e-Cohesion – new initiative within IT systems of Member States in 2014-2020

1. e-Cohesion – new initiative within IT systems of Member States in 2014-2020 Eighth Meeting of the Expert Group on Delegated and Implementing Acts for the European Structural and Investment Funds 10/06/2013 Christophe de Lassus – European Commission DG Regional & Urban Policy IT Head of Unit

2. Sustainable Growth Cohesion Policy – a vehicle of Europe 2020 targets • By 2015 80% of businesses should use eGovernment

3. COM's proposal MAIN ARTICLE ON E-COHESION PART THREE: GENERAL PROVISIONS APPLICABLE TO ERDF, ESF AND CF Management and control systems Article 112 Responsibilities of Member States (…) 3. Member States shall ensure that no later than 31 December [2014] all exchanges of information between beneficiaries and managing authorities, certifying authorities, audit authorities and intermediate bodies can be carried out [solely] by means of electronic data exchange systems. The systems shall facilitate interoperability with national and Union frameworks and allow for the beneficiaries to submit all information referred to in the first sub-paragraph only once. The Commission shall adopt, by means of implementing acts, detailed rules concerning the exchanges of information (…)

4. European Commission SFC2014 database Art. 63(4) All official exchanges of information between the Member State and the Commission - programme level Electronic exchange of information in 2014-2020 periodincluding e-Cohesion Member State's system for reporting, monitoring, accounting (…) Businesses Non-profit organisations Public and semi-public bodies Beneficiaries managing authority / intermediate body Beneficiary portal Other certifying authority Art. 62 (d) & 114(2)(d) Computerized system for accounting, monitoring and reporting (…) - programme level + operation relevant information audit authority Art. 112(3) Electronic exchange of information with beneficiaries - project level

5. Article 112(3)- minimum requirements • Electronic exchange – optional or obligatory for beneficiaries (post-award processes); • Any information requirements applicable to the beneficiary - including reporting on progress, declaration of expenditure & exchange of information related to management, verifications & audits; • 'Only once' encoding + interoperability – in the framework of the same operation for all authorities implementing the same programme (regardless its nature); • Electronic audit trail + 1st level control - in compliance with Art. 112, 132 + national requirements on the availability of documents.

6. Electronic data exchange system • Technical characteristics: • data integrity & confidentiality; • authentication of the sender within the meaning of Directive 1999/93/EC; • storage in compliance with defined retention rules (Art. 132 of the CPR); • secure transfer of data; • availability during & outside standard office hours (exception: technical maintenance); • accessibility either directly or via an interface; • protection of privacy of personal data for individuals & commercial confidentiality for legal entities (Directives 2002/58/EC & 95/46/EC);

7. Electronic data exchange system • Characteristics reducing administrative burden: • interactive and/or pre- filled forms by the system on the basis of the data which is stored at consecutive steps of the procedures, • automatic calculations preventing mistakes and speeding up the work, • automatic embedded controls which reduce as much as possible back-and forth exchange of documents, • system generated alerts to warn the beneficiary that certain actions can be performed, • on-line status tracking: beneficiary can follow up the current state of the project, which results in more transparency, • availability of all the history of the file.

8. More on e-Cohesion • Report «IT Implications Assessment of e-Cohesion Policy at EU/Member State level» http://ec.europa.eu/dgs/secretariat_general/admin_burden/docs/presentation_regio_en.pdf • EC support to MS/regions/programmes: • 'building blocks' on a business perspective https://www.yammer.com/regionetwork/groups/e-cohesionpolicy/uploaded_files 50 Q&A for ETC in cooperation with INTERACT http://www.interact-eu.net/downloads/5081/INTERACT_Publication___50_Questions_&_Answers_on_e-Cohesion_in_European_Territorial_Cooperation_Programmes___July_2012.pdf

9. Christophe de Lassus Head of IT Unit, DG REGIO:christophe.de-lassus@ec.europa.eu e-Cohesion@ec.europa.eu e-Cohesion on Yammer: https://www.yammer.com/regionetwork/#/threads/inGroup?type=in_group&feedId=1534553

10. Annex

11. updated Electronic data exchange • Definition: • refers to a medium of exchange of documents (Art. 2(16) of the proposed CPR), • structured + unstructured data, • relationship between MAs/IBs/CAs/AAs & beneficiaries (Art. 2 of the CPR ). • Requirements: • regardless the nature of OP, • terms and conditions defined in the contract with the beneficiary (Article 114(3)), • free of charge for beneficiaries, • without prejudice of any paper documents stored by the beneficiary (CPR Art. 132), • requirements of the CPR & the Fund specific rules taken into account + Article 46 (2) (g).

12. updated Possible variants and evolution • Optional or compulsory use by beneficiaries: • If optional: beneficiaries choose it in the contract, • MS could impose it at their own initiative & after cost/benefit analysis • (no detrimental effect on beneficiaries' access to the Funds!). • Obligatory use by applicants - recommendations: • docs & data exchanged at applicant stage reused at beneficiary stage, • e-signature reused. • Evolution: • MS shouldn't be prevented from improving e-Cohesion service for the beneficiary or introducing variant/s above.

13. e-signature • E-Cohesionminimum requirement: at least the basic electronic signature – authentication procedure – should be put into effect for the population of beneficiaries (within the meaning of Directive 1999/93/EC) • Features to examine: • for a closed-user group -> basic e-signature, • which form of e-signature to choose? • eID or certificates, token, login & password… • security requirements, • +legal effectiveness & admissibility.

14. e-TrustEx can easily be extended to any policy domain e-TrustEx is composed of 3 elements: Technological platform: e-TrustEx offers a set of basic pre-processing capabilities such as schema validation and business rules validation, routing according to specific criteria, orchestration of information exchanges, rendering of information to human readable format and archiving. Services platform: e-TrustEx offers a set of capabilities and services common to all policy domains such as document inbox, querying, viewing and submitting of information. Modules: e-TrustEx offers a set of sector-specific modules in policy areas such as Procurement and Legislative support. These modules can be deployed in a dedicated or common runtime environment, and they can be easily connected to other applications through well-defined interoperable interfaces. Additional modules can be added according to the architecture guidelines of e-TrustEx updated ‘only once’ encoding principle • Definition: referred to in the Small Business Act in Europe • Minimum requirement: • The principle should be applied, at a minimum, in the framework of the same operationfor all authorities implementing the same programme (regardless of whether this is an 'Investment for growth and jobs' or 'European Territorial Cooperation' programme) • Features to examine: • - beneficiary NOT repeatedly providing the same info, • - information/data/document recorded in the storage features and reused, • - effective use of public databases, • - together with interoperability.

15. All exchanges of information • Definition: • any information requirements applicable to the beneficiary via electronic exchange; • including reporting on progress, declaration of expenditure & exchange of information related to management, verifications & audits. • Minimum requirements: • Administrative verification concerning each application for reimbursement by beneficiaries (according to Article 114) need to rely on information & documents available through the computer system. Only exceptionally, following a risk analysis, beneficiary asked to send paper documents.

16. All exchanges of information • Minimum requirements: • The electronic audit trail in compliance with Art. 112 & 132 of the CPR + with national requirements on the availability of document, • Only in exceptional cases, following a risk analysis, the beneficiary asked to send paper documents for a desk review, • Paper docs in the beneficiary premises for the on-the-spot audit • Features to examine: • documents in e-versions for audit purposes – already in 2007-2013, • 1st and 2nd level control procedures in 2014-2020 to maximise the reduction of administrative burden for beneficiaries. • In practice: • e-storage capabilities instead of paper archiving, • 1st level controllers rely primarily on the IT system, • AA uses the IT system to prepare audits of operations/system audits, • CA relies on the IT system.

17. e-TrustEx can easily be extended to any policy domain e-TrustEx is composed of 3 elements: Technological platform: e-TrustEx offers a set of basic pre-processing capabilities such as schema validation and business rules validation, routing according to specific criteria, orchestration of information exchanges, rendering of information to human readable format and archiving. Services platform: e-TrustEx offers a set of capabilities and services common to all policy domains such as document inbox, querying, viewing and submitting of information. Modules: e-TrustEx offers a set of sector-specific modules in policy areas such as Procurement and Legislative support. These modules can be deployed in a dedicated or common runtime environment, and they can be easily connected to other applications through well-defined interoperable interfaces. Additional modules can be added according to the architecture guidelines of e-TrustEx updated Interoperability • Definition refers to: • National Interoperability Frameworks, • European Interoperability Framework (EIF) & the European Interoperability Strategy (EIS) under ISA Programme. • Minimum requirement: • MS free to establish its own interoperability approach, • In practice in the framework of the same operation for all authorities implementing the same programme(regardless its nature). • Features to examine: • - more interoperable systems of cohesion policy bodies, • - work together at organisational, semantic and technical levels. • Guidance: • - to extend to external databases (e.g. state treasury, business, tax register, SFC2014, state aid register, environmental impact assessment bodies, e-procurement); • - also for applicants?

18. Written comments can be sent until 14 Juneto: REGIO-DELEGATED-AND-IMPLEMENTING-ACTS@ec.europa.eu