhjendatud. AP Administraatoril peab kindlasti olema asetäitja, et teenus tema puhkuse ajal ei katkeks. TEHIK, süsteemiadministraator TEHIK, süsteemiadministraatori asetäitja IR Technical SPOC Liikmesriik peab määrama isiku, kes vastutab tehniliste andmete sisestamise ja ajakohasena hoidmise eest EESSI asutuste keskses repositooriumis ( Institution Repository ehk IR). Eesti taolise riigi puhul, kus asutusi on väga vähe, võib IR Technical SPOC olla ka AP, mitte rakendusasutuse tasemel. Lähemalt vaata Halduskomisjoni teatis AC 739/16. TEHIK, süsteemiadministraator TEHIK, süsteemiadministraatori asetäitja IR Business SPOC Liikmesriik peab määrama isiku, kes vastutab äriliste andmete sisestamise ja ajakohasena hoidmise eest EESSI asutuste keskses repositooriumis ( Institution Repository ehk IR). Siia kuuluvad asetuste aadressid ja kasutuslood, mille eest nad vastutavad. Eesti taolise riigi puhul, kus asutusi on väga vähe, võib IR Business SPOC olla ka AP, mitte rakendusasutuse tasemel. Lähemalt vaata Halduskomisjoni teatis AC 739/16. TEHIK, EESSI integratsiooni projektijuht Töötukassa, Ärilise integratsiooni projektijuht Training SPOC Koordineerib riiklikul tasemel EESSI koolitusi SOM, EESSI teenuseomanik Security SPOC Liikmesriik peab määrama turva SPOC-i, keda nimetatakse dokumentatsioonis ka Security Coordinator . S-SPOC vastutab kõigi turvateemat puudutavate tegevuste eest antud liikmesriigis, st. nii AP kui rakendusasutuste tasemel. Siia alla kuulub EESSI-d mõjutavatest või EESSI-ga seotud turvaintsidentidest raporteerimine. Liikmesriik võib otsustada, et S-SPOC on parem määrata AP, mitte liikmesriigi tasemel, tingimusel et siseriiklik raporteerimissüsteem on kehtestatud ja liikmeriigis toimuv on adekvaatselt kajastatud. Eesti on samuti otsustanud minna seda teed. S-SPOC on TEHIK-us ning asutuste turvatöötajad raporteerivad talle EESSI-d puudutavatest turvaintsidentidest. Lisainfot vaata teatisest AC 017/16REV4. TEHIK, Infoturbe osakonna juhataja National EESSI AP Installation and Service Desk Team AP ja selle infrastruktuuri paigaldamine, administreerimine ja käitamine on Eesti ülesanne. Kõik infrastruktuuri probleemid (HW, opsüsteem, MS SQL andmebaas, BizTalk) tuleb lahendada kohalikel meeskondadel ja süsteemiadministraatoritel. AP rakenduses esinevaid probleeme peab uurima ja lahendama kohalik Service Desk -i tiim; AP rakenduskihi probleemid mida pole võimalik liikmesriigi tasemel lahendada tuleb SD tiimil eskaleerida EESSI Central Support Team'i . Nimetatud rolli täidab TEHIK-u AP ja infrastruktuuri tiim. TEHIK, AP ja infrastruktuuri tiim EESSI riikliku teenusetoe tiim (moodustamisel) EESSI RINA installation and integration team RINA infrastruktuuri installatsioon administreerimine ja käitamine on liikmesriikide ülesanne. Kõik infrastruktuuri probleemid (HW, opsüsteem, PostgreSQL jne) tuleb käsitleda ja lahendada kohalikul Service Desk tiimil (1. tase - TEHIK, SKA, EHK, Töötukassa; 2. tase - TEHIK). RINA installatsiooni ja integratsiooni probleemid, mida pole võimalik kohapeal lahendada, eskaleeritakse EESSI Central Support Team'i . Kuni riikliku EESSI helpdeski käivitumiseni käsitletakse RINA installeerimise ja integreerimise probleeme EESSI tehnilises ekspertgrupis, kuhu kuuluvad TEHIK-u , RIA ja kõigi Eesti EESSI asutuste esindajad. Tehniline ekspertgrupp EESSI riikliku teenusetoe tiim (moodustamisel) National EESSI RINA Service Desk team RINA rakenduse probleeme uurib ja lahendab samuti kohalik Service Desk tiim (1. tase - TEHIK, SKA, EHK, Töötukassa; 2. tase - TEHIK); RINA rakenduskihi probleemid, mida pole võimalik kohapeal lahendada, eskaleeritakse EESSI Central Support Team 'i . Kuna Eestis pole mõtet käitada kahte eraldi EESSI helpdesk 'i , tegelevad RINA probleemidega alguses TEHIK-u AP ja infrastruktuuri tiim ning tehniline ekspertgrupp ning hiljem võtab need teemad üle riiklik EESSI helpdeski süsteem. TEHIK, AP ja infrastruktuuri tiim Tehniline ekspertgrupp EESSI riikliku teenusetoe tiim (moodustamisel) Sotsiaalkindlustusamet, Sotsiaalministeerium ja TEHIK on taotlenud CEF vahenditest ka raha teatud EESSI integratsiooniga seotud ametikohtade tööjõukulude hüvitamiseks. Kuigi on iga asutuse siseasi otsustada, mis ulatuses ja milliste rollide vahel EESSI tööjõukulusid jagada, tuleb meeles pidada, et projekti lõpus peab asutus esitama INEA- le aruande rollide töötundide ja reaalselt kulutatud summade kohta. Vähemalt alljärgnevad rollid peaksid EESSI projektiga seotult olema täidetud igas asutuses . Roll Asutus Tehniline projektijuht TEHIK Infosüsteemide arhitekt TEHIK EESSI teenusehaldur TEHIK Rakenduse administraator TEHIK Rakenduse administraatori asetäitja TEHIK Turvajuht TEHIK EESSI kasutajatugi TEHIK EESSI kasutajatugi SKA-s SKA EESSI projektijuht SKA-s SKA SKA testija SKA SKA turvanõunik SKA EESSI teenuseomanik SOM-is SOM Kommunikatsioonijuht poole koormusega SOM 4. Projektiorganisatsiooni struktuur on kirjeldatud alljärgneval diagrammil: EESSI pädevad asutused ja nende EESSI kasutuslood v1.1 Sotsiaalkindlustusamet # Kasutusloo kood Nimetus inglise keeles Nimetus Eesti keeles Saatja? Vastuvõtja? Kontakt? 1 AW_BUC_13 Forward Claim Nõude edastamine Jah Jah Jah 2 FB_BUC_01 Determining Competences Pädevuse määramine Jah Jah Jah 3 FB_BUC_02 Discharges of FB Perehüvitiste tühistamine Jah Jah Jah 4 FB_BUC_03 FB for Orphans Perehüvitised orbudele Jah Jah Jah 5 FB_BUC_04 Information about payment regarding priority right H üvitiste maksmise informatsioon seoses prioriteetsusega Jah Jah Jah 6 H_BUC_01 Ad-hoc Exchange of Information Vajaduspõhine informatsiooni vahetamine Jah Jah Jah 7 H_BUC_02a Determine Residence , Request for information Määra residentsus , infopäring Jah Jah Jah 8 H_BUC_02b Determine Residence , Disagreement procedure Määra residentsus – mittenõustumise protseduur Jah Jah Jah 9 H_BUC_02c Determine Residence , Notification on Residence Määra residentsus – teade residentsuse kohta Jah Jah Jah 10 H_BUC_03a Change of Legislation Applicable , Notification Teade – muudatus kohalduvas õiguses Jah Jah Jah 11 H_BUC_03b Change of Legislation Applicable , Request for information Muudatus kohalduvas õiguses – infopäring Jah Jah Jah 12 H_BUC_04 Reimbursement of Admin Check or Med Costs Administratiivse kontrolli või ravikulude hüvitamine Jah Jah Jah 13 H_BUC_05 Exchange of PIN Isikukoodi vahetamine Jah Jah Jah 14 H_BUC_06 Exchange of Claim Nõude vahetamine Jah Jah Jah 15 H_BUC_07 Notification of Death Surmateatis Jah Jah Jah 16 H_BUC_08 Exchange of Medical Data Terviseandmete vahetamine Jah Jah Jah 17 H_BUC_09 Notification of Medical Report Teade terviseseisundi raporti kohta Jah Jah Jah 18 H_BUC_10 Request for Administrative Check Administratiivse kontrolli taotlus Jah Jah Jah 19 LA_BUC_01 Exceptions Erandid Jah Jah Jah 20 LA_BUC_02 Determination of legislation applicable Kohaldatavate õigusaktide kindlaksmääramine Jah Jah Jah 21 LA_BUC_03 Notification of relevant information Teade olulise teabe kohta Jah Jah Jah 22 LA_BUC_04 Notification of posting Teade lähetamise kohta Jah Jah Jah 23 LA_BUC_05 Notification of legislation applicable Teade kohaldatavate õigusaktide kohta Jah Jah Jah 24 LA_BUC_06 Request for more Information Lisateabe taotlus Jah Jah Jah 25 M_BUC_01 Claim for Death Grant Matusetoetuse taotlemine Jah Jah Jah 26 M_BUC_02 Claim for Pre-Retirement Benefit Pensionieelse hüvitise taotlemine Jah Jah Jah 27 M_BUC_03a Exchange of Information concerning the amount of income for Special Non- Contributory Cash Benefits Andmete vahetamine erandlikest mitteosamakselistest rahalistest hüvitistest saadava sissetuleku suuruse kohta Jah Jah Jah 28 M_BUC_03b Exchange of Information concerning periods of employment / self employment / residence for Special Non- Contributory Cash Benefits Andmete vahetamine tööhõive perioodide / füüsilise isiku ettevõtluse / residentsuse kohta erandlike mitteosamakseliste rahaliste hüvitiste jaoks. Jah Jah Jah 29 P_BUC_01 Old-Age Pension Claim Vanaduspensioni taotlus Jah Jah Jah 30 P_BUC_02 Survivors Pension Claim Toitjakaotuspensioni taotlus Jah Jah Jah 31 P_BUC_03 Invalidity Pension Claim Töövõimetuspensioni taotlus Jah Jah Jah 32 P_BUC_04 Request for Child Raising Periods Information Päring lastekasvatamise perioodide andmete kohta Jah Jah Jah 33 P_BUC_05 Ad-hoc Request for Pension Data Vajaduspõhine päring pensioniandmete kohta Jah Jah Jah 34 P_BUC_06 Notification of Pension Information Teatis pensioniinformatsiooni kohta Jah Jah Jah 35 P_BUC_07 Request Supplement Information Päring täiendavate andmete kohta Jah Jah Jah 36 P_BUC_08 Notification of Supplement Award Teatis täiendava määramise kohta Jah Jah Jah 37 P_BUC_09 Change of Circumstances Olukorra muutumine Jah Jah Jah 38 P_BUC_10 Transitional Cases Üleminekujuhtumid Jah Jah Jah 39 R_BUC_01 Offsetting of overpayments from Benefits Hüvitiste enammaksete tasaarveldamine Jah Jah Jah 40 R_BUC_02 Offsetting of overpayments from Arrears Võlgnevuse enammaksete tasaarveldamine Jah Jah Jah 41 R_BUC_03 Offsetting of provisionally paid benefits Ajutiselt makstud hüvitiste tasaarveldamine Jah Jah Jah 42 R_BUC_04 Offsetting of pr ovisionally paid contributions Ajutistelt makstud osamaksete tasaarveldamine Jah Jah Jah 43 R_BUC_05 Request for Additional Information Päring lisainfo kohta Jah Jah Jah 44 R_BUC_06 Request for Notification under Art 77 Päring paragrahv 77 kohase teatise kohta Jah Jah Jah 45 R_BUC_07 Request for Recovery Päring tagasinõudmise kohta Jah Jah Jah Haigekassa # Kasutusloo kood Nimetus inglise keeles Nimetus Eesti keeles Saatja? Vastuvõtja? Kontakt? 1 AW_BUC_01a Certification right benefit in Kind – Member of stay / residence request confirmation of rights Mitterahalise hüvitise õiguse taotlemine ja kinnitamine Jah Jah Jah 2 AW_BUC_01b Certification of the right for benefits in kind - Competent Member State sends the certification Mitterahalise hüvitise õiguse kinnitamine Jah Jah Jah 3 AW_BUC_02 Cancellation Certification right benefit in Kind Mitterahalise hüvitise õiguse tühistamine Jah Jah Jah 4 AW_BUC_03 Request for Reimbursement rates Piirmäärade küsimine tööõnnetuse või kutsehaiguse korral Jah Jah Jah 5 AW_BUC_04a AWOD benefits in kind - Authorise Scheduled Treatment Luba plaanilise ravi saamiseks viibimiskoha liikmesriigis Jah Jah Jah 6 AW_BUC_04b AWOD benefits in kind - Information about supplement scheduled treatment Teave täiendava plaanilise ravi kohta Jah Jah Jah 7 AW_BUC_04c AWOD benefits in kind - Information about vitally necessary treatment Teave väljaspool elukohariiki plaanilise kiireloomulise elutähtsa ravi eelloa andmise kohta elukohaliikmesriigi poolt, pädeva riigi asutuse nimel Jah Jah Jah 8 AW_BUC_05 Claim for Reimbursement of Benefit in Kind Mitterahalise hüvitise tegeliku kulu nõue Jah Jah Jah 9 AW_BUC_06a Application for cash benefits in respect of accident at work and occupational disease Rahalise hüvitise taotlemine tööõnnetuse või kutsehaiguse korral Jah Jah Jah 10 AW_BUC_06b Information on payment or not of cash benefits in respect of accident at work and occupational disease Teave tööõnnetus- ja kutsehaigustega seotud rahaliste hüvitiste maksmise või mittemaksmise kohta Jah Jah Jah 11 AW_BUC_06c Information on end of incapacity for work in respect of accident at work and occupational disease Teave töövõimetuse lõppemise kohta tööõnnetuse või kutsehaiguse korral Jah Jah Jah 12 AW_BUC_07a Notification of medical certificate for AWOD benefits Teavitamine arstitõendist, mis on seotud tööõnnetuse või kutsehaiguse hüvitistega Jah Jah Jah 13 AW_BUC_07b Appointment of a person for the purpose of performing an inquiry - accident while travelling to or from work Uurimise läbiviija määramine - õnnetus juhtus tööle minnes või töölt tulles Jah Jah Jah 14 AW_BUC_07c Benefits in kind - Detailed report Mitterahalised hüvitised - detailne aruanne Jah Jah Jah 15 AW_BUC_07d Decision setting the date for the recovery or stabilization of injuries / concerning granting of a pension Otsus paranemise või tervisliku seisundi stabiliseerumise kuupäeva kohta/pensioni saamise õiguse kuupäeva määramise kohta Jah Jah Jah 16 AW_BUC_08 Contestation of Application of Legislation Tööõnnetuse või kutsehaigusega seotud õigusaktide Kohaldamise V aidlustamine Jah Jah Jah 17 AW_BUC_09a Forwarding of Declaration or Notification of Occupational Disease Kutsehaiguste deklaratsiooni või teate edastamine Jah Jah Jah 18 AW_BUC_09b Notification that Conditions are not Fulfilled and Forwarding of Declaration of Notification of Occupational Disease Deklaratsiooni või teate edastamine, et kutsehaiguse tingimused ei ole täidetud Jah Jah Jah 19 AW_BUC_10a Exchange of information between institutions and advance payments in the event of an appeal against rejection Asutusvaheline teabevahetus - kutsehaigusega seotud hüvitistest keeldumise vaide esitamine Jah Jah Jah 20 AW_BUC_10b Information about an advance payments Ettemakse kutsehaigusega seotud hüvitise vaidlustamise korral Jah Jah Jah 21 AW_BUC_11 Request information about Aggravation Kutsehaiguse süvenemine Jah Jah Jah 22 AW_BUC_14 Cost of Transport Transpordikulud Jah Jah Jah 23 AW_BUC_15 Claim Interest Reimbursement of Benefits in Kind Hilinenud maksmisega seotud viivise nõue Jah Jah Jah 24 AW_BUC_23 Refund of Overpayment Enammakse tagasimakse Jah Jah Jah 25 H_BUC_01 Ad-hoc Exchange of Information Vajaduspõhine informatsiooni vahetamine Jah Jah Ei 26 H_BUC_02a Determine Residence , Request for information Määra residentsus , infopäring Jah Jah Ei 27 H_BUC_02b Determine Residence , Disagreement procedure Määra residentsus – mittenõustumise protseduur Jah Jah Ei 28 H_BUC_02c Determine Residence , Notification on Residence Määra residentsus – teade residentsuse kohta Jah Jah Ei 29 H_BUC_03a Change of Legislation Applicable , Notification Teade – muudatus kohalduvas õiguses Jah Jah Ei 30 H_BUC_03b Change of Legislation Applicable , Request for information Muudatus kohalduvas õiguses – infopäring Jah Jah Ei 31 H_BUC_04 Reimbursement of Admin Check or Med Costs Administratiivse kontrolli või ravikulude hüvitamine Jah Jah Ei 32 H_BUC_05 Exchange of PIN Isikukoodi vahetamine Jah Jah Ei 33 H_BUC_06 Exchange of Claim Nõude vahetamine Jah Jah Ei 34 H_BUC_07 Notification of Death Surmateatis Jah Jah Ei 35 H_BUC_08 Exchange of Medical Data Terviseandmete vahetamine Jah Jah Ei 36 H_BUC_09 Notification of Medical Report Teade terviseseisundi raporti kohta Jah Jah Ei 37 H_BUC_10 Request for Administrative Check Administratiivse kontrolli taotlus Jah Jah Ei 38 M_BUC_01 Claim for Death Grant Matusetoetuse taotlemine Jah Jah Ei 39 M_BUC_02 Claim for Pre-Retirement Benefit Pensionieelse hüvitise taotlemine Jah Jah Ei 40 M_BUC_03a Exchange of Information concerning the amount of income for Special Non- Contributory Cash Benefits Andmete vahetamine erandlikest mitteosamakselistest rahalistest hüvitistest saadava sissetuleku suuruse kohta Jah Jah Ei 41 M_BUC_03b Exchange of Information concerning periods of employment / self employment / residence for Special Non- Contributory Cash Benefits Andmete vahetamine tööhõive perioodide / füüsilise isiku ettevõtluse / residentsuse kohta erandlike mitteosamakseliste rahaliste hüvitiste jaoks. Jah Jah Ei 42 R_BUC_01 Offsetting of overpayments from Benefits Hüvitiste enammaksete tasaarveldamine Jah Jah Ei 43 R_BUC_02 Offsetting of overpayments from Arrears Võlgnevuse enammaksete tasaarveldamine Jah Jah Ei 44 R_BUC_03 Offsetting of provisionally paid benefits Ajutiselt makstud hüvitiste tasaarveldamine Jah Jah Ei 45 R_BUC_04 Offsetting of pr ovisionally paid contributions Ajutistelt makstud osamaksete tasaarveldamine Jah Jah Ei 46 R_BUC_05 Request for Additional Information Päring lisainfo kohta Jah Jah Ei 47 R_BUC_06 Request for Notification under Art 77 Päring paragrahv 77 kohase teatise kohta Jah Jah Ei 48 R_BUC_07 Request for Recovery Päring tagasinõudmise kohta Jah Jah Ei 49 S_BUC_01 Entitlement - Residence outside Competent Member State without PD Õigus mitterahalistele hüvitistele - elukoht väljaspool pädevat liikmesriiki -menetlus ilma PDta Jah Jah Jah 50 S_BUC_01a Entitlement - Residence outside Competent Member State withoud PD - Request by Competent State Õigus mitterahalistele hüvitistele - elukoht väljaspool pädevat liikmesriiki - menetlus ilma PD-ta . Pädeva riigi esitatud dokumendi alusel Jah Jah Jah 51 S_BUC_02 Entitlement - Residence outside Competent Member State - With PD Õigus mitterahalistele hüvitistele - elukoht väljaspool pädevat liikmesriiki - PD-ga . Jah Jah Jah 52 S_BUC_03 Change or cancellation of entitlement document Kindlustustandva dokumendi muutmine või tühistamine Jah Jah Jah 53 S_BUC_04 Change or cancellation of registration Registreerimise muutmine või tühistamine Jah Jah Jah 54 S_BUC_05 Necessary Treatment in Member State of Stay - Request for Entitlement Document Taotlus hüvitise saamise õiguse kinnitamiseks Jah Jah Jah 55 S_BUC_06 Necessary or Scheduled Treatment - Reimbursement Rates Vajaminev või plaaniline arstiabi - piirmäärade taotlus Jah Jah Jah 56 S_BUC_07 Scheduled Treatment - Information on Coverage of Specific Benefit in Kind Infopäring, kas plaanitav ravi on kaetud viibimiskoha liikmesriigi ravikindlustuse poolt Jah Jah Jah 57 S_BUC_08 Scheduled treatment - Request Entitlement Document in Member State of Stay Taotlus plaanilise ravi eelloa saamiseks viibimiskoha liikmesriigis Jah Jah Jah 58 S_BUC_09 Scheduled treatment - Request extension of authorisation in Member State of Stay Taotlus plaanilise ravi eelloa pikendamiseks Jah Jah Jah 59 S_BUC_11 Urgent vitally necessary treatment – Request for authorisation in Member State of residence ( residence not in competent Member State ) Plaanilise ravi eelloa taotlus kiireloomulise elutähtsa arstiabi osutamiseks väljaspool elukoha liikmesriiki, pädeva asutuse nimel Jah Jah Jah 60 S_BUC_12 Cash Benefits – Applicatio n Rahalised hüvitised – taotlus Jah Jah Jah 61 S_BUC_14 Cash Benefits – Information on Payment Rahalised hüvitised - teave maksmise kohta Jah Jah Jah 62 S_BUC_14a Cash Benefits – Information Related to Cash Benefits in Respect of Incapacity for Work – given by competent institution Pädeva asutuse poolt esitatud teave rahaliste töövõimetushüvitiste kohta Jah Jah Jah 63 S_BUC_14b Cash Benefits – Information Related to Cash Benefits in Respect of Incapacity for Work – given by institution of place of residence or stay Elukoha- või viibimisriigi poolt esitatud teave rahaliste töövõimetushüvitiste kohta Jah Jah Jah 64 S_BUC_15 Long -Term Care Cash Benefits – Application Pikaajalised hooldushüvitised – taotlus Jah Jah Jah 65 S_BUC_17 Long -term Care Cash Benefits - Information on Payment Pikaajalised hooldushüvitised - maksmise info Jah Jah Jah 66 S_BUC_17a Long -term Care Cash Benefits – Change or cancellation Pikaajalised hooldushüvitised - muutmine või tühistamine Jah Jah Jah 67 S_BUC_18 Request for entitlement document for Former Frontier Workers Mitterahaliste hüvitiste õiguse taotlus endise piirialatöötaja või tema pereliikme puhul Jah Jah Jah 68 S_BUC_18a Change or cancellation of entitlement document of a former frontier worker / family member of a former frontier worker Endise piirialatöötaja või tema pereliikme kindlustustandva dokumendi muutmine või tühistamine. Jah Jah Jah 69 S_BUC_19 Actual Cost Claim – Benefits in Kind Tegelike kulude nõue - mitterahaline hüvitis Jah Jah Jah 70 S_BUC_21 Inventory of months - fixed amounts Igakuiste kindlaksmääratud summade nõuded Jah Jah Jah 71 S_BUC_22 Claim for Interest on late Payment Hilinenud maksmisega seotud viivise nõue Jah Jah Jah 72 S_BUC_23 Refund of Overpayment Enammakse tagasimakse Jah Jah Jah 73 S_BUC_24 Aggregation of Periods – Insurance Risk Type : Sickness , Paternity and Maternity Kindlustusperioodide liitmine - kindlutusrisk : haigestumine, rasedus/sünnitus, isadus Jah Jah Jah Töötukassa # Kasutusloo kood Nimetus inglise keeles Nimetus Eesti keeles Saatja? Vastuvõtja? Kontakt? 1 AW_BUC_12 Request information about Incapacity Töövõime kohta informatsiooni küsimine Jah Jah Jah 2 H_BUC_01 Ad-hoc Exchange of Information Vajaduspõhine informatsiooni vahetamine Jah Jah Ei 3 H_BUC_02a Determine Residence , Request for information Määra residentsus , infopäring Jah Jah Ei 4 H_BUC_02b Determine Residence , Disagreement procedure Määra residentsus – mittenõustumise protseduur Jah Jah Ei 5 H_BUC_02c Determine Residence , Notification on Residence Määra residentsus – teade residentsuse kohta Jah Jah Ei 6 H_BUC_03a Change of Legislation Applicable , Notification Teade – muudatus kohalduvas õiguses Jah Jah Ei 7 H_BUC_03b Change of Legislation Applicable , Request for information Muudatus kohalduvas õiguses – infopäring Jah Jah Ei 8 H_BUC_04 Reimbursement of Admin Check or Med Costs Administratiivse kontrolli või ravikulude hüvitamine Jah Jah Ei 9 H_BUC_05 Exchange of PIN Isikukoodi vahetamine Jah Jah Ei 10 H_BUC_06 Exchange of Claim Nõude vahetamine Jah Jah Ei 11 H_BUC_07 Notification of Death Surmateatis Jah Jah Ei 12 H_BUC_08 Exchange of Medical Data Terviseandmete vahetamine Jah Jah Ei 13 H_BUC_09 Notification of Medical Report Teade terviseseisundi raporti kohta Jah Jah Ei 14 H_BUC_10 Request for Administrative Check Administratiivse kontrolli taotlus Jah Jah Ei 15 M_BUC_01 Claim for Death Grant Matusetoetuse taotlemine Jah Jah Ei 16 M_BUC_02 Claim for Pre-Retirement Benefit Pensionieelse hüvitise taotlemine Jah Jah Ei 17 M_BUC_03a Exchange of Information concerning the amount of income for Special Non- Contributory Cash Benefits Andmete vahetamine erandlikest mitteosamakselistest rahalistest hüvitistest saadava sissetuleku suuruse kohta Jah Jah Ei 18 M_BUC_03b Exchange of Information concerning periods of employment / self employment / residence for Special Non- Contributory Cash Benefits Andmete vahetamine tööhõive perioodide / füüsilise isiku ettevõtluse / residentsuse kohta erandlike mitteosamakseliste rahaliste hüvitiste jaoks. Jah Jah Ei 1 9 P_BUC_03 Invalidity Pension Claim Töövõimetuspensioni taotlus Jah Jah Ei 20 P_BUC_05 Ad-hoc Request for Pension Data Vajaduspõhine päring pensioniandmete kohta Jah Jah Ei 21 P_BUC_06 Notification of Pension Information Teatis pensioniinformatsiooni kohta Jah Jah Ei 22 P_BUC_07 Request Supplement Information Päring täiendavate andmete kohta Jah Jah Ei 23 P_BUC_08 Notification of Supplement Award Teatis täiendava määramise kohta Jah Jah Ei 24 P_BUC_09 Change of Circumstances Olukorra muutumine Jah Jah Ei 25 P_BUC_10 Transitional Cases Üleminekujuhtumid Jah Jah Ei 26 R_BUC_01 Offsetting of overpayments from Benefits Hüvitiste enammaksete tasaarveldamine Jah Jah Ei 27 R_BUC_02 Offsetting of overpayments from Arrears Võlgnevuse enammaksete tasaarveldamine Jah Jah Ei 28 R_BUC_03 Offsetting of provisionally paid benefits Ajutiselt makstud hüvitiste tasaarveldamine Jah Jah Ei 29 R_BUC_04 Offsetting of pr ovisionally paid contributions Ajutistelt makstud osamaksete tasaarveldamine Jah Jah Ei 30 R_BUC_05 Request for Additional Information Päring lisainfo kohta Jah Jah Ei 31 R_BUC_06 Request for Notification under Art 77 Päring paragrahv 77 kohase teatise kohta Jah Jah Ei 32 R_BUC_07 Request for Recovery Päring tagasinõudmise kohta Jah Jah Ei 33 UB_BUC_01 Exchange of information Informatsooni vahetamine Jah Jah Jah 34 UB_BUC_02 Export Eksport Jah Jah Jah 35 UB_BUC_03 Simultaneous registration Samaaegne registreerimine Jah Jah Jah 36 UB_BUC_04 Reimbursement of benefits Hüvitiste tagasimaksmine Jah Jah Jah Maksu- ja Tolliamet # Kasutusloo kood Nimetus inglise keeles Nimetus Eesti keeles Saatja? Vastuvõtja? Kontakt? 1 H_BUC_01 Ad-hoc Exchange of Information Vajaduspõhine informatsiooni vahetamine Jah Jah Ei 2 H_BUC_02a Determine Residence , Request for information Määra residentsus , infopäring Jah Jah Ei 3 H_BUC_02b Determine Residence , Disagreement procedure Määra residentsus – mittenõustumise protseduur Jah Jah Ei 4 H_BUC_02c Determine Residence , Notification on Residence Määra residentsus – teade residentsuse kohta Jah Jah Ei 5 H_BUC_03a Change of Legislation Applicable , Notification Teade – muudatus kohalduvas õiguses Jah Jah Ei 6 H_BUC_03b Change of Legislation Applicable , Request for information Muudatus kohalduvas õiguses – infopäring Jah Jah Ei 7 H_BUC_04 Reimbursement of Admin Check or Med Costs Administratiivse kontrolli või ravikulude hüvitamine Jah Jah Ei 8 H_BUC_05 Exchange of PIN Isikukoodi vahetamine Jah Jah Ei 9 H_BUC_06 Exchange of Claim Nõude vahetamine Jah Jah Ei 10 H_BUC_07 Notification of Death Surmateatis Jah Jah Ei 11 H_BUC_08 Exchange of Medical Data Terviseandmete vahetamine Jah Jah Ei 12 H_BUC_09 Notification of Medical Report Teade terviseseisundi raporti kohta Jah Jah Ei 13 H_BUC_10 Request for Administrative Check Administratiivse kontrolli taotlus Jah Jah Ei 14 M_BUC_01 Claim for Death Grant Matusetoetuse taotlemine Jah Jah Ei 15 M_BUC_02 Claim for Pre-Retirement Benefit Pensionieelse hüvitise taotlemine Jah Jah Ei 16 M_BUC_03a Exchange of Information concerning the amount of income for Special Non- Contributory Cash Benefits Andmete vahetamine erandlikest mitteosamakselistest rahalistest hüvitistest saadava sissetuleku suuruse kohta Jah Jah Ei 17 M_BUC_03b Exchange of Information concerning periods of employment / self employment / residence for Special Non- Contributory Cash Benefits Andmete vahetamine tööhõive perioodide / füüsilise isiku ettevõtluse / residentsuse kohta erandlike mitteosamakseliste rahaliste hüvitiste jaoks. Jah Jah Ei 18 R_BUC_01 Offsetting of overpayments from Benefits Hüvitiste enammaksete tasaarveldamine Jah Jah Ei 19 R_BUC_02 Offsetting of overpayments from Arrears Võlgnevuse enammaksete tasaarveldamine Jah Jah Ei 20 R_BUC_03 Offsetting of provisionally paid benefits Ajutiselt makstud hüvitiste tasaarveldamine Jah Jah Ei 21 R_BUC_04 Offsetting of pr ovisionally paid contributions Ajutistelt makstud osamaksete tasaarveldamine Jah Jah Ei 22 R_BUC_05 Request for Additional Information Päring lisainfo kohta Jah Jah Ei 23 R_BUC_06 Request for Notification under Art 77 Päring paragrahv 77 kohase teatise kohta Jah Jah Ei 24 R_BUC_07 Request for Recovery Päring tagasinõudmise kohta Jah Jah Ei PROJEKTI "EESTI INTEGRATSIOON EESSI SÜSTEEMIGA" LEPING NR 6-2/287-1 Tervise ja Heaolu Infosüsteemide Keskus (edaspidi TEHIK), registrikood 70009770, asukoht Uus Tatari 25/Veerenni 13, Tallinn 10134, keda esindab põhimääruse alusel direktor Katrin Reinhold, Eesti Töötukassa (edaspidi Töötukassa), registrikood 74000085, asukoht Lasnamäe 2, Tallinn 11412, keda esindab juhatuse esimees Meelis Paavel, Eesti Haigekassa (edaspidi EHK) registrikood 74000091, asukoht Lastekodu 48, Tallinn 10114, keda esindab juhatuse esimees Rain Laane, Maksu ja Tolliamet (edaspidi MTA) registrikood 70000349, asukoht Lõõtsa 8a, Tallinn 15176, keda esindab peadirektor Valdur Laid, Sotsiaalkindlustusamet (edaspidi SKA), registrikood 70001975, asukoht Endla 8, Tallinn, keda esindab peadirektor Egon Veermäe, ja Sotsiaalministeerium (edaspidi SOM), registrikood 70001952, asukoht Suur-Ameerika 1, Tallinn 10122, keda esindab kantsler Marika Priske, keda edaspidi nimetatakse eraldi Partner ning koos Partnerid, sõlmisid käesoleva projektilepingu (edaspidi Leping) alljärgnevatel tingimustel. Lepingus kasutatavad terminid EESSI – Electronic Exchange of Social Security Information. Tarkvara- ja äriloogika süsteem sotsiaalkindlustuse andmete elektrooniliseks vahetamiseks kõigi Euroopa Liidu ja Euroopa Majanduspiirkonna sotsiaalkaitse ning tervishoiu asutuste vahel. EESSI süsteemi tarkvaralisteks komponentideks on CSN, AP ning RINA. AP – Access Point. EESSI süsteemi lüüs, mille kaudu liikmesriigi asutused pääsevad turvalisse EESSI võrku. Liikmesriigis on 1-5 AP-d. Eestis on üks AP, mis asub TEHIK-u domeenis. NAS – National Access Services. AP-poolt kasutatavad teenused sõnumite automaatseks marsruutimiseks, monitoorimiseks ja pahavara tõrjeks, arhiveerimiseks ning auditeerimiseks ja raportite koostamiseks. Liikmesriik peab konfigureerima NAS teenused selliselt, et need vastaksid kõigi antud riigi pädevate asutuste vajadustele. X-tee adapter – Eesti riiklikus EESSI domeenis on kaalumisel kasutada asutuste ja AP vahel turvalise suhtluskanalina X-teed. X-tee adapterid võimaldaksid EESSI sõnumeid üle X- tee edastada. CSN – Central Service Node. Tsentraalne server Euroopa Komisjoni domeenis, mis sisaldab kogu üle-euroopalise EESSI võrgustiku jaoks ühiseid komponente – pädevate asutuste loetelu, kasutuslugude äriloogika, andmemudel. IR - Institution Repository. EESSI süsteemi pädevate asutuste kataloog. Ainult IR-i sisestatud asutused saavad EESSI kaudu suhelda. 1 RINA – Reference Implementation of National Application. Euroopa Komisjoni (DG EMPL) poolt välja arendatud näidis-infosüsteem EESSI võrgustikus suhtlemiseks ja juhtumite haldamiseks. RINA kasutamine ei ole kohustuslik, kuna asutuse infosüsteemi saab panna AP-ga suhtlema ka otse. Sellegipoolest on enamus Euroopa asutusi ja kõik Eesti asutused otsustanud praeguses etapis kasutada EESSI-ga suhtlemiseks RINA-t. Euroopa Komisjon – EESSI tarkvarasid ning teenust arendab Euroopa Komisjoni Tööhõive, Sotsiaalküsimuste ning Sotsiaalse kaasatuse Direktoraat (DG EMPL – Directorate- General of Employment, Social affairs and Inclusion). Conformance Testing – Euroopa Komisjoni poolt nõutud toodangusse mineku eelne testimine ACCEPTANCE keskkonnas. CEF – Connecting Europe Facility. Liikmesriikide EESSI integratsiooniprojekte rahastav finantsinstrument. EESSI integratsiooni finantseeritakse CEF Telecom programmi rahadest. INEA – Innovations and Network Executive Agency. CEF programmi eelarvet rakendav agentuur; Eesti EESSI projektide finantseeriv partner Euroopa Liidu poolel. Grant Agreement – ühelt poolt INEA ja teiselt poolt TEHIK-u vahel sõlmitud leping Eesti asutuste EESSI integratsiooni toetamiseks 75% ulatuses. Sotsiaalkindlustusamet, Haigekassa ja Sotsiaalministeerium volitasid TEHIK-u direktori lepingut allkirjastama ning osa GA raames saadud summadest on üle kantud nende asutuste planeeritud integratsioonitegevuste toetamiseks. Grant Agreementi kestuseks on käesolevaga kaks aastat alates 2017 aasta juunist ja INEA summad kantakse üle kahes osas: esimene ülekanne tehti 2018. aasta alguses ning teine tehakse 90 päeva peale projekti lõppu, eeldusel, et projekti eesmärgid on edukalt saavutatud. Dashboard – Liikmesriikide liidestumistegevuste jälgimiseks on DG EMPL EESSI üleminekumeeskond välja töötanud kaks Exceli põhist aruandeformaati, mille abil iga liikmesriik annab kord kuus aru EESSI integratsioonitegevuste „verstapostide“ saavutamise kohta ning EESSI kasutuslugude planeeritud testimise ja aktiveerimise kohta. Sama formaati kasutatakse ka INEA informeerimiseks iga kuue kuu tagant. EESSI TEST – EESSI testkeskkond, mis koosneb minimaalse jõudlusega TEST AP-st ning SKA/MTA, Haigekassa ja Töötukassa TEST RINA-dest. Testkeskkonda kasutatakse testimiseks teiste riikidega ning Eesti asutuste koolitamiseks. Vastavalt sisaldab testkeskkond testimiseks ning koolitamiseks mõeldud versioone Eesti asutustest: testasutused saavad saata ja vastu võtta Eesti asutuste ametlikesse pädevusaladesse kuuluvaid kasutuslugusid (vt. Lisa 8) ning koolitusasutused saavad saata ja vastu võtta kõiki EESSI kasutuslugusid, mis võimaldab neid koolitamise eesmärgil vahetada Eesti asutuste vahel. TEST keskkond ei sisalda isikuandmeid. 2  EESSI ACCEPTANCE – EESSI toodangueelne keskkond, mis on jõudluselt ja turvalisuse poolest ekvivalentne EESSI PRODUCTION keskkonnaga, kuid ei sisalda isikuandmeid. Koosneb „regulaarse“ (600 juhtumit päevas) jõudlusega ACCEPTANCE AP-st ning SKA/MTA, Haigekassa ja Töötukassa ACCEPTANCE RINA-dest. Kasutatakse Euroopa Komisjoni poolt nõutud vastuvõtutestide läbiviimiseks (vt. Conformance Testing). EESSI PRODUCTION – EESSI toodangukeskkond tegelikke isikuandmeid sisaldavate piiriüleste juhtumite vahetamiseks. EESSI integratsiooni lõpetamiseks peavad kõik EESSI kasutuslood olema avatud PRODUCTION keskkonnas nii saatmiseks kui vastu võtmiseks. EESSI teenusetugi – EESSI süsteemi kasutajatele pakutav teenus, mis hõlmab kasutajate küsimustele vastamist, ligipääsude ja õiguste jagamist ning tsentraalse EESSI süsteemi muudatusettepanekut kogumist ja käitlemist. EESSI teenusetugi on kolmetasemeline – esimene tase paikneb rakendusasutustes (SKA, Töötukassa, EHK), teine tase TEHIK- us ning kolmas tase Euroopa Komisjonis (DG EMPL). OLA – Organisational Level Agreement ehk organisatsioonitaseme leping määratleb üksikasjalikult, selgelt ja mõõdetavalt TEHIKu, Euroopa Komisjoni, Töötukassa, Haigekassa ning Maksu- ja Tolliameti vastastikused kohustused EESSI teenuse käitamisel Eesti Vabariigis. SLA – Service Level Agreement ehk teenusetaseme leping. Määratleb üksikasjalikult EESSI teenuse kvaliteedi, kättesaadavuse ja erinevate seotud osapoolte vastutused teenuse pakkumisel. 1. Lepingu eesmärgid 1.1. Lepingu eesmärgiks on projekti „Eesti integratsioon EESSI süsteemiga“ (edaspidi Projekt) elluviimine ja partnerite vahelise vastutuse määratlemine eesmärgiga realiseerida jätkusuutlik EESSI andmevahetusteenuse pakkumine Eesti Vabariigi territooriumil. 1.2. Lepinguga kohustuvad Partnerid teostama Lepingu eesmärkide saavutamiseks kokku lepitud toiminguid, tegema töid ning kandma kulutusi Lepingu, Lepingu lisade ja Projekti kõigi Partnerite vahel sõlmitavate muude kokkulepete alusel. 2. Lepingu jõustumine ja tähtaeg 2.1. Leping jõustub allakirjutamise hetkest ning kehtib kuni 31.05.2019 või kuni Projekti eesmärkide saavutamiseni. 3. Partnerite üldised kohustused 3.1. Kõik käesolevas lepingus nimetatud Partnerid kohustuvad: 3.1.1. Tegema omapoolselt vajalikud korraldused Projektis kokkulepitud eesmärkide saavutamiseks ja Projekti elluviimiseks; planeerima Projekti eesmärkide saavutamiseks vajalikud tegevused enda organisatsioonis vastavalt projekti tegevusplaanile „EESSI teekaart“ (Lisa 1) ning Euroopa Komisjoni juhendmaterjalile "Keys to Production" (Lisa 2). 3  3.1.2. Määrama esindaja integratsiooniprojekti rühma ning järelevalvenõukogusse ja tagama tema ning vajadusel Partneri volitatud esindajate osalemise Projekti koosolekutel ja muudel Lepingu täitmiseks korraldatavatel koosolekutel. 3.1.3. Määrama isiku, kes korraldab ja jälgib Projekti teostamist ning tagab ülesannete täitmise Partneri organisatsiooni siseselt. 3.1.4. Informeerima Partnereid e-posti teel viivitamatult kõigist asjaoludest, mis võivad mõjutada Lepingu täitmist ja Projekti elluviimist. 3.1.5. Hoiduma tegevustest, mis on vastuolus käesoleva Lepingu eesmärkide saavutamisega. 3.1.6. Järgima Lepingu raames koostöö tegemisel hea usu põhimõtet ja eetilisi tõekspidamisi. 3.1.7. Tegema TEHIK-uga koostööd EESSI teenuse protsesside ja parameetrite välja töötamisel ning SLA-de ja OLA-de sõlmimisel Eesti asutuste ja Euroopa Komisjoni vahel. 3.1.8. Määrama enda organisatsioonis pädevad isikud täitma EESSI andmevahetusteenuse pakkumiseks ettenähtud rolle ja tegema nende nimed teatavaks TEHIK-ule. 3.1.9. Tegema TEHIK-uga koostööd EESSI turvanõuete läbi vaatamisel ja defineerimisel, võttes arvesse Euroopa Komisjoni ning Eesti Vabariigi juhendmaterjale, enda kasutuslugusid ning neis käsitletavaid isikuandmeid. 3.1.10. Tegema TEHIK-uga koostööd enda organisatsiooni EESSI turvaolukorra auditeerimise osas. 3.1.11. Andma SOM-ile vajaliku sisendi EESSI koolitusplaani koostamiseks. 3.1.12. Valmistama ette, osalema ja läbi viima EESSI koolitusi vastavalt riiklikule koolitusplaanile, sh täiendama üldiseid koolitusmaterjale isikliku vajaduse korral iseseisvalt. 3.1.13. Edastama punktis 3.2. nimetatud projekti juhile projekti aruandluse koostamiseks ja tegevuste planeerimiseks vajalikku informatsiooni vastavalt Euroopa Komisjoni Dashboard formaatidele (Lisa 3) ning juhul, kui Partner on taotlenud raha INEA-lt, nende rahade kasutamise ja töötundide kulutamise kohta Projekti lõpparuande koostamiseks (Lisa 4). 3.2. Projekti juhiks on Lehor Meius (TEHIK), kes kohustub: 3.2.1. Tagama Projekti teekaardis (Lisa 1) kirjeldatud Projekti juhtimise ja tegevuste koordineerimise Partnerite poolt. 3.2.2. Tagama üle antavate tööde kvaliteedi Projekti eesmärkide saavutamiseks. 3.2.3. Edastama Euroopa Komisjonile ja INEA-le Eesti EESSI asutuste nimel Projekti ülevaadete ning aruandluse koostamiseks vajalikku informatsiooni vastavalt punktis 3.1.13 nimetatud ning INEA Grant Agreementis (Lisa 5) ära toodud formaatidele ning tähtaegadeks. 4. Partnerite individuaalsed kohustused 4.1. TEHIK-u kohustused: 4.1.1. Võtab INEA-lt vastu Grant Agreementiga Projekti teostamiseks eraldatud rahad ja jagab need välja kõigile Partneritele kes osalesid INEA CEF 2017. aasta taotlusvoorus (TEHIK, SKA, EHK, SOM) vastavalt Projekti finantseerimise plaanile (Lisa 6). 4.1.2. Paneb kokku Projekti organisatsiooni ja kodukorra kirjelduse, mis hõlmab muuhulgas Euroopa Komisjoni Tööhõive Direktoraadi poolt riiklikul tasemel ette nähtud rollide täitmise. 4.1.3. Koostab Projekti riikliku taseme tegevusplaani ja ajakava ning hoiab neid koostöös Partnerite esindajatega ajakohasena. 4 4.1.4. Teeb TEHIK-u hallatavates Confluence, JIRA ja FTP keskkondades kõigi Partnerite esindajatele kättesaadavaks ühise projektidokumentatsiooni ja tarkvara repositooriumid. 4.1.5. Kavandab EESSI riikliku domeeni arhitektuuri, kooskõlastab Partneritega NAS kasutamise Eesti riiklikus domeenis. 4.1.6. Kavandab asutuse taseme domeeniarhitektuuri SKA ja MTA ühise RINA juhtumihaldussüsteemi paigaldamise jaoks. 4.1.7. Kavandab Euroopa Komisjoni ja Eesti alusmaterjalidest lähtuvalt ühised organisatsioonilised nõuded ning tarnete, hoolduse ja ülalhoiu protseduurid Projektis kasutamiseks kõigi Partnerite jaoks ning kooskõlastab need Partneritega. 4.1.8. Kavandab Euroopa Komisjoni ja Eesti alusmaterjalidest lähtuvalt ühised juriidilised, turva- ja privaatsusnõuded Projektis kasutamiseks kõigi Partnerite jaoks ning kooskõlastab need Partneritega. 4.1.9. Ehitab välja punktis 4.1.5 kirjeldatud arhitektuurile vastava EESSI riikliku domeeni kõigile partneritele kasutamiseks ning hangib selleks vajalikud riist- ja tarkvaratäiendused (n. riiklikud ja SKA ja MTA asutuse domeeni sertifikaadid, NAS teenused, vajadusel X-tee adapterid). 4.1.10. Kogub Partneritelt vajalikud andmed (asutuste ärilised parameetrid, vastutused kasutuslugude osas, tehnilise info) ja täidab nende alusel Eesti andmed tsentraalses EESSI Institution Repository-s (EL sotsiaalkaitse asutuste kataloogis) TEST, ACCEPTANCE ja PRODUCTION keskkondade jaoks. 4.1.11. Korraldab EESSI süsteemi riiklikus domeenis säilitatavate andmestike kooskõlastamise Partneritega ja teiste asjassepuutuvate riigiasutustega (RIA). 4.1.12. Paigaldab ja konfigureerib täies ulatuses EESSI riikliku domeeni EESSI AP ja (vajadusel) X-tee adapterid TEST, ACCEPTANCE ja PRODUCTION keskkondades (sh kõik riiklikus domeenis vajalikud sertifikaadid), tagab Partneritega kokkulepitud tugiteenused AP-le (pahavaratõrje, arhiveerimine, varundamine jms). 4.1.13. Hangib SKA ja MTA jaoks vajalikud sertifikaadid ja paigaldab ning konfigureerib RINA infosüsteemi TEST, ACCEPTANCE ja PRODUCTION keskkondades, sh vajadusel X-tee adapterid SKA asutuse domeeni jaoks. 4.1.14. Juhendab Haigekassat ja Töötukassat asutuste RINA-de ja vajadusel X-tee adapterite paigaldamisel. 4.1.15. Koordineerib siseriiklikku EESSI testimist – loob riikliku testimisstrateegia, planeerib vajalike toodangueelsete testide jaotumise ning teeb kättesaadavaks / jagab testlugusid ja testandmeid punktis 4.1.4 nimetatud ühises projektimaterjalide repositooriumis. 4.1.16. Viib läbi auditi EESSI turvanõuete täitmise olukorra kohta kõigi Partnerite juures ja koostab selle kohta raporti. 4.1.17. Hangib sõltumatu auditi EESSI turvanõuete täidetuse kontrollimiseks kõigi Partnerite organisatsioonides. 4.1.18. Koordineerib Euroopa Komisjoni poolt nõutud keskplatvormi vastavustestimise (vt. terminit „Conformance Testing“) läbiviimist kõigi Partneritega ja viib läbi siseriiklikud protseduurid andmevahetuse formaalseks avamiseks toodangukeskkonnas (koostab aruande iga asutuse „valmisoleku“ olukorra kohta lähtudes toodangueelsete testide ning turvaauditite tulemustest). 4.1.19. Käivitab protseduurid EESSI teenuse monitoorimiseks ning ülalhoiuks riiklikus domeenis ning SKA-s / MTA-s (sh RINA administreerimise tegevused nimetatud Partnerite jaoks). 4.1.20. Realiseerib EESSI teenusetoe riiklikul tasemel koos kõigi vajalike vigade paranduse ja muudatuste halduse protseduuridega ning vajalike töövahenditega 5  vastavalt Partneritega kooskõlastatud visioonidokumendile ja Euroopa Komisjoni Tööhõive Direktoraadi poolt tarnitud lähtematerjalidele. 4.2. SKA: 4.2.1. Käivitab koostöös TEHIK-uga PRODUCTION keskkonnas Projekti tegevusplaanis nimetatud tähtajaks kasutusloo LA_BUC_04. Koostab raporti kasutusloo piloteerimise kogemuse kohta kolme kuu möödudes. 4.2.2. Viib läbi eelanalüüsid ja ärianalüüsi oma äriliste vajaduste defineerimiseks ning annab TEHIK-ule sisendi ja rahalised vahendid TEHIK-u poolt paigaldatud RINA ja SKA infosüsteemide vaheliste integratsioonilahenduste hankimiseks. 4.2.3. Teeb TEHIK-u ja teiste Partneritega koostööd EESSI testimisel – koostab ja tõlgib testlugusid, loob testandmeid ning viib enne andmevahetuse käivitamist toodangukeskkonnas läbi riiklikus testimisstrateegias nõutud testid enda kasutuslugude osas, sh tagab hangitud integratsioonilahenduste testimise. 4.2.4. Realiseerib esimese taseme EESSI kasutajatoe SKA ning Maksu- ja tolliameti ametnikele koos kõigi vajalike vigade paranduse ja muudatuste halduse protseduuridega vastavalt TEHIK-u poolt koostatud visioonidokumendile (vt. p 4.1.19). 4.2.5. Teeb TEHIK-uga koostööd Euroopa Komisjoni poolt nõutud keskplatvormi vastavustestimisel ning muudel siseriiklikult kokkulepitud protseduuridel andmevahetuse formaalseks avamiseks toodangukeskkonnas 4.3. EHK: 4.3.1. Kavandab EHK domeeni arhitektuuri RINA ja seotud süsteemide paigaldamiseks. 4.3.2. Hangib vajaliku täiendava riist- ja tarkvara asutuse EESSI domeeni jaoks (sh EHK RINA jaoks vajalikud sertifikaadid) TEST, ACCEPTANCE ja PRODUCTION keskkondades. 4.3.3. Annab TEHIK-ule vajaliku sisendi EESSI Institution Repository täitmiseks (asutuse ärilised parameetrid, vastutused kasutuslugude osas, tehniline info). 4.3.4. Vajadusel paigaldab ja konfigureerib TEHIK-u abiga asutuse EESSI domeenis X- tee adapteri ja RINA. 4.3.5. Viib läbi vajalikud tegevused ja hangib arendustööd Haigekassa infosüsteemide ja Haigekassa RINA integratsioonilahenduste jaoks ning annab TEHIK-ule aru arendusprojektide kulgemise kohta. 4.3.6. Paigaldab ja konfigureerib hangitud integratsioonilahendused. 4.3.7. Teeb Partneritega koostööd EESSI testimisel – koostab ja tõlgib testlugusid, loob testandmeid ning viib enne andmevahetuse käivitamist toodangukeskkonnas läbi riiklikus testimisstrateegias nõutud testid enda kasutuslugude osas, sh hangitud integratsioonilahenduste testid. 4.3.8. Käivitab protseduurid EESSI teenuse monitoorimiseks ning ülalhoiuks EHK-is, sh RINA ja integratsioonilahenduste administreerimise protseduurid. 4.3.9. Realiseerib esimese taseme EESSI kasutajatoe Haigekassa töötajatele koos kõigi vajalike vigade paranduse ja muudatuste halduse protseduuridega vastavalt TEHIK-u poolt koostatud visioonidokumendile (vt p 4.1.19). 4.3.10. Teeb TEHIK-uga koostööd Euroopa Komisjoni poolt nõutud keskplatvormi vastavustestimisel ning muudel siseriiklikult kokkulepitud protseduuridel andmevahetuse formaalseks avamiseks toodangukeskkonnas 4.4. Töötukassa 4.4.1. Kavandab Töötukassa EESSI domeeni arhitektuuri RINA paigaldamiseks. 6  4.4.2. Hangib vajaliku täiendava riist- ja tarkvara asutuse EESSI domeeni jaoks (sh Töötukassa RINA jaoks vajalikud sertifikaadid) TEST, ACCEPTANCE ja PRODUCTION keskkondades. 4.4.3. Annab TEHIK-ule vajaliku sisendi EESSI Institution Repository täitmiseks (asutuse ärilised parameetrid, vastutused kasutuslugude osas, tehniline info). 4.4.4. Vajadusel paigaldab ja konfigureerib TEHIK-u abiga asutuse EESSI domeenis X- tee adapteri ja RINA. 4.4.5. Teeb Partneritega koostööd EESSI testimisel – koostab ja tõlgib testlugusid, loob testandmeid ning viib enne andmevahetuse käivitamist toodangukeskkonnas läbi riiklikus testimisstrateegias nõutud testid enda kasutuslugude osas. 4.4.6. Käivitab protseduurid EESSI teenuse monitoorimiseks ning ülalhoiuks Töötukassas, sh RINA administreerimise protseduurid. 4.4.7. Realiseerib esimese taseme EESSI kasutajatoe Töötukassa ametnikele koos kõigi vajalike vigade paranduse ja muudatuste halduse protseduuridega vastavalt TEHIK-u poolt tarnitud visioonidokumendile (vt p 4.1.19). 4.4.8. Teeb TEHIK-uga koostööd Euroopa Komisjoni poolt nõutud keskplatvormi vastavustestimisel („Conformance Testing“) ning muudel siseriiklikult kokkulepitud protseduuridel andmevahetuse formaalseks avamiseks toodangukeskkonnas. 4.5. MTA: 4.5.1. Annab TEHIK-ule vajaliku sisendi EESSI Institution Repository täitmiseks (asutuse ärilised parameetrid, vastutused kasutuslugude osas, tehniline info). 4.5.2. Teeb Partneritega koostööd EESSI testimisel – koostab testlugusid, loob testandmeid ning viib enne andmevahetuse käivitamist toodangukeskkonnas läbi riiklikus testimisstrateegias nõutud testid enda kasutuslugude osas. 4.6. SOM: 4.6.1. Koostab Projekti kommunikatsioonistrateegia mõjutatud osapoolte informeerimiseks. 4.6.2. Viib läbi vastavalt kommunikatsioonistrateegiale planeeritud kommunikatsioonitegevused. 4.6.3. Koostab Projekti koolitusstrateegia ja koolitusplaani, organiseerib koos Partneritega vajalikud koolitused. 4.6.4. Korraldab üritused RINA tarkvara tundvate arendajate kogukonna tekitamiseks Eestis (RINA integratsiooni hackathon ja turva hackathon), kaasates vastavalt vajadusele tehnilist oskusteavet ka TEHIK-ust. 5. Finantseerimise põhimõtted 5.1. Projekti rahastatakse vastavalt Lepingu Lisas 6 toodud Projekti finantseerimise plaanile. 6. Projekti järelevalve ja hindamine 6.1. Projekti tegevusi viiakse läbi vastavalt projektiorganisatsiooni ja kodukorra kirjeldusele (Lisa 7). 7. Vastutus 7.1. Oma kohustuste täitmata jätmisel kohustub Partner katma tema tegevusetusest ja kohustuse täitmata jätmisest tekkinud kahjud INEA-le ja teistele Partneritele kogu Lisas 7 ära toodud mahus. 7 8. Konfidentsiaalsus ja isikuandmed 8.1. Partnerid kohustuvad konfidentsiaalset teavet kasutama vastavalt kehtivatele õigusaktidele ja Projektis ettenähtud tulemuste saavutamiseks. Konfidentsiaalse teabe all mõistavad pooled igasugust Partneri tegevusega seotud mitteavaliku iseloomuga teavet ning kõiki Projekti läbiviimisel teatavaks saavaid füüsilisi isikuid puudutavaid isikuandmeid. Lepingut ja selle tegevuskava ei loeta konfidentsiaalseks teabeks. 8.2. Partnerid kohustuvad mitte avalikustama konfidentsiaalset teavet kolmandatele isikutele, v.a. kui seda tehakse Projekti huvides ja konfidentsiaalse teabe avalikustamise kokkuleppe alusel kirjalikult kooskõlastatuna Projekti projektijuhi ning Partneri kontaktisiku vahel. 8.3. Iga Partner on kohustatud sõlmima kolmandate isikutega, eeskätt oma personaliga ja muude oma kutse- või majandustegevuses kasutatavate isikutega, samuti litsentsiaatide ja all-litsentsiaatidega kellel on juurdepääs konfidentsiaalsele teabele, konfidentsiaalsus- ja isikuandmete lepingu ning tegema enda poolt kõik, et konfidentsiaalne teave ei saaks personali või nimetatud muude isikute kaudu avalikuks. 9. Muud tingimused 9.1. Kõik Lepingust tulenevad erimeelsused püütakse lahendada läbirääkimiste teel. Juhul, kui läbirääkimised ei anna tulemusi lahendatakse erimeelsused Eesti Vabariigi seadustega ettenähtud korras Harju Maakohtus. 9.2. Partnerid ei tohi Lepingust tulenevaid õigusi ja kohustusi üle anda kolmandale isikule ilma Lepingu teiste Partnerite eelneva kirjaliku nõusolekuta. 9.3. Kõik Lepingu muudatused ja täiendused jõustuvad pärast nende allakirjutamist Partnerite poolt. 9.4. Käesolev Leping allkirjastatakse Partnerite poolt digitaalselt. Leping jõustub selle alla kirjutamisest kõigi Partnerite poolt. 9.5. Lepingule on allkirjastamisel lisatud: Lisa 1 – Projekti tegevuskava „EESSI teekaart“ Lisa 2 – Euroopa Komisjoni juhendmaterjal "Keys to Production" Lisa 3 – Komisjoni Dashboard aruande mallid Lisa 4 – INEA lõpparuande mallid Lisa 5 – INEA Grant Agreement Lisa 6 – Projekti finantseerimise plaan Lisa 7 – Projektiorganisatsioon ja kodukord Lisa 8 – Eesti pädevad asutused ja nende EESSI kasutuslood Tervise ja Heaolu Infosüsteemide Keskus Katrin Reinhold /allkirjastatud digitaalselt/ Eesti Töötukassa Meelis Paavel /allkirjastatud digitaalselt/ Eesti Haigekassa Rain Laane /allkirjastatud digitaalselt/ Maksu- ja Tolliamet Valdur Laid /allkirjastatud digitaalselt/ 8 Sotsiaalkindlustusamet Egon Veermäe /allkirjastatud digitaalselt/ Sotsiaalministeerium Marika Priske /allkirjastatud digitaalselt/ 9