European Structural and Investment Funds
Advanced Autumn Course | 16.10.2019 - 18.10.2019 | Venice | Language: English

Innovative Approaches to Risk Analysis, Verifications and Audits in ESI Funds

Receive guidance on innovative methods and approaches for your controlling activities of ESI Funds, such as use of internet and social media, use of sophisticated audit software, use of risk analysis, use of EU databases, and many other tools, which will make your audits and verifications even more effective.

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Overview

First level control and second level control play a crucial role in the financial management and control system of ESI Funds. Managing Authorities and Intermediate Bodies have to assure administrative and on‐the‐spot verifications in order to ensure an efficient and reliable first level control procedure. Audit Authorities have to be very well aware of the audit requirements in order to be best prepared for audit visits.

The question nowadays is, if it is enough to conduct your controlling activities (risk analysis, verifications, audits) simply following the “standard” procedures and requirements? There are more and more innovative and intellectual property projects under the subsidized projects. Which consequences does it have for the risk analysis, verifications and audits of the projects? What are the innovative approaches and instruments, which will help you to conduct your controlling activities? Join our Autumn Course and learn about the new methods and instruments, data analysis and more effective and innovative approaches to perform the verifications and audits in the most efficient way.

Who Should Participate

  • Representatives from public authorities in charge of financial management, control and audit, especially from:
    • Managing Authorities
    • Certifying Authorities
    • Audit Authorities
    • Intermediate Bodies
  • ESI Funds experts from regional and local authorities and experts involved in ETC Programme
  • Beneficiaries of EU funded projects, i.e.: Private and public companies, associations, research institutes
  • Public and private banks
  • International, national and local associations and networks
  • Consultants

Course Material – No need to miss anything!

If you were unable to make it to the workshop and/or conference you may want to order a copy of the printed material including the access data to all presentations shown during the events. The price is € 299,- (each, excl. of VAT). If interested, please contact Anya Zuschke.

Topics & Methodology

Session 1: Financial Management and Control System nowadays and Prospective for 2021-2027

  • Regulatory Framework 2014-2020, roles and responsibilities of the bodies involved
  • New legislative package for Cohesion Policy 2021-2027

Session 2: Effective Management Verifications in ESI Funds 

  • Legal requirements of the current programming period and what will change in 2021-2027
  • Administrative versus on-the-spot verifications: strategy and planning
  • Segregation of duties between Managing Authorities and Intermediate Bodies

Session 3: Audit Challenges for ESI Funds

  • What will change in key requirements and assessment criteria in 2021-2027 and which consequences will it have for management verifications and audits?
  • Audits on operations/projects/payment claims; audit of accounts; verification of Management Declaration

Session 4: Using Innovative Approaches for Your Controlling Activities

  • Conducting Risk Management and Risk Analysis of the projects
  • New methods and instruments, data analysis and more effective and innovative approaches to perform the controlling activities
  • How to use social media sources to make management verifications and audits easier?
  • Which useful information can be found in the internet about the project?
  • How EU databases can be helpful for you?
  • Use of analytical review and data-analytics
  • Use of official certification marks or declaration of conformity
  • How to use the most important (audit) instruments in an effective way
  • How to invest in more effective interviews
  • Use of self-assessments and SATooling
  • Use of internal audit in an effective way
  • Use of frameworks set up by accredited renowned institutions
  • Use of historical data and (upcoming/expected) trends
  • Use innovation in your presentation
  • Exercises on how to use sophisticated audit software to detect irregularities and fraud, for example how possible electronic manipulations can be detected, how plagiarism can be detected with a special software, as well as many other very useful IT tools

The participants will be actively involved in the course in various exercises and group work. This round-table format will offer a platform to learn the new methods and instruments, data analysis and more effective and innovative approaches to perform the controlling activities. Besides expert presentations, the sessions will include discussions and exchange of national (best) practices as well as expert guidance on how to best implement and apply the foreseen measures and strategies in your country.

Just send to us your cases and questions in advance! We will forward them to our speakers, who will include your issues in the programme and answer them during the Spring Course.

Day 1: Wednesday, 16 October | 08:30 - 22:30

08:45

Registration and Welcome Coffee

09:00

Welcome Note by Lexxion and Introduction Round

Session 1: Financial Management and Control System nowadays and Prospective for 2021-2027

09:30

Financial Management and Control System

  • Regulatory Framework 2014-2020
  • Roles and responsibilities of the bodies involved
  • New legislative package for Cohesion Policy 2021-2027:
    • What are the main changes in respect to management verifications and audits?
    • What are the main changes in responsibilities of the respective authorities?
Lars Wirbatz Head of the ESF Managing Authority, Senate of Berlin
11:00

Coffee Break

Session 2: Management Verifications

11:30

Effective Management Verifications in ESI Funds (including lunch at 12:30-13:30)

  • Legal requirements of the current programming period and what will change in 2021-2027
  • New prioritization in the selection of kind of projects (trend to subsidize more intellectual property and innovative projects instead of infrastructural projects) and it’s consequences for the risk analysis, verifications and audits
  • Timing/nature/frequency of verification
  • Administrative versus on-the-spot verifications: strategy and planning
  • Cooperation between Managing Authorities and Intermediate Bodies
  • Segregation of duties between Managing Authorities and Intermediate Bodies
  • Reporting requirement and record-keeping
Lars Wirbatz Head of the ESF Managing Authority, Senate of Berlin
14:45

Coffee Break

Session 3: Audit Challenges for ESI Funds with Prospective for the New Programming Period

15:00

Audit Challenges for ESI Funds

  • Key requirements and assessment criteria related to system audits
  • What will change in key requirements and assessment criteria in 2021-2027 and which consequences will it have for management verifications and audits?
  • Audits on operations/projects/payment claims
  • Audit of accounts
  • Verification of Management Declaration
Marina Mandac Senior Auditor in Independent Service for Methodology and Quality Assurance, Agency for Audit of European Union Programmes Implementation System (Croatian Audit Authority), Zagreb
17:00

Workshop “Auditors versus Auditees”

During this practical workshop participants from managing, certifying authorities and intermediate bodies will be asked to brainstorm, what and how they would prepare for audit control. Auditors will be asked to consider their expectations to the auditees. Finally we will examine the gap between auditors and auditees.

Marina Mandac Senior Auditor in Independent Service for Methodology and Quality Assurance, Agency for Audit of European Union Programmes Implementation System (Croatian Audit Authority), Zagreb
17:30

End of Day 1

Day 2: Thursday, 17 October | 08:30 - 17:00

Session 4: Using Innovative Approaches for Audits and Management Verifications – THE ESIF INNOVATION GAME

08:30

Conducting Risk Management and Risk Analysis of the Projects
(including coffee break at 10:15-10:45)

  • What can help you to get acquainted with and understand the project better?
  • Threats inside and outside the organization
  • Identifying risks for objectivity, equality and independency in selection
  • Risks for regularity and legality of expenditures, and the image and reputation of the Funds and the authorities
  • Risks of lack of expertise to assess and to decide about potential new innovative projects, and lack of expertise to verify and audit these kind of projects; including corruption, bribery, manipulation, non-integrity
  • How to control those risks?
  • Analysing the risks – identifying the risk causes
  • Risks of non integrity, conflicts of interest within authorities and by that for the image of the authorities and the Funds
  • New methods and instruments , data analysis and more effective and innovative approaches to perform the verifications and audits
  • How to design, implement and incorporate a culture of integrity effective anti-fraud policies, deterrence techniques and vigilance systems
Jo Kremers Former Senior Audit Manager, Ministry of Finance, The Hague
12:45

Lunch Break

14:45

Use of Innovative Sources and Innovative Instruments for Controlling Activities
(including coffee break at 15:00-15:30)

  • How to use social media sources to make management verifications and audits easier?
  • Which useful information can be found in the internet about the project?
  • How EU databases can be helpful for you?
  • Practical exercises, demonstrating benefits of using internet resources for your controlling activities
  • Use of analytical review and data-analytics
  • Use of official certification marks or declaration of conformity
  • How to use the most important (audit) instruments in an effective way
  • How to invest in more effective interviews
  • Use of self-assessments and SATooling
  • Use of internal audit in an effective way
  • Use of frameworks set up by accredited renowned institutions
  • Use of historical data and (upcoming/expected) trends
  • Use innovation in your presentation
Jo Kremers Former Senior Audit Manager, Ministry of Finance, The Hague
17:00

End of Day 2

Day 3: Friday, 18 October | 08:30 - 15:30

08:30

Conducting On-the-spot Visits
(including coffee break at 10:00-10:30)

  • Preparation for on-the-spot visits
  • Set up of checklists and questionnaires before visiting the projects
  • Investigative interviewing during management verifications and audits
  • Writing reports in an attractive and understandable way
Jo Kremers Former Senior Audit Manager, Ministry of Finance, The Hague
12:30

Lunch Break

13:30

Live Demonstrations:
Exercises on How to Use Sophisticated Audit Software to Detect Irregularities and Fraud

For these exercises please bring your laptops and we will show you different IT tools, for example how possible electronic manipulations can be detected, how plagiarism can be detected with a special software, as well as many other very useful IT tools.

Jo Kremers Former Senior Audit Manager, Ministry of Finance, The Hague
15:30

End of the Autumn Course and Distribution of Certificates


*Programme may be subject to change.

Speakers

Lars Wirbatz
Head of the ESF Managing Authority, Senate of Berlin

More info
Marina Mandac
Senior Auditor in Independent Service for Methodology and Quality Assurance, Agency for Audit of European Union Programmes Implementation System (Croatian Audit Authority), Zagreb

More info
Jo Kremers
Former Senior Audit Manager, Ministry of Finance, The Hague

More info

Venue

Exclusive Venue in the Centre of Venice

n/a
Venice, Italy
Phone
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Online-Registration

Advanced Autumn Course | 16.10.2019 - 18.10.2019 | Venice | Language English

Participation Fees
Reduced fee for public authorities: € 2.230,- (excl. VAT)
Regular fee: € 2.630,- (excl. VAT)

The Italian VAT of 22% will be added.

Seating limit
The number of seats is limited.

Are you a public authority?
Ticket Type Price Spaces
Risk Analysis, Verifications and Audits in ESI Funds
Regular fee / Reguläre Teilnahmegebühr
€2.630,00
Risk Analysis, Verifications and Audits in ESI Funds
Reduced fee for public authorities / Reduzierte Teilnahmegebühr für Angehörige einer Hochschule/Behörde
€2.230,00

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