ref. ares(2016)1548367 - 31/03/2016 annexes...chapter payment appropriations authorised * payments...

1

ANNEXES

Ref. Ares(2016)1548367 - 31/03/2016

2

ANNEX 1: Statement of the Head of Resources Department

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 Executive Director on the overall state of internal

control in the Executive Agency.

I hereby certify that the information provided in Section 2 of the present AAR

and in its annexes is, to the best of my knowledge, accurate and exhaustive.

31 March 2016

Anna Panagopoulou

(signed)

Head of Resources Department

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.

3

ANNEX 2: Human and financial resources

Human Resources by ABB activity

Code ABB Activity

ABB Activity Establishment Plan

posts External

Personnel Total

Innovation and

Networks Executive

Agency

TA 59 (including 21

FD) 12 consultants 71

138 CA

Interim staff as used for a

total of 5 man/year

143

Total 197 staff 214

5

ANNEX 3: Draft annual accounts and financial reports

Annex 3 Financial Reports - INEA - Financial Year 2015

Operating Budget

Table 1 : Commitments

Table 2 : Payments

Table 3 : Commitments to be settled

Table 4 : Balance Sheet

Table 5 : Statement of Financial Performance

Table 6 : Average Payment Times

Table 7 : Income

Table 8 : Recovery of undue Payments

Table 9 : Ageing Balance of Recovery Orders

Table 10 : Waivers of Recovery Orders

6

TABLE 1: OUTTURN ON COMMITMENT APPROPRIATIONS IN 2015 (in Mio €)

Chapter Commitment

appropriations authorised *

Commitments made

%

1 2 3=2/1

Title 1 STAFF EXPENDITURES

1111 Temporary agents 6.48 6.47 99.98 %

1121 Contract Agents 6.24 6.24 99.99 %

1131 Interim and trainees 0.42 0.42 99.12 %

1211 Medical services 0.07 0.06 87.59 %

1221 Training 0.14 0.14 100.00

%

1231 Administration of staff 0.15 0.14 94.27 %

1241 Recruitment 0.06 0.05 81.61 %

1251 Representation & internal meetings 0.01 0.01 97.70 %

1261 Other social expenditure 0.39 0.39 99.41 %

Total Title 1 13.95 13.92 99.73%

Title 2 INFRASTRUCTURE & OPERATING EXPENDITURE

2111 Rental of building 1.31 1.31 99.73 %

2121 Charges of the building 0.99 0.99 100.00

%

2211 Hardware and software 0.23 0.22 96.58 %

2221 ICT Services 0.62 0.51 82.42 %

2311 Furniture & technical installations & handling & r

0.20 0.20 99.89 %

2321 Office supplies & archive & subscription & corresp

0.05 0.05 98.07 %

2331 Other expenditure related to work environment

0.00 0.00 18.15 %

Total Title 2 3.40 3.28 96.41%

Title 3 PROGRAMME SUPPORT EXPENDITURE

3111 Missions and related expenditure 0.20 0.20 99.84 %

3121 Audit 0.18 0.18 100.00

%

3131 Operational related IT expenditure 0.35 0.35 99.91 %

3141 Communication & events & other Program support expenditure

0.30 0.26 85.92 %

Total Title 3 1.03 0.98 95.84%

TOTAL INEA 18.38 18.17407498 98.90 %

* 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).

7

0, %

20, %

40, %

60, %

80, %

100, %

120, %

% Outturn on commitment appropriations

8

TABLE 2: OUTTURN ON PAYMENT APPROPRIATIONS IN 2015 (in Mio €)

Chapter Payment


Payments made

%

1 2 3=2/1


1111 Temporary agents 6.48 6.47 99.98 %

1121 Contract Agents 6.24 6.24 99.99 %

1131 Interim and trainees 0.47 0.35 76.00 %

1211 Medical services 0.10 0.06 57.52 %

1221 Training 0.26 0.19 73.76 %

1231 Administration of staff 0.17 0.14 86.18 %

1241 Recruitment 0.07 0.04 57.23 %

1251 Representation & internal meetings 0.01 0.01 82.76 %

1261 Other social expenditure 0.47 0.22 47.71 %

Total 1 14.26 13.73 96.30%


2111 Rental of building 1.31 1.31 99.73 %

2121 Charges of the building 1.43 1.15 80.70 %

2211 Hardware and software 0.30 0.17 57.58 %

2221 ICT Services 0.78 0.53 68.66 %


0.26 0.09 32.30 %


0.08 0.07 93.04 %


0.00 0.00 18.15 %

Total 2 4.16 3.32 79.94%


3111 Missions and related expenditure 0.23 0.17 71.22 %

3121 Audit 0.25 0.06 24.05 %

3131 Operational related IT expenditure 0.55 0.37 68.09 %

3141 Communication & events & other Program support expenditure

0.37 0.23 62.71 %

Total 3 1.40 0.83 59.36%

TOTAL INEA 19.82 17.89 90.26 %

* 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).

9

0, %

20, %

40, %

60, %

80, %

100, %

120, %

="% Outturn on payment appropriations"

10

TABLE 3 : BREAKDOWN OF COMMITMENTS TO BE SETTLED AT 31/12/2015 (in Mio €)

2015 Commitments to be settled

Chapter Commitments 2015

Payments 2015

RAL 2015 % to be settled

1 2 3=1-2 4=1-2//1


1111 Temporary agents 6.47 -6.47 0.00 0.00 %

1121 Contract Agents 6.24 -6.24 0.00 0.00 %

1131 Interim and trainees 0.42 -0.31 0.11 25.03 %

1211 Medical services 0.06 -0.03 0.03 44.28 %

1221 Training 0.14 -0.08 0.05 39.27 %

1231 Administration of staff 0.14 -0.13 0.01 4.51 %

1241 Recruitment 0.05 -0.04 0.02 32.84 %

1251 Representation & internal meetings 0.01 -0.01 0.00 18.54 %

1261 Other social expenditure 0.39 -0.20 0.19 49.54 %

Total 1 13.92 -13.51 0.40 2.90%


2111 Rental of building 1.31 -1.31 0.00 0.00 %

2121 Charges of the building 0.99 -0.76 0.23 23.23 %

2211 Hardware and software 0.22 -0.10 0.12 53.20 %

2221 ICT Services 0.51 -0.41 0.10 20.43 %


0.20 -0.02 0.18 89.34 %


0.05 -0.05 0.00 8.15 %


0.00 0.00 0.00 0.00 %

Total 2 3.28 -2.64 0.63 19.35%


3111 Missions and related expenditure 0.20 -0.14 0.06 30.18 %

3121 Audit 0.18 0.00 0.18 100.00 %

3131 Operational related IT expenditure 0.35 -0.18 0.17 47.89 %

3141 Communication & events & other Program support exp

0.26 -0.17 0.09 34.57 %

Total 3 0.98 -0.49 0.50 50.54%

TOTAL INEA 18.17407498 -16.64 1.534431

6 8.44 %

11

0,00

0,05

0,10

0,15

0,20

0,25

="Breakdown of Commitments remaining to be settled (in Mio EUR)"

12

TABLE 4 : BALANCE SHEET INEA

BALANCE SHEET 2015 2014

A.I. NON CURRENT ASSETS 431,240.20 273,801.00

A.I. NON CURRENT ASSETS A.I.1. Intangible Assets 21,003.00 13,475.00

A.I.2. Property, plant and equipment 144,111.00 163,126.00

A.I.5. LT Receivables 266,126.20 97,200.00

A.II. CURRENT ASSETS 2,045,713.32 2,738,500.64

A.II. CURRENT ASSETS A.II.4. Exchange Receivables 107,989.72 767,541.60

A.II.5. Non-Exchange Receivables 0.00 0.00

A.II.7. Cash and Cash Equivalents 1,937,723.60 1,970,959.04

ASSETS 2,476,953.52 3,012,301.64

P.II. NON CURRENT LIABILITIES 0.00 -214.70

P.II. NON CURRENT LIABILITIES P.II.3. Long-term financial liabilities 0.00 -214.70

P.III. CURRENT LIABILITIES -

1,593,549.84 -

1,571,437.79

P.III. CURRENT LIABILITIES P.III.2. Short-term provisions 0.00 0.00

P.III.3. Short-term financial liabilities -125,640.90 -2,143.02

P.III.4. Accounts Payable -429,342.66 -574,981.52

P.III.5. Accrued charges and deferred income -1,038,566.28 -994,313.25

LIABILITIES -

1,593,549.84 -

1,571,652.49

NET ASSETS (ASSETS less LIABILITIES) 883,403.68 1,440,649.15

P.I.2. Accumulated Surplus / Deficit -1,440,649.15 -

1,322,956.39

Non-allocated central (surplus)/deficit* 557,245.47 -117,692.76

TOTAL 0 0

It should be noted that the balance sheet and statement of financial 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. Significant amounts such as own 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 whose balance sheet and statement of financial 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 figures 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 following this audit.

13

TABLE 5 : STATEMENT OF FINANCIAL PERFORMANCE INEA

STATEMENT OF FINANCIAL PERFORMANCE 2015 2014

II.1 REVENUES -17,986,763.86 -12,904,831.17

II.1.1. NON-EXCHANGE REVENUES 0.00

II.1.1.5. RECOVERY OF EXPENSES 0.00

II.1.2. EXCHANGE REVENUES -17,986,763.86 -12,904,831.17

II.1.2.1. FINANCIAL INCOME -20,968.01 -24,391.76

II.1.2.2. OTHER EXCHANGE REVENUE -17,965,795.85 -12,880,439.41

II.2. EXPENSES 18,544,009.33 12,787,138.41

II.2. EXPENSES 18,544,009.33 12,787,138.41

II.2.10.OTHER EXPENSES 5,766,245.62 4,150,679.61

II.2.6. STAFF AND PENSION COSTS 12,777,404.81 8,636,286.08

II.2.8. FINANCE COSTS 358.90 172.72

STATEMENT OF FINANCIAL PERFORMANCE 557,245.47 -117,692.76


14

Legal Times

Maximum Payment

Time (Days)

Total Number of Payments

Nbr of Payments

within Time Limit

Percentage

Average Payment

Times (Days)

Nbr of Late Payments

Percentage

Average Payment

Times (Days)

30 907 902 99.45 % 16.10 5 0.55 % 32.8

45 1 1 100.00 % 33


908 903 99.45 % 5 0.55 %

Average Payment Time

16.21 16.12 32.8

Target Times

Target Payment

Time (Days)


Nbr of Payments

within Target Time

Percentage

Average Payment

Times (Days)


Percentage

Average Payment

Times (Days)

30 139 138 99.28 % 17.90 1 0.72 % 33


139 138 99.28 % 1 0.72 %


18.01 17.90 33

Suspensions

Average Report

Approval Suspension

Days

Average Payment

Suspension Days

Number of Suspended Payments

% of Total Number


Amount of Suspended Payments

% of Total Amount

Total Paid Amount

0 23 39. 4.30 % 908. 1,614,510.77 27.43 % 5,886,149.86

Late Interest paid in 2015

Agency GL Account Description Amount (Eur)

INEA 65010000 Interest expense on late payment of charges

266.73

266.73

15

TABLE 7 : SITUATION ON REVENUE AND INCOME IN 2015

Title Description Year of Origin

Revenue and Income

recognized

Revenue and Income cashed

Outstanding Balance

2000 EU Budget Contribution to the Executive Agency

2015 18,376,000.00 18,376,000.00 0.00

9000 Miscellaneous revenue 2014 457.39 457.39 0.00

9000 Miscellaneous revenue 2015 31,023.62 31,023.62 0.00

TOTAL INEA 18,407,481.01 18,407,481.01 0.00

16

TABLE 8 : RECOVERY OF PAYMENTS (Number of Recovery Contexts and corresponding Transaction Amount)

INCOME BUDGETRECOVERY

ORDERS ISSUED IN 2015

Total undue payments recovered

Total transactions in recovery context(incl.

non-qualified) % Qualified/Total RC

Year of Origin (commitment)

Nbr RO Amount Nbr RO Amount Nbr RO Amount

Sub-Total

EXPENSES BUDGET Error Irregularity OLAF Notified Total undue payments

recovered

Total transactions in recovery

context(incl. non-qualified)

% Qualified/Total RC

Nbr Amount Nbr Amount Nbr Amount Nbr Amount Nbr Amount Nbr Amount

INCOME LINES IN INVOICES

NON ELIGIBLE IN COST CLAIMS

CREDIT NOTES 5 27,729.62

Sub-Total 5 27729.62

GRAND TOTAL 5 27729.62

17

TABLE 9: AGEING BALANCE OF RECOVERY ORDERS AT 31/12/2015 FOR INEA;TENEA

Year of Origin

Number at 01/01/2015


Evolution Open Amount

(Eur) at 01/01/2015

Open Amount (Eur) at

31/12/2015 Evolution

2014 1 -100.00

% 457.39 -100.00 %

2015 1 194.20

Totals 1 1 0.00 % 457.39 194.20 -57.54 %

TABLE 10 : RECOVERY ORDER WAIVERS IN 2015 >= EUR 100.000

Waiver

Central Key Linked RO Central Key

RO Accepted amount (Eur)

LE Account Group

Commission Decision

Comments

1.

Total INEA;TENEA

Number of RO waivers

Justifications:

18

Annex 3 Financial Reports - INEA - Financial Year 2015

Table 1 : Commitments

Table 2 : Payments

Table 3 : Commitments to be settled

Table 4 : Balance Sheet

Table 5 : Statement of Financial Performance

Table 6 : Average Payment Times

Table 7 : Income

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)

Table 13 : Building Contracts

Table 14 : Contracts declared Secret

19

TABLE 1: OUTTURN ON COMMITMENT APPROPRIATIONS IN 2015 (in Mio €)

Commitment appropriations

authorised

Commitments made

%

1 2 3=2/1

Title 06 Mobility and transport

06 06 02 European transport policy 2173.864554 2132.35831 98.09 %

06 03 Horizon 2020 - Research and innovation related to transport

133.328328 132.829159 99.63 %

Total Title 06 2307.192882 2265.18747 98.18%

Title 08 Research and innovation

08 08 02 Horizon 2020 - Research 391.4401915 378.112366 96.60 %

Total Title 08 391.4401915 378.112366 96.60%

Title 09 Communications networks, content and technology

09 09 03 Connecting Europe Facility (CEF) - Telecommunication networks

46.859279 46.859279 100.00 %

Total Title 09 46.859279 46.859279 100.00%

Title 32 Energy

32 32 02 Conventional and renewable energy 346.73875 346.663 99.98 %

32 04 Horizon 2020 - Research and innovation related to energy

178.3515432 173.747555 97.42 %

Total Title 32 525.0902932 520.410555 99.11%

Total DG INEA 3270.582645 3210.56966 98.17 %

* 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).

94, %

95, %

96, %

97, %

98, %

99, %

100, %

101, %

% Outturn on commitment appropriations

20

TABLE 2: OUTTURN ON PAYMENT APPROPRIATIONS IN 2015 (in Mio €)

Chapter Payment


Payments made %

1 2 3=2/1

Title 06 Mobility and transport

06 06 02 European transport policy 1567.169911 1542.239 98.41 %

06 03 Horizon 2020 - Research and innovation related to transport

70.905491 64.62765037 91.15 %

Total Title 06 1638.075402 1606.86665 98.09%

Title 08 Research and innovation

08 08 02 Horizon 2020 - Research 332.5591776 296.229787 89.08 %

Total Title 08 332.5591776 296.229787 89.08%

Title 09 Communications networks, content and technology

09 09 03 Connecting Europe Facility (CEF) - Telecommunication networks

6.910789 6.74858537 97.65 %

Total Title 09 6.910789 6.74858537 97.65%

Title 32 Energy

32 32 02 Conventional and renewable energy 54.195523 54.119773 99.86 %

32 04 Horizon 2020 - Research and innovation related to energy

62.197236 57.09124277 91.79 %

Total Title 32 116.392759 111.2110158 95.55%

Total DG INEA 2093.938128 2021.056038 96.52 %

* 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).

21

82, %

84, %

86, %

88, %

90, %

92, %

94, %

96, %

98, %

100, %

102, %

="% Outturn on payment appropriations"

22

TABLE 3 : BREAKDOWN OF COMMITMENTS TO BE SETTLED AT 31/12/2015 (in Mio €)

2015 Commitments to be settled Commitments to be

settled from Total of commitments to be

settled at end Total of commitments to

be settled at end

Chapter Commitments 2015 Payments 2015 RAL 2015 % to be settled financial years previous

to 2015

of financial year 2015(incl corrections)

of financial year 2014(incl. corrections)

1 2 3=1-2 4=1-2/1 5 6=3+5 7

Title 06 : Mobility and transport

06 06 02 European transport policy

2132.358306 232.93 1899.423384 89.08 % 3,114.31 5,013.74 4757.06

06 03

Horizon 2020 - Research and innovation related to transport

132.8291595 1.07 131.7597242 99.19 % 77.49 209.24 148.05

Total Title 06 2265.187465 234.00 2031.183108 89.67% 3191.798029 5222.981137 4905.11068

Title 08 : Research and innovation

08 08 02 Horizon 2020 - Research

378.1123655 33.21 344.8996643 91.22 % 361.33 706.23 627.68

Total Title 08 378.1123655 33.21 344.8996643 91.22% 361.3292006 706.228865 627.681583

Title 09 : Communications networks, content and technology

09 09 03

Connecting Europe Facility (CEF) - Telecommunication networks

46.859279 0.03 46.83298463 99.94 % 10.58 57.41 20.70

Total Title 09 46.859279 0.03 46.83298463 99.94% 10.576034 57.40901863 20.698325

Title 32 : Energy

32 32 02 Conventional and renewable energy

346.663 19.11 327.5534135 94.49 % 332.45 660.00 367.46

32 04

Horizon 2020 - Research and innovation related to energy

173.747555 0.11 173.6330043 99.93 % 104.50 278.13 161.76

Total Title 32 520.410555 19.22 501.1864178 96.31% 436.9468462 938.1332641 529.218199

Total DG INEA

3210.569665 286.47 2924.102175 91.08 % 4000.65011 6924.752285 6082.70879

23

0,00

1.000,00

2.000,00

3.000,00

4.000,00

5.000,00

6.000,00

="Breakdown of Commitments remaining to be settled (in Mio EUR)"

24

TABLE 4 : BALANCE SHEET

BALANCE SHEET 2015 2014

A.I. NON CURRENT ASSETS 68,196,489.44 765,164.58

A.I.4. Non-Current Financial Assets 0.00 0.00

A.I.6. Non-Current Pre-Financing 68,196,489.44 765,164.58

A.I.7. OLD LT Pre-Financing 0.00

A.II. CURRENT ASSETS 720,583,383.75 106,274,031.29

A.II.2. Current Pre-Financing 699,140,605.04 97,698,397.00

A.II.3. Current Financial Assets 0.00

A.II.4. Exchange Receivables 633,248.87 7,425,000.00

A.II.5. Non-Exchange Receivables 20,809,529.84 1,150,634.29

A.II.7. Cash and Cash Equivalents 0.00

ASSETS 788,779,873.19 107,039,195.87

P.I. NET ASSETS/LIABILITIES 0.00 0.00

P.I.1. Reserves 0.00 0.00

P.III. CURRENT LIABILITIES -1,313,560,849.68 -791,633,269.3

P.III.4. Accounts Payable -118,495,576.64 -112,213,207.32

P.III.5. Accrued charges and deferred income

-1,195,065,273.04 -679,420,061.98

LIABILITIES -1,313,560,849.68 -791,633,269.3

NET ASSETS (ASSETS less LIABILITIES) -524,780,976.49 -684,594,073.43

2,039,282,530.96 776,700,480.70

-1,514,501,554.47 -92,106,407.27

0.00 0.00


25

TABLE 5 : STATEMENT OF FINANCIAL PERFORMANCE

STATEMENT OF FINANCIAL PERFORMANCE 2015 2014

II.1 REVENUES -7,012,113.75 -179,232.10

II.1.1. NON-EXCHANGE REVENUES -7,438,732.15 -123,627.62

II.1.1.5. RECOVERY OF EXPENSES -7,438,732.15 -123,627.62

II.1.2. EXCHANGE REVENUES 426,618.40 -55,604.48

II.1.2.1. FINANCIAL INCOME -36,691.36 -55,604.48

II.1.2.2. OTHER EXCHANGE REVENUE 463,309.76

II.2. EXPENSES 1,759,475,122.11 1,262,761,282.36

II.2. EXPENSES 1,759,475,122.11 1,262,761,282.36

II.2.10.OTHER EXPENSES 142,506.72

II.2.2. EXP IMPLEM BY COMMISS&EX.AGENC. (DM) 1,759,332,615.44 1,262,761,282.36

STATEMENT OF FINANCIAL PERFORMANCE 1,752,463,008.36 1,262,582,050.26

26

TABLE 6: AVERAGE PAYMENT TIMES FOR 2015 - DG INEA

Maximum Payment

Time (Days)

Total Nbr of

Payments

Nbr of Payments

within Time Limit

%

Average Payment

Times (Days)

Nbr of Late Payments Percentag

e

Average Payment Times

(Days)

30 1036 968 93.44 % 15.10 68 6.56 % 49.35

45 106 102 96.23 % 21.46 4 3.77 % 47.75

60 2 2 100.00 % 21.00

90 25 25 100.00 % 27.20


1169 1097 93.84 % 72

6.16 %


18.03 15.98

49.26

Target Times

Target Payment

Time (Days)

Total Nbr of

Payments

Nbr of Payments

within Target Time

%

Average Payment

Times (Days)


Percentage

Average Payment Times

(Days)

20 568 504 88.73 % 10.00 64 11.27 % 43.41

30 110 81 73.64 % 15.51 29 26.36 % 41.03

75 12 12 100.00 % 31.58


690 597 86.52 % 93

13.48 %


15.43 11.18

42.67

Suspensions

Average Report

Approval Suspension

Days

Average Payment

Suspension Days

Number of Suspended Payments

% of Total

Number

Total Number

of Payments

Amount of Suspended Payments

% of Total

Amount

Total Paid Amount

25 16 247 21.13 % 1169 223,272,408.83 11.34 % 1,968,973,000.24

Late Interest paid in 2015

DG GL

Account Description Amount (Eur)

27

TABLE 7 : SITUATION ON REVENUE AND INCOME IN 2015

Revenue and income recognized Revenue and income cashed from 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

52 REVENUE FROM INVESTMENTS OR LOANS GRANTED, BANK AND OTHER INTEREST

30,426.95 0.00 30,426.95 30,426.95 0.00 30,426.95 0.00

66 OTHER CONTRIBUTIONS AND REFUNDS 119,279,948.18 8,575,634.29 127,855,582.47 98,806,041.84 8,575,634.29 107,381,676.13 20,473,906.34

90 MISCELLANEOUS REVENUE 917,393.50 0.00 917,393.50 0.00 0.00 0.00 917,393.50

Total DG INEA 120,227,768.63 8,575,634.29 128,803,402.92 98,836,468.79 8,575,634.29 107,412,103.08 21,391,299.84

28

TABLE 8 : RECOVERY OF PAYMENTS (Number of Recovery Contexts and corresponding Transaction Amount)

INCOME BUDGET RECOVERY ORDERS ISSUED IN 2015

Irregularity Total undue payments recovered

Total transactions in recovery context(incl. non-qualified)


Year of Origin (commitment) Nbr RO Amount Nbr RO Amount Nbr RO Amount Nbr RO

Amount

2004 2 917,393.50 2 917,393.50 2 917,393.50 100.00% 100.00%

2005 2 74,646.90 2 74,646.90 2 74,646.90 100.00% 100.00%

2007 1 1,200,000.00 1 1,200,000.00 1 1,200,000.00 100.00% 100.00%

2008 1 48,276.80 1 48,276.80 3 21,409,215.80 33.33% 0.23%

2009 5 3,533,620.73 5 3,533,620.73 9 18,248,587.73 55.56% 19.36%

2010 1 581,770.00 1 581,770.00 4 45,311,977.25 25.00% 1.28%

2011 2 3,784,809.43 2 3,784,809.43 7 5,556,441.61 28.57% 68.12%

2012 8 1,376,657.17 8 1,376,657.17 11 2,413,963.24 72.73% 57.03%

2013 1 1,909,228.00 1 1,909,228.00 8 7,386,331.65 12.50% 25.85%

2014 2 14,165,929.79 2 14,165,929.79 9 17,590,280.31 22.22% 80.53%

2015 3 75,750.00

Sub-Total 25 27,592,332.32 25 27,592,332.32 59 120,184,587.99 42.37% 22.96%

EXPENSES BUDGET Error Irregularity OLAF Notified Total undue payments recovered

Total transactions in recovery

context(incl. non-qualified)


Nbr Amount Nbr Amount Nbr Amoun

t Nbr Amount Nbr Amount Nbr Amount

INCOME LINES IN INVOICES

NON ELIGIBLE IN COST CLAIMS 2 7,812.81 59 55,213,095.07 61 55,220,907.88 149 57,745,396.86 40.94% 95.63%

CREDIT NOTES

Sub-Total 2 7,812.81 59 55,213,095.07 61 55,220,907.88 149 57,745,396.86 40.94% 95.63%

GRAND TOTAL 2 7,812.81 84 82,805,427.39 86 82,813,240.20 208 177,929,984.85 41.35% 31.04%

29

TABLE 9: AGEING BALANCE OF RECOVERY ORDERS AT 31/12/2015 FOR INEA



Evolution Open Amount

(Eur) at 01/01/2015

Open Amount (Eur) at

31/12/2015 Evolution

2014 4 -100.00

% 8,575,634.29 -100.00 %

2015 10 21,391,299.84

4 10 150.00 % 8,575,634.29 21,391,299.84 149.44 %

TABLE 10 : RECOVERY ORDER WAIVERS IN 2015 >= EUR 100.000

Waiver Central Key Linked RO Central

Key

RO Accepted Amount

(Eur)

LE Account Group

Commission Decision

Comments

Total DG

Number of RO waivers

TABLE 11 : CENSUS OF NEGOTIATED PROCEDURES - DG INEA - 2015

Negotiated Procedure Legal base

Number of Procedures Amount (€)

Total

TABLE 12 : SUMMARY OF PROCEDURES OF DG INEA EXCLUDING BUILDING CONTRACTS

30

TABLE 13 : BUILDING CONTRACTS

Total number of contracts :

Total amount :

Legal base Contract Number Contractor Name Description Amount (€)

TABLE 14 : CONTRACTS DECLARED SECRET

Total number of contracts :

Total amount :

Legal base Contract Number Contractor

Name

Type of contract Description Amount (€)

31

ANNEX 4: Materiality criteria

The objectives of the internal control system are defined in the Financial Regulation (cf.

Art. 28b). The Authorising Officer by Delegation (AOD) should define specific

management targets and, in particular, should have objective criteria for determining which weaknesses should be subject to a formal reservation to his/her declaration.

The Agency's AOD assessed the significance of any weaknesses that could lead to a formal reservation. This was done by identifying their potential impact and judging

whether any weakness was material enough that its non-disclosure could influence the decisions or conclusions of the users of the declaration of assurance.

The materiality threshold was established in application of Commission standards after making both a qualitative and quantitative judgement in order to assess and quantify any

significant weaknesses. In qualitative terms the following factors were considered:

nature, scope, duration, mitigating controls, existence of corrective actions. In quantitative terms, the potential financial impact was taken into account and an

acceptable limit of error established for the % value of transactions of the Agency's budget affected by the weakness.

In establishing the materiality threshold the guidance of the Court of Auditors for materiality threshold of 2% as well as the applicable Commission standards were taken

into account.

In 2013, an updated error rate calculation methodology was developed in order to

calculate the residual error rate for the Programmes managed by the Agency. It was

complemented by the error rate calculations for Marco Polo II in 2015.

The calculation was made on a multi-annual basis to reflect the multi-annual nature of

the TEN-T and Marco Polo Programme and projects. It covers the population of all interim and final cost claims processed by the Agency. The results of ex-post controls carried out

by the Agency (detected errors) are calculated over the programme lifetime to provide the multi-annual detected error rate. The detected error rate is extrapolated to the non-

audited part of the payment population.

The calculation also shows the 'cleaning' effect of the ex-post controls by building into

the calculation, the financial impact of the follow-up of ex-post controls performed –

which effectively correct the majority of detected errors.

This provides the errors after controls (the residual error). The detailed calculation of the

multi-annual residual error rate per programme is shown in Table 25 in section 2.1 of this report for the TEN-T and Marco Polo Programmes.

32

ANNEX 5: Internal Control Template(s) for budget implementation (ICTs)

Stage 1: Programming, evaluation and selection of proposals

A. Contribution to the Annual Work programme of parent DGs and Preparation, adoption and publication of Calls for proposals

Main control objectives: Ensuring that the most promising projects for meeting the policy objectives are among the proposals submitted; compliance; Prevention of fraud

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 annual work programme and the subsequent calls for

proposals do not adequately reflect the policy objectives, priorities are incoherent

and/or the essential eligibility, selection and award criteria are not

adequate to ensure the evaluation of the proposals.

Although dependent on the controls implemented by the parent DG, INEA contributes within the margin of the

MOUs and agreed working arrangements to the work programme hierarchical

validation and assures for Call preparation, adoption and publication the

appropriate hierarchical validation through set-up

consultation of parent DG channels.

Explicit allocation of responsibility.

Coverage/Frequency: 100%

Depth: work programme contributions and Call preparation, adoption and

publication are thoroughly reviewed at all levels, including for operational and

legal aspects.

Cost: estimation of cost of staff involved in the

preparation and validation of the contribution to the Annual Work Programme and preparation, adoption

and publication of Calls for Proposals.

Benefits: only qualitative. A good work programme and

well publicised calls should

generate a large number of good quality proposals, from which the most excellent can be chosen. There will

therefore be real completion for funds.

Oversubscription: Requested EU contribution from eligible

proposals/call size.

33

B. Selecting and awarding: Evaluation, ranking and selection of proposals

Main control objectives: Ensuring that the most promising projects for meeting the policy objectives are among the proposals selected

(compliance, prevention of fraud,)

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 evaluation, ranking and

selection of proposals is not carried out in accordance with the established

procedures, the policy objectives, priorities, and/or

the essential eligibility, or

with the selection and award criteria defined in the corresponding annual work programme and subsequent

Calls for Proposals.

Selection and appointment of expert evaluators

Assessment by independent experts

Independent observer(s) IT system(s) supporting the

stage and allowing better monitoring of the process.

Hierarchical validation of AOSD/AOD of ranked

proposals. In addition, if

applicable: opinion of advisory bodies, Comitology, interservice consultation and adoption

by the Commission; publication

Systematic checks on operational and legal aspects. Performed before

signature of GA Redress process

100% vetting (including selecting) of experts for technical expertise and independence (e.g. CoI,

nationality bias, ex-employer bias).

100% of admissible proposals are evaluated.

Coverage: (100% of proposals). Supervision of work of evaluators.

100% of contested decisions are analysed by appropriate redress procedure (different

for CEF and Horizon 2020).

Costs: estimation of cost of staff involved in the

evaluation and selection of proposals. Cost of the appointment of experts,

observers and of the logistics of the evaluation. Benefits: Qualitative

benefits. Expert evaluators from outside the Agency/Commission bring

independence, state of the art knowledge in the field

area and a range of different

opinions. This will have an impact on the whole project cycle: better planned, better implemented projects. In

addition the observers invited from the parent DGs contribute to improve the

working relationships and trust building.

Quantitative benefit is the requested funding of ineligible proposals x

% of number of (successful)

redress challenges/total number of proposals received.

% Time-to-Inform on time

Cost of evaluating + selecting grants/value of grants contracted.

34

Main risks


Mitigating controls

How to determine


How to estimate the


Control indicators

success rate

Stage 2: Contracting: transformation of selected proposals into legally binding grants decisions/agreements

Main control objectives: Ensuring that the actions and funds allocations is optimal (best value for public money; effectiveness; economy, efficiency); compliance; Prevention of fraud


that…

Mitigating controls How to determine

coverage, frequency and

depth


controls

Control indicators

The description of the action in the GA includes no contributing to the achievement of the

programme objectives and/or that the budget foreseen overestimates the

costs necessary to carry out

the action.

The beneficiary lacks operational and/or financial capacity to carry out the actions.

Procedures do not comply with regulatory framework.

The evaluation stage has not detected a potential

fraudulent proposal/beneficiary.

Project officers implement

evaluators' recommendations. Hierarchical validation of

proposed adjustments. Validation of beneficiaries (operational and financial

viability). Systematic checks

on operational and legal aspects performed before signature of the GA.

Ad hoc anti-fraud checks for riskier beneficiaries.

Signature of the GA by the AO.

Financial verification. For Horizon 2020, where

applicable Participant Guarantee Fund.

100% of the selected

proposals and beneficiaries are scrutinised. Coverage: 100% of draft

agreements. Depth may be

differentiated; determined

after considering the type or nature of the beneficiary (e.g. SME, Joint-ventures)

and/or of the modality (e.g. substantial subcontracting or procurement- and/or the

total value of the grant). Note that for Horizon

2020, the constraints on the time to grant "negotiation" of projects is kept to a minimum, as far as possible

the positively evaluated projects are accepted

Cost: estimation of cost of all staff involved in the

contracting process including signing by AOSD.

Benefits: Qualitative

benefits: The whole commitment budget

checked for quality (prevention of later errors). This stage should lead to a higher assurance on the

achievement of the projects – and policy objectives.

Quantitative benefit is the reduction of EU contribution during GA preparation

%of Time-to-sign on time

Average time to grant (FR 128.2)

% of Time to grant on time.

% cost over annual amount contracted.

35

Main risks


Mitigating controls

How to determine


How to estimate the


Control indicators

without modification.

36

Stage 3: Monitoring the execution

Main control objectives: ensuring that the operational results (deliverables) from the projects are of good value and meet the objectives and conditions (effectiveness & efficiency); ensuring that the related financial operations comply with regulatory and

contractual provisions (legality & regularity); ensuring appropriate accounting of the operations (reliability of reporting)


that… Mitigating controls

How to determine coverage, frequency and

depth



The actions foreseen are not,

totally or partially, carried out in accordance with the technical description and

requirements foreseen in the GA.

Amounts paid exceed what is due in accordance with the applicable contractual and regulatory provisions.

The cost claims are irregular or fraudulent

Lack of harmonised approach within

CEF/Horizon 2020 with the consequence of unequal treatment of the beneficiaries.

Kick-off meetings and "launch events" involving

the beneficiaries in order to avoid project management and reporting errors.

Effective external communication about guidance to beneficiaries.

Anti-fraud awareness raising training for the project

officers For Horizon 2020 enhanced research family approach

(anti-fraud cooperation; common legal and audit service; comprehensive

common IT system ) Operational and financial

checks in accordance with financial circuits and ex-ante controls in place based on the agreed sampling

methodology. Rejection of costs is case objectives are not fully met

100%of the projects are controlled, including only value-adding checks.

Riskier operations subject to more in-depth controls.

The depth depends on risk criteria. However, as a deliberate policy to reduce

administrative burden, and to ensure a good balance between trust and control, the level of control at this

stage has an efficiency focus.

High risk operations identified by risk criteria (suspicions raised by staff,

audit results, EWS, individual or "population" risk assessment and procedure on audit

certificates by beneficiaries linked to amounts claimed.

Cost: estimation of cost of staff involved in the actual

management of running projects. Benefits: budget value of

the costs claimed by the beneficiary, but rejected by staff.

Reductions in error rates identified by audit

certificates. Benefits due to operational review of projects and

consequent corrective actions imposed on projects.

Time-to-pay: % of

payments made on time Cost of control from contracting and monitoring

to execution up to payment included/amount paid (%)

Number of projects with cost claim errors

Budget amount of the cost items rejected

37

Main risks


Mitigating controls

How to determine


How to estimate the


Control indicators

Operation authorisation by

the AO.

Both CEF and Horizon 2020 have specific review procedures in place

including on-site visits and reporting. If needed: application of

Suspension/interruption of payments, penalties or liquidated damages.

Referring grant/beneficiaries to OLAF

38

Stage 4: Ex-Post controls

A. Audits

Main control objectives: Measuring the effectiveness of ex-ante controls by ex-post controls


that…



depth


controls

Control indicators

The ex-ante controls fail to prevent, detect and correct erroneous payment

declarations or attempted

fraud.

An independent external audit team is established not involved in operational or financial circuits.

Ex-post controls through on the spot audits are made covering at least 20% in

value of the interim and final costs accepted during the implementation of TEN-

T. Value based selections are made for Marco Polo II, in order to maximise audit

coverage with the available

resources Validation of audit results

with beneficiary If needed: referring the beneficiary or grant to OLAF

For Horizon 2020, the CSC assures the common ex-post control strategy. For CEF the audit strategy

roadmap is being drafted building on the experience gained and lessons learned.

According to a multi-annual

ex-post control strategy for the TEN-T programme, using a blend of Monetary

Unit Sampling and Risk based selections. For Marco Polo the control

strategy also takes a multi-annual approach, using value based selections to

achieve coverage targets of the auditable population over the programme

lifetime.

For Horizon 2020 the Horizon 2020 Central Audit

Service (CAS) is responsible for ex-post controls. The CAS will implement a multi-

annual strategy, which will be adopted in 2016.

For CEF, INEA will adopt a multi-annual audit strategy with targets and indicators defined in 2016.

Cost of ex-post audit team divided by the EU grant contribution audited +

outsourced audit costs The amount of EU

contribution corrected as a result of ex-post controls (recovery order, offsetting)

Benefits: budget value of the errors detected by the audit team.

Non quantifiable benefits: Deterrent effect. Learning

effect for beneficiaries. Improvement of ex-ante controls or risk approach in

ex-ante controls by feeding back findings from audit. Improvement in rules and

guidance from feedback from audits.

Multi-annual residual error

rate (ex-post audits) Return per audit

Number of audits finalised

(+% of beneficiaries & multi annual value coverage)

39

B. Implementing results from ex-post audits/controls

Main control objectives: Ensuring that the (audit) results from the ex-post controls lead to effective recoveries; Ensuring appropriate accounting of the recoveries made.


that…



depth



The errors, irregularities and causes of fraud detected are not addressed or not addressed in a timely

manner

Systematic registration of audit/control results to be implemented and actual

implementation. Validation of recovery in accordance with financial circuits.

Authorisation by AO. Notification to OLAF and

regular follow up of detected fraud.

Coverage: 100% if final

audit results with a financial impact.

Depth: All audit results are examined in-depth making the final recoveries.

For Horizon 2020 systemic errors are extrapolated to all the non-audited projects of

the same beneficiary. For CEF a similar approach is being developed.

Cost estimation of cost per staff involved in the implementation of the audit

results. Benefit: budget value of the errors, detected by ex-post

controls, which have actually been corrected (offset or recovered).

Loss: budget value of such ROs which are 'waived' or

have to be cancelled.

Amounts being recovered and offset

Coverage amounts and % by programme on a multi-annual basis

40

Operating expenditures

Stage 1: Procurement

The objective of effectiveness, efficiency and economy for INEAs procurement needs were reached by extensively using service level

agreements with Commission services and framework contracts. Only low value procurement or negotiated procedures with a limited number of contractors are managed internally. The compliance with procurement rules were achieved with the help of very clear rules

involving advance authorisation by the Executive Director of any procurement action. No findings or recommendations were received on the Agency procurement activity from the Internal Audit Service of the Commission or the European Court of Auditors.

Stage 2: Financial transactions

Main control objectives: Ensuring that the implementation of the contract is in compliance with the signed contract


that…



depth


controls

Proposed control indicators

The products/services/works foreseen are not, totally or partially, provided in

accordance with the technical description and

requirements foreseen in

the contract. Amounts paid may exceed the amount due in

accordance with the applicable contractual and regulatory provisions. Business interruption due to

non-delivery of contractor(s).

Operational and financial

checks in accordance with the financial circuits. Operation authorisation by

the AO

100% of purchase orders are controlled. The visa

chain includes initiating and verifying agents before the

authorisation from the

Executive Director. 100% of payments are

controlled. The visa chain includes initiating and verifying agents before the authorisation from a Head of

Unit

The cost of control is a

share of the costs of the Executive Director, the Internal Controls Officer, the Head of Unit Resources and

his Deputy, the Head of HR for salaries, the Head of

Legal for purchase orders,

the Financial Initiating and Verifying Agents, the audit function, the Accounting

team, the Operational Initiating and Verifying Agents and their management.

The benefit is the sound control of around 875 payments in 2015 without

error or weakness identified

Net time to pay

41

Stage 3: Supervisory measures

Main control objectives: Ensuring that any weakness in the procedures (tender and financial transactions) is detected and corrected

Main risks





controls

Proposed 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

Operational and financial checks in accordance with

the financial circuits. Operation authorisation by the AO

Audits on the operating budget by the IAS and the

Court of Auditors. Salaries calculated by the

PMO and controlled by HR in the Agency. The Accountant carries out

accounting quality reviews on both operational (ex-post controls) and operating (ex-

ante controls) budget.

Internal audit controls as

well audits carried out by the Court of Auditors

The cost of control is a share of the costs of the

Executive Director, The Internal Controls Officer, the Head of Unit Resources and his Deputy, the Head of HR

for salaries, the Head of Legal for purchase orders, the Financial Initiating and

Verifying Agents, the audit function, the Accounting team, the Operational

Initiating and Verifying Agents and their management.

The benefit is the sound control of around 875 payments in 2015 without

error or weakness identified

Number of audit

recommendations issued by IAS/ECA on related topics.

42

ANNEX 12: Performance tables

Specific operational objectives

06 02 51 Completion of the Trans-European Network Programme

Specific objective: Support for the development and implementation of a performing Trans-European Transport

Network, through the effective and efficient technical and financial management of the TEN-T Programme 2007-2013

legacy

Spending programme

Development of the indicator Target

Result indicator: % payment execution (C1 credits) Source: ABAC

Result: 100%

100%

Result indicator: Net time to pay for all operational payments Source: ABAC

Result: 30.8 days

30-60-90 days

Result indicator: Multi-annual residual error rate at ex-post control Source: Audit Database

Result: 0.77%

<2%

Main outputs in 2015:

Description Indicator Target Situation at

31/12/2015 Completion of TEN-

T projects legacy

Number of projects

closed

+/-83 TEN-T legacy projects

closed by end 2015: 62

Evaluations: N/A

06 02 52 Completion of Marco Polo Programme

Specific objective: Promote greater use of low-carbon

transport modes and promote multi-modality via the efficient and effective technical and financial management

of the Marco Polo legacy programme and projects

Spending

programme

Baseline Situation 31/12/2015 Target

Result indicator : % payment execution (C1 credits) Source: ABAC

2014: 100%

100%

50% 60% 70% 80% 90% 100%

0 10 20 30 40

0% 1% 2% 3%

50% 60% 70% 80% 90% 100%

43

Result: 100%

Result indicator : Net time to pay for all operational payments Source: TENtec

2014: 11.4 days for PF

2014: 38.7 days for IP/FP

Result: 26.7 days

30-60-90 days

Result indicator: error rate at ex-pot control Source: Audit Database

Estimated error rate: 1.1-

1.8% Source: INEA AAR 2014 & EACI AAR 2013

Result: 0.97%

<2%

Main outputs in 2015 AWP:


31/12/2015 Completion of Marco Polo projects (expenditure related

output)

Number of projects closed

+/- 23 Marco Polo legacy projects closed by end 2015: 23

projects

Evaluations: N/A

06 02 01 01 Removing bottlenecks and bridging missing links

06 02 01 02 Ensuring sustainable and efficient transport in the long-run

06 02 01 03 Optimising the integration and interconnection of transport modes

and enhancing interoperability, safety and security of transport

06 02 01 04 Connecting Europe Facility – Cohesion Fund allocation

Specific objective: Support to the development of a core

European Transport network by 2030, through the effective and efficient technical and financial management of the CEF

Transport Programme and projects - demonstrating the

added value and expertise of the Agency.

Spending

programme


Result indicator : % commitment execution (C1 credits)

Source: ABAC

2014: 100% execution

Result: 100%

100%

Result indicator: % of individualisation of remaining 2014 global commitments

Source: ABAC

NA

Result: 100 %

100%

Result indicator : % payment execution (C1 credits)

Source: ABAC

0 10 20 30 40

0% 1% 2% 3%

50% 60% 70% 80% 90% 100%

50% 60% 70% 80% 90% 100%

44

NA

Result: 100% (€1,188 billion EUR)

100%

Result indicator: time to inform

Source: TENtec

NA

Result: 134 days

184 days

Result indicator: time to grant

Source: TENtec

NA

Result: 264 days

276 days

Result indicator: Net time to pay for all operational payments (for CEF, only pre-financing in 2015)

Source: TENtec

NA

Result: 9.6 days

30-60-90 days


Description Indicator Target Situation 31/12/2015

Evaluation procedure

for 2014 CEF Transport Call for Proposals

List of selected

projects approved by the CEF-T Committee

List of selected projects

approved by the CEF-T Committee

List of selected

projects (276) approved by the CEF-T Committee on 10/07/2015

Contracting procedures for 2014

CEF Transport Call for Proposals

Number of finalised and signed GAs

All grant agreements signed

by end 2015

All 263 GAs signed by the time to grant

deadline (4/12/2015)

Evaluations: N/A

32 02 01 01 Promoting the integration of the internal energy market and the

interoperability of networks through infrastructure

32 02 01 02 Enhancing Union security of supply, system resilience and security

of system operations through infrastructure

32 02 01 03 Contributing to the sustainable development and protection of the

environment through infrastructure

Specific objective: Support for the strengthening of EU energy infrastructure, through the effective and efficient

technical and financial management of the CEF Energy Programme.

Spending

programme


Result indicator : % commitment execution (C1 credits)

Source: ABAC

50% 60% 70% 80% 90% 100%

0 50 100 150 200

0 100 200 300

0 10 20 30 40

45

2014: 100%

Result: 100 %

100%

Result indicator: % of individualisation of remaining 2014 global commitments.

Source: ABAC

2014: N/A

Result: 100 %

100%


Source: ABAC

2014: N/A

Result: 100%

100%


Source: TENtec

2014: 99 days

Result: 76 days

184 days

Result indicator: time to grant Source: TENtec

NA

Result: 230 days

276 days

Result indicator : Net time to pay for all operational payments (only pre-financings) Source: TENtec

NA

Result: 9.4 days

30-60-90 days


Description Indicator Target Situation at 31/12/2015

Contracting procedures for 2014 and 2015/1

CEF Energy Calls

GAs signed 34 grant agreements in force

51 GAs signed (33 for the 2014 Call

and 18 for the 2015/1 Call)

Launch and completion of the 2015 Energy Call(s)

Date of adoption of Commission selection decision

Adoption by end 2015

Adoption on 14/07/2015 for the Call 2015/12

Evaluations: N/A

09 03 03 00 Promoting interoperability, sustainable deployment, operation and

2 The Commission selection decision for the Energy Call/2 was adopted on 19/01/2016

50% 60% 70% 80% 90% 100%

50% 60% 70% 80% 90% 100%

50% 60% 70% 80% 90% 100%

0 50 100 150 200

0 100 200 300

0 10 20 30 40

46

upgrading of trans-European digital service infrastructures, as well as

coordination at European level

Specific objective: Support for the deployment of broadband networks and promotion of interconnected and

interoperable national public services on-line through the effective and efficient technical and financial management

of the CEF Digital Programme.

Spending programme

Baseline Situation 31/12/2015 Target Result indicator : % commitment execution (C1 credits) Source: ABAC

2014: NA

Result: 100 %

100%

Result indicator: % of individualisation of remaining 2014 global commitments.

Source: ABAC

2014: N/A

Result: 83,4 %

100%


Source: ABAC

2014: N/A

Result:

99.9 %

100%

Result indicator: time to inform Source: TENtec

2014: N/A

Result:

132 days

184 days

Result indicator: time to grant Source: TENtec

2014: N/A

Result: 231 days

276 days

Result indicator : Net time to pay for all operational payments (only pre-financing payments) Source: TENtec

2014: N/A

Result: 9.4 days

30-60-90 days



31/12/2015 Contracting procedures for 2014 CEF Telecoms Call for Proposals

GAs signed All GAs related to the 2014 Call for Proposals in force

48 agreements in force (29 for Safer Internet and 19 for

eID)

Launch and completion of Commission Adoption by end 2015 Adoption in 2016

50% 60% 70% 80% 90% 100%

50% 60% 70% 80% 90% 100%

50% 60% 70% 80% 90% 100%

0 50 100 150 200

0 100 200 300

0 10 20 30 40

47

the 2015 Telecoms Call

for Proposals

selection decision (calls launched in

late 2015, with deadline early 2016)

Evaluations: N/A

32 04 03 01 Research and Innovations related to energy – Societal Challenges -

Making the transition to a reliable, sustainable and competitive energy system

08 02 03 03 Research - Making the transition to a reliable, sustainable and

competitive energy system

Specific objective: Support for secure, clean and efficiency energy by the effective and efficient implementation of the

Horizon 2020 Specific Programme Societal challenge related to energy demonstrating the added value and

expertise of the Agency.

Spending programme


2014: 100%

Result: 100%

100%

Result indicator: % of individualisation of remaining 2014 global commitments. Source: ABAC

2014: N/A

Result: 99.8%

100%


Source: ABAC

2014: N/A

Result: 100%

100%


Source: SYGMA/COMPASS

2014: 152 days

Result: 131 days

153 days



2014: 226 days

Result: 216 days

245 days

Result indicator : Net time to pay for pre-financing Source: ABAC

2014: N/A

Result: 17 days

30 days for pre-financing

50% 60% 70% 80% 90% 100%

50% 60% 70% 80% 90% 100%

50% 60% 70% 80% 90% 100%

0 50 100 150 200

0 100 200 300

0 10 20 30 40

48



31/12/2015 Complete handover of the 2014 calls (Commission's

output)

% complete 100% 100%

Selection of experts (Agency's output)

% of experts with

contract signed 2 weeks before starting the remote evaluation

100% 100%

Definition of harmonised evaluation processes

(Agency's output)

Model fully defined for all types of actions

Done before starting the first evaluation


Definition of

harmonised process and procedures for GA Preparation (GAP)


Done before starting

the first GAP and implemented successfully throughout the year

Done before starting

the first GAP and implemented successfully throughout the year

Assist parent DGs in the preparation of the

2016-2017 Energy Research Work Programme

(Agency's output)

High quality input from INEA within the deadline

Yes

Contributions and input provided and included in the WP

Yes

Contributions and input provided and included in the WP

Evaluations: N/A

06 03 03 01 Research and Innovations related to transport – Societal Challenges - Achieving a resource-efficient, environmentally friendly, safe and

seamless European transport system

08 02 03 04 Research - Achieving a European transport system that is resource-

efficient, environmentally friendly, safe and seamless

Specific objective: Support for smart, green and integrated transport through the effective and efficient

implementation of the Horizon 2020 Specific Programme Societal challenge related to transport demonstrating the

added value and expertise of the Agency.

Spending programme


2014: 100%

Result: 100%

100%

Result indicator: % of individualisation of remaining 2014 global commitments. Source: ABAC

2014: N/A

Results: 100 %

100%

50% 60% 70% 80% 90% 100%

50% 60% 70% 80% 90% 100%

49


Source: ABAC

2014: N/A

Result: 100%

100%



2014: 151 days

Result: 152 days

153 days



2014: 238 days

Result:232 days

245 days

Result indicator : Net time to pay for pre-financing Source: ABAC

2014: N/A

Result: 13.8 days

30 days for pre-financing



31/12/2015 Complete handover of the 2014 calls

(Commissions output)

% complete 100% 100%

Selection of experts (Agency's output)

% of experts with contract signed 2

weeks before starting the remote evaluation

100% 100%

Definition of harmonised evaluation processes

(Agency's output)




Assist parent DGs in

the preparation of the 2016-2017 Transport Research Work Programme.

(Agency's output)

High quality input from INEA within the deadline

Yes Contributions and input provided and included in the WP

Yes Contributions and input provided and included in the WP

Evaluations: N/A

50% 60% 70% 80% 90% 100%

0 50 100 150 200

0 100 200 300

0 10 20 30 40

50

Specific Horizontal objective

Specific objective: Maximise the efficiency of the

Agency's resources and administrative support so as to help the Agency achieve its objectives.

Spending programme


Result indicator: Effective recruitment of all the staff authorized for 2015 under EU budget.

Baseline: N/A 186 staff recruited by the end of the year with 9 recruitments confirmed for January and 2 posts postponed.

1 June 2015

Result indicator: Effective and efficient establishment of the recruitment plan 2016

Baseline: N/A 100% Recruitment Plan established by 31/12/2015

Result indicator: Keep to the staffing plan 2015 with a vacancy rate below 3%

Baseline: N/A 7.5% Target of 3% met at 31/12/2015

Result indicator: Revamp and re-launch the INEA website under the European Commission's web services on Europa

Baseline: N/A INEA website is hosted on Europa website as of 1 June 2015 and is regularly updated.

Website launch before the deadline of 30/06/2015

Result indicator: Update and monitor the implementation of the Agency's Anti-Fraud Strategy.

Baseline: N/A Anti-Fraud Strategy was updated and finalised by the end of 2015.

Anti-fraud strategy updated and action plan established by

31/12/2015

Result indicator: Establish a set of cost efficiency indicators in order to provide an overall assessment of the costs and benefits of controls.

Baseline: N/A Set of indicators developed for 2013 AAR was revised.

Set of indicators established and in use

by 31/12/2015

Result indicator: Upgrade the working methods to prepare, monitor and implement INEA's

operating budget

Baseline: N/A Activities to update the working

methods for the operating budget started in 2015 and will continue in 2016.

31/12/2015

51

Communication output indicators for 2015

The main communication output indicators for 2015 can be seen in the tables below.

Common communication indicators for all Commission services were discussed with DG COMM during 2015 and will be implemented as of 2016. In the meantime INEA has used

current standard practices for evaluating events to provide feedback in particular on the Info days. Lessons-learned documents are being finalised for those that INEA organised

during the year.

Communication output indicators 2015

Indicator Total

Unique INEA website visits* 175,000

Documents downloaded from website 102,000

Average website visit duration 4':11"

Number of external events organised or supported 37

Estimated number of event participants 65,288

Registered participants in events INEA organised 8,446

- CEF 4,866

- Horizon 2020 3,600

Average satisfaction rate with CEF events per sector

- CEF Transport 90.3%

- CEF Energy 85.4%

- CEF Telecom 86.0%

Average satisfaction rate with Horizon 2020 events 90.3%

% of newcomers to Info Days per sector

- CEF Energy 62.0%

- CEF Telecom 6.0%

- CEF Transport 64.0%

- Horizon 2020 Transport 58.0%

- Horizon 2020 Energy 64.3%

- Horizon 2020 Smart Grids and Storage 32.0%

- Horizon 2020 Smart Cities 27.0%

Webstreaming connections to Info Days (live+VOD) 24,457

Indicator Total

Registered participants in INEA's own events (Job Fair) 935

Satisfaction rate Job Fair 80.0%

Number of press actions 18

Number of publications 20

Twitter followers 2,700

LinkedIn followers 785

Impressions on social media 617,800

Total estimated reach 240,288 *Web statistics only cover the period from 1 June 2015 following the start of hosting on Europa