LIST OF ANNEXES - European Commission · 2017. 6. 15. · SG_aar_2016_final – Annexes | 3 ANNEX...
Transcript of LIST OF ANNEXES - European Commission · 2017. 6. 15. · SG_aar_2016_final – Annexes | 3 ANNEX...
LIST OF ANNEXES
ANNEX 1: STATEMENT OF THE RESOURCES DIRECTOR ................................................................................................ 2 ANNEX 2: REPORTING – HUMAN RESOURCES, BETTER REGULATION, INFORMATION MANAGEMENT AND EXTERNAL
COMMUNICATION................................................................................................................................. 3 ANNEX 3: DRAFT ANNUAL ACCOUNTS AND FINANCIAL REPORTS .................................................................................. 9 ANNEX 4: MATERIALITY CRITERIA ........................................................................................................................ 22 ANNEX 5: INTERNAL CONTROL TEMPLATE(S) FOR BUDGET IMPLEMENTATION (ICTS) .................................................... 23 ANNEX 6: IMPLEMENTATION THROUGH NATIONAL OR INTERNATIONAL PUBLIC-SECTOR BODIES AND BODIES GOVERNED BY
PRIVATE LAW WITH A PUBLIC SECTOR MISSION ......................................................................................... 28 ANNEX 7: EAMR OF THE UNION DELEGATIONS ..................................................................................................... 29 ANNEX 8: DECENTRALISED AGENCIES .................................................................................................................... 30 ANNEX 9: EVALUATIONS AND OTHER STUDIES FINALISED OR CANCELLED DURING THE YEAR ............................................ 31 ANNEX 10: SPECIFIC ANNEXES RELATED TO "FINANCIAL MANAGEMENT" ................................................................. 32 ANNEX 11: SPECIFIC ANNEXES RELATED TO "ASSESSMENT OF THE EFFECTIVENESS OF THE INTERNAL CONTROL SYSTEMS" ...... 33 ANNEX 12: PERFORMANCE TABLES ................................................................................................................. 34 ANNEX 13: REGULATORY SCRUTINY BOARD ............................................................................................................ 59
Ref. Ares(2017)2703688 - 30/05/2017
SG_aar_2016_final – Annexes | 2
ANNEX 1: Statement of the Resources Director
I declare that in accordance with the Commission’s communication on clarification of the
responsibilities of the key actors in the domain of internal audit and internal control in the
Commission1, I have reported my advice and recommendations to the Secretary-General on the
overall state of internal control in the Secretariat-General.
I hereby certify that the information provided in Section 2 of the present Annual Activity Report
and in its annexes is, to the best of my knowledge, accurate and complete.
Brussels, 11 May 2017
[Signed]
Tatjana Verrier
SG Resources Director
1 Communication to the Commission: Clarification of the responsibilities of the key actors in the domain of
internal audit and internal control in the Commission; SEC(2003)59 of 21.01.2003.
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ANNEX 2: Reporting – Human Resources, Better
Regulation, Information Management and External Communication
2.2.1 Human resource management
Objective: The SG deploys effectively its resources in support of the delivery of
the Commission's priorities and core business, has a competent and engaged
workforce, which is driven by an effective and gender-balanced management
and which can deploy its full potential within supportive and healthy working
conditions.
Indicator 1: Percentage of female representation in middle management
Source of data: Analytic Platform
Baseline
(01/01/2016)
Target
(2019)
Latest known
results
(End 2016)
Lead
Unit
28.6% 40 % 33% SG.R1
Indicator 2: Percentage of staff who feel that the Commission cares about their
well-being
Source of data: Commission staff survey
Baseline
(2014)
(2013)
Target
(Continuous)
Latest known
results
(2016)
Lead
Unit
34.6% (EC-
34.9%)
49.8% (EC-
49.3%)
To be above Commission's average score
in future staff surveys
32.9% (EC
34.9%)
SG.R1
Indicator 3: Staff engagement index
Source of data: Commission staff survey
Baseline
(2014)
(2013)
Target
(Continuous)
Latest known results
(2016)
Lead
Unit
64 (EC-65)
73 (EC-71)
To be above Commission's average
score in future staff surveys
66% (EC 64%) SG.R1
Main outputs in 2016:
Description Indicator Target Latest known results Lead
Unit
Scorecard:
periodical figures
on available
resources, vacant
posts and sick
leave rates
Delivery Each month until
end 2016
(December 2016
scorecard occurs
in January 2017)
Delivered each
month.
SG.R1
SG HR
Management
Report
Delivery End 2016 A mid-year report
has been delivered in
September 2016.
The annual report is
under preparation.
SG.R1
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Further enrich SG
pages on My
IntraComm that
are the main
source of
information on SG
activities for all
Commission staff
Delivery Ongoing On average 7000
monthly unique
visitors, making SG
corporate the second
most visited My
IntraComm
corporate site
SG.F5
Gender equality Indicator Target Latest known results Lead
Unit
"So you want to
be a Head of
Unit": specific
training for
women
Organisation
1st session end
of January 2016
2nd to be
determined
First session
organised in January
2016. Second
session organised in
July 2016. Very good
evaluation and high
quality of the
individual coaching
sessions that
followed the 3 day
training course.
SG.R1
Well-being Indicator Target Latest known results Lead
Unit
Actions to
strengthen well-
being in staff and
to enhance
reconciliation
between
professional and
private life: Yoga,
singing, mindful-
ness classes,
Conferences on
topics such as
drugs and young
people, social
network: how to
surf safely, origins
and philosophy of
Yoga
Organisation End 2016 Organised. Positive
evaluation by the
participants.
SG.R1
Staff engagement Indicator Target Latest known results Lead
Unit
Development
program for SG
middle managers
Delivery End of June 2016 Delivered. Good
evaluation/feedback
sessions with
Managers showed a
will to carry on with
targeted
development actions
for Managers.
SG.R1
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2.2.2 Information management aspects
Objective: Information and knowledge in SG is shared and reusable by other
DGs. Important documents are registered, filed and retrievable.
Indicator 1: Percentage of registered documents that are not filed2 (ratio)
Source of data: Hermes-Ares-NomCom (HAN)3 statistics
Baseline
2015
Target
(Continuous)
Latest known
results
(2016)
Lead
Unit
1.23% < 1% 0.27% SG.R2
Indicator 2: Percentage of HAN files readable/accessible by all units in the DG
Source of data: HAN statistics
Baseline
Target
(Continuous)
Latest known
results
(2016)
Lead
Unit
77.09% > 80% 77.60% SG.R2
Indicator 3: HAN files shared with other DGs
Source of data: HAN statistics
Baseline
(2015)
Target
(Continuous)
Latest known results
(2016)
Lead
Unit
2.91% > 20% 46,90% SG.R2
Main outputs in 2016:
Description Indicator Target Latest known results Lead
Unit
Awareness-raising
actions about
sharing information
with other DGs
(members of the
local DMO network
and managers)
Completion End 2016 - Awareness action
organised on sharing
information and security,
specifically dedicated to
members of the local DMO
network
- Advisory support given
in meetings related to the
integrations of ICT tools
- Preparation of an
awareness action
dedicated to middle
management (which will
occur in 2017)
SG.R2
New 100%
electronic working
practices
Completion End 2016 - In view of a
generalisation of paperless
e-signatory's use,
important preparatory
steps have been made,
notably in collaboration
SG.R2
2 Each registered document must be filed in at least one official file of the Chef de file, as required by the e-
Domec policy rules (and by ICS 11 requirements). The indicator is to be measured via reporting tools
available in Ares.
3 Suite of tools designed to implement the e-Domec policy rules.
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with the team of the
Secretary-General and via
information meetings with
the Senior Managers'
assistants
- Support documents have
been drawn up
Monitoring reports
on unfiled
documents created
by SG
Completion End 2016 Reports have been sent
on a regular basis to all
SG entities
SG.R2
Transfer of the SG
files with an expired
administrative
retention period
Completion End 2016 - For 2016, action was
targeted to directorates A,
C, D and E: information
session organised to
explain procedure; lists of
Adonis files requiring
post-DUA action sent to
the 14 SG entities
concerned (reminders in
absence of reaction);
organisation of bilateral
meetings where
appropriate
- Adonis has been
completed with
information given by the
units chefs de file.
- Paper files have been
transferred to the SAH
when required by the LCC
category.
SG.R2
Further awareness-
raising actions for all
SG staff (managers
included) about
registration of
important emails via
AresLook
Completion End 2016 - Awareness-raising
message addressed to all
new SG colleagues during
the SG R1 newcomers
meetings
- Information about
AresLook during training
sessions on "Bonnes
pratiques au SG"
(compulsory for SG
newcomers)
- Several personal
coaching sessions
organised
SG.R2
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2.2.3 External communication activities
Objective: Citizens perceive that the EU is working to improve their lives and
engage with the EU. They feel that their concerns are taken into consideration
in European decision making and they know about their rights in the EU.
Indicator: Percentage of EU citizens having a positive image of the EU
Definition: Eurobarometer measures the state of public opinion in the EU Member States.
This global indicator is influenced by many factors, including the work of other EU
institutions and national governments, as well as political and economic factors, not just
the communication actions of the Commission. It is relevant as a proxy for the overall
perception of the EU citizens. Positive visibility for the EU is the desirable corporate
outcome of Commission communication, even if individual DGs’ actions may only make a
small contribution.
Source of data: Standard Eurobarometer (DG COMM budget) [monitored by DG COMM
here].
Baseline
November 2014
Target
(2020)
Latest known results
(2016)
Lead
Unit
Total "Positive":
39%
Neutral: 37 %
Total "Negative":
22%
Positive image
of the EU ≥ 50%
Total "Positive": 35%
Neutral: 38 %
Total "Negative": 25%
SG.F5
Main outputs in 2016:
Description Indicator Target date Latest known
results
(situation on
31/12/2016)
Lead
Unit
Communicating
major SG initiatives
externally, in
particular, related
to priority 10
(Commission Work
programme, Better
Regulation Agenda,
transparency,
REFIT, ECI, CVM,
relations with NPs)
via the web
communication,
press activities,
social media and
local communication
in collaboration with
the SPP, central
social media team
and the Commission
Representations in
the Members States
Delivery of
communication
plans or actions
(e.g. brochures,
infographics, press
materials etc.)
Ongoing Delivered
E.g. following
an extensive
communication
campaign, the
public
consultation on
the
Transparency
Register got a
significantly
high number of
1758
contributions.
SG.F5
Revamp of the
whole content
Percentage of SG December 100% of all SG.F5
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owned by SG on
EUROPA as part of
the new
Commission web
presence/digital
transformation
programme
related content
transformed
explanatory
content
60% of
documents
migrated
(some will be
taken over by
new tools i.e.
better
regulation
portal; for the
rest technical
solutions have
not yet been
provided by
the digital
transformation
team (DG
COMM)
Maintenance of SG
pages on EUROPA
Number of monthly
unique visitors
* Calculated using
SAS tool; at the end
of 2016 SAS has
been replaced by a
new web analytics
tool – Piwik – which
collects data
differently. A new
baseline will have to
be established for
2017 using the new
tool.
Ongoing 340,000
average
monthly
visitors
SG.F5
Annual communication spending (based on estimated commitments):
Baseline (2015): Target
(2016):
Total amount spent Total of FTEs working on
external communication
Lead
Unit
219.720,10 180.000 179.984,50 6.25 SG.F5
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ANNEX 3: Draft annual accounts and financial reports
Table 1 : Commitments
Table 2 : Payments
Table 3 : Commitments to be settled
Table 4: Balance Sheet
Table 5: Statement of Financial Performance
Table 5 Bis: Off Balance Sheet
Table 6 : Average Payment Times
Table 7 : Income
Table 13: Building Contracts
Table 14: Contracts declared Secret
Table 8 : Recovery of undue Payments
Table 9: Ageing Balance of Recovery Orders
Table 10 : Waivers of Recovery Orders
Table 11: Negotiated Procedures (excluding Building Contracts)
Table 12: Summary of Procedures (excluding Building Contracts)
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Commitment
appropriations
authorised
Commitments
made%
1 2 3=2/1
01 01 01Administrative expenditure of the 'Economic and
f inancial affairs' policy area0,47 0,47 100 %
0,47 0,47 100 %
02 02 02Competitiveness of enterprises and small and
medium-sized enterprises (COSME)0,95 0,95 100 %
0,95 0,95 100 %
18 18 04 Fostering European citizenship 0,64 0,64 100 %
0,64 0,64 100 %
24 24 01Administrative expenditure of the 'Fight against
fraud' policy area0,02 0,02 99 %
0,02 0,02 99 %
25 25 01Administrative expenditure of the 'Commission's
policy coordination and legal advice' policy area 7,40 6,90 93 %
25 02Relations w ith civil society, openness and
information0,01 0,00 0 %
7,41 6,90 93 %
26 26 01Administrative expenditure of the 'Commission's
administration' policy area 0,75 0,75 100 %
0,75 0,75 100 %
10,24 9,73 95 %
Total Title 25
Title 26 Commission's administration
Total Title 26
Total DG SG
* Commitment appropriations authorised include, in addition to the budget voted by the
legislative authority, appropriations carried over from the previous exercise, budget
amendments as well as miscellaneous commitment appropriations for the period (e.g.
internal and external assigned revenue).
Title 18 Migration and home affairs
Total Title 18
Title 24 Fight against fraud
Total Title 24
Title 25 Commission's policy coordination and legal advice
TABLE 1: OUTTURN ON COMMITMENT APPROPRIATIONS IN 2016 (in Mio €)
Title 01 Economic and financial affairs
Total Title 01
Title 02 Internal market, industry, entrepreneurship and SMEs
Total Title 02
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SG_aar_2016_final – Annexes | 12
P ayment
appro priat io n
s autho rised
*
P ayments
made%
1 2 3=2/ 1
01 01 01
Administrative expenditure of the 'Economic and financial
affairs' policy area0,73 0,49 68 %
0,73 0,49 68 %
02 02 02
Competitiveness of enterprises and small and medium-sized
enterprises (COSME)1,39 0,62 45 %
1,39 0,62 45 %
18 18 04 Fostering European citizenship 0,20 0,00 0 %
0,20 0,00 0 %
24 24 01
Administrative expenditure of the 'Fight against fraud' policy
area0,04 0,04 100 %
0,04 0,04 100 %
25 25 01
Administrative expenditure of the 'Commission's policy
coordination and legal advice' policy area 9,34 5,96 64 %
25 02 Relations w ith civil society, openness and information 0,01 0,00 0 %
9,35 5,96 64 %
26 26 01
Administrative expenditure of the 'Commission's administration'
policy area 1,33 0,81 61 %
1,33 0,81 61 %
13,03 7,92 61 %
TABLE 2: OUTTURN ON PAYMENT APPROPRIATIONS IN 2016 (in Mio €)
C hapter
Title 01 Economic and financial affairs
Total Title 01
Title 02 Internal market, industry, entrepreneurship and SMEs
Total Title 02
Title 18 Migration and home affairs
Total Title 18
Title 24 Fight against fraud
Total DG SG
* Payment appropriations authorised include, in addition to the budget voted by the legislative authority,
appropriations carried over from the previous exercise, budget amendments as well as miscellaneous payment
appropriations for the period (e.g. internal and external assigned revenue).
Total Title 24
Title 25 Commission's policy coordination and legal advice
Total Title 25
Title 26 Commission's administration
Total Title 26
SG_aar_2016_final – Annexes | 13
Commitments to
be settled from
Total of commitments
to be sett led at end
Total of
commitments to
be sett led at end
Commitments
2016Payments 2016 RAL 2016 % to be settled financial years
previous to 2016
of f inancial year
2016(incl correct ions)
of f inancial year
2015 (incl.
correct ions)
1 2 3=1-2 4=1-2/1 5 6=3+5 7
01 01 01 0,47 0,40 0,07 15% 0,00 0,07 0,26
0,47 0,40 0,07 15% 0,00 0,07 0,26
02 02 02 0,95 0,17 0,78 83% 0,24 1,03 0,73
0,95 0,17 0,78 83% 0,24 1,03 0,73
18 18 04 0,64 0,00 0,64 100% 0,00 0,64 0,00
0,64 0,00 0,64 100% 0,00 0,64 0,00
24 24 01 0,02 0,02 0,00 0% 0,00 0,00 0,02
0,02 0,02 0,00 0% 0,00 0,00 0,02
25 25 01 6,90 3,89 3,01 44% 0,00 3,01 2,29
6,90 3,89 3,01 44% 0,00 3,01 2,29
26 26 01 0,75 0,22 0,52 70% 0,00 0,52 0,58
0,75 0,22 0,52 70% 0,00 0,52 0,58
9,73 4,70 5,03 52% 0,24 5,28 3,87
TABLE 3 : BREAKDOWN OF COMMITMENTS TO BE SETTLED AT 31/12/2016 (in Mio €)
2016 Commitments to be settled
Chapter
Title 01 : Economic and financial affairs
Administrative expenditure of the 'Economic
and financial affairs' policy area
Total Title 01
Title 02 : Internal market, industry, entrepreneurship and SMEs
Competitiveness of enterprises and small
and medium-sized enterprises (COSME)
Total Title 02
Title 18 : Migration and home affairs
Fostering European citizenship
Total Title 18
Title 24 : Fight against fraud
Administrative expenditure of the 'Fight
against fraud' policy area
Administrative expenditure of the
'Commission's administration' policy area
Total Title 26
Total DG SG
Total Title 24
Title 25 : Commission's policy coordination and legal advice
Administrative expenditure of the
'Commission's policy coordination and legal
advice' policy area
Total Title 25
Title 26 : Commission's administration
SG_aar_2016_final – Annexes | 15
2016 2015
3.869.043,12 3.591.996,24
3.869.043,12 3.591.996,24
2.200.219,71 0,00
2.198.310,00 0,00
1.909,71 0,00
6.069.262,83 3.591.996,24
0,00 -1.018.890,86
0,00 0,00
0,00 -1.018.890,86
0,00 -1.018.890,86
6.069.262,83 2.573.105,38
24.537.714,35 16.727.594,34
-30.606.977,18 -19.300.699,72
0,00 0,00
BALANCE SHEET
A.I. NON CURRENT ASSETS
A.I. NON CURRENT ASSETSA.I.1. Intangible Assets
A.II. CURRENT ASSETS
A.II. CURRENT ASSETSA.II.2. Current Pre-Financing
A.II.3. Curr Exch Receiv &Non-Ex Recoverables
LIABILITIES
ASSETS
P.II. CURRENT LIABILITIES
P.II. CURRENT LIABILITIESP.II.4. Current Payables
TOTAL
TABLE 4 : BALANCE SHEET SG
The accounting situation presented in the Balance Sheet and Statement of Financial Performance does
not include the accruals and deferrals calculated centrally by the services of the Accounting Officer.
It should be noted that the balance sheet and statement of f inancial performance presented in Annex 3 to this Annual Activity
Report, represent only the assets, liabilities, expenses and revenues that are under the control of this Directorate General.
Signif icant amounts such as ow n resource revenues and cash held in Commission bank accounts are not included in this
Directorate General's accounts since they are managed centrally by DG Budget, on w hose balance sheet and statement of
f inancial performance they appear. Furthermore, since the accumulated result of the Commission is not split amongst the
various Directorates General, it can be seen that the balance sheet presented here is not in equilibrium.
Additionally, the f igures included in tables 4 and 5 are provisional since they are, at this date, still subject to audit by the Court
of Auditors. It is thus possible that amounts included in these tables may have to be adjusted follow ing this audit.
Non-allocated central (surplus)/deficit*
NET ASSETS (ASSETS less LIABILITIES)
P.III.2. Accumulated Surplus / Deficit
P.II.5. Current Accrued Charges &Defrd Income
SG_aar_2016_final – Annexes | 17
STATEMENT OF FINANCIAL PERFORMANCE 2016 2015
II.1 REVENUES -707.335,79 -574.390,93
II.1.2. EXCHANGE REVENUES -707.335,79 -574.390,93
II.1.2.2. OTHER EXCHANGE REVENUE -707.335,79 -574.390,93
II.2. EXPENSES 3.396.326,01 8.384.510,94
II.2. EXPENSES 3.396.326,01 8.384.510,94
II.2.10.OTHER EXPENSES 2.691.694,24 7.449.385,53
II.2.2. EXP IMPLEM BY COMMISS&EX.AGENC. (DM) 704.631,77 934.842,50
II.2.8. FINANCE COSTS 282,91
STATEMENT OF FINANCIAL PERFORMANCE 2.688.990,22 7.810.120,01
TABLE 5 : STATEMENT OF FINANCIAL PERFORMANCE SG
The accounting situation presented in the Balance Sheet and Statement of Financial Performance does not
include the accruals and deferrals calculated centrally by the services of the Accounting Officer.
It should be noted that the balance sheet and statement of f inancial performance presented in Annex 3 to this Annual Activity
Report, represent only the assets, liabilities, expenses and revenues that are under the control of this Directorate General.
Signif icant amounts such as ow n resource revenues and cash held in Commission bank accounts are not included in this
Directorate General's accounts since they are managed centrally by DG Budget, on w hose balance sheet and statement of
f inancial performance they appear. Furthermore, since the accumulated result of the Commission is not split amongst the various
Directorates General, it can be seen that the balance sheet presented here is not in equilibrium.
Additionally, the f igures included in tables 4 and 5 are provisional since they are, at this date, still subject to audit by the Court of
Auditors. It is thus possible that amounts included in these tables may have to be adjusted follow ing this audit.
OFF BALANCE 2016 2015
OB.3. Other Significant Disclosures 0,00 -2.123.824,39
OB.3.2. Comm against app. not yet consumed 0,00 -2.123.824,39
OB.4. Balancing Accounts 0,00 2.123.824,39
OB.4. Balancing Accounts 0,00 2.123.824,39
OFF BALANCE 0,00 0,00
TABLE 5bis : OFF BALANCE SHEET SG
SG_aar_2016_final – Annexes | 18
Percentage
Average
Payment
Times (Days)
Nbr of
Late
Payments
Percentage
99,47 % 8,57 3 0,53 %
100,00 % 16,57
99,48 % 3 0,52 %
8,67
9,25
Percentage
Average
Payment
Times (Days)
100,00 % 15
100,00 %
15
15
% of Total
Number
Total Number
of Payments
Amount of
Suspende
d
Payments
% of Total
Amount
4,16 % 577 69.426,61 1,06 %
TABLE 6: AVERAGE PAYMENT TIMES FOR 2016 - DG SG
Legal Times
Maximum
Payment Time
(Days)
Total Number
of Payments
Nbr of
Payments
within Time
Limit
Average
Payment
Times (Days)
30 570 567 116,33
60 7 7
Total Number
of Payments577 574
Average Net
Payment Time9,23 116,33
Average Gross
Payment Time9,80 116,33
Target Times
Target
Payment Time
(Days)
Total Number
of Payments
Nbr of
Payments
within
Target Time
20 2 2
Total Number
of Payments2 2
Average Net
Payment Time15
Average Gross
Payment Time15
Suspensions
Average
Report
Approval
Suspension
Average
Payment
Suspension
Days
Number of
Suspended
Payments
Total Paid
Amount
0 14 24 6.564.616,81
Outstanding
Chapter Current year RO Carried over RO Total Current Year RO Carried over RO Total balance
1 2 3=1+2 4 5 6=4+5 7=3-6
66 OTHER CONTRIBUTIONS AND REFUNDS 952.471,98 0,00 952.471,98 952.471,98 0,00 952.471,98 0,00
952.471,98 0,00 952.471,98 952.471,98 0,00 952.471,98 0,00
TABLE 7 : SITUATION ON REVENUE AND INCOME IN 2016
Revenue and income recognized Revenue and income cashed from
Total DG SG
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Year of Origin
(commitment)Nbr RO Amount Nbr RO Amount
2016
Sub-Total
EXPENSES BUDGET
Nbr Amount Nbr Nbr Amount Nbr Amount Nbr Amount Nbr Amount
INCOME LINES IN
INVOICES
NON ELIGIBLE IN COST
CLAIMS
CREDIT NOTES 5 31.010,59 5 31.010,59 8 39.922,94 62,50% 77,68%
Sub-Total 5 31.010,59 5 31.010,59 8 39.922,94 62,50% 77,68%
GRAND TOTAL 5 31.010,59 5 31.010,59 15 901.988,94 33,33% 3,44%
Total undue payments
recovered
Total transactions in
recovery context (incl.
non-qualified)
% Qualified/Total RC
Amount
Irregularity OLAF Notified
TABLE 8 : RECOVERY OF PAYMENTS
(Number of Recovery Contexts and corresponding Transaction Amount)
7 862.066,00
7 862.066,00
Error
Total undue
payments recovered
Total transactions in
recovery context (incl. non-
qualified)
% Qualified/Total RC
Nbr RO Amount
TABLE 9: AGEING BALANCE OF RECOVERY ORDERS AT 31/12/2016 FOR SG
No data to be reported.
TABLE 10: RECOVERY ORDER WAIVERS IN 2016 >= EUR 100.000
No data to be reported.
TABLE 11: CENSUS OF NEGOTIATED PROCEDURES - DG SG - 2016
No data to be reported.
TABLE 12: SUMMARY OF PROCEDURES OF DG SG EXCLUDING BUILDING CONTRACTS
No data to be reported.
TABLE 13: BUILDING CONTRACTS
No data to be reported.
TABLE 14: CONTRACTS DECLARED SECRET
No data to be reported.
SG_aar_2016_final – Annexes | 22
ANNEX 4: Materiality criteria
The Secretariat-General uses the guidelines provided in the Communication
COM(2003)28 of 21 January 2003. According to these guidelines, only material
reservations can be used to qualify the annual declaration.
The process of deciding whether a deficiency is material consists of the following steps:
a) Identifying a deficiency (e.g.: a significant weakness of the control systems,
insufficient audit coverage, a critical issue outlined by the European Court of Auditors,
the Internal Audit Service and European Anti-Fraud Office;
b) Determining if the deficiency falls within the scope of the Authorising Officer by
Delegation's declaration (it relates to the reasonable assurance concerning the use of
resources, sound financial management or legality and regularity of underlying
transactions);
c) Qualitative assessment: assessing if the deficiency is significant in qualitative terms
means analysing:
- the nature and scope of the deficiency,
- the duration of the deficiency,
- the existence of compensatory measures (mitigating controls which reduce
the impact of the deficiency),
- the existence of effective remedial actions to correct the deficiencies
(action plans and financial corrections) which have had a measurable
impact;
d) Quantitative assessment: a deficiency which is significant from a qualitative
perspective must be quantified in terms of "monetary value of the identified problem"/
"amount considered at risk". In line with the guidelines agreed centrally in the
Commission, the Secretariat-General applies the recommended threshold of 2% i.e.
when the value of the transactions affected by the deficiency represents more than 2% of
the budget of one Activity Based Budgeting (ABB) activity of the Directorate-General;
e) For deficiencies which are considered significant from a qualitative point of view, but
their financial impact is lower than the 2% threshold, the Secretariat-General takes into
account the potential reputational consequences they may entail. A reservation would be
made if such a reputational event were to occur and negatively impact on the image of
the Commission.
Additionally, the Secretariat-General continues to apply another materiality criterion: its
systemic responsibilities. Beyond its own operational responsibilities, the Secretariat-
General is a horizontal service operating as a service provider and thus also bears
responsibility for the development and quality of a certain number of corporate
processes. In particular, the Secretariat-General has the responsibility at Commission
level for the decision making process of the College, document management and crisis
management.
SG_aar_2016_final – Annexes | 23
ANNEX 5: Internal Control Template(s) for budget implementation (ICTs)
PROCUREMENT DIRECT MANAGEMENT
The SG mainly concludes contracts for IT service providers based on framework contracts put available by DG DIGIT, that way the tender
procedure (framework contract) is not managed by the SG itself. For occasional needs, the SG uses negotiated procedures for low-value
contracts (not exceeding 60,000 EUR). The SG itself manages maximum 1 to 2 open or restricted procedures per year for contracts exceeding
60,000 EUR.
Stage 1 –Procurement
A - Planning
Main control objectives: Effectiveness, efficiency and economy. Compliance (legality and regularity).
Main risks It may
happen (again) that… Mitigating controls
How to determine
coverage frequency and
depth
How to estimate the
costs and benefits of
controls
Control indicators
The needs are not well
defined (operationally
and economically) and
that the decision to
procure was
inappropriate to meet
the operational
objectives
Discontinuation of the
services provided due to
a late contracting (poor
planning and
organisation of the
procurement process)
Validation by AO(S)D of
justification (economic ,
operation) for launching a
procurement process
100% of the forecast
procurements
Non-spending DG:
single global indicator
= overall cost of
control / payments
made (%) (see section
3.2.5 Ares
(2014)3702334 dated
04/11/2014
Effectiveness: Number of
projected tender cancelled,
Number of contracts
discontinued due to lack of
use (poor planning).
Efficiency: single global
indicator = overall cost of
control / payments made
(%)
Decisions discussed/taken at
management meeting
All key procurement
procedures (> amounts
and/or having significant
impact on the objectives of
the DG) are discussed at
management meeting
NB: for all controls, information in particular financial information related to inputs / outputs and follow-up should be collected
SG_aar_2016_final – Annexes | 24
B - Needs assessment & definition of needs
Main control objectives: Effectiveness, efficiency and economy. Compliance (legality and regularity).
Main risks It may
happen (again) that… Mitigating controls
How to determine
coverage frequency and
depth
How to estimate the
costs and benefits of
controls
Control indicators
The best offer/s are not
submitted due to the
poor definition of the
tender specifications
AOSD supervision and
approval of specifications
100% of the specifications
are scrutinised. Depth may
be determined by the
amount and/or the impact
on the objectives of the DG
if it goes wrong
Non-spending DG:
single global indicator
= overall cost of
control / payments
made (%) (see section
3.2.5 Ares
(2014)3702334 dated
04/11/2014
Effectiveness: N° of
procedures where only one
or no offers were received.
Efficiency: single global
indicator = overall cost of
control / payments made
(%)
NB: for all controls, information in particular financial information related to inputs / outputs and follow-up should be collected
C – Selection of the offer & evaluation
Main control objectives: Effectiveness, efficiency and economy. Compliance (legality and regularity). Fraud prevention and detection.
Main risks It may
happen (again) that… Mitigating controls
How to determine
coverage frequency and
depth
How to estimate the
costs and benefits of
controls
Control indicators
The most economically
advantageous offer not
being selected, due to a
biased, inaccurate or
‘unfair’
evaluation process
Formal evaluation process:
Opening committee and
Evaluation committee,
presence of SG.R.1
100% of the offers
analysed.
Depth: all documents
transmitted
Non-spending DG:
single global indicator
= overall cost of
control / payments
made (%) (see section
3.2.5 Ares
(2014)3702334 dated
Effectiveness: Numbers of
‘valid’ complaints or
litigation cases filed.
single global indicator =
overall cost of control /
payments made (%)
SG_aar_2016_final – Annexes | 25
04/11/2014
Opening and Evaluation
Committees' declaration of
absence of conflict of
interests
100% of the members of
the opening committee and
the evaluation committee
Non-spending DG:
single global indicator
= overall cost of
control / payments
made (%) (see section
3.2.5 Ares
(2014)3702334 dated
04/11/2014
Exclusion criteria
documented
100% checked. Depth:
required documents
provided are consistent
Non-spending DG:
single global indicator
= overall cost of
control / payments
made (%) (see section
3.2.5 Ares
(2014)3702334 dated
04/11/2014
Standstill period,
opportunity for
unsuccessful tenderers to put
forward their concerns
on the decision.
100% when conditions are
fulfilled
Non-spending DG:
single global indicator
= overall cost of
control / payments
made (%) (see section
3.2.5 Ares
(2014)3702334 dated
04/11/2014
NB: for all controls, information in particular financial information related to inputs / outputs and follow-up should be collected
Stage 2 – Financial transactions
SG_aar_2016_final – Annexes | 26
Main control objectives: Ensuring that the implementation of the contract is in compliance with the signed contract
Main risks It may
happen (again) that… Mitigating controls
How to determine
coverage frequency and
depth
How to estimate the
costs and benefits of
controls
Possible control
indicators
The services foreseen
are not, totally or
partially, provided in
accordance with the
technical description
and requirements
foreseen in the contract
and/or the amounts
paid exceed that due in
accordance with the
applicable contractual
and regulatory
provisions. Business
discontinues because
contractor fails to
deliver
Operational and financial
checks in accordance with the
financial circuits (100% ex
ante verification).
Operation authorisation by
the AOSD
100% of the contracts are
controlled, including only
value adding checks.
Non-spending DG:
single global indicator
= overall cost of
control / payments
made (%) (see section
3.2.5 Ares
(2014)3702334 dated
04/11/2014
Effectiveness: Ex ante
control - number of 'refusal
for correction/cancellation';
- percentage of overdue
payments
Efficiency: single global
indicator = overall cost of
control / payments made
(%) Management of sensitive
functions
High risk operations
identified by risk criteria.
Amount and potential
impact on the DG operations
of late or no delivery
NB: for all controls, information in particular financial information related to inputs / outputs and follow-up should be collected
SG_aar_2016_final – Annexes | 27
Stage 3 – Supervisory measures
Main control objectives: Ensuring that any weakness in the procedures (tender and financial transactions) is detected and corrected
Main risks It may
happen (again) that… Mitigating controls
How to determine
coverage frequency and
depth*
How to estimate the
costs and benefits of
controls
Possible control
indicators
An error or non-
compliance with
regulatory and
contractual provisions,
including technical
specifications, or a
fraud is not prevented,
detected or corrected by
ex-ante control, prior to
payment
Ex-post publication
(possible reaction from
tenderer / potential
tenderer such as whistle
blowing)
Potentially 100%
Non-spending DG:
single global indicator
= overall cost of
control / payments
made (%) (see section
3.2.5 Ares
(2014)3702334 dated
04/11/2014
Effectiveness: Amounts
associated with errors
detected (related to fraud,
irregularities and error). In
% over total checked.
single global indicator =
overall cost of control /
payments made (%)
Review of exceptions
reported and AOSD reporting
100% twice a year. Depth:
look for any weakness in the
procedures (procurement
and financial transactions)
Review of the process after
each procedure
100%. Depth: review any
significant problem that
occurred
NB: for all controls, information in particular financial information related to inputs / outputs and follow-up should be collected
SG_aar_2016_final – Annexes | 28
ANNEX 6: Implementation through national or
international public-sector bodies and bodies governed by private law with a public sector mission
Not applicable for the Secretariat-General
SG_aar_2016_final – Annexes | 29
ANNEX 7: EAMR of the Union Delegations
Not applicable for the Secretariat-General
SG_aar_2016_final – Annexes | 30
ANNEX 8: Decentralised agencies
Not applicable for the Secretariat-General
SG_aar_2016_final – Annexes | 31
ANNEX 9: Evaluations and other studies finalised or cancelled during the year
I. Evaluations finalised or cancelled in 2016
a. Evaluations finalised in 2016
None
b. Evaluations cancelled in 2016
None
II. Other studies finalised or cancelled in 2016
a. Other studies finalised in 2016
Analysis of responses to the
Open Public Consultation
on the proposal for a mandatory
Transparency Register
Preparation of a synthesis Report
presenting a quantitative and a
qualitative analysis of the large
volume of replies received to the
public consultation on a mandatory
Transparency Register.
The public consultation fed
into the preparation of the
Commission proposal for an
IIA on a mandatory
Transparency Register - an
action on the CWP 2016
under the "Democratic
Change" priority of the
Commission.
C None
40396
The Report was published on the relevant
public consultation website. The primary
target group were the respondents that
participated in the public consultation.
Specific Contract SG/B4/R1-2015/1
implementing Framework Contract
ENTR/172/PP/2012-FC Lot 3)
Study on Business Impact
Analysis (BIA) for Cabinets
Analysis of business practices of
cabinets in order to establish business
continuity measures.
I None 12000
Fitness-check consultation
support and development of
advice for the Secretariat
General
Support to the assessment of results
of an open public consultation carried
out in the context of the Natura 2000. I ENV 145.000
https://bookshop.europa.eu/en/consultation-
support-and-development-of-advice-
pbKA0217018/?CatalogCategoryID=YR4KA
BstrdkAAAEjLocY4e5K
b. Other studies cancelled in 2016
None
2 Specify what programme/regulatory measure/initiative/policy area etc. has been covered
3 FC – fitness check, E – expenditure programme/measure, R – regulatory measure (not recognised as a FC), C – communication activity, I – internal Commission activity, O – other – please specify in the Comments4 Allows to provide any comments related to the item (in particular changes compared to the planning). When relevant, the reasons for cancelling evaluations/ other studies also needs to be explained in this column.
5 For evaluations the references should be 1) number of its Evaluation Staff Working Document and number of the SWD's executive summary; 2) link to the supportive study of the SWD in EU bookshop. For other studies the references should be the link to EU bookshop or other reference
where the ‘other study’ is published via different point.
Reference5Comments4 No used in
Annex 3 MP2016
Title Associated
DGs
Costs
(EUR)Scope 2Reason 1 Type3
1 Reason why the evaluation/other study was carried out, please align with Annex 3 of the MP 2016. The individual symbols used have the following meaning: L - legal act, LMFF - legal base of MFF instrument, FR - financial regulation, REFIT, REFIT/L, CWP - 'evaluate first', O - other (please
specify in Comments)
SG_aar_2016_final – Annexes | 32
ANNEX 10: Specific annexes related to "Financial
Management"
Not applicable for the Secretariat-General
SG_aar_2016_final – Annexes | 33
ANNEX 11: Specific annexes related to "Assessment of
the effectiveness of the internal control systems"
Not applicable for the Secretariat-General
SG_aar_2016_final – Annexes | 34
ANNEX 12: Performance tables
General objective A: A New Boost for Jobs, Growth and Investment
Impact indicator: Percentage of EU GDP invested in R&D (combined public and private
investment)
Source of the data: Eurostat4
Baseline
(2012)
Latest known value
(2014 - provisional)
Target
(2020)
Europe 2020 target
2.01% 2.03% 3%
Bookmark
Impact indicator: GDP growth
Source of the data: Eurostat
Baseline
(2014)
Latest known value
(2015)
Target
(2020)
1.6% 2.2% Increase
Bookmark
Impact indicator: Labour productivity EU-28 as compared to US (US=100)
Explanation: Gross domestic product at 2010 reference levels per hour worked
(purchasing power parity adjusted).
Source of the data:: AMECO database of the European Commission's Directorate-General
for Economic and Financial Affairs
Baseline
(2014)
Latest known value Target
(2020) (2015)
75
(US=100)
75.4 Increase
Impact indicator: Resource productivity: Gross Domestic Product (GDP, €) over Domestic
Material Consumption (DMC, kg)
Explanation: The indicator focuses on the sustainability of growth and jobs.
Source of the data: Eurostat
Baseline
(2010 – Eurostat
estimate)
Latest known value Target
(2020) (2015 – provisional, Eurostat
estimate)
1.8 €/kg (EU-28) 2 €/kg (EU-28) Increase
Bookmark
4 Please note that Eurostat periodically revises its published data to reflect new or improved information, also
for previous years. The latest published data is available by clicking on "bookmark". The "latest known value" column reflects the data that was available at the time of the preparation of the AARs 2016 and it is the reference point for the AARs of Commission services.
SG_aar_2016_final – Annexes | 35
Specific objective A.1: To ensure sound public finances,
prevent excessive macroeconomic imbalances, pursue
structural reforms for jobs and growth and boost
investment by providing integrated fiscal, economic,
employment and social policy guidance to the Member
States.
Related to spending
programme(s) NO
Result indicator: Rate of progress towards the implementation of the country-specific
recommendations.
Source of data: Commission services' analysis and information from Member States
(missions, bilateral meetings, national reform programmes)
Baseline
(February 2015 assessment)
Target
(2020)
Latest known
results
(year)
Lead
Unit
3% fully addressed,
9% substantial progress,
41% some progress,
35% limited progress,
12% no progress
Improved take
up of CSRs
5% substantial
progress
43% some progress
41% limited progress
11% no progress
SG.D1
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest known
results
(situation on
31/12/2016)
Lead unit
Country Reports:
assessment of economic
and social developments
and challenges, of the
reform agenda, of the
implementation of
country-specific
recommendations and of
the progress in the
implementation of the
Europe 2020 strategy for
each Member State
Publication by
Commission
services
End
February
2016
Published on
26 February
2016 for 26
Member
States and on
7 April 2016
for Cyprus.
SG.D1,
ECFIN (EMPL
for the
employment-
and social-
related
aspects).
Country-specific
recommendations:
operational guidance to
Member States on how to
increase growth and jobs,
including by removing
bottlenecks preventing
growth and job creation,
and to promote
sustainable public
finances.
The number and scope of
Adoption by the
Commission
May 2016 Adopted on
18 May 2016
SG.D1
SG_aar_2016_final – Annexes | 36
country-specific
recommendations reflect
the intensity and severity
of the challenges faced by
the Member States, and
the adequacy of their
response to previous
country-specific
recommendations.
Annual Growth Survey: it
sets out the EU's
economic priorities for the
coming year and kicks off
the European Semester
every year
Adoption by the
Commission
November
2016
Adopted on
16 November
2016.
SG.D1
Specific objective A.2: Prepare options to a successor
strategy to the Europe 2020 strategy for jobs and
growth, taking into account the economic, social and
environmental angles of sustainable development.
Related to spending
programme(s) NO
Result indicator: Progress towards a successor strategy to Europe 2020
Source of data: SG
Baseline
(2015)
Interim Milestone Target
(Before 2020)
Latest known
results
(2016)
Lead
Unit (2016)
Lessons from
the Europe
2020 strategy;
current state of
play
Preparation of options
for a successor
strategy to Europe
2020
Proposals for a
successor
strategy to
Europe 2020
Communication on
the "Next steps for
a sustainable
European future",
which was adopted
on 22 November
SG.D1
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target
date
Latest known
results
(situation on
31/12/2016)
Lead unit
Initiative on "Next
steps for a
sustainable European
future"
Adoption by the
Commission
2016 Communication
adopted on 22
November
2016
SG.D1
Specific objective A.3: The current MFF is reviewed and a
new MFF put in place for the post-2020 period.
Related to spending
programme(s) YES
Result indicator: Delivery of the mid-term review of the MFF and proposals for the post-
2020 MFF.
SG_aar_2016_final – Annexes | 37
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target
date
Latest known
results
(situation on
31/12/2016)
Lead unit
Mid-term Review of
Multiannual Financial
Framework
Adoption by the
Commission
End 2016 Adopted
(September
2016)
SG.B1
General objective B: An Area of Justice and Fundamental Rights Based on Mutual Trust
Specific objective B.1: The rule of law is consolidated in
Bulgaria and Romania through achieving the goals of the
Cooperation and Verification Mechanisms.
Related to spending
programme(s) NO
Result indicator: Progress towards the benchmarks set in 2007 in respect of judicial
reform and anti-corruption measures (and action against organised crime in the case of
Bulgaria). This measures the extent of progress each year and the extent to which the
previous year's recommendations have been followed.
Source of data: Commission services' analysis and information from Member States
(missions, on-the-spot analysis, input from other stakeholders)
Baseline
(Commission report January 2016)
Target
(2020)
Latest
known
results
(2016)
Lead
Unit
0 benchmarks fulfilled so far in accordance
with the original Decisions establishing 6
benchmarks for Bulgaria and 4 for Romania
There is a political
objective that
progress in the two
Member States
would be sufficient
by the end of the
January
2017 report
identified
specific
state of
progress of
SG.E1
Source of data: SG
Baseline
(2015)
Interim Milestone Target
(Before 2020)
Latest
known
results
(2016)
Lead
Unit (2016)
Implementation
of current MFF
Mid-term review of the MFF Political
agreement on the
post-2020 MFF
and its constituent
programmes
Mid-term
review of the
MFF adopted
by the
Commission.
Preparation
of the post-
2020 MFF
on-going
SG.B1
SG_aar_2016_final – Annexes | 38
mandate in October
2019 to justify the
conclusion of the
mechanisms
remaining
actions
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target
date
Latest known
results
(situation on
31/12/2016)
Lead unit
Cooperation and
Verification
Mechanism reports
Adoption by the
Commission
January
2016
Adopted on
27 January
2016
SG.E1
General objective C: A Union of Democratic Change
Impact indicator: Voter turnout at European Elections
Source of the data: European Parliament
Baseline
(2014)
Latest known value Target
(2019)
42.61% No new value Increase
Impact indicator: Number of opinions received from national Parliaments
Explanation: The number of opinions to a certain degree depends on the number of
legislative proposals and policy communications put forward by the Commission.
Source of the data: European Commission Annual report on relations between the
European Commission and national parliaments
Baseline
(2014)
Latest known value Target
(2020) (2015) (2016)
506 350 613 Increase
Specific objective C.1: Regulatory policy and related tools
are fully developed and applied throughout the legislative
cycle (planning to impact assessment to evaluation) in
order to improve the effectiveness and efficiency of EU
regulation. The acquis is 'fit for purpose' delivering its
benefits by least cost.
Related to spending
programme(s) NO
Result indicator: Proportion of REFIT legislative initiatives with quantified burden
reduction estimated.
Source of data: SG
Baseline
(2016)
Interim Milestones Target
(2020)
Latest known
results
(2016)
Number of 2016
Lead
Unit (2017) (2018) (2019)
SG_aar_2016_final – Annexes | 39
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest known
results
(situation on
31/12/2016)
Lead unit
Commission Work
Programme
Adoption by the
Commission
October
2016
Adopted on
25/10/2016
SG.C4
Communication on
the Application of EU
Law
Adoption by the
Commission
October
2016
Adopted on
13/12/2016
SG.C3
Proposal for an EP
and Council
Adoption by the
Commission
December
2016
Proposals
adopted in
SG.B2
REFIT impact
assessments with
quantified burden
reduction estimated
10% 20% 30% 40% 50% 75% SG.C1
Result indicator: Proportion of impact assessments passing the Regulatory Scrutiny
Board (RSB) at the first submission.
Source of data: RSB
Baseline
(2015)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2018)
52% 60% 70% 58% SG.C2
Result indicator: Major legislative amendments to existing legislation preceded by
evaluations
Source of data: CWP initiatives adopted
Baseline
(2015)
Interim
Milestone
Target
(2020)
Latest known
results
(2016)
Lead
Unit
(2018)
16% 40% 60%
68% SG.C1
Result indicator: Percentage of (proposed) directives accompanied by Implementation
Plans
Source of data: VISTA
Baseline
(2015)
Interim
Milestone
Target
(2020)
Latest known results
(2016)
Lead
Unit
Lead
Unit
(2018)
21% 30% 50% 7%
Instead of formal Implementation
Plans, many services used informal
tools to help Member States in
their transposition efforts, such as
bilateral and multilateral meetings,
workshops, conferences, etc.
SG.C3
SG_aar_2016_final – Annexes | 40
Regulation adapting
to Article 290 and
291 TFEU a number
of legal acts
providing for the use
of the regulatory
procedure with
scrutiny
December 2016
Report on the
implementation of
Regulation 182/2011
Adoption by the
Commission
End February
2016
Report adopted in
February 2016
SG.B2
Updated Guidelines
to Commission
services on
Delegated and
Implementing Acts
Publication Q2 2016 Guidelines have
been finalised at
unit level, while
publication was
postponed to
Q1/2017,
following the
President's
announcements
on comitology in
September and
pending the
finalisation of the
ongoing update
of the Better
Regulation
Guidelines
SG.B2
Inter-institutional
Register of Delegated
Acts:
Setting up internal
and inter-institutional
work structures;
definition of needs
and deliverables
Completion of
preparatory work
December
2016
Business needs
and governance
model agreed
between the
three institutions
by December
2016. The project
is on track in
view of becoming
operational by
December 2017.
SG.B2
Specific objective C.2: A more democratic and
accountable European Union opening up policy-making
and enhancing its dialogue with citizens, stakeholders
and national Parliaments.
Related to spending
programme(s) NO
Result indicator: Better Regulation Portal number of visitors
The Better Regulation portal is regularly visited: the related web pages receive a
substantial number of unique visitors per month and a sizeable number of searches are
performed.
Source of data: SAS Web Analytics for website; BR Portal
Baseline Interim Milestone Target Latest known Lead
SG_aar_2016_final – Annexes | 41
(2015) (2018) (Before 2020) results
(2016)
Unit
30,000 20% increase compared
to 2015 baseline of visits
to existing relevant
Europa website following
the launch of the Better
Regulation Portal
80,000 (similar
to
Transparency
portal)
10,0005
SG.A1/
SG.F5
Result indicator: Better Regulation Portal user satisfaction (number of users who declare
that the site met their expectations).
Source of data: SG
Baseline
(n/a)
Target
(2020)
Latest known
results
(2016)
Lead
Unit
n/a 70% Postponed
The user
satisfaction
survey has been
postponed for
2017; therefore
no known result
for 2016.
SG.A1/
SG.F5
Result indicator Number of citizens' initiatives registered
Source of data:
Baseline
(2015)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2018)
6 8 15 3 SG.C4
Result indicator percentage of roadmaps, inception IAs, Commission proposals covered
by feedback
Source of data: DG COMM
Baseline
(2015)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2018)
n/a 100% 100% 100% SG.C4
Main outputs in 2016:
5 The web analytics tool changed, from SAS to Piwik. It entails a change in the way analytics are collected.
The new system provides better accuracy in tracking human activity. For example the new tool can now filter out entries from machines, knows not to double count when the IP address changes and has different other improvements. The natural consequence of this technology upgrade is that the values retrieved by Piwik are relatively lower. The change in technology will require adaptation of target and milestone. According to the previous counting system for example, the feedback section "Share your views" records on average around 3,000 visitors every month. Until end of December, this feedback section has been visited more than 40,000 times.
SG_aar_2016_final – Annexes | 42
Policy–related outputs
Description Indicator Target
date
Latest known
results
(situation on
31/12/2016)
Lead
unit
Delivery of the two
first phases of the
new web portal on
Europa implementing
the Better Regulation
commitments from
the May
Communication.
Delivery of 1st phase:
brand new web
presence with user-
friendly and streamlined
contents, access to
draft delegated and
implementing acts with
an efficient feedback
mechanism, also easing
the handling of results
by DGs.
June 2016 Completed
1st phase
delivered on 30
June 2016
SG.A1
Delivery of 2nd phase:
automatic publication of
other types of
documents, extension of
the feedback
mechanism to these
documents, information
on the planning of
delegated and
implementing acts,
timeline presentation
and integration of
functionalities foreseen
in the context of REFIT.
December
2016
Completed (with
a small delay)67
SG.A1
Follow-up to national
Parliaments (NP)
opinions
Quality and timeliness
of follow-up to opinions
and reasoned opinions
Ongoing 56% SG.F3
Follow-up to the
European
Ombudsman's
requests
Quality and timeliness
of follow-up
Ongoing 100% SG.F3
Specific objective C.3: The public has easy access to Related to spending
6 Delivery of 2nd phase planned for end February 2017 including the automatic publication of roadmaps,
inception impact assessments, Commission proposals and adopted acts, the integration of REFIT "Lighten the load", the handling of all contributions with the new feedback tool, improvements of the level of service for DGs and external stakeholders (e.g. notifications, attachments in feedback).
7 Some delays prevented the planned delivery on 15 December 2016: the automatic sending of documents
from Decide/e-Greffe to Europa proved more difficult than foreseen. In particular, the transmission of information and documents via the integration with Hermes required additional efforts in order to develop a sustainable solution in line with the changes to be done to the architecture of Decide. Furthermore, the complexity of information and the high number of documents (in all linguistic versions) handled at the adoption stage of the decision-making process calls for a sufficient testing period to cater for different scenarios.
SG_aar_2016_final – Annexes | 43
information on the EU's work and contacts with
stakeholders – from the preparation stage to the final
documents.
programme(s) NO
Result indicator: Number of entities registered in the Commission Transparency Register
Source of data: SG
Baseline
(2013)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit
(2018)
8200 9500 11000 10845 SG.B4
Completed evaluations: Analysis of the responses to the open public consultation on the
proposal for a mandatory Transparency Register; Report delivered by external consultancy
(RPA) in July 2016; Specific Contract SG/B4/R1-2015/1 implementing Framework Contract
ENTR/172/PP/2012-FC Lot 3.
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest
known
results
(situation on
31/12/2016)
Lead unit
Proposal for tripartite
Interinstitutional
Agreement on a
mandatory
Transparency Register
Adoption by the
Commission
End of 2016 Proposal
adopted in
September
2016
SG.B4
Revised Horizontal
Rules on Commission
Expert Groups
Adoption and
publication by the
Commission
March 2016 Adopted on
30 May
2016
SG.B2
New version of
Register of
Commission Expert
Groups
Successful roll-out
of new version of
the Register
March 2016 Completed
on 30 May
2016
SG.B2
General objective D: To help achieve its overall political objectives, the Commission will effectively and efficiently manage and
safeguard its assets and resources, and attract and develop the best talents
Impact indicator: Trust in the European Commission
Source of the data: Standard Eurobarometer on Public Opinion in the European Union
Baseline
(EB 83 – Spring
2015)
Latest known value
( EB 85 – Spring 2016)
Target
(2020)
40% tend to
trust
37% tend to trust Increase
SG_aar_2016_final – Annexes | 44
Impact indicator: Staff engagement index in the Commission
Source of the data: European Commission
Baseline
(2014)
Latest known value
(2016)
Target
(2020)
65.3% 64.3% Increase
Specific objective D.1.: The policy-making process is
efficiently steered and coordinated in order to ensure
that the ten political priorities of the Commission are
delivered on time and in a collegial way.
Related to spending
programme(s) NO
Result indicator: Implementation rate of CWP Annex I initiatives
The translation of the President's political priorities into concrete deliverables in the CWP
(and the subsequent realisation of the CWP) indicates the effectiveness of the link between
the objectives and the delivery of policy initiatives
Source of data: SG
Baseline
(2015)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2017)
16 out of 23
initiatives
delivered in
calendar year
100% 100%
Target defined by
the priorities set out
by the President.
The aim is to
deliver on all
initiatives
programmed in
each year leading
up to the end of the
President's
mandate.
91%8 SG.C4
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest
known
results
(situation on
31/12/2016)
Lead unit
Timely and high
quality support for the
delivery of all CWP
items by co-drafting
of communications
Completion End of 2016 Ongoing All relevant
SG units.
8 Some initiatives are being delivered in 2017
SG_aar_2016_final – Annexes | 45
with lead DGs, replies
to ISCs, managing
inter-service groups,
fast track meetings
Specific objective D.2: The Commission's prerogatives
and positions in inter-institutional negotiations are
defended.
Related to spending
programme(s) NO
Result indicator: Number of proposals for which the co-legislators substantially deviate
from the initial Commission proposition and for which therefore unanimous agreement in
the Council is required
This indicator is relevant to the specific objective as it shows the number of instances
where the Commission did not agree with the compromise presented by the Presidency in
the Council and where the unanimous agreement of the Member States against the
Commission's position is required.
Source of data: SG
Baseline
(2015)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2018)
0 0 0 0 SG.F2
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest known
results
(situation on
31/12/2016)
Lead unit
Modern and efficient
framework for
Commission inter-
institutional position-
taking ensured (GRI
procedures)
Quality of service GRI cycle
every week
Weekly GRI
meetings held
throughout
the year in
preparation of
each
Commission
meeting.
SG.F1
Replies to
Parliamentary
Questions
Quality and
timeliness of replies
to EP questions,
including respect of
the EP's deadlines
(3 weeks for priority
questions and 5
weeks for ordinary
questions)
Ongoing Delays in
replies to
9543 EP
questions
remain
roughly at
2015 levels
(30% replied
to in time,
however with
a positive
trend in the
second half of
SG.F1
SG_aar_2016_final – Annexes | 46
2016. About
90% of replies
are delivered
within 8
weeks.
Alignment, on a case-
by-case basis, of the
EU decentralised
agencies' founding
acts with the
principles of the
Common Approach
agreed by the EP,
Council and the
Commission in 2012
Preservation of the
Commission's role
in the agencies'
management boards
and in the selection
process of the
agencies' directors
in order to ensure
better coherence
and supervision of
EU decentralised
agencies in
accordance with the
principles of the
Common Approach
Ongoing Ongoing.
In 2016, the
Commission
adopted 6
legislative
proposals
aiming at fully
or partially
aligning the
founding act
of certain
agencies with
the Common
Approach
SG.B2
together
with policy
co-
ordination
units
Specific objective D.3: The President and the Vice-
Presidents are provided on time with high quality, fit-
for-purpose briefings as well as flash reports on
major institutional and international issues.
Related to spending
programme(s) NO
Result indicator: Number of instances generating negative reactions from briefing users -
and reasons for dissatisfaction- in relation to overall number of briefings/flashes.
The SG produces a very large number of briefings and flash reports: instances where the
user of these documents goes back to the services having produced them with critical
remarks is a very relevant indicator to measure the quality of briefings and flash notes and
to be able to improve it.
Source of data: SG
Baseline
(2015)
Interim
Milestone
Target
(2020)
Latest known results
(2016)
Lead
Unit
(2018)
0 0 0 <5 instances of negative
feedback. Majority of cases
concerned specific points of
reporting a Com position in
CRP/Council. One issue
concerned briefing
formatting (not content).
SG.F1
/SG.F2/
SG.F3/
SG.F4/
SG.E3
Main outputs in 2016:
Policy–related outputs
Description Indicator Target
date
Latest known results
(situation on
Lead unit
SG_aar_2016_final – Annexes | 47
31/12/2016)
Quality, fit-for-
purpose and timely
briefings materials for
Commission
representatives at
institutional and
external events
Quality of
briefing
Ongoing Dir. F: 190 briefings
prepared for Coreper I
& II meetings; GAC;
European Councils;
meetings and events
of the President, VPs,
SG and DSGs. Also,
868 briefings on –
requests for meetings
and events of the
President-Vice
Presidents; 7
developed &
maintained ready-to-
use briefings; 28 MS
fiches. In 2016 the
relevant unit
coordinated and
delivered 184 briefings
of which 167 for
President and Vice-
Presidents relating to
national Parliaments
and Committees.
Dir. E: International
briefings: 246 in 2016.
Made up of 96
briefings for the
President and 150 for
Vice-Presidents.
SG.F4,
SG.F2,
SG.F1,
SG.F3
SG.E3
Relevant and timely
flash reports for the
preparatory phase
Quality of flash
reporting and
respect of same
day reporting
deadlines
Ongoing Same as output below
on Coreper/Council
flash reports
SG F2
Early warning
messages on
sensitive issues for
the other institutions
and better
anticipation of major
issues of relevance
for the European
Council
Quality and
timeliness of
anticipation /
early warnings
Ongoing - Strategic outlook
notes prepared for
European Councils
(June-Oct-Dec): new
product to inform
targeted briefing
request and
preparation.
- Early warning
messages passed
throughout the year as
part of regular work,
by email and/or
informal contacts with
SG.F2
SG_aar_2016_final – Annexes | 48
hierarchy and
concerned
stakeholders
Same day flash
reports on outcome of
Coreper and Council
meetings
Quality and
timeliness of
flash reporting,
including respect
of same day
reporting
deadlines
Ongoing 112 same day flash
reports (CRPI+II, GAC
Councils)
SG.F2,
Directorates
D and E
Preparation and
circulation of SI notes
(information notes on
the works of the
Council) for Coreper
and Council meetings
Quality and
timeliness of
reporting
Ongoing 220 SI notes SG.F2,
Directorates
D and E
Establishment and
maintenance of close
working relationship
with the Presidency,
the Council General
Secretariat and
Member States'
Representations.
Effectiveness of
working
relationship
Ongoing Effective working
relationships
developed and
maintained by regular
formal & informal
meetings:
Antici/Mertens (71);
Presidency briefings +
meetings with CSG
(85); meetings with
Member States (60)
and with Presidency
(30)
SG.F2
Early contacts with
upcoming
Presidencies on
priorities and
calendar of meetings
Establishment of
contacts
Before
start of
every
semester
4 meetings held
(each) with NL + SK
Presidencies on
priorities, calendar and
other preparation
SG.F2
Participation in
training seminars for
future Presidencies
Quality of
seminars
Ongoing SG.F2 participated at
6 such training
sessions
SG.F2
Specific objective D.4: A strong performance
management framework is implemented and resources
are adequately allocated in all Commission services in
order to deliver efficiently on the political priorities of the
Commission.
Related to spending
programme(s) NO
Result indicator: Percentage (%) of SG recommendations addressed to Commission
services implemented by Commission services
The indicator will measure recommendations made by SG, and addressed to all
Commission services, on draft versions of Strategic Plans, Managements Plans and Annual
Activity Reports.
Source of data: SG
Baseline Interim Milestone Target Latest known Lead
SG_aar_2016_final – Annexes | 49
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest
known
results
(situation on
31/12/2016)
Lead unit
New instructions for
the preparation of the
2017 Management
Plans implementing
the Strategic Plans
2016-2020
Instructions issued October 2016 Instructions
were
circulated
on 17
October
2016
SG.B1
Implementation of
the Action Plan
following-up on IAS
audit on Objective
setting process (in
the context of
preparation of the
Management Plans)
100% of actions of
the Action Plan
completed
December
2016
All actions
have been
completed
and are
"ready for
review" by
IAS in Issue
Track.
SG.B1
New instructions for
2016 Annual Activity
Reports more focused
on reporting on
performance issues
Instructions issued November/
December
2016
New
instructions
issued on 21
November
2016
SG.B1
Merger of Synthesis Adoption of the new June 2016 Adopted on SG.B1
SG.C1
n/a (2017) (2018) (2020) results
(2016)
Unit
n/a 65% 70% 80% of
recommendations
implemented
For the SP/MPs:
76% of SG
recommendation
s were fully
implemented and
an additional 6%
were
implemented
partially.
For the AARs:
59% of SG
recommendation
s were fully
implemented and
an additional 5%
were
implemented
partially.
SG.B1
Completed evaluations: N/A
SG_aar_2016_final – Annexes | 50
Report on the
Commission's
management
achievements and
Article 318 Evaluation
Report on the results
of EU finances into a
single Report
Report by the
Commission
5 July 2016
Specific objective D.5: Corporate IT investments and
strategy are aligned with the business priorities of the
Commission.
Related to spending
programme(s) NO
Result indicator: Number of projects implemented despite a negative recommendation by
IT Board regarding re-use and rationalisation
Source of data: SG Records and minutes of the Information Security Steering Board
(ISSB)
Baseline
n/a
IT Board was
created in
2015
Interim
Milestone
Target
(2020)
Latest known
results
(2016)
Lead
Unit
(2017) (2018)
n/a 3 2 0
(The IT portfolio of
the European
Commission is fully
optimised and all
proposed IT
investments are fully
justified)
0
Since its creation the
IT Board reviewed
130 IT investments
representing a
combined Total Cost
of Ownership of
around 612 M€. The
IT Board promotes
optimal re-use of IT
investments via the
creation of Corporate
Building Blocks.
SG.B1
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest
known
results
(situation on
31/12/2016)
Lead unit
Assistance to the IT
Governance bodies in
the priority setting
for budget allocation
for 2016 and 2017
for the common IT
Adoption of the
budget proposal by
the Group of
Resources Directors
March 2016 GDR
adopted
budget
proposal in
its meeting
of
SG.B1
SG_aar_2016_final – Annexes | 51
Budget on Heading 5 15/3/2016
Specific objective D.6: The corporate information
security is implemented by an appropriate governance
structure, strategy and framework in cooperation with
DG DIGIT and DG HR.
Related to spending
programme(s) NO
Result indicator: Actions successfully completed from the Action Plan on Information
Security Governance following the IAS audit
Source of data: SG Records and minutes of the Information Security Steering Board
(ISSB)
Baseline
n/a
Audit
established in
December
2015
Interim Milestone Target
(2018)
Latest
known
results
(2016)
Lead
Unit (2016)
n/a 60% 100%
Completion of
the IAS Action
Plan on
Information
Security
Governance
60% by
end 2016
(14
individual
actions
completed
over 23)
SG.B1
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest known
results
(situation on
31/12/2016)
Lead unit
A mandate and
terms of reference
for the Information
Security Steering
Board
Adoption by the
Activity Based
Management
Steering Group
(ABM-SG)
May 2016 The role and
responsibilities of
the ISSB are
documented in
the Commission
Decision C(2016)
8998.
Terms of
references are
not yet approved
by the CMB
(pending a global
approach
encompassing all
thematic
corporate
steering boards)
SG.B1
A new risk Completion of pilot September Final completion SG.B1
SG_aar_2016_final – Annexes | 52
assessment method
for information
security risks (pilot
phase with new
reporting formats
with a limited set of
Directorate
Generals)
phase 2016 delayed to mid-
2017. The
reporting format
is available but
the risk
assessment
method is still
being developed
by DG DIGIT,
which prevented
actual large scale
piloting.
Specific objective D.7: The highest ethical standards of
service are promoted in order to encourage ethical
conduct, accountability and an anti-fraud culture at all
levels in the Commission.
Related to spending
programme(s) NO
Result indicator: Level of satisfaction of members of the Clearing House and of Cabinets'
members with SG support (satisfaction survey will be organised to verify the level of
satisfaction)
Source of data: SG
Baseline
n/a
Target
(2020)
Latest known results
(2016)
Lead
Unit
n/a > 90% The satisfaction survey was not launched in
2016. However, no negative feedback
received in 2016 from the Cabinets and
services recipients of opinions, draft letters
and parliamentary questions' draft answers.
SG.B3
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest known
results
(situation on
31/12/2016)
Lead unit
Swift and adequate
reply to any
consultation from
the cabinets in order
to achieve full and
coherent
implementation of
the Code of Conduct
for Commissioners
Quality and
timeliness of
responses to
consultations
Completion Completion
Unit B3 provided
accurate, clear and
timely answer to all
requests
concerning the
Code
SG.B3
Preparation of
Commission
Completion Mid-2016 Completed in April SG.B3
SG_aar_2016_final – Annexes | 53
decisions on former
Commissioners' post
mandate activities
2016
Update of list of FAQ
on issues related to
ethical matters,
especially as
concerns the
implementation of
the Code of Conduct
for Commissioners
Completion Ongoing This is an ongoing
process. New
questions are
progressively
integrated
SG.B3
Management and
accurate monitoring
of the information
communicated to
OLAF by the
Commission in the
framework of OLAF
Regulations
883/2013 and the
Administrative
Arrangements
between OLAF and
the Commission
Quality of
management and
monitoring
Ongoing This is an ongoing
process. OLAF
notifications are
always treated in a
swift and accurate
manner in order to
ensure appropriate
follow-up and
enable
Commission's
services to take
appropriate
actions, if needed
SG.B3
Full analysis of the
departments'
requests for
participation in
private-law bodies
and of changes to
the existing
participations and
consequently
updated inventory
Quality of service Ongoing Completed
The analysis has
been completed
and the inventory
duly updated and
published including
revised procedural
rules. On 28
participations
analysed: 4
regularisation
decisions adopted
et 2 participations
withdrawn
SG.B3
Specific objective D.8: The Commission is sufficiently
resilient to face unexpected events in an effective and
coordinated manner and, in case of a major business
interruption, continues operating its critical and
essential functions and returns to normal activities
within business relevant deadlines.
Related to spending
programme(s) NO
Result indicator: Number of hours needed for the President, Vice-Presidents and
Commissioners to relocate to alternative premises in case the headquarters (BERL) are not
operational due to unexpected events and business continuity is activated.
The SG provides framework, guidance, training and support to hosting DGs and central
services in order to establish the Relocation Plans (RP) for all Commission Members. It also
SG_aar_2016_final – Annexes | 54
checks the compliance with the SG's guidance and organise alternative premises' tests and
exercises.
Source of data: SG
Baseline
(2015)
Interim Milestone Target
(2020 and
beyond)
Latest known
results
(2016)
Lead
Unit (2016)
n/a 2 2 2 (assumed)
There was no
business
continuity
activation in
2016
SG.A4
Result indicator: Capacity of the Duty Officers in all Commission DGs and EAs to take, in
the event of major disruptions, timely decisions by fast response (within maximum 60
minutes).
The SG, in its corporate role, provides training, tools, guidance and tests in order to
support and measure the readiness of the Commission stand-by services to resume the
critical functions as soon as possible. The Duty Officers in each DG and EA play a key role
and their availability (24/7) is crucial. Every year the SG tests their reactiveness in an
unanticipated exercise.
Source of data: SG
Baseline
2011
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (20169)
62% of all
DGs (the EAs
were not in
the scope)
More than 85% of all DGs
More than 67% of 6 EAs
More than 90% of
all DGs
More than 90% of
6 EAs
98% of
the DGs
83% of
the EAs
SG.A4
Completed evaluations: Results of Corporate Duty officer Test conducted on 19 July
2016 via NOAH.
Main outputs in 2016:
Policy–related outputs
Description Indicator Target
date
Latest known
results
(situation on
31/12/2016)
Lead unit
Functioning GSM-
based and
Functional Mail
Boxes (FMB)-based
Duty Officer system,
fully integrated in
NOAH and ARGUS,
Completion Mid-2016 Completed SG.A4
9 86% in 2014 was an exceptional result above target and expectations.
SG_aar_2016_final – Annexes | 55
for all Commission
entities
Improved
possibilities of
remote access to
network in case of a
Business Continuity
event
Completion Mid-2016 Partially
completed.
The capacity of
remote
connection has
been
considerably
increased at the
target date.
SG.A4
Implementation of
the Multiannual
Action Plan for the
integration of
Commissioners and
their Cabinets in
Business Continuity
Management
(Ares(2015)1590013
of 14.04.2015
100% of actions
completed
End of
2016
Largely
completed.
Some actions
remaining to be
finalised in the
first half of 2017
due to
management
request for
further
simplification
and
streamlining.
SG.A4
Adequate offer of
tailor-made training
courses for all
Commission's
entities Duty Officers
Completion End 2016 Completed SG.A4
Streamlined and
rationalised stand-by
arrangements across
the SG with the new
procedures in place
for the summer
permanence 2016
Completion Q1 2016 Partially
completed
The stand-by
arrangements
were
adjusted for the
summer
permanence
2016.
Further
rationalisation
measures may
be introduced in
the course of
2017.
SG.A4
SG_aar_2016_final – Annexes | 56
Specific objective D.9: Correct and timely
transmission/consultation of classified information by its
intended recipients, in full compliance with Commission's
Security is ensured.
Related to spending
programme(s) NO
Result indicator: Ensuring a fully functional and compliant Registry.
Within service constraints and limitations, all documents are received, registered, consulted
and transmitted in accordance with Security Rules (Commission Decision 2015/444 and
Security Notices) and CENTER procedures handled by staff having followed a clearance
procedure. Following the adoption of the new Security Framework in the Commission the
procedures of the Central EUCI Registry have been updated. Operational modalities of
exchanges between institutions have been adapted and agreed as well.
Source of data: SG
Baseline
(2014)
Interim Milestone Target
(2020 and beyond)
Latest
known
results
(2016)
Lead
Unit (2015) (2016)
Inspection by
the Security
Directorate
showed "full
compliance" of
CENTER and its
network with
Security Rules,
and in
particular, that
all Confidential
and Secret
documents are
registered and
traceable.
As in the
baseline
As in the
baseline
Keep the same level
of compliance to
security rules.
Keep same level of
good document
management (all
Confidential and
Secret documents
are registered,
distributed and
traceable.
Completed
The level of
traceability
and
security
were
maintained
; no
security
incidents/
breaches
registered
in 2016.
SG.A4
Result indicator: Stakeholder satisfaction.
Stakeholders of CENTER include: end users (Commissioners, Cabinet members, SG
officials), peer entities (other Commission Registries and DGs with no registry) and other
Institutions (Council, EEAS, Parliament).
Source of data: SG
Baseline
(2013)
Interim Milestone Target
(2020 and
beyond)
Latest
known
results
(2016)
Lead
Unit (2015) (2016)
User
satisfaction
survey
(December
2013) showed
a very positive
opinion on the
reduction of
use of paper
(> 90%) and a
positive opinion
As in the
baseline
As in the
baseline
Same or improved
levels of
satisfaction on the
basis of a new
user satisfaction
survey that will be
launched in 2016
Completed
User
satisfaction
maintained;
all requests
satisfied and
no
complaints
received.
SG.A4
SG_aar_2016_final – Annexes | 57
on the user
support /
consultations
(>75% very
satisfied /
satisfied)
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest
known
results
(situation on
31/12/2016)
Lead unit
CENTER procedures
regularly inspected by
HR.DS
Full accreditation of
CENTER by HR.DS
End of 2016 Completed
Positive
inspections
up to date
SG.A4
Meetings of networks
of EUCI Single Points
of Contact (SPOC) in
Cabinets
Completion End of 2016 Completed
in November
2016
SG.A4
Modernisation of
transmission by
reducing paper for the
benefit of electronic
means
Completion End of 2016 Completed
December
2016– the
first
agreement
on the use
of RUE
reached
with the EP
SG.A4
Specific objective D.10: The Commission's policy on
information management, including document
management and archiving, is developed and
implemented to ensure appropriate access to
information for Commission officials in the framework
of their duties and the institution's memory.
Related to spending
programme(s) NO
Result indicator: Percentage (%) of records created10 by IT systems integrated with
Hermes through the Hermes web services (HRS – Hermes Repository Services) compared
to the total number of records stored in Hermes11
10 Annually.
11 Annually.
SG_aar_2016_final – Annexes | 58
This indicator measures the degree of integration of IT tools in the Commission producing
documents, with the central Hermes repository.12 Hermes, due to the high number of
records it contains, represents an important lever for the successful implementation of the
information management policy
Source of data: DIGIT statistics
Baseline
(2015)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2018)
57% 65% 70% 79,75% SG.B1
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest known results
(situation on
31/12/2016)
Lead unit
Roll out of a major
release of HAN
(Hermes-Ares-
NomCom)
Roll-out End 2016 Two major releases
deployed successfully
(HAN 2.8 on
26/02/2016 and HAN
2.9 on 25/11/2016)
SG.B1
Implementation of
the budget and work
programme for the
EU Historical Archives
Quality of
implementation
Ongoing A new and improved
version of the budget
and work programme
were introduced in
2016
SG.B1
Communication on
information
management
Adoption End 2016 Adopted on
18/10/2016
SG.B1
Implementation of
the amended
Archives Regulation
Completion End 2016 Common internal
rules for the
application of the
Archives Regulation
were developed and
distributed to all EU
institutions and other
bodies to use for
their own internal
rules. However, the
internal rules lack
provisions on data
protection which can
only be added after
SG.B1
12 The number of records registered in once calendar year rose from, 6.6 million in 2015 to 8.2 million in 2016
(+24%). Such an increase in the records created by HRS applications is not due to a reduction of manual Ares registration (which remains stable), but rather to the increase in the number of integrated applications (+7).
SG_aar_2016_final – Annexes | 59
the adoption of the
Commission proposal
for a new Data
Protection Regulation
Further customisation
of software for
Hermes Preservation
Services (HPS) and
Historical Archives
Management
Information System:
customised archival
repository model,
needs analysed
regarding the
archives
management module,
approach defined and
possible pilots
executed
Delivery End 2016 The Archival
Repository (a-REP) is
ready for roll-out but
not in production yet
because of cloud
infrastructure issues.
The Archives
Management module
is on the work
programme for 2017
SG.B1
Specific objective D.11: Commission services respect the
right to protection of personal data.
Related to spending
programme(s) NO
Result indicator: Percentage of compliance with the data protection regulation for the
inventory entries, within the deadline set by the EDPS.
This indicator consists of a permanent comparison between (a) the amount of processing
operations on personal data identified in the services and inventoried and (b) the amount
of processing operations duly notified to the DPO by the responsible service and appearing
in the DPO register; this indicator has been consistently used since 8 years and has been
adopted by the EDPS as the key monitoring tool for the performance of EU institutions and
bodies.
Source of data: SG
Baseline
(2014)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2016)
97 % > 97 > 97 %13 98% DPO
Result indicator: Number of complaints to the DPO
The indicator reveals the number of problematic situations brought to the knowledge of the
DPO by data subjects (staff and citizens alike); this figure has consistently been very low
(less than 10 per year). This reveals the absence of serious problems perceived or
encountered by data subjects, or the lack of awareness of their rights. However, the fact
13 The compliance rate of the Commission increased from 96 % to 98 % between 2014 and 2015, however a
rate above 97 % will remain the target for the future as this rate guarantees that all "living" processing operations have been duly notified, the remaining 3% margin corresponds to normal evolution of the systems and procedures in a dynamic administration.
Caveat: The 2020 target is subject to the development of other compliance criteria resulting from the
alignment of Regulation (EC) N° 45/2001 within the context of the new general data protection regulation
(GDPR) which is foreseen to enter into force in 2018.
SG_aar_2016_final – Annexes | 60
that the figure has remained extremely low since the regulation has been in force, in spite
of constant efforts of the DPO to increase awareness, suggests that the situation is globally
satisfactory.
Source of data: SG
Baseline
(2014)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2016)
5 < 10 < 1014 5 DPO
Result indicator: Number of complaints to the EDPS
This is the same as for the previous indicator, except that the complaints addressed
directly to the EDPS are generally more serious (or the situation is perceived as more
serious by the complainant) than complaints addressed to the DPO.
Source of data: SG
Baseline
(2014)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2016)
7 < 10 < 1015 8 DPO
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest
known
results
(situation on
31/12/2016)
Lead unit
Further contribution to
the reform of the data
protection legal
framework initiated by
DG JUST; launch a
reflection on how to
anticipate entry into
force of reform in the
Commission's services
Completion End 2016 Completed DPO
Data Protection
Awareness campaign:
Completion End 2016 Completed DPO
14 The 2020 target aims at confirming that the situation remains under control; naturally the DPO is not directly
capable of influencing the amount of complaints. Caveat: The target for 2020 is based on the current indicator with the assumption that the regime of complaints to the DPO will not be modified by the alignment of Regulation (EC) N° 45/2001 within the context of the new general data protection regulation (GDPR) which is foreseen to enter into force in 2018.
15 There again the amount of complaints addressed to the EDPS has always been extremely low; the 2020 target aims at confirming that the situation remains under control. A sudden increase of the complaints to the EDPS could reveal a lack of confidence of the data subjects in the redress mechanisms in place at the Commission. The target for 2020 is based on the current indicator with the assumption that the regime of complaints to the EDPS will not be modified by the alignment of Regulation (EC) N° 45/2001 within the context of the new general data protection regulation (GDPR) which is foreseen to enter into force in 2018.
SG_aar_2016_final – Annexes | 61
surveys, information
sessions, training,
communications,
brochures, articles
Specific objective D.12: The Commission's decision-
making process runs smoothly, works continuously and
is effectively managed and monitored.
Related to spending
programme(s) NO
Result indicator: Timely and regular adoption, and post-adoption handling, of
Commission decisions according to the highest quality standards and in line with legal and
political requirements.
Source of data: SG
Baseline
(2015)
Target
(Continuous)
Latest known results
(2016)
Lead
Unit
100% 100% Completed
The Secretariat-General managed a large
volume of files (all procedures
combined). Upstream coordination,
anticipation of complex decision
packages with full cooperation between
the concerned Registry teams, and strict
quality control were applied in an
effective mix ensuring timely and
efficient decision-making in line with
legal, procedural and political
requirements.
SG.A2/
SG.A3
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest known results
(situation on
31/12/2016)
Lead unit
Adoption and post
adoption handling
in line with legal
and political
requirements
Quality of
adoption and
post-adoption
handling
Ongoing Completed
The Commission
adopted more than
9,500 acts as a result of
a decision making
process managed
smoothly and efficiently
in conformity with legal,
procedural and political
requirements.
The Secretariat-General
ensured a quality and
appropriate post-
SG.A2
SG.A3
SG_aar_2016_final – Annexes | 62
adoption handling.
Concretely, the timely
transmission of around
7,000 acts to other EU
institutions, the
notification to more
than 11,600 addressees
and the publication of
3,700 acts in the Official
Journal.
Reinforced
monitoring and
evaluation system
in place:
identification of
sensitive files,
innovative
solutions
proposed, ex-post
assessments on
the handling of
complex cases
Ongoing
delivery
Ongoing Completed
As part of the upstream
planning and
coordination of the
decision making-
process, the
Secretariat-General
identified, monitored
and flagged politically
sensitive files.
To continuously enhance
these tasks, the
Secretariat-General
overhauled part of its
early warning and
information system.
SG.A2
SG.A3
Specific objective D.13: Commission corporate
procedures handled by the SG are rationalised
and streamlined. Relevant and up-to-date
information and guidance to users of
procedures is provided.
Related to spending
programme(s) NO
Result indicator: Contribution to the rationalisation and streamlining of SG corporate
procedures
Source of data: SG
Baseline
(2012)
Interim
Milestone
Target
(Continuous)
Latest known results
(2016)
Lead
Unit
(Continuous)
Setting up
within the
Registry of a
centre of
expertise
(pôle de
procédures)
on SG
corporate
procedures.
The pôle de
procédures
analyses existing
and/or new
procedures and
makes proposals
for rationalising
and streamlining
them.
This provides also
Measures
streamlining
the decision-
making process
are
implemented
by the Registry
and developed
in Decide
Completed
Proposals were made to
streamline political
validation across successive
steps of the decision-making
process. These proposals
were implemented when
delivering the new Planning
part of Decide in September
2016 and will be
complemented by changes
SG.A1
SG_aar_2016_final – Annexes | 63
the basis for the
conceptual
development of
the corporate
decision-making IT
tool, Decide.
to the validation workflow
before the launch of ISC in
Decide Consultation in
January 2017.
Result indicator: Rate of completion of the drafting and updates of GoPro.
Source of data: SG
Baseline
(2012 –
2013)
Interim Milestone Target
(From
2018)
Latest known results
(2016)
Lead
Unit (2016) (2016-2017)
Transfer to
SG.A of the
responsibility
regarding
the manual
of operating
procedures
of the
Commission.
First
chapters of
GoPro are on
line.
All chapters
of GoPro,
revised
according to
the Better
Regulation
package and
the new
Commission
working
methods,
are on line
in EN and FR
All
procedures
handled by
the SG are
integrated in
GoPro.
Updates
are
integrated
in GoPro
each time a
change on
the
procedures
or working
methods
intervenes.
Completed
All procedures handled
by SG are now
integrated in GoPro.
The revision of the
chapters related to
Better Regulation is
waiting for the revision
of the toolbox.
SG.A1
Result indicator: Increased procedural knowledge in DGs and services
Source of data: SG
Baseline
(2012-2013)
Interim Milestone Target
(From
2017 and
beyond)
Latest known results
(2016)
Lead
Unit (2016) (2016-2020)
Setting up
within the
Registry of a
centre of
expertise
(pôle de
procedures)
on SG
corporate
procedures.
A training
module is
developed to
give
information
sessions in
the services
on
procedures
and Decide.
Information
sessions are
regularly
given in
DGs.
SG
Procedural
Helpdesk
provides
upstream
guidance to
services on
files
submitted to
the
Commission.
It gives
efficient and
clear advice
to users.
Services
have a
better
Knowledge
of the
procedures
and GoPro
is a key
tool for
them. They
need less
"basic"
advice and
the
helpdesk
intervenes
more on
addressing
more
difficult
issues,
Completed
- A training module has
been developed on
decision-making for
new incomers and 4
induction courses with
25 participants per
session were
successfully delivered in
2016.
- 103 training sessions
on Decide were
organised with 789
participants.
- 6 information sessions
provided guidance to
services on how to
publish draft
delegated/implementing
SG.A1
SG_aar_2016_final – Annexes | 64
from the
preparation
to the
adoption.
acts on the Better
Regulation Portal (147
participants)
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target date Latest known results
(situation on
31/12/2016)
Lead unit
Scrutiny and
subsequent revision
of existing delegated
powers:
Revamped register
of delegated powers
on line in GoPro and
number of obsolete
Decisions granting
empowerments
repealed
Completion End 2016 Completed
- Revamped register
of delegated powers
is on line in FR on
GoPro and the EN
version is on
preparation.
- The revision and
repeal of existing
empowerment
decisions is on-going.
- To improve
transparency and the
quality of the
legislation all the
revised decisions will
need to be drafted on
the basis of the new
templates and in
close cooperation
with the concerned
departments.
Due the number of
existing old decisions
this revision process
will take at least two
more years.
SG.A1
Guidance and
information on
procedures via
GoPro and
assistance via the
procedural Helpdesk
Delivery of
quality advice
Ongoing Completed
Guidance and
assistance on
procedures
SG.A1
Drafting of main
procedures in GoPro
Completion End 2016 Completed
Main procedures on
line in GoPro
SG.A1
SG_aar_2016_final – Annexes | 65
Specific objective D.14: The IT tools related to the
decision-making process are streamlined and
rationalised.
Related to spending
programme(s) NO
Result indicator: New releases of Decide.
Source of data: SG
Baseline
(February
2015)
Interim Milestone Target
(From 2019-
2020)
Latest
known
results
(2016)
Lead
Unit (2016) (2017-2018)
First release
of Decide
New decision
module
(rewriting of
the first part
of e-Greffe
focusing on
DGs).
New planning
module
replacing
Agenda
Planning.
Improvement
of the
transparency
of delegated
and
implementing
acts.
Rewriting of the
second
(Cabinets) and
third (SG) parts
of e-Greffe.
Progressive
integration of
other types of
documents and
absorption of
related IT tools
(Basil, ASAP,
Petition).
Integration of
infringements
by linking with
Themis.
Link with
existing
Registers.
Extension to the
interinstitutiona
l part of the
decision-making
process.
Integration with
Legisweb.
Decide is a
fully
integrated
system,
covering all
phases of the
process and all
types of
documents,
either by full
absorption of
concerned IT
tools, or
integration via
adequate
links. The
process is
streamlined,
users are
guided by a
user-friendly
tool, and
synergy and
efficiency
gains have
been
harvested
Partially
completed
- The
rewriting of
the first part
of e-Greffe is
ongoing with
close
involvement
of DG users.
They
acknowledged
real efficiency
gains with the
new Decision
module.
- The new
planning
module
replacing
Agenda
Planning is
operational
since 19
September
2016.
- The
transparency
of delegated
and
implementing
acts has been
improved by
the
publication as
of 30 June
2016 of draft
acts on the
Better
Regulation
SG.A1
SG_aar_2016_final – Annexes | 66
Portal for
feedback.
Result indicator: Extension of the use of e-TrustEx.
Source of data: SG
Baseline
(2011)
Target
(September 2016)
Latest known
results
(2016)
Lead
Unit
Launch of a pilot phase for using
e-Trustex for transmission from
Decide (e-Greffe)
Exclusive use of e-
TrustEx replacing e-
mail transmission to
all partner
administrations
Partially completed
Exclusive use of the
e-Trustex platform
for the electronic
transmission of
documents from
Decide (e-Greffe) to
8 EU institutions and
bodies, 18 National
Parliaments, 2
Permanent
Representations and
3 Missions.
SG.A1
Result indicator: Implementation of an XML successor to LegisWrite
Source of data: SG
Baseline
(2011)
Interim Milestone Target
(2020)
Latest
known
results
(2016)
Lead
Unit (2017) (2018)
LEOS
(Legislation
Editing Open
Software)
study launched
under the ISA
program to
analyse the
tools currently
used by EU
and MS public
administrations
to create and
edit their legal
texts
First pilot of
LegisWeb, an
XML editor
Integration
between Decide
and LegisWeb
The drafting of
legislation is
done within
the
Commission
with an XML
editor, fully
integrated in
Decide, easing
the work of
the different
actors
involved,
improving the
efficiency and
quality of the
decision-
making
process and
allowing for
optimal
interoperability
with the other
institutions
Completed
- LEOS
prototype
funded by
ISA is
available to
all in open
source.
- Several
workshops
were
organised in
2016 with DG
drafters, LS,
DGT + OP.
Most features
requested by
Commission
users are
available or
being
developed.
SG.A1
SG_aar_2016_final – Annexes | 67
and the
Publications'
office
- The Council
expressed
interest in
developing a
common XML
drafting tool.
Completed evaluations: N/A
Main outputs in 2016:
Policy–related outputs
Description Indicator Target
date
Latest known results
(situation on
31/12/2016)
Lead unit
Third iteration of
Decide: new
planning module
replacing Agenda
Planning
Completion June 2016 Completed
New planning module
operational since 19
September 2016.
SG.A1
New decision module
(rewriting of the first
part of e-Greffe
focusing on DGs)
Completion October
2016
Postponed
To be delivered in
June 2017.
The delay is a
consequence of:
- the necessity to
migrate the current e-
Greffe to a new
version of the server
software application
Weblogic and the
impact of technical
issues on the
availability of
resources;
- The lack of
development
resources in DIGIT's
teams due to
difficulties in
recruiting relevant
profiles.
SG.A1
Features in Decide
enabling the export
of draft delegated
and implementing
acts after ISC in
order to allow for
their publication on
Completion June 2016 Completed
Features delivered in
May 2016
SG.A1
SG_aar_2016_final – Annexes | 68
the Better Regulation
portal
Exclusive use of the
e-Trustex platform
for the electronic
transmission of
documents from
Decide (e-Greffe) to
EU institutions,
National Parliaments
and Permanent
Representations
Completion September
2016
Partially completed
- Important progress
done since November
2015 for the use of e-
TrustEx (transmission
platform) by the 93
external partners.
- The parallel e-mail
has stopped for 32
partners. 44 have
implemented e-
TrustEx but keep
parallel e-mails until
internal business
processes and existing
information system
are adapted
- Only 17 partners
have not started the
process at all despite
close and intensive
follow-up due to
missing resources to
implement the change
or to on-going
rationalisation process
(e.g. European
Ombudsman).
SG.A1
SG_aar_2016_final – Annexes | 69
ANNEX 13: Regulatory Scrutiny Board
After having replaced the Impact Assessment Board in mid-2015, the Regulatory Scrutiny
Board (RSB) has taken shape and become operational in 2016. This coincides with the
peak of the political cycle, when the Commission is proposing specific measures to make
progress on its 10 priorities. In its first year, the Board has shouldered a large workload
while integrating new members and shaping its tools.
The Board issued opinions on 60 impact assessments in 2016. About two in five were
negative the first time around, a steady rate compared to previous years. The Board also
formally considered seven evaluations and read 15 more that were annexed to impact
assessments. The Board did not issue positive or negative summary ratings on
evaluations, but will do so starting in 2017.
One of the main goals of the Board in 2016 was to help Commission services improve the
quality of their impact assessments and evaluations while maintaining its independence.
The Board proactively made available its expertise and advice at the initial stage of the
preparation of legislative initiatives. To make its opinions useful at the downstream
stages of the interinstitutional policymaking process, the RSB has held technical level
exchanges of views with EU institutions.
The Board worked in close cooperation with the Secretariat General of the Commission
providing input on how to advance the Better Regulation policy. It helped to improve the
Better Regulation guidelines and toolbox.
In the course of its first full year the RSB established contacts with external organisations
involved in oversight of regulatory impact analysis and evaluations, as well as with other
constituencies for Better Regulation. External interactions support the RSB's operations
and impact on the quality of EU policies and laws.
Specific objective C.1: Regulatory policy and related tools
are fully developed and applied throughout the legislative
cycle (planning to impact assessment to evaluation) in
order to improve the effectiveness and efficiency of EU
regulation. The acquis is 'fit for purpose' delivering its
benefits by least cost.
Related to spending
programme(s) NO
Result indicator: Proportion of impact assessments passing the Regulatory Scrutiny
Board (RSB) at the first submission. Source of data: RSB
Baseline
(2015)
Interim Milestone Target
(2020)
Latest known
results
(2016)
Lead
Unit (2018)
52% 60% 70% 58% RSB