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SFC2014 - THE NEW FUND MANAGEMENT SYSTEM FOR THE PROGRAMMING PERIOD 2014-2020 SFC2014 Planning and Security Policy Olivier Pleska DG Regional and Urban.

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Presentation on theme: "SFC2014 - THE NEW FUND MANAGEMENT SYSTEM FOR THE PROGRAMMING PERIOD 2014-2020 SFC2014 Planning and Security Policy Olivier Pleska DG Regional and Urban."— Presentation transcript:

1 SFC2014 - THE NEW FUND MANAGEMENT SYSTEM FOR THE PROGRAMMING PERIOD 2014-2020 SFC2014 Planning and Security Policy Olivier Pleska DG Regional and Urban Policy 16.01.2013

2 SFC2014 - PLANNING

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

4 SFC2014 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

5 SFC2014 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)

6 Phase I : Strategic Planning & Programming Instrument/ToolBusiness Process Strategic PlanningPartnership Contract initial adoption (13-17) Strategic PlanningPolicy Dialogue (AMF13) Programming AMF/ISFNational Programme initial adoption (AMF14) Programming EAFRDRural Development Programme initial adoption (RD7-13) Programming EMFFOperational Programme initial adoption Programming ERDF/CF/ESF Operational Programme initial adoption (23-26,87) Programming ERDF/CF/ESF ETC Operational Programme initial adoption (23-26,87) Programming ERDF/CF/ESF TA Operational Programme initial adoption (23-26,87) ProgrammingJoint Action Plan initial adoption (93-97) EvaluationEx-Ante Evaluation of Operational Programme (48) Financial Administration Functions – budget line management, responsible unit management, default values management, bank account management FinancialBusiness Rules Manager

7 Phase II : Strategic Planning, Programming & Financing (1) Instrument/ToolBusiness Process Strategic PlanningPartnership Contract modification adoption (13-17) Programming AMF/ISFNational Programme modification adoption (AMF14) Programming EAFRDRural Development Programme modification adoption (RD7-13) Programming EMFFOperational Programme modification adoption Programming ERDFMajor Project initial adoption (90-92) Programming ERDFMajor Project modification adoption (90-92) Programming ERDF/CF/ESF Operational Programme modification adoption (23-26,87) Programming ERDF/CF/ESF ETC Operational Programme modification adoption (23-26,87) Programming ERDF/CF/ESF TA Operational Programme modification adoption (23-26,87) Programming IPAIPA CB Operational Programme initial adoption Programming IPAIPA Regional Operational Programme initial adoption Programming IPAIPA Major Project initial adoption

8 Phase II : Strategic Planning, Programming & Financing (2) Instrument/ToolBusiness Process Programming IPAIPA CB Operational Programme modification adoption Programming IPAIPA Regional Operational Programme modification adoption Programming IPAIPA Major Project modification adoption ProgrammingJoint Action Plan modification adoption (93-97) EvaluationEvaluation Plan for Operational Programme (49, 104) Financial ABAC Interface (Send transactions; Update transactions; Monitor status changes; Reject processing) FinancialInitial Commitment FinancialPre-financing Cost Claims/Payments FinancialCost Claims/Payments FinancialRecovery Context/Error Irregularity FinancialPartial Payments FinancialSuspension or Interruption of Payments

9 Phase III : Execution, Audit & Monitoring Instrument/ToolBusiness Process ExecutionPayment Forecast (102.3) AuditAccreditation of management and control bodies (64, 117, AMF24) Audit Report and Opinion of the independent audit body and the description of the management and control system (117) MonitoringMonitoring Committee (42-43, 100, RD80, AMF12) MonitoringCommunication Strategy (106) ExecutionQuarterly Indicator (RD73 1 b) ExecutionEstimate of Financial Requirements (RD102) ExecutionQuarterly Declaration of Expenditure (69, RD69, RH102) FinancialExecution Reports (Business Objects)

10 Phase IV : Execution,Financing & Audit (1) Instrument/ToolBusiness Process MonitoringFinancial Data (102) ExecutionAnnual Accounts (75, RH102, AMF39) ExecutionSynthesis Report (75) ExecutionInterim Payment Application (69, 120,121) ExecutionFinal Application for Interim Payment ( 126) ExecutionAnnual Management Declaration of Assurance (AMF39) FinancialSupplementary Commitment/De-commitment FinancialPayment of Annual/Final Balance (AMF35) FinancialAnnual Pre-Financing Cost Claims/Payments FinancialForecast of Revenue FinancialRecovery FinancialClearing of Pre-financing

11 Phase IV : Execution,Financing & Audit (2) Instrument/ToolBusiness Process AuditAudit Strategy (116) AuditAudit Opinion on Annual Accounts (75, 116, AMF39) AuditAnnual Control Report (75, 116, AMF28-29) AuditSummary Report of all available audits and controls (75, AMF39)

12 Phase VI : Monitoring,,Evaluation & Reporting (1) Instrument/ToolBusiness Process MonitoringAnnual Implementation Report (40, 44, 101, RD82, AMF49) MonitoringAnnual Review Meeting (45) FinancialN+2 Automatic de-commitment (127, RD37, AMF45) ExecutionClosure of National programme (AMF36) ExecutionFinancial Corrections (77, AMF42) MonitoringFinal Implementation Report (133, RD82, AMF49 EvaluationEx-Post Evaluation (50, RD85) EvaluationEx-Post Evaluation (AMF52) Strategic PlanningStrategic Report on implementation of the Partnership Contract (46) Strategic PlanningProgress Report on implementation of the Partnership Contract (46) Strategic PlanningPerformance review (19) Strategic PlanningMid-term Review (AMF15, AMF53)

13 Phase VII : Programme Closure Instrument/ToolBusiness Process FinancialProgramme Closure

14 SFC2014 Planning Summary

15 SFC – SECURITY POLICY

16 Background Q4 2012, Audit performed on SFC2007 Objective, to assess consistency with EC 1083/2006 (art 76.4) and EC 1828/2006 (art 39 to 42) Evaluate operational controls related to SFC2007 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

17 Findings Issu e nr. Issues identified 1Leaver 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 SFC2007 (or in the underlying database).(Very Important) 4Insufficient security awareness training. (Desirable) 5 User access management procedures are not kept up to date. (Important) 6 The user access management process in the Member State is documented in an informal manner. (Very Important)

18 Recommendations to E.C. Rec nr. Recommendations 1 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) 2 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) 3 Increase the level of awareness surrounding SFC2007 security. (Desirable)

19 Action Plan U.S.M – Additional functionality to help Liaison officers Security Policy for the access and use of SFC2007 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

20 Support And Contact Support for SFC2007 and SFC2014 web applications sfc2007-info@ec.europa.eu ec-sfc2014-info@ec.europa.eu Support for SFC2007 and SFC2014 Web services empl-sfc2007-ws@ec.europa.eu ec-sfc2014-ws@ec.europa.eu Conference web site http://ec.europa.eu/regional_policy/conferences/sfc2014/agenda_en. cfmhttp://ec.europa.eu/regional_policy/conferences/sfc2014/agenda_en. cfm 20

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