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Enhanced Management & Control Systems: Models for Operational Efficiency

This draft outlines models for managing and certifying authorities, audit strategies, and control reports, designed to enhance the European Structural and Investment Funds' management and control systems. It provides detailed functions, procedures, and criteria structures to ensure effective operation and compliance. The document also covers the submission of information, organizational details, irregularities management, and information system protocols for authorities involved in fund management. With a focus on transparency and accountability, the models aim to streamline processes and improve the overall implementation of the funds.

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Enhanced Management & Control Systems: Models for Operational Efficiency

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  1. 2014-2020 Management and control systemsFranck Sébert, DG Regional and Urban Policy, Head of Unit C1 SEVENTEENTH MEETING OF THE EXPERT GROUP ON DELEGATED AND IMPLEMENTING ACTS FOR THE EUROPEAN STRUCTURAL AND INVESTMENT FUNDS – 4 October 2013

  2. OutlineDraft Implementing Acts Designation of Managing and Certifying Authorities (Article 113 bis of CPR; Fiche 17 C): • Model for description of functions and procedures in place for the MA and CA • Model for the report and the opinion of the Audit Authority Model for the management declaration (Article 114 of CPR; Fiche 17 A) Models for the audit strategy, control report and audit opinion (Article 116 of CPR; Fiche 17 A)

  3. Model for description of functions and procedures in place for the MA and CA • Follows the structure of the model defined for 2007-2013 (Annex XII of R. 1828/2006), • adapted to cover the designation criteria defined in Annex XX of the CPR. • Doesnot coverIntermediate Bodies or Audit Authority.

  4. Model for description of functions and procedures in place for the MA and CA 1. GENERAL 1.1. Information submitted by: 1.2. The information provided describes the situation on: (dd/mm/yy) 1.3. System structure 2. MANAGING AUTHORITY 2.1. Managing authority and its main functions 2.2. Organisation and procedures of the managing authority 2.3. Audit Trail

  5. Model for description of functions and procedures in place for the MA and CA 2.6. Irregularities and recoveries 3. CERTIFYING AUTHORITY 3.1. Certifying authority and its main functions 3.2. Organisation of the certifying authority 3.3. Certification of statements of expenditure 3.4. Accounting system and accounts 3.5. Recoveries 4. INFORMATION SYSTEM

  6. Model for description of functions and procedures in place for the MA and CA No systematic transmission of these documents to the European Commission. For programmes > EUR 250 million: transmission is done upon EC request or on a voluntary basis at the initiative of the MS if there are significant changes in the functions / MCS compared to the previous period.

  7. Model for the report and the opinion of the Audit Authority for the designation of MA and CA The report follows the structure of the model defined for 2007-2013 (EC guidance document). • Introduction • Methodology and scope of the work • Results of assessment for each authority/body /system • Overall conclusion

  8. Model for the report and the opinion of the Audit Authority for the designation of MA and CA • The opinion follows the structure of the model set out for 2007-2013 (Annex XIII of R.1828/2006), adding the possibility for an emphasis of matter.

  9. Model for the report and the opinion of the Audit Authority Types of audit opinion: • Unqualified=> Designation can go ahead; • Qualified=> Actions need to be taken by the MS before notifying the designation to the EC; • Adverse => Designation cannot go ahead.

  10. Model for the management declaration (Article 114 of CPR; Fiche 17 A)Models for the audit strategy, control report and audit opinion (Article 116 of CPR; Fiche 17 A) Main differences from the text presented on 16 July.

  11. Thank you for your attention!

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