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
SFC2014 - PLANNING
Planning
“Unless commitment is made, there are only
promises and hopes; but no plans.”
― Peter F. Drucker
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
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)
Phase I : Strategic Planning &
Programming
Instrument/Tool
Business Process
Strategic Planning
Partnership Contract initial adoption (13-17)
Strategic Planning
Policy Dialogue (AMF13)
Programming AMF/ISF
National Programme initial adoption (AMF14)
Programming EAFRD
Rural Development Programme initial adoption (RD7-13)
Programming EMFF
Operational Programme initial adoption
Programming
ERDF/CF/ESF
Programming
ERDF/CF/ESF
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
Partnership Contract modification adoption (13-17)
Programming AMF/ISF
National Programme modification adoption (AMF14)
Programming EAFRD
Rural Development Programme modification adoption (RD7-13)
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
Programming
ERDF/CF/ESF
Programming
ERDF/CF/ESF
Operational Programme modification adoption (23-26,87)
Programming IPA
IPA CB Operational Programme initial adoption
Programming IPA
IPA Regional Operational Programme initial adoption
Programming IPA
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
IPA CB Operational Programme modification adoption
Programming IPA
IPA Regional Operational Programme modification adoption
Programming IPA
IPA Major Project modification adoption
Programming
Joint Action Plan modification adoption (93-97)
Evaluation
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
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 (102.3)
Audit
Accreditation 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)
Monitoring
Monitoring Committee (42-43, 100, RD80, AMF12)
Monitoring
Communication Strategy (106)
Execution
Quarterly Indicator (RD73 1 b)
Execution
Estimate of Financial Requirements (RD102)
Execution
Quarterly Declaration of Expenditure (69, RD69, RH102)
Financial
Execution Reports (Business Objects)
Phase IV : Execution,Financing &
Audit (1)
Instrument/Tool
Business Process
Monitoring
Financial Data (102)
Execution
Annual Accounts (75, RH102, AMF39)
Execution
Synthesis Report (75)
Execution
Interim Payment Application (69, 120,121)
Execution
Final Application for Interim Payment ( 126)
Execution
Annual Management Declaration of Assurance (AMF39)
Financial
Supplementary Commitment/De-commitment
Financial
Payment of Annual/Final Balance (AMF35)
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
Audit Strategy (116)
Audit
Audit Opinion on Annual Accounts (75, 116, AMF39)
Audit
Annual Control Report (75, 116, AMF28-29)
Audit
Summary Report of all available audits and controls (75, AMF39)
Phase VI : Monitoring,,Evaluation
& Reporting (1)
Instrument/Tool
Business Process
Monitoring
Annual Implementation Report (40, 44, 101, RD82, AMF49)
Monitoring
Annual Review Meeting (45)
Financial
N+2 Automatic de-commitment (127, RD37, AMF45)
Execution
Closure of National programme (AMF36)
Execution
Financial Corrections (77, AMF42)
Monitoring
Final Implementation Report (133, RD82, AMF49
Evaluation
Ex-Post Evaluation (50, RD85)
Evaluation
Ex-Post Evaluation (AMF52)
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 (AMF15, AMF53)
Phase VII : Programme Closure
Instrument/Tool
Financial
Business Process
Programme Closure
SFC2014 Planning Summary
2013
Q1
Phase I
Phase II
Phase III
Phase IV
Phase V
Phase VI
Phase VII
Q2 Q3
2014
Q4
Q1
Q2 Q3
2015
Q4
Q1
Q2 Q3
2016
Q4
Q1
Q2 Q3
2017
Q4
Q1
Q2 Q3
Q4
SFC – SECURITY POLICY
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
Findings
Issu
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
SFC2007 (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 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 SFC2007
security. (Desirable)
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
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
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20
http://ec.europa.eu/regional_policy/conferences/sfc2014/agenda_en.
cfm