EStIF Interactive Forum: Management, Control & Audit of ESI Funds

Workshops – Case Studies – Exchange

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11-12 May 2017 | Zagreb


European Annual Conference corresponding to our European Structural and Investment Funds Journal (EStIF).

If you have any questions regarding the conference or you would like to get any additional information, please contact Juliana Veit.


Programme

 

Download Programme Flyer

Day 1: Thursday | 11 May 2017

 

08:30      Registration & Welcome Coffee

09:30

Welcome Note on behalf of EStIF

Rona Michie, EPRC, University of Strathclyde, Glasgow; EStIF Editorial Manager

Banner-Programme

 ESI Funds – Quo Vadis?

  • The future of EU Cohesion Policy and developments post-2020
  • Implications of Brexit on ESI Funds

Peter Wostner, Ministry of Economic Development and Technology, Ljubljana

Fiona Wishlade
, EPRC, University of Strathclyde, Glasgow

10:45

Coffee Break

11:15 Parallel Workshops
Interactive Session I Interactive Session II
How to Fulfil the New Reporting and Audit Requirements: Management Declaration, Annual Summary & Annual Accounts
  • How to audit the preparation of the management declaration
  • Key elements of the annual control report
  • Financial data, common and programme-specific indicators, quantified target values, result indicators and milestones
  • First experiences of the new period

Exchange of first experiences with the new period and Q&A

Balázs Dencső, General Director, Directorate General for Audit of European Funds, Budapest

How to Calculate Simplified Cost Options – Flat Rates, Lump Sums and Standard Scales of Unit Costs
  • When and how to use Simplified Cost Options
  • Calculation methods:
    • Flat‐rate Financing: Different categories of costs and rates applied
    • Standard scale of unit costs: Calculation and examples
    • Lump sums: Definition of milestones and output

Practical group work on calculation methods

Louis Vervloet, General Director, ESF Agency Flanders, Brussels

12:45        Lunch Break & Networking   

14:00       Parallel Workshops 

Interactive Session III
Interactive Session IV
Implementing the New Requirements on Management Verifications
    • Administrative versus On-the-spot Verification
    • Verification of eligibility of expenditure, Simplified Cost Options, State Aid and Public Procurement
    • Risk analysis and sampling
    • How to deal with personnel and overhead costs

    Practical cases, exchange of experience and Q&A

    Simon Hannah, ERDF Finance and Compliance Manager, East of England Department for Communities and Local Government (DCLG), Cambridge

    Designing a Strategy to Prevent and Combat Fraud & Corruption in your Institution

    • Risk analysis and its most important instruments
    • The anti‐fraud cycle
    • Instruments and methods for the prevention and detection
    • How to identify red flags?
    • Practical examples and cases

    A serious interactive game: Practical cases, exchange of experience and Q&A

    Jo Kremers, Senior Audit Manager, Ministry of Finance, The Netherlands

    15:30           Coffee Break

    16:00          Parallel Workshops

    Interactive Session V Interactive Session VI
    How to Best Use Performance Audits and their Results in ESIF
    • Approaches and methodologies in performance auditing - The ECA approach
    • The '3 E concept' - how best to comply with economy, efficiency and effectiveness
    • What are the most relevant weaknesses in ESIF programmes identified in performance audits?

    A practical case: results from a specific performance audit - with Discussion and Q&A

    Kurt Bungartz, European Court of Auditors, Luxembourg

    Making Best Use of the European Fund for Strategic Investment (EFSI) & Financial Instruments

    • EFSI Legal framework and financial products
    • Synergies and complementarities with ESI Funds 
    • Combination at project or financial instrument level
    • How to set up an investment platform?
    • Eligibility of expenditures
    • Compliance with EU State aid law

    Practical cases, exchange of experience and Q&A

    Csaba Harsányi, Hungarian Development Bank, Brussels

    17:30        End of Day 1 

     
    Day 2: Friday, 12 May 2017

    09:00 - 17:30     Parallel Workshops (incl. Coffee Breaks and Lunch)
    Workshop I
    Workshop II

    ESI Funds in Compliance with State aid Rules

    Chair: Phedon Nicolaides, Professor at the College of Europe and at the Maastricht University

    Handling Errors, Irregularities and Financial Corrections

    Chair: Christopher Bovis, Chair in Law and Professor of European Business Law, University of Hull

       
    Detailed Programmes of the Workshops
       
    Workshop I: ESI Funds in Compliance with State Aid Rules
     
    09:00

    Welcome note by the chair and introduction of participants

    Phedon Nicolaides, Professor at the College of Europe and at the Maastricht University

    09:15

    Concept of State Aid & Notification in Practice

    • Articles 107 & 108 of the TFEU
    • Sources of funding of aid and aid beneficiaries
    • Economic and non-economic activity
    • Determining advantage and selectivity
    • Effect on trade and distortion of competition
    • Notification procedure in practice
    • Exceptions

    Phedon Nicolaides

    10:30 Coffee break

    11:00

    Relationship Between State Aid and Structural Funds and How to Comply with Ex-ante Conditionality

    • Regulation 1303/2013 and other references to State aid
    • Annex XI: Ex-ante conditionality
    • When do ESIF operations create a State aid situation?
    • What funds are deemed to constitute State aid?
    • How much State aid may be granted?
    • Examples of State aid and ERDF/ESF

    Phedon Nicolaides

    11:30

    Compatibility with the Internal Market, the Principles of Necessity and Proportionality of State Aid

    • Options for public authorities & type of assessment
    • Assessment by Commission
    • General principles of exemption
    • Common compatibility and assessment principles

    Phedon Nicolaides

    12:30

    Lunch Break

    13:30

    State Aid Exemption and its Application for ESI Funds: De minimis Regulation

    • Importance of de minimis rules to ESI Funds
    • Thresholds and cumulation rules

    Phedon Nicolaides

    14:00

    State Aid Exemption and its Application for ESI Funds: General Block Exemption Regulation (GBER)

    • Scope and categories of exempted aid
    • Thresholds, incentive effect, cumulation rules
    • Experiences and challenges with the practical application of GBER
    Phedon Nicolaides

    14:30

    GBER in Practice: Specific Provisions of Importance to ERDF and ESF Objectives

    • Aid for broadband infrastructures
    • Local infrastructure
    • Training Aid
    • Aid for Employment

    Phedon Nicolaides

    15:00

    Coffee Break

    15:30

    Regional Aid Guidelines & Case Studies

    • Regional State aid: Basics
    • Regional aid: Where?
    • What for: Operating aid and initial investment
    • Compatibility assessment of investment aid
    • Conclusion: Main changes Regional aid 2014-20

    Katrien De Marez, Case Handler - State Aid, Infrastructure and Regional aid, DG Competition, European Commission, Brussels

    16:30

    Infrastructure Funding & Case Studies

    • What do public authorities need to consider when financing infrastructure?
      • Construction and operation of infrastructure
    • The 20% rule on infrastructure projects: Practicalities and challenges

    Phedon Nicolaides

    17:30

    End of the EStIF Forum & Distribution of Certificates

     

     

    Workshop II: Handling Errors, Irregularities and Financial Corrections
     
    09:00

    Welcome note by the chair and introduction of participants

    Christopher Bovis, Chair in Law and Professor of European Business Law, University of Hull

    09:15 The EU Public Procurement Regime: Requirements for ESI Programmes
    • Regulatory Requirements and the application of public procurement to the delivery of ESI Programmes
    • Types of breaches and Irregularities
    • Key Areas of Risk
    • Distinction between errors, irregularities and fraud
    • In which areas irregularities occur and why?

    Christopher Bovis, Chair in Law and Professor of European Business Law, University of Hull

    10:30

    Coffee Break

    11:00

    Case study: Typical Errors and Irregularities in Public Procurement

    • Typical errors and irregularities during the procurement cycle
      • Pre-tendering phase
      • Tendering phase
      • Post-award/contracting phase

    Christopher Bovis, Chair in Law and Professor of European Business Law, University of Hull

    12:30

    Lunch Break

    13:30 Practical Exercise: Risk Assessment - How to Identify Irregularities and How to Reduce the Risks?
    • Using appropriate methodologies and strategies for risk assessment
    • How to apply risk rating in the control activities?
    • Practical examples on how to avoid irregularities

    Martina Gutvald, Head of Department for Training and Risk Management, Service for Combating Irregularities and Fraud, Ministry of Finance, Zagreb

    14:30

    Treatment of Irregularities ‐ Notification and Reporting of Irregularities to the European Commission and Financial Corrections

    • When do irregularities lead to recoveries, withdrawals, and financial corrections?
    • Purpose and types of financial corrections
    • Pre‐ and post‐payments
    • What accounting records have to be kept?
    • Treatment of Financial Corrections in Annual Accounts

    Gina McIntyre, Chief Executive, Special EU Programmes Body (SEUPB), Belfast

    15:45

    Coffee Break

    16:15 Practical Exercise: How to Choose the Right Type of Financial Correction and How to Calculate the Rate of Corrections
    • Identification of errors, ineligible expenditure and missing information
    • What is the value of irregularity and how to calculate a correction
    • Flat rate and extrapolated financial corrections
    • EC Regulation 480/2014 – Financial correction regarding the performance framework, and system deficiencies
    • Delegated Regulation (EU) 2015/1970 of 8 July 2015
    Gina McIntyre, Chief Executive, Special EU Programmes Body (SEUPB), Belfast

    17:00 Final Discussion and Q&A

    17:30

    End of the EStIF Forum & Distribution of Certificates

    *Programme may be subject to change.

    Louis VERVLOET, The ESF agency of the Flemish Community, Brussels (invited)

     
     

    EStIF
    European Structural and Investment Funds Journal
    Publication frequency: quarterly
    approx. 80 pages
    ISSN 21 96-82 68

    Further information

    EStAL
    Journal
    Publication frequency: quarterly
    Subscription: € 442,-
    ISSN 16 19-52 72

    Further information

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