HERCULE III PROGRAMME
Guidance note on project amendments
The information given in this note is provided as guidance to beneficiaries of grants. The
information in this note is not exhaustive, and applicants should carefully read the
agreement sent to them, as this constitutes the legal basis for the grant.
1.
WHAT IS AN AMENDMENT?
Grant agreements may need to be amended during their lifetime if the circumstances
under which the project is being implemented were to change following the signature of
the initial grant agreement. The changes to a project must be formalised with an
amendment to the grant agreement.
Amendments should only be requested if they are necessary and lead to an improved or
better implementation of the project. Proper planning is essential to avoid numerous
amendments to the project; there should only be limited numbers of amendments
throughout the life cycle of the project. The beneficiary is therefore strongly advised to
prepare any request for amendment carefully, paying particular attention to the planned
activities, such as the budget, the agenda and planning of events to be organised (for
Conferences or Trainings) or the items to be purchased (for technical assistance).
The Commission must be informed of any changes to the project, and it will assess
whether the changes require an amendment to the grant agreement. Requests for
changes to any of the standard annexes of the grant agreement cannot be accepted.
2.
CHARACTERISTICS
The changes:
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must not have the purpose or the effect of making changes to the grant agreement
that would call into question the grant award decision or be contrary to the equal
treatment of applicants;
must comply with the provisions of the grant agreement;
cannot be retroactive;
must not increase the maximum grant amount or co-financing rate.
3.
ELIGIBLE COSTS — TRANSFERS OF ≤ 15 % BETWEEN BUDGET HEADINGS
Pursuant to Article 1.8 of the grant agreement (Special provisions on budget transfers),
the beneficiary may modify the budget for the project, provided that:
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the project’s basic purpose is not affected; and
the change has a financial impact on either the reallocation of costs within the same
budget heading or category1 or the transfer of costs from one heading (category) to
another, provided that the total amount under each heading (category) does not
vary by more than 15 %2 from the original amount3.
This does not apply to the ‘indirect costs/overheads’ budget heading or category, for
which the limit stipulated in the grant agreement may not be altered.
There is no limit on reallocating costs between items within the same budget heading or
category. Differences between budgeted costs and actual costs of more than 15 % of the
relevant budget heading will not be taken into account when determining the amount of
the final grant.
Changes within the 15 % limit must be agreed in writing. To be considered eligible, all
costs must have been entered as eligible costs in the estimated budget annexed to the
grant agreement. When the final payment for the grant is determined, the eligible cost
base cannot include costs which did not appear in the estimated budget, unless an
amendment to the initial estimated budget has been signed or a revised budget has been
agreed by e-mail or letter.
4.
MAKING A REQUEST FOR AMENDMENTS
Any request for amendment(s) to the project must be made to the Commission by the
beneficiary's legal representative or person authorised to represent the beneficiary as
indicated in the grant agreement. The request must be made one month before the
closing date of the grant agreement at the very latest (see also point 7 below). This time
limit is needed to examine the request, to prepare the amendment and to allow both
parties to sign the amendment before the initial closing date of the agreement.
The request for amendment must be completed in full and must be compatible with the
articles of the grant. It must include any supporting documents necessary to justify the
proposed changes.
The request can only be made by in writing. The beneficiary must clearly outline the
management and financial implications of the proposed changes.
The Commission can also propose amendments, e.g. in case of changes of address, the
contact person for sending the reports or authorising officers.
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I.e. the budget heading for estimated eligible costs: staff costs, conference rooms and related charges,
travel costs, subsistence costs, miscellaneous.
The 15 % is calculated on the total value of the budget heading (category) as set out in the project’s actual
budget (as amended by any later changes).
I.e. the amount in the grant agreement, as amended by any later changes.
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5.
TYPES OF CHANGES AND SUPPORTING DOCUMENTS
The table below contains a non-exhaustive list of changes that could occur during the
implementation of a grant agreement and that must be communicated to the
Commission, together with –where appropriate- the supporting documents4. After
reviewing these documents, the Commission may request additional documentation or
clarification before it takes a decision on the request. If an amendment is required, the
Commission will draft an amendment to the grant agreement. A template for this request
is available on OLAF’s website5.
TYPE OF CHANGE
SUPPORTING DOCUMENTS6
I. Administrative changes
Change of legal
 Request for amendment with the new legal address.
address
 New legal entity form:
http://ec.europa.eu/budget/contracts_grants/info_contracts/le
gal_entities/legal_entities_en.cfm
Change of bank
 Request for amendment with the new bank account.
account
 New financial identification form signed by the bank or
accompanied by a bank statement:
http://ec.europa.eu/budget/contracts_grants/info_contracts/fi
nancial_id/financial_id_en.cfm
Change of legal
 Request for amendment identifying the new legal
representative
representative (signed by the new representative).
 Official proof of appointment.
Change of Contact
 Request for amendment identifying the new contact person.
person
Changes to affiliated
 Request for amendment identifying the new affiliated entity.
entities
II. Staff changes
Key staff changes
 Request for amendment indicating the new members of staff.
 CVs for each new member of staff.
 Revised estimated budget, if relevant.
III. Changes in the duration and/or dates of the project
Changes to duration
- Request for amendment setting out a detailed explanation of
and/or dates of the
the change, new date envisaged and an updated plan of
project (eligibility
activities7.
period of the project)
IV. Changes to the content of the project
Change of activities
 Request for amendment setting out a detailed explanation of
the change and the new activities envisaged, and outlining the
reasons as to why this change is essential and provides added
value to the original outcome of the project as presented in
the application.
Change of location of  Request for amendment setting out a detailed explanation of
the training event
the change and the new location envisaged.
V. Budget changes
Additional costs or
 Request for amendment setting out an explanation of the
changes in the
changes and the value added by the change.
proposed date,
 Updated budget form, dated and signed by the beneficiary’s
activities, location
legal representative.
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5
6
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Copies are acceptable.
http://ec.europa.eu/anti_fraud/about-us/funding/hercule-iii/index_en.htm
The request for amendment must be signed by the beneficiary's legal representative as indicated in the
grant agreement or person authorised to represent the beneficiary.
The eligibility period for activities is stipulated in the call for proposals.
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6.
FOLLOW-UP GIVEN TO A REQUEST FOR AMENDMENT
The Commission will examine the request for amendment to the project and may ask for
further information or documents if necessary. The Commission will inform the
beneficiary on the acceptance or rejection of the request for amendment.
One of the following procedures will be applied:
1.
For changes to the grant agreement itself and after the Commission’s
acceptance of the amendment, the beneficiary will receive two paper copies of the
amendment to the grant agreement which should be both signed and dated by the
beneficiary and then sent back to the address indicated. The Commission will then
send a countersigned copy back to the beneficiary. The agreement only comes into
force once it has been signed by both parties, i.e.: once the Commission has signed
after it received the signed copy from the beneficiary.
2.
For changes to the annexes of the grant agreement and for changes of the
contact details of the parties (Article I.6 of the grant agreement), the Commission
will send an amendment letter that does not have to be signed by the beneficiary.
All other provisions of the grant agreement that are not affected by the amendment
remain unchanged and continue to have full effect.
7.
7.1.
PROVISIONS IN THE GRANT AGREEMENT ON AMENDMENTS
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 one month
before the end of the period set out in Article I.2.2, except in cases duly
substantiated by the party requesting the amendment and accepted by the other
party.
II.12.4 In case of an operating grant, the period set out in Article I.2.2 shall not be
extended via amendments.
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.
7.2.
Article I.8 — SPECIAL PROVISIONS ON BUDGET TRANSFERS
By way of derogation from the first subparagraph of Article II.22, budget transfers
between budget categories are limited to 15 % of the amount of each budget category for
which the transfer is intended.
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