SFC 2014 THE NEW FUND MANAGEMENT SYSTEM FOR

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SFC 2014 - THE NEW FUND MANAGEMENT SYSTEM FOR THE PROGRAMMING PERIOD 2014 -2020

SFC 2014 - THE NEW FUND MANAGEMENT SYSTEM FOR THE PROGRAMMING PERIOD 2014 -2020 SFC 2014 Planning and Security Policy Olivier Pleska DG Regional and Urban Policy 16. 01. 2013

SFC 2014 - PLANNING

SFC 2014 - PLANNING

Planning “Unless commitment is made, there are only promises and hopes; but no plans.

Planning “Unless commitment is made, there are only promises and hopes; but no plans. ” ― Peter F. Drucker

SFC 2014 Key challenges • Shared management for EAFRD, EMFF, ESF, • • •

SFC 2014 Key challenges • Shared management for EAFRD, EMFF, ESF, • • • EFRD, CF, AMF, ISF, IPA Multi-fund Programmes New regulations with different timeline Stretched timing (finalised regulation vs software implementation) Work in progress User expectations No contingency, deadline is fixed

SFC 2014 Development principles • Multi-Disciplinary Team from all participating DG's • Ensure business

SFC 2014 Development principles • Multi-Disciplinary Team from all participating DG's • Ensure business ownership of the IT development • Priority setting and early feedback • Agile development • Build the product according to business priorities , release often. • Continuous testing and integration • Test the feature as soon as done • Time boxed development • Automation of the business processes • 7 phases over a 5 years period (2013 -2017)

Phase I : Strategic Planning & Programming Instrument/Tool Business Process Strategic Planning Partnership Contract

Phase I : Strategic Planning & Programming Instrument/Tool Business Process Strategic Planning Partnership Contract initial adoption (13 -17) Strategic Planning Policy Dialogue (AMF 13) Programming AMF/ISF National Programme initial adoption (AMF 14) Programming EAFRD Rural Development Programme initial adoption (RD 7 -13) Programming EMFF Operational Programme initial adoption Programming ERDF/CF/ESF Operational Programme initial adoption (23 -26, 87) Programming Joint Action Plan initial adoption (93 -97) Evaluation Ex-Ante Evaluation of Operational Programme (48) Financial Administration Functions – budget line management, responsible unit management, default values management, bank account management Financial Business Rules Manager ETC Operational Programme initial adoption (23 -26, 87) TA Operational Programme initial adoption (23 -26, 87)

Phase II : Strategic Planning, Programming & Financing (1) Instrument/Tool Business Process Strategic Planning

Phase II : Strategic Planning, Programming & Financing (1) Instrument/Tool Business Process Strategic Planning Partnership Contract modification adoption (13 -17) Programming AMF/ISF National Programme modification adoption (AMF 14) Programming EAFRD Rural Development Programme modification adoption (RD 7 -13) Programming EMFF Operational Programme modification adoption Programming ERDF Major Project initial adoption (90 -92) Programming ERDF Major Project modification adoption (90 -92) Programming ERDF/CF/ESF Operational Programme modification adoption (23 -26, 87) Programming IPA CB Operational Programme initial adoption Programming IPA Regional Operational Programme initial adoption Programming IPA Major Project initial adoption ETC Operational Programme modification adoption (23 -26, 87) TA Operational Programme modification adoption (23 -26, 87)

Phase II : Strategic Planning, Programming & Financing (2) Instrument/Tool Business Process Programming IPA

Phase II : Strategic Planning, Programming & Financing (2) Instrument/Tool Business Process Programming IPA CB Operational Programme modification adoption Programming IPA Regional Operational Programme modification adoption Programming IPA Major Project modification adoption Programming Joint Action Plan modification adoption (93 -97) Evaluation Plan for Operational Programme (49, 104) Financial ABAC Interface (Send transactions; Update transactions; Monitor status changes; Reject processing) Financial Initial Commitment Financial Pre-financing Cost Claims/Payments Financial Recovery Context/Error Irregularity Financial Partial Payments Financial Suspension or Interruption of Payments

Phase III : Execution , Audit & Monitoring Instrument/Tool Business Process Execution Payment Forecast

Phase III : Execution , Audit & Monitoring Instrument/Tool Business Process Execution Payment Forecast (102. 3) Audit Accreditation of management and control bodies (64, 117, AMF 24) Audit Report and Opinion of the independent audit body and the description of the management and control system (117) Monitoring Committee (42 -43, 100, RD 80, AMF 12) Monitoring Communication Strategy (106) Execution Quarterly Indicator (RD 73 1 b) Execution Estimate of Financial Requirements (RD 102) Execution Quarterly Declaration of Expenditure (69, RD 69, RH 102) Financial Execution Reports (Business Objects)

Phase IV : Execution, Financing & Audit (1) Instrument/Tool Business Process Monitoring Financial Data

Phase IV : Execution, Financing & Audit (1) Instrument/Tool Business Process Monitoring Financial Data (102) Execution Annual Accounts (75, RH 102, AMF 39) Execution Synthesis Report (75) Execution Interim Payment Application (69, 120, 121) Execution Final Application for Interim Payment ( 126) Execution Annual Management Declaration of Assurance (AMF 39) Financial Supplementary Commitment/De-commitment Financial Payment of Annual/Final Balance (AMF 35) Financial Annual Pre-Financing Cost Claims/Payments Financial Forecast of Revenue Financial Recovery Financial Clearing of Pre-financing

Phase IV : Execution, Financing & Audit (2) Instrument/Tool Business Process Audit Strategy (116)

Phase IV : Execution, Financing & Audit (2) Instrument/Tool Business Process Audit Strategy (116) Audit Opinion on Annual Accounts (75, 116, AMF 39) Audit Annual Control Report (75, 116, AMF 28 -29) Audit Summary Report of all available audits and controls (75, AMF 39)

Phase VI : Monitoring, , Evaluation & Reporting (1) Instrument/Tool Business Process Monitoring Annual

Phase VI : Monitoring, , Evaluation & Reporting (1) Instrument/Tool Business Process Monitoring Annual Implementation Report (40, 44, 101, RD 82, AMF 49) Monitoring Annual Review Meeting (45) Financial N+2 Automatic de-commitment (127, RD 37, AMF 45) Execution Closure of National programme (AMF 36) Execution Financial Corrections (77, AMF 42) Monitoring Final Implementation Report (133, RD 82, AMF 49 Evaluation Ex-Post Evaluation (50, RD 85) Evaluation Ex-Post Evaluation (AMF 52) Strategic Planning Strategic Report on implementation of the Partnership Contract (46) Strategic Planning Progress Report on implementation of the Partnership Contract (46) Strategic Planning Performance review (19) Strategic Planning Mid-term Review (AMF 15, AMF 53)

Phase VII : Programme Closure Instrument/Tool Financial Business Process Programme Closure

Phase VII : Programme Closure Instrument/Tool Financial Business Process Programme Closure

SFC 2014 Planning Summary 2013 Q 1 Phase III Phase IV Phase VII Q

SFC 2014 Planning Summary 2013 Q 1 Phase III Phase IV Phase VII Q 2 Q 3 Q 4 2014 Q 1 Q 2 Q 3 Q 4 2015 Q 1 Q 2 Q 3 Q 4 2016 Q 1 Q 2 Q 3 Q 4 2017 Q 1 Q 2 Q 3 Q 4

SFC – SECURITY POLICY

SFC – SECURITY POLICY

Background • Q 4 2012, Audit performed on SFC 2007 • Objective , to

Background • Q 4 2012, Audit performed on SFC 2007 • Objective , to assess consistency with EC 1083/2006 (art 76. 4) and EC 1828/2006 (art 39 to 42) • Evaluate operational controls related to SFC 2007 in 5 member states • Usage of User & Security Module (U. S. M. ) tool • Test the operational controls • Provide a qualified opinion on the effectiveness of the system with regard to the audit objectives

Findings Issues identified e nr. 1 Leaver accounts are not (timely) deactivated. (Important) 2

Findings Issues identified e nr. 1 Leaver accounts are not (timely) deactivated. (Important) 2 Periodic access reviews are only performed on the account level, not on the access rights of each account. (Important) 3 Password controls are weak in the local application feeding SFC 2007 (or in the underlying database). (Very Important) 4 5 6 Insufficient security awareness training. (Desirable) User access management procedures are not kept up to date. (Important) The user access management process in the Member State is documented in an informal manner. (Very Important)

Recommendations to E. C. Rec nr. 1 2 3 Recommendations Create an SFC security

Recommendations to E. C. Rec nr. 1 2 3 Recommendations Create an SFC security policy for the SFC community , which would include the related security requirements to be fulfilled in order to securely use the SFC system and/or the local system. (Very Important) In the short term , research the possibility of adding further functionalities in U. S. M. to assist the MS Liaison in his/her role (Important) Increase the level of awareness surrounding SFC 2007 security. (Desirable)

Action Plan • U. S. M – Additional functionality to help Liaison officers •

Action Plan • U. S. M – Additional functionality to help Liaison officers • Security Policy for the access and use of SFC 2007 to be defined and implemented with the SFC community • SFC security awareness to be included into SFC training • Specific SFC training (USM , Security) for SFC Liaison Officers

Support And Contact • Support for SFC 2007 and SFC 2014 web applications •

Support And Contact • Support for SFC 2007 and SFC 2014 web applications • sfc 2007 -info@ec. europa. eu • ec-sfc 2014 -info@ec. europa. eu • Support for SFC 2007 and SFC 2014 Web services • empl-sfc 2007 -ws@ec. europa. eu • ec-sfc 2014 -ws@ec. europa. eu • Conference web site • 20 http: //ec. europa. eu/regional_policy/conferences/sfc 2014/agenda_en. cfm