Directorate General for the Presidency€¦ · DG PRES, European Parliament 2 EXECUTIVE SUMMARY TABLE OF CONTENTS 1. EXECUTIVE SUMMARY 4 2. ENVIRONMENT OF THE DIRECTORATE-GENERAL,

Annual activity report 2018DG PRES, European Parliament 1

EXECUTIVE SUMMARY

Directorate General for the Presidency


EXECUTIVE SUMMARY

TABLE OF CONTENTS

1. EXECUTIVE SUMMARY 4

2. ENVIRONMENT OF THE DIRECTORATE-GENERAL, OBJECTIVES AND RESULTS 7

2.1 The Directorate-General (mission statement, operational context) 7

2.2 Key results and progress towards achieving objectives 11

3. RESOURCES MANAGEMENT 15

3.1 Human resources 15

3.2 Financial and budgetary management 15

4. EVALUATION AND EFFECTIVENESS OF INTERNAL CONTROL, INCLUDING OVERALL ASSESSMENT OFCOST-EFFECTIVENESS AND PERFORMANCE 18

4.1 Assessment of the effectiveness and efficiency of internal control 18

4.2 Assessment of the costs and benefits of the controls 19

4.3 Summary of internal and external audits 19

5. STATEMENT OF ASSURANCE 21

6. ANNEXES 23

I. Budgetary implementation overview 24

II. 2018 Budget implementation statement 25

III. List of exceptions - derogations from the rules 27

IV. Results of assesments 29

V. Assesment of the implementation of the minimum internal control standards 30


EXECUTIVE SUMMARY


EXECUTIVE SUMMARY

1. Executive summary

A key feature of our entity in 2018 wasconsolidation of the management structuresestablished in the DG, such as theManagement Team and the EnlargedManagement Team. These teams have madeit possible to influence exchanges andcooperation between the DGs’ managersregarding the EP’s main political issues and thechallenges facing the Administration inadapting to new forms of management and amore matrix-based organisational structurethan existed previously.

With this in mind, the DG has continued tohighlight the elements of organisational culturedescribed in its Strategic Execution Framework(SEF), which will be reviewed in 2019. In thiscontext, the values of trust and responsibilityhave enabled it to develop an approach to theorganisation of its entities’ work whichencourages fairly large-scale use of thepossibilities afforded, for example, byoccasional teleworking, with very satisfactoryresults for both staff and managers.

In addition, the DG has also relied heavily on abetter internal knowledge of the entities andactivities in order to enhance cohesion andhelp facilitate cooperation. Reception andinduction programmes for new colleagues andtrainees, as well as a ‘shadowing’ programme,were progressively developed and improved inthe course of 2018.

Intra-DG cooperation, helping to ensureexcellence as an objective of the DG, was animportant aspect of the DG’s work in 2018.

In addition, during the year the DG continued toimplement and monitor the ParliamentaryProject Portfolio projects. The DG alsocontinued its quarterly analyses of dataobtained from the ‘lead indicator’ exercise.

The DG participates actively and regularly inthe various intergroups, working groups andhorizontal inter-DG steering groups in areassuch as finance, IT, HR, documentmanagement, security, training and logisticalmanagement, as well as policy areas, etc., inorder to pass this information on within the DG.

The DG continued to monitor risks and finalisedits Business Continuity Plan.

For 2019, the DG decided to roll over theprevious year’s objectives and to revise themin the middle of the year to reflect any changesresulting from the elections to the EuropeanParliament and also to align its objectives withthe DG’s strategy as set out in the newStrategic Execution Framework (SEF), which isbeing revised. The decision to roll over theobjectives was communicated to all staff at aGeneral Assembly which took place on 3December 2018 and by a note to the Secretary-General. The objectives are also available onthe DG’s intranet site, PRESnet, the DG’s maininternal communication tool.

In the area of staff management, a topic thattook up a substantial part of the year was the


EXECUTIVE SUMMARY

implementation, for the first time, of the mobilitypolicy for AST officials. Within DG PRES manyof the transfers necessitated by the mobilitypolicy have been made within the DG itself,although most of the colleagues concernedresponded to the call for expressions of interestissued by DG Personnel.

For the budget part, it should be noted that thefinal appropriations allocated to DG PRESamount to EUR 3.4 million. The implementationrate for these appropriations exceeded 96%.The average time taken by DG PRES to settle

invoices was nine days. All invoices weresettled within the 30-day time limit set by theFinancial Regulation.

Lastly, DG PRES finalised the process ofacquiring a system for the management of EPdocuments (Electronic Records ManagementSystem, ERMS), and the framework contractwas signed with the firm awarded the tender on7 June 2018. This is a ‘corporate’ project whichaffects the whole of the EP.


EXECUTIVE SUMMARY


ENVIRONMENT OF THE DIRECTORATE-GENERAL, OBJECTIVES AND RESULTS

2. Environment of the Directorate-General, objectives and results

2.1 The Directorate-General(mission statement,operational context)Environment of the DG

Structure and management. As far as DGPresidency’s management team is concerned,2018 ended with the appointment of Ms MariaGandolfo as Director of the Plenary SittingsDirectorate. She had held this post in an actingcapacity for the previous two years, while at thesame time heading the Planning Unit. Herappointment gave the DG a completemanagement team and one that was morestable. In March 2018, Ms Katrin Ruhrmanntook charge of the Directorate for Relationswith National Parliaments. That Directoratewas also joined by a new Head of theLegislative Dialogue Unit, Mr Jesús Gómez,who took the post vacated by Ms PatriziaProde, who had moved to DG COMM under themobility rules governing Heads of Unit. Anothermanager who arrived in 2018 under themobility rules was Ms Anne McLauchlan fromDG EXPO, who became the new head of theMembers’ Administration Unit. Two heads ofunit with long experience at Parliament, MsEllen Heinemann and Mr José GonzálezHolguera, retired in 2018. As an internalreorganisation of the Directorate for LegislativeActs is pending, Ms Heinemann’s post has notyet been filled, while that of Mr GonzálezHolguera has been filled by Ms Aurora Párragafrom DG EPRS.

The structure of the Directorate-General and itscore tasks have not been modified in thecourse of 2018. In the field of logistics,however, it is worth mentioning two large-scalemoves undertaken by the DG’s staff, one inLuxembourg in the KAD building in the springand the other, involving all staff in theDirectorate for Legislative Acts in Brussels,from the WIE building to the MOY building atthe end of 2018.

Objectives for 2018

DG PRES will continue to develop and furtherdefine its core values such as trust,accountability, commitment, a service- andsolutions-based mentality, competence,innovation and equality. DG PRES aims to bea modern, innovative and sustainableadministration with a participatory and inclusiveapproach, acting as a driver for change in themodernisation of the EP’s administrativeenvironment.

(i) DG PRES supports and assists the DeputySecretary-General in his specific role andtasks, in particular in relation to the Brexitnegotiations, as well as in the areas oflegislative coordination and interinstitutionalrelations.

• Continue to provide technical andadministrative support and assistance toParliament’s chief negotiator and relevantpolitical bodies as regards the Brexitnegotiation process.



• Continue to develop legislative coordinationand cooperation between relevant EP servicesand other institutions, in order to ensureeffective and accurate legislative planning andplanning of plenary proceedings in the short,medium and long term, including at the end ofthe parliamentary term.

• Focus in particular on the implementation ofthe legislative priorities in the 2018+ JointDeclaration, in close cooperation with the EPsteering groups, the offices of the Secretary-General and the President and the otherinstitutions.

• Develop well-coordinated and coherentadvice and support for the relevantparliamentary committees, political groups andEP bodies throughout the various stages of theplanning of the plenary agenda.

• Continue to develop legislative planning andmonitoring tools in relation to Annual WorkProgrammes, the Council’s priorities andannual and multiannual interinstitutionallegislative programmes, inter alia by ensuringsmooth cooperation between relevant servicesin DG PRES, other DGs and the otherinstitutions.

• Continue to strengthen interinstitutionalrelations in close cooperation with otherrelevant DGs, in particular in the areas oflegislative planning and monitoring andimplementation of the InterinstitutionalAgreement on Better Law-Making. In thisregard, further develop cooperation with theother institutions, in particular through theinterinstitutional coordination group.

• Provide assistance and technical support inthe negotiations on a new InterinstitutionalAgreement on the Transparency Register,

while continuing to cooperate with the Counciland the Commission.

• Coordinate, monitor and facilitateimplementation of electronic transmission ofclassified information to Parliament.

• Contribute, if necessary, to the actions carriedout by the EP in the framework of theinformation campaign on the 2019 Europeanelections, and in particular with regard to theEP’s legislative priorities for the last period ofthe 2014-2019 parliamentary term.

(ii) Support and assist Members, politicalgroups and Parliament’s governing bodies inachieving results throughout the last phase ofthe parliamentary term.

• Play an active part in all the initiatives takento strengthen European parliamentarydemocracy, in particular by making plenary afocal point for European debates and a forumfor high-level debates on the future of Europe.

• Continue to enhance performance in relationto plenary-related services in order to providehigh-quality procedural and content-basedadvice to the President, the Vice-Presidentsand Members.

• Continue to ensure the smoothimplementation of Parliament’s Rules ofProcedure in all DG PRES’s areas of activityand support the efforts of the committeeresponsible for subsequent adaptation to therules.

• Provide full advice and support to thePresident and Members in the implementationof the Code of Conduct for Members.

• Continue developing the DG’s expertise in thelegislative process so that DG PRES services



can further consolidate their roles as membersof legislative support and project teams.

• Continue to improve legislative services forpolitical groups, Members and committeesecretariats by providing more targetedprocedural and editorial support throughout theparliamentary cycle.

• Expand the service-oriented approach byenhancing on-demand and helpdesk services,in particular at key times in the parliamentaryterm and the legislative cycle.

• Continue to promote cooperation within theDG in order to provide coherent high-qualityadvice on all aspects of legislative andparliamentary procedures, including the pre-legislative phase and programming.

• Ensure close monitoring of debates inMember States and parliaments on the role ofnational parliaments in the EU decision-makingprocess and promote the EP’s role in inter-parliamentary cooperation.

• Step up cooperation with national parliamentson the monitoring and implementation of EUlaw.

• Offer sound and consistent advice toMembers and colleagues with regard to allprotocol-related questions in line with existingrules.

• Exploit synergies between DG PRES serviceswith regard to parliamentary activities(including inter-parliamentary activities andthose linked to the European elections) in orderto ensure the most efficient handling within theDG of cross-cutting parliamentary procedures.

• Complete the tender procedure for theprocurement of an Electronic RecordsManagement System (ERMS); continue to play

a leading role in the implementation ofParliament’s new document managementpolicy.

• Continue to provide appropriate and legallysound responses to applications for publicaccess to documents.

• Further step up cooperation with DGs INLO,INTE, ITEC and SAFE with a view to ensuringthe smooth functioning of the plenary, officialvisits and reception and distribution of mail.

• Continue to develop cooperation with otherDGs as regards the handling of classifiedinformation and, in particular, explore ways toensure efficient reception of such documents.

• Step up participation in the establishment ofthe working group to welcome new Membersafter the 2019 elections.

(iii) DG PRES as a modern, innovative andsustainable administration

• Update and redefine the SEF of the DSG/DGPRES and the Parliamentary Project Portfolio,contributing to the progress of projects of whichit is the principal sponsor.

• Help by means of specific actions andappropriate measures to consolidate a secureworking environment where respect and trustare our fundamental values.

• With reference to the DG’s transformationplan, progressively implement its main aspectsand also the new human resources policiesagreed at EP level, pursuing the pathestablished by the successful implementationof the pilot project for occasional teleworking inour DG.

• Apply DG PRES’s main indicator on the basisof the first results obtained in 2017 to refine it



and draw conclusions as to how our activitiescan be further improved.

• Consolidate and update the BusinessContinuity Plan of DG PRES and the riskregister, and establish an updated riskmanagement plan.

• Contribute to the development of the e-Parliament project for the EP.

• Continue to ensure sustainable use of allresources within the DG, including the bestpossible rationalisation of processes and use ofnew technologies based upon EMAS goals;adapt the DG’s systems to new functionalitiesin various areas.

Feasibility and risk assessment

Potential risks were pinpointed in respect of theactivities relating to achievement of the threeobjectives set for 2018. They were:

Objective 1:

- A possible decision by the competentpolitical authorities resulting in a revision of thestructure of Parliament’s Secretariat – riskLOW.

- Political and/or administrative decisionscould have an impact on the current SEF andon the strategy of the DG – risk LOW.

The setting of other political priorities forimplementation during the period could delaythe achievement of this objective – risk LOW.

Objective 2:

- The tabling of questions anddeclarations is dependent on Members’

political willingness and objectives. Unlikelychoices in relation to the tabling of suchquestions could impinge on the DG PRESobjective in this regard. - risk LOW

- Unlikely technical problems couldtemporarily disrupt assistance to Membersusing the newly created tools – risk LOW.

- The drafting service is dependent onMembers’ requests, and not receiving suchrequests could have an impact on the service –risk VERY LOW.

- Highly unlikely technical problems withIT applications could, to some degree, delaythe achievement of this objective. However, allrequisite measures have been taken to ensurethat Members receive efficient and timelyassistance in this regard – risk VERY LOW.

- Use of video-conferencing for inter-parliamentary meetings may still be subject totechnical constraints – risk LOW.

Delay in the new documentmanagement policy – risk MEDIUM.

Objective 3:

- Difficulties with cooperation and delayswith anticipated results owing to problems inpolitical agendas – risk LOW.

- Difficulties in scheduling plannedactivities to improve internal knowledge of theDG owing to excessive workload ofparticipating services – risk LOW.

- Delays in availability of new tools toimprove internal processes – risk MEDIUM.



2.2 Key results and progresstowards achieving objectivesResults

Protocol:

2018 can be described as a year ofconsolidation and testing of new IT tools withthe aim of facilitating the operational work ofthe staff of the Protocol Service. The servicecontinued to develop its tasks with a high levelof professionalism both in the field of officialceremonies and in the hosting of visiting VIPsand supporting parliamentary delegations. Inparticular, in 2018, the Protocol Service wasintensively involved in the visits of EU MemberStates’ Heads of State or Government toparticipate in plenary debates on the future ofthe EU and especially – in view of the level ofmedia coverage – the visits by France’sPresident Emmanuel Macron in April 2018 andGermany’s Chancellor Angela Merkel inNovember 2018. The service has constantlysupported the President of Parliament and hisoffice with regard to protocol matters.

Mention should also be made of the work donein the area of visas for Members, delegationstravelling on mission and the management ofprotocol gifts, which has been modernised.

Plenary Sittings Directorate:

The Plenary Sittings Directorate continued toenhance Parliament’s image through itsprofessionalism in organising and providingassistance with debates on major politicalissues, which were heavily covered by themedia. Here we should once again drawattention to the importance of the debates onthe future of Europe at each plenary session in2018.

In addition, the modernisation of IT applicationsfor the Plenary continued very successfully,and there will be much further work on it in2019. The PV/CRE voice recognition systemhas been expanded and currently operates in15 languages. Turning to another aspect, thePV/CRE teams continued to produce verbatimrecords of the meetings of temporarycommittees.

Since the end of 2017, the interinstitutionalregister of delegated acts has been online,making it easier to search for draft delegatedacts and adopted delegated acts. This was aninterinstitutional effort in which the EP hadbecome involved via the Unit for Reception andReferral of Official Documents. That unit alsomade a very worthwhile working visit to theDutch Parliament during which staff were ableto compare working methods in the unit’s areasof responsibility, noting differences andsimilarities.

The Official Mail Unit also continued tomodernise its procedures for registering andmanaging mail and continued to make a keycontribution to the GIDOC project. A newsystem for managing small packages andregistered mail has been operational sinceMarch 2018, further contributing to paperreduction and efficiency gains. Implementationof the document management reform hasprogressed, and training courses on the newsystem have started to be organised with thesupport of DG PERS. The process of acquiringa system for the management of EPdocuments (Electronic Records ManagementSystem, ERMS) has been completed, and theframework contract was signed with the firmawarded the tender on 7 June 2018.



Finally, the excellent cooperation betweenParliament and the Commission in themanagement of parliamentary questions hasled to an increase in the quality of both thequestions and the answers. The number ofparliamentary questions has continued todecline.

With regard to the Members’ Administrationand the management of the Code of Conductfor Members, the unit’s activities havecontinued smoothly, and the human resourcessituation has been improved in order to receivenew Members after the elections and carry outother activities linked to the end and beginningof Members’ term of office.

Directorate for Legislative Acts:

In parallel with its regular daily activities oflinguistic and legal verification, the Directoratehas continued to make a major contribution tothe planning and implementation of the e-Parliament programme, despite theaccumulated delay due to the IT outage at theend of 2017. The e-Parliament DraftingSupport Tool (DST) continues to be well usedby Members. In 2018, the lawyer-linguists ofthe DLA continued to process requests forassistance drafted by individual Members, inaddition to supporting rapporteurs and shadowrapporteurs, either directly or as part of theEP’s legislative support teams.

The Directorate has also continued tocontribute to the more coherent planning oflegislation at Strasbourg plenary sessions andhas swiftly adopted, finalised and signed off alarge number of key legislative files. TheDirectorate has also begun preparations for theend of the parliamentary term in order to beable to contribute to the finalisation of pendinglegislative texts.

As regards staff resources, the Directorate hascontinued its policy of monitoring anddeveloping more rigorously the professionalexpertise of staff. The results of the surveyscarried out among its staff have beenreassuring with reference to the prioritisation,in its legislative drafting work, of upstreamadvice and assistance, with the lawyer-linguistsproviding assistance that is increasingly soughtafter.

Directorate for Relations with NationalParliaments:

In 2018, partly on account of Parliament’sinvolvement in various inter-parliamentarynetworks, including COSAC, ECPRD andIPEX, the two units of the Directorate forRelations with National Parliaments, which areresponsible for legislative dialogue andinstitutional cooperation, worked intensively insupport of interparliamentary meetings atcommittee level, high-level conferences, theannual conference of Speakers of Parliaments,COSAC meetings, the seminars and statutorymeetings of ECPRD and IPEX meetings.

As regards the early warning system for checkson compliance with the subsidiarity principlelaid down in Protocol 2, the Directorate dealtwith a large number of submissions andcontributions from national parliaments as partof the ‘informal political dialogue’. All thesedocuments have been made available to therapporteurs and committees responsible for thecorresponding issues. The CONNECTdatabase was also greatly improved from thetechnical point of view, leading to betterdocument management.

The EP has received a large number ofbilateral parliamentary visits, and interest in theprogramme of support for the Parliament of the



Member State holding the Presidency hasremained strong.

Finally, in 2018, the Directorate continued toprovide logistical and administrative support torepresentatives of national parliaments, withwhom the Directorate also organised severalmeetings and seminars.

Directorate for Interinstitutional Affairs andLegislative Coordination:

Among the various activities of the Directoratein 2018, which included the on-going task ofassisting the political and administrative bodieswith the scheduling of plenary sessions and theinformation activities developed for thepresidencies of the Council, it is worthhighlighting the placing on line of theinterinstitutional calendar by theInterinstitutional Relations Unit, which has alsocontinued to extend its coverage of theactivities of the other institutions.

In the area of transparency, despite thetemporary interruption of negotiations on theinterinstitutional agreement on theTransparency Register, the workload of the unitresponsible has been continuously growing

and, among other things, a seminar on accessto trilogue documents was held, which was avery topical issue in the unit’s activities duringthe year because of the Court’s judgment in the‘De Capitani’ case.

The Classified Information Unit has continuedthe indexing, cataloguing and transfer ofdocuments to the intermediate or historicalarchives. It has continued to provide technicalassistance to other services, Members andofficials designated to access EUCIs depositedwith CIUs (receipt and registration ofdocuments, information notes, reservationsand consultations in the Secure ReadingRoom).

With regard to Brexit, the Directorate, and inparticular the Interinstitutional Relations Unit,provided administrative and organisationalsupport throughout the year to the DeputySecretary-General, the EP coordinator for theBrexit negotiations and the Brexit SteeringGroup.


RESOURCES MANAGEMENT



3. Resources management

3.1 Human resources

ESTABLISHMENT PLAN

AD AST AST/SC Total AD AST AST/SC Total

Permanent posts 163 182 11 356 162 186 8 356

Temporary posts 1 1 1 1 2

Total 164 182 11 357 163 187 8 358

on 01/01/2017on 01/01/2018

STAFF NUMBERS AS AT 31/12/2018

AD AST AST/SC Total

Officials 153 166 7 326

Temporary staff 7 11 2 20

- in temporary posts 1 0 0 1

-in permanent posts 4 8 2 14

- offsetting staff working part-time 2 3 0 5

Contract staff 52

Seconded national experts (SNE) 1

Agency staff 0

Total 399

3.2 Financial and budgetarymanagementThe following were dealt with between 1January and 31 December 2018: 630 budgetfiles (expenditure commitments, paymentsbased on expenditure commitments, paymentorders, recovery orders),

663 invoices/credit notes and 278 orderforms/contracts.

.



INITIAL AND FINAL APPROPRIATIONS

As at 31 December 2018, initial appropriationstotalling EUR 3 567 500 had been reduced toEUR 3 383 320. This surplus of EUR 184 180is due to the transfer of S17 appropriations(- EUR 112 570, GEDA D/2018/24427) in thecontext of investments in decentralised ITprojects and transfer of appropriationsC11/2018 (+ EUR 296 750,GEDA/D/2018/47075) concerning themopping-up operation. The details are set outin the Annex, point 6 II 1.

FINAL APPROPRIATIONS ANDAPPROPRIATIONS COMMITTED

As at 31 December 2018, the commitment rateacross all operational departments of DGPRES was 96.39% of final appropriations. Formore details, see the Annex, point 6 II 1.

APPROPRIATIONS COMMITTED ANDPAYMENTS MADE

The overall rate of payments made was27.21% of appropriations committed. Thisrelatively low rate is the result of budgetarycommitments relating to the Electronic RecordsManagement System project (line 2105-11), for

which payments can only be made in 2019,when this project comes on stream. For moredetails, see the Annex, point 6 II 1.

The average time taken by DG PRES to settleinvoices was nine days (EP average: 18 days).

All invoices were settled within the 30-day timelimit set by the Financial Regulation.

USE OF AUTOMATIC AND NON-AUTOMATIC CARRYOVERS FROM 2017 TO2018

The payment rate for automatic carryoversacross all operational departments is 88.00%.The details per budget item are set out in theAnnex, point 6 II 2.

USE OF APPROPRIATIONSCORRESPONDING TO ASSIGNEDREVENUE

Appropriations carried over from specificexpenditure/assigned revenue were fullycommitted and paid. See the Annex, point 6 II5.

.


EVALUATION AND EFFECTIVENESS OF INTERNAL CONTROL, INCLUDING OVERALL ASSESSMENT OF COST-EFFECTIVENESS AND PERFORMANCE

4. Evaluation and effectiveness ofinternal control, including overallassessment of cost-effectiveness andperformanceAnnex V sets out an evaluation of compliancewith the minimum internal control standardsand shows that the Directorate-Generalcomplies with them.

Application of these standards is supported bythe internal structure established by theauthorising officer by delegation, who allocatestasks and duties to each of the financial agentsin accordance with the financial rules in force.

In accordance with the instructions of the SG,DG PRES has appointed an Internal ControlCoordinator (ICC).

The DG continuously evaluates and updates itsRisk Register.

DG PRES has consolidated its BusinessContinuity Plan (BCP), and it has been sent tothe EP Business Continuity Manager as acontribution to the EP’s BCP. In the same way,our DG has finalised its Business ImpactAnalysis and identified the key operations andthe agents responsible for a situation inBusiness Continuity Mode.

The Incident Management Scheme and theIncident Communication Scheme are in thefinal stages of approval and have already beencommunicated informally to the EP BusinessContinuity Manager.

There were no errors to report during 2018. Noreceivables were waived in respect of it.

The average time taken by DG PRES to payinvoices in 2018 was nine days. No invoiceswere paid late.

All DG PRES contracts and order forms wereentered and validated in Webcontracts.

Given the limited number of financial agents inour DG, the number of budgetary actsperformed and the results mentioned above,cost-effectiveness can be consideredexcellent.

DG PRES has not been subject to any internalor external audit in 2018, and no such action isunder way at present.

4.1 Assessment of theeffectiveness and efficiencyof internal controlThe fact that no shortcomings or derogationshave been found in recent years, the fact thatthe period within which invoices are paid ismuch shorter than for the EP as a whole,


EVALUATION AND EFFECTIVENESS OF INTERNAL CONTROL, INCLUDING OVERALL ASSESSMENT OF COST-EFFECTIVENESS AND PERFORMANCE

the fact that no invoices have been paid afterthe legal 30-day time limit, and the goodconduct and continuous monitoring of thecomplex procurement procedure for the ERMSproject (a corporate project for the whole of theEP) demonstrate the quality and proportionalityof the internal control.

Parliament has adopted minimum internalcontrol standards with reference tointernational best practice in this field. DGPRES has carried out an evaluation of theinternal control systems this year and hasconcluded that internal controls have beenintroduced and are functioning properly.

DG PRES has set up an organisationalstructure and internal control systems tailoredto the performance of its tasks, taking intoaccount the risks associated with themanagement environment. The authorisingofficer by delegation continuously assesses theeffectiveness and efficiency of the internalcontrol systems with a view to ensuring thatthey are functioning as expected and that anyweaknesses in the controls that are detectedare corrected.

4.2 Assessment of the costsand benefits of the controlsThe total number of budgetary files processedby DG PRES for 2018 is 630, and the averagenumber of ex ante verifiers is estimated at two,so that an average of 315 files were dealt withex ante by each of them. No ex post evaluationhas been carried out.

DG PRES is basing its cost-effectivenessanalysis not only on the budget it manages, butalso and above all on the number of budgetaryacts. It should be borne in mind that, due to themanagement of the ERMS project, the budgetof DG PRES has varied greatly and will do soin future too.

4.3 Summary of internal andexternal auditsDG PRES has not been subject to any internalor external audit in 2018, and no such action isunder way at present.


DECLARATION D’ASSURANCE



5. Statement of assurance

I, the undersigned, Markus Winkler

Deputy Secretary-General and Director-General of DG Presidency,

hereby declare, in my capacity as authorising officer by delegation, that I have reasonableassurance that:

the information contained in this report presents a true and fair view; the resources assigned to the activities described in the report have been used for

their intended purpose and in accordance with the principle of sound financialmanagement;

the control procedures put in place give the necessary guarantees concerning thelegality and regularity of the underlying transactions.

This reasonable assurance is based on my own judgement and on the information at mydisposal, such as the results of self-assessment, ex post controls and remarks by theInternal Audit Service, as well as the lessons learned from the reports of the Court ofAuditors for financial years prior to that for which this statement is being made.

I also confirm that I am not aware of any fact not set down herein that could be prejudicialto the interests of the Institution.

Done at Brussels

On

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ANNEXES

I. Budgetary implementation overview

PRESCode Type de crédits EUR ou % Formule

Crédits 2018A Crédits initiaux 3.567.500,00B Crédits finaux 3.383.320,00C Engagements 3.261.018,69D Engagements en % des crédits finaux 96,39% D=C/BE Paiements 887.225,28F Paiements en % des engagements 27,21% F=E/CG Annulations de crédits finaux 2018 122.301,31 G=B-C-KH Annulations en % des crédits finaux 3,61% H=G/B

Crédits reportésde 2018 à 2019I Crédits reportés automatiquement de 2018 à 2019 2.373.793,41 I=C-EJ Crédits reportés automatiquement de 2018 à 2019 en % des engagements 72,79% J=I/CK Crédits reportés non-automatiquement de 2018 à 2019 0,00

L Crédits reportés non-automatiquement de 2018 à 2019 en % des créditsfinaux 0,00% L=K/B

Crédits reportésde 2017 à 2018M Crédits reportés automatiquement de 2017 à 2018 308.926,29N Paiements sur crédits reportés automatiquement de 2017 à 2018 271.867,41

O Paiements sur crédits reportés automatiquement de 2017 à 2018 en % descrédits reportés automatiquement de 2017 à 2018 88,00% O=N/M

P Annulations de crédits reportés automatiquement de 2017 à 2018 37.058,88 P=M-N

Q Annulations de crédits reportés automatiquement de 2017 à 2018 en %des crédits reportés automatiquement de 2017 à 2018 12,00% Q=P/M

R Crédits reportés non-automatiquement de 2017 à 2018S Paiements sur crédits reportés non-automatiquement de 2017 à 2018

T Paiements sur crédits reportés non-automatiquement de 2017 à 2018 en %des crédits reportés non-automatiquement de 2017 à 2018 - T=S/R

U Annulations de crédits reportés non-automatiquement de 2017 à 2018 U= R-S

V Annulations de crédits reportés non-automatiquement de 2017 à 2018 en% des crédits reportés non-automatiquement de 2017 à 2018 V=U/R

Recettes affectées 2018W Crédits de dépenses spécifiques sur recettes affectées courants 2018 558,73X Crédits de dépenses spécifiques sur recettes affectées reportés à 2018 524,95

Y Solde des engagements reportés à 2018 sur crédits de dépensesspécifiques sur recettes affectées 0,00

Z Paiements sur crédits de recettes affectées 2018 (courants et reportés) 524,95

AA Paiements sur crédits de recettes affectées 2018 en % des crédits derecettes affectées 2018 (courants et reportés) 48,44% AA=Z/(W+X+Y)

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Rela

tions

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2.Au

tom

atic

car

ryov

ers

as a

t the

end

of D

ecem

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l yea

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atur

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Unité

opé

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igne

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men

ts e

ffec

tués

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ourc

es 2

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ourc

es 2

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l 324

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Rela

tions

ave

c les

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natio

naux

324

9-01

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2%1.

214,

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Annu

al a

ctiv

ity re

port

201

8D

GPR

ES, E

urop

ean

Parli

amen

t26

ANN

EXES

3.N

on-a

utom

atic

car

ryov

ers

as a

t the

end

of D

ecem

ber-

Fina

ncia

l yea

r201

8 (n

atur

e6)

NA

4.Sp

ecifi

c ex

pend

iture

app

ropr

iatio

ns/a

ssig

ned

reve

nue

as a

t the

end

of D

ecem

ber-

Fina

ncia

l yea

r 201

8(n

atur

e7)

Unité

opé

ratio

n.- L

igne

s bud

géta

ires

Créd

its 2

018

Créd

its e

ngag

és%

Eng

/ Cré

dits

Paie

men

ts%

Pm

ents

/ Eng

Créd

its d

ispo

nibl

esCo

urrie

r 236

0-02

558,

730,

000,

00%

0,00

0,00

%55

8,73

TOTA

L55

8,73

0,00

0,00

%0,

000,

00%

558,

73

5.Sp

ecifi

c ex

pend

iture

app

ropr

iatio

ns/a

ssig

ned

reve

nue

carri

ed o

ver a

s at

the

end

of D

ecem

ber-

Fina

ncia

l yea

r201

8 (n

atur

e5)

Unité

opé

ratio

n.- L

igne

s bud

géta

ires

Créd

its re

port

és 2

018

Créd

its e

ngag

és%

Eng

/ Cré

dits

Paie

men

ts%

Pm

ents

/ Eng

Créd

its d

ispo

nibl

esCo

urrie

r 236

0-02

524,

9552

4,95

100,

00%

524,

9510

0,00

%0

TOTA

L52

4,95

524,

9510

0,00

%52

4,95

100,

00%

0

6.Sp

ecifi

c ex

pend

iture

com

mitm

ents

/ass

igne

d re

venu

e ca

rried

ove

r as

at th

e en

d of

Dec

embe

r-Fi

nanc

ial y

ear 2

018

(nat

ure

3)

NA

7.Sp

ecifi

c ex

pend

iture

app

ropr

iatio

ns/e

xter

nal a

ssig

ned

reve

nue

as a

t the

end

of D

ecem

ber-

Fina

ncia

l yea

r 201

8 (n

atur

e 9)

NA

Annu

al a

ctiv

ity re

port

201

8D

GPR

ES, E

urop

ean

Parli

amen

t27

ANN

EXES

III.

List

of e

xcep

tions

-der

ogat

ions

from

the

rule

sN

/A

Annu

al a

ctiv

ity re

port

201

8D

GPR

ES, E

urop

ean

Parli

amen

t28

ANN

EXES

EXC

EPTI

ON

S TO

PR

OC

EDU

RE

N/A

WAI

VER

S/C

ANC

ELLA

TIO

NS

OF

REC

EIVA

BLE

S

N/A

Annu

al a

ctiv

ity re

port

201

8D

GPR

ES, E

urop

ean

Parli

amen

t29

ANN

EXES

IV.

Res

ults

of a

sses

men

ts[R

ègle

men

t fin

anci

er (R

F) a

rt. 7

4.6]

L’O

rdon

nate

ur d

élég

ué d

e la

DG

PR

ES, a

près

ana

lyse

du

risqu

e(N

MC

I nº9

), n’

a pa

s no

mm

é de

vér

ifica

teur

ex-

post

et n

’a p

as fa

it de

sév

alua

tions

ex-

post

en

2018

.

Annu

al a

ctiv

ity re

port

201

8D

GPR

ES, E

urop

ean

Parli

amen

t30

ANN

EXES

V.As

sesm

ento

f the

impl

emen

tatio

n of

the

min

imum

inte

rnal

con

trol

sta

ndar

ds1

Mis

sion

La d

éfin

ition

de

la m

issi

on d

e la

DG

ain

si q

ue d

ech

aque

dire

ctio

n et

uni

té e

st c

laire

men

t déf

inie

et c

laire

men

t com

mu-

niqu

ée a

u pe

rson

nel v

ia l’

intra

net d

e la

DG

. De

mêm

e, le

man

agem

ent

et le

top

man

agem

ent,

sur b

ase

des

obje

ctifs

ann

uels

de

la D

G d

écli-

nés

à le

ur n

ivea

u, é

tabl

isse

nt d

e m

aniè

re p

ertin

ente

les

tâch

es p

our

chaq

ue m

embr

e du

per

sonn

el. C

elle

s-ci

, acc

essi

ble

via

le s

ite in

trane

tde

la D

G, f

ont p

artie

inté

gran

te d

e l’é

valu

atio

n an

nuel

le d

u pe

rson

nel.

La D

G a

éta

bli e

t met

à jo

ur ré

guliè

rem

ent s

es P

PP e

t SEF

et l

e co

m-

mun

ique

à l’e

nsem

ble

des

serv

ices

via

PR

ESne

t. Po

ur m

émoi

re, l

a D

GPR

ES a

pro

long

é le

s ob

ject

ifs 2

018,

ave

c de

pet

its a

just

emen

ts, e

n20

19, c

ompt

e te

nu d

u ca

ract

ère

intim

emen

t lié

de

notre

DG

au

deve

nir

polit

ique

du

PE. L

es o

bjec

tifs

sero

nt ré

visé

s ap

rès

les

élec

tions

du

moi

sde

mai

201

9 et

, év

idem

men

t, ce

la a

ura

un im

pact

sur

not

re S

EF e

tno

tre P

PP.

En o

utre

, les

don

nées

rela

tives

aux

act

ivité

s, ré

parti

es e

n po

urce

ntag

e,po

ur c

haqu

e di

rect

ion

et u

nité

de

la D

G s

ont e

nvoy

ées

à la

DG

PER

Sso

us fo

rme

de «

pho

togr

aphi

e de

ser

vice

».

2Va

leur

s ét

hiqu

es e

t org

anis

atio

nnel

les

Le S

EF d

e la

DG

met

en

avan

t les

val

eurs

et l

a cu

lture

de

l’org

anis

atio

n. L

a D

G e

ssai

eto

ujou

rsd’

alig

ner

avec

le S

EF s

es a

ctio

ns, p

oliti

ques

et a

ctiv

ités.

De

plus

, au

moy

en d

es ré

unio

ns ré

curre

ntes

du

Dire

cteu

r gén

éral

ave

c le

staf

f, de

pro

cédu

res

et fo

rmat

ions

ad

hoc,

le p

erso

nnel

est

info

rmé

des

règl

es ré

giss

ant l

a co

ndui

te d

u pe

rson

nel a

insi

que

la p

réve

ntio

n et

lesi

gnal

emen

t des

frau

des

et ir

régu

larit

és.

De

la m

ême

man

ière

, tou

tes

les

com

mun

icat

ions

de

la h

iéra

rchi

e so

ntré

perc

utée

s au

per

sonn

el c

once

rné

de la

DG

et,

le c

as é

chéa

nt, à

l'en-

sem

ble

de la

DG

via

la p

age

web

PR

ESne

t ou

l’ass

embl

ée g

énér

ale.

3Af

fect

atio

n du

per

sonn

el e

t mob

ilité

Les

com

péte

nces

re

-qu

ises

pou

r l’e

xécu

tion

des

tâch

es s

ont a

ssur

ées

par

la p

artic

ipat

ion

du p

erso

nnel

aux

form

atio

ns d

e pe

rfect

ionn

emen

t pro

fess

ionn

el (d

ans

diffé

rent

s do

mai

nes

tels

que

le

man

agem

ent,

le b

udge

t, le

s H

R,

lang

ues,

IT, e

tc.)

orga

nisé

es p

ar la

DG

PER

S, D

G F

INS,

etc

.

Des

form

atio

ns in

tern

es p

erso

nnal

isée

s so

nt o

rgan

isée

s lo

rsqu

e ce

las'

avèr

e né

cess

aire

(ex.

nou

veau

x ar

rivés

).

La m

obilit

é in

tra-D

G e

st e

ncou

ragé

e, s

oit s

ur d

eman

de p

erso

nnel

le,

soit

pour

des

bes

oins

des

ser

vice

s, s

oit s

uite

à l'

exer

cice

de

fonc

tions

sens

ible

s qu

i a e

u lie

u an

nuel

lem

ent a

u se

in d

e la

DG

PR

ES.

4Év

alua

tion

et d

ével

oppe

men

t du

pers

onne

lU

ne

des

reco

m-

man

datio

ns fa

ites

par l

e D

irect

eur g

énér

al a

ux n

otat

eurs

, pre

mie

rs e

tfin

aux,

déj

à lo

rs d

e la

con

voca

tion

du C

ollè

ge d

es n

otat

eurs

, est

cel

lede

don

ner l

a po

ssib

ilité

au p

erso

nnel

de

s’en

trete

nir a

vec

le n

otat

eur,

non

seul

emen

t dan

s le

cad

re d

e la

pro

cédu

re fo

rmel

le. U

ne b

onne

par

-tie

des

ent

ités

de la

DG

tien

nent

ain

si d

es e

ntre

tiens

inte

rméd

iaire

s.

En o

utre

, le

pers

onne

l, à

parti

r de

la d

éfin

ition

de

ses

obje

ctifs

ann

uels

jusq

u’à

la d

iscu

ssio

n de

son

rapp

ort d

e no

tatio

n, e

st ré

guliè

rem

ent i

n-vi

té à

dis

cute

r de

ses

avan

cem

ents

ave

c sa

hié

rarc

hie.

Cet

te n

orm

e es

t bie

n re

spec

tée

aupr

ès d

e to

us le

s se

rvic

es d

e la

DG

.

Annu

al a

ctiv

ity re

port

201

8D

GPR

ES, E

urop

ean

Parli

amen

t31

ANN

EXES

La p

artic

ipat

ion

du p

erso

nnel

de

la D

G à

tou

t typ

e de

for

mat

ion

est

enco

urag

ée to

ut c

omm

e le

dév

elop

pem

ent p

rofe

ssio

nnel

et p

erso

nnel

.

5O

bjec

tifs

et in

dica

teur

s de

per

form

ance

Le

Dire

cteu

r gé

-né

ral p

rése

nte

les

obje

ctifs

de

chaq

ue e

xerc

ice

lors

de

l'Ass

embl

éegé

néra

le d

e la

DG

, en

déce

mbr

e de

l'an

née

N-1

, les

env

oie

aux

dire

c-tio

ns d

e la

DG

et d

eman

de a

ux d

irect

eurs

et c

hefs

d'u

nité

de

les

décl

i-ne

r à

leur

niv

eau.

En

outre

, pen

dant

la r

éuni

on d

u C

ollè

ge d

e no

ta-

teur

s, le

Dire

cteu

r gén

éral

rapp

elle

aux

not

ateu

rs l'

oblig

atio

n de

réun

irle

urs

noté

s po

ur p

rése

nter

les

obje

ctifs

ava

nt d

'ent

amer

la p

rocé

dure

de n

otat

ion.

La

DG

a é

tabl

i, te

l que

dem

andé

par

le S

G, s

on «

Lea

dIn

dica

tor »

et l

’a c

omm

uniq

ué à

l’en

sem

ble

de la

DG

.

Bon

nom

bre

d’un

ités

de la

DG

ont

éta

bli d

es K

ey P

erfo

rman

ce In

dica

-to

rs e

t les

met

tent

à jo

ur ré

guliè

rem

ent.

La D

G P

RES

con

tinue

à e

ffect

uer l

’ana

lyse

des

KR

I (Ke

y R

esul

t Ind

i-ca

tors

) en

rela

tion

avec

les

obje

ctifs

de

la D

G e

t a fi

xé d

es o

utils

pou

rle

s m

esur

er.

6Pr

oces

sus

de g

estio

n de

s ris

ques

La D

G r

édig

e un

« R

e-gi

stre

ann

uel d

es ri

sque

s »

indi

quan

t le

risqu

e, s

a na

ture

, son

niv

eau

et le

pla

n d’

actio

n po

ur le

trai

ter e

n re

latio

n av

ec le

s ob

ject

ifs g

énér

aux

de la

DG

. Ce

regi

stre

est

évo

lutif

d'u

ne m

aniè

re p

erm

anen

te, e

n so

rtede

maî

trise

r les

diff

éren

ts ri

sque

s as

soci

és a

ux a

ctiv

ités

de la

DG

et d

ele

s ré

duire

au

min

imum

pos

sibl

e.

Le ta

blea

u ré

visé

a é

té é

tabl

i et e

nvoy

é au

Ris

k M

anag

er fi

n ja

nvie

r20

18. À

sa

dem

ande

un

tabl

eau

de ri

sque

s de

frau

de e

t un

autre

sur

les

risqu

es d

’un

des

proj

ets

incl

us d

ans

le P

PP o

nt é

té é

tabl

is e

t en-

voyé

s en

mêm

e te

mps

. Ce

tabl

eau

fera

l’ob

jet d

’une

mis

e à

jour

lors

du p

rem

ier t

rimes

tre 2

019.

7St

ruct

ure

opér

atio

nnel

leAu

plu

s ta

rd a

u dé

but d

e ch

aque

N e

xerc

ice

la li

ste

des

ordo

nnat

eurs

dél

égué

s et

sub

délé

gués

est

pré

-pa

rée,

env

oyée

aux

ser

vice

s de

l’In

stitu

tion

resp

onsa

bles

du

suiv

i du

dom

aine

d’a

ctiv

ité a

insi

qu’

aux

serv

ices

de

la D

G. D

e la

mêm

e m

aniè

reso

nt p

répa

rés

et c

omm

uniq

ués

le ta

blea

u de

s ac

teur

s fin

anci

ers,

les

habi

litat

ions

des

age

nts

finan

cier

s et

les

perm

issi

ons

pour

les

diffé

rent

ssy

stèm

es d

e ge

stio

n fin

anci

ère.

Ces

doc

umen

ts s

ont a

dapt

és e

t mis

à jo

ur e

n co

urs

d’an

née,

cha

que

fois

que

cel

a s’

avèr

e né

cess

aire

8Pr

oces

sus

et p

rocé

dure

sLe

s pr

océd

ures

util

isée

s da

ns la

DG

pou

r la

mis

e en

œuv

re d

e se

s ac

tivité

s fo

nt l’

obje

t d’u

ne d

ocum

en-

tatio

n ap

prop

riée

aux

diffé

rent

s do

mai

nes

d’ac

tivité

et p

ar d

irect

ion,

en

étro

ite c

olla

bora

tion

avec

l'un

ité R

esso

urce

s en

cha

rge

de la

ges

tion

du b

udge

t de

la D

G.

Les

disp

ositi

ons

qui v

isen

t à g

aran

tir le

con

trôle

et l

e tra

item

ent d

e ca

ssp

écifi

ques

liés

à l’e

xécu

tion

budg

étai

re s

ont c

entra

lisée

s au

niv

eau

del'u

nité

Res

sour

ces.

Le c

ircui

t fin

anci

er d

e la

DG

est

ass

uré

par l

'uni

té R

esso

urce

s da

ns le

resp

ect d

u ch

apitr

e 3

du R

ègle

men

t fin

anci

er.

Lors

de

l'éla

bora

tion

du p

rem

ier r

appo

rt an

nuel

d'a

ctiv

ités,

l'un

ité R

es-

sour

ces

cons

olid

e la

pro

gram

mat

ion

des

appe

ls d

'offr

es p

our l

'exe

rcic

e

ANNEXES

et fait le suivi tout au long de l'année en assurant en même temps lagestion de ces procédures. La mise à jour de cette programmation estpermanente si nécessaire et, en tout cas, elle est consolidée à chaquerapport d'activité intermédiaire. L'unité Ressources effectue égalementun suivi rapproché de la consommation des contrats et contrats-cadreet de l'exécution des crédits y compris les recettes affectées.

9 Supervision par le management

L'unité Ressources dispose d'une série d'instruments de contrôle et desuivi afin d’assurer que toutes les procédures définies pour les activitésfinancières, opérationnelles et administratives soient respectées ou deréagir et corriger rapidement tout éventuel dysfonctionnement.

10 Continuité des opérations

Le principe que chaque direction adopte est celui de confier des tâchescomplémentaires, de back-up, à 2 membres de son personnel au mi-nimum, afin d’assurer la continuité du travail pendant les absences del’un ou de l’autre.

En outre, chaque direction est dotée d’un disque commun censé re-grouper les travaux menés par les services qui peuvent être consultéspar le personnel concerné qui y a accès.

La DG PRES a consolidé son Business Continuity Plan (BCP) et il aété communiqué au Business Manager comme contribution au BCPgénéral du PE. De la même manière, notre DG a finalisé son BIA (Bu-siness Impact Analyse) et a identifié les opérations essentielles et les

agents responsables dans le cas d’une situation en Business Conti-nuity Mode.

Le Incident Management Scheme et le Communication IncidentScheme sont en phase finale d’approbation et ils ont été déjà commu-niqués officieusement au Business Manager du PE

11 Gestion des documents L’enregistrement, organisation, sécuritéet protection des données personnelles se font en plein respect decette norme au sein de chaque service de la DG. L'archivage est ef-fectué pour la presque totalité des documents sur support papier et parvoie électronique.

La DG PRES dirige le ERMS/Steering Commitee et participe augroupe GIDOC en charge de préparer le PE à la mise en œuvre dunouveau Plan de Classement adopté par le Bureau.

L'unité Ressources tient à jour les archives financières de la DG tantsur support physique qu’électronique.

La DG commence la mise en œuvre du plan de classement approuvépar le PE. De la même manière, ce plan de classement est une desclés de voûte du nouveau projet de gestion de documents, ElectronicRecords Management System, dont la DG PRES est le chef de file etordonnateur principal.

12 Information et communication La page intranet de la DG(PRESnet) est l'outil clé de communication interne de la DG. Elle con-tient les informations nécessaires pour la gestion des activités de laDG et tout le staff est encouragé à s'y informer et à y verser toutes les


Annu

al a

ctiv

ity re

port

201

8D

GPR

ES, E

urop

ean

Parli

amen

t33

ANN

EXES

info

rmat

ions

qui

s'a

vère

raie

nt u

tiles

pou

r d'

autre

s co

llègu

es o

u po

url'e

nsem

ble

de la

DG

. La

diffu

sion

des

info

rmat

ions

est

éga

lem

ent e

f-fe

ctué

e au

moy

en d

’e-m

ails

à l’

ense

mbl

e du

per

sonn

el. C

erta

ins

ser-

vice

s ut

ilisen

t éga

lem

ent d

es e

spac

es c

omm

e C

onflu

ence

ou

Shar

e-Po

int.

13In

form

atio

n co

mpt

able

et f

inan

cièr

eLe

s in

form

atio

ns n

éces

-sa

ires

à un

e ge

stio

n ef

ficac

e de

la D

Get

des

ser

vice

s on

t été

iden

ti-fié

es e

t fon

t par

tie in

tégr

ante

du

RAA

.

La to

talit

é de

s in

form

atio

ns b

udgé

taire

s et

fina

nciè

res

est t

rans

mis

espé

riodi

quem

ent à

la D

G F

INS

et e

lles

sont

dis

poni

bles

dan

s le

s sy

s-tè

mes

de

gest

ion

(Fin

ord,

Web

cont

ract

s). A

ucun

e ex

cept

ion

n’es

t à s

i-gn

aler

.

14Év

alua

tion

des

activ

ités

Out

re

les

Rap

ports

d’

activ

ités

pério

-di

ques

à tr

ansm

ettre

à la

DG

FIN

S, la

DG

PR

ES m

ène

un s

uivi

ex-

haus

tif d

es a

ctiv

ités

de l'

ense

mbl

e de

s se

cteu

rs d

e la

DG

par

tro

ism

oyen

s pr

inci

paux

: R

appo

rts p

ério

diqu

es o

ffici

els,

rap

ports

ad-

hoc,

syst

èmes

info

rmat

ique

s de

ges

tion

et b

ases

de

donn

ées

prop

res

à la

DG

. Par

exe

mpl

e, p

lusi

eurs

uni

tés

font

un

rapp

ort t

rimes

triel

de

leur

s

activ

ités

qui e

st c

omm

uniq

ué à

l’en

sem

ble

de la

hié

rarc

hie

de la

DG

.C

erta

ines

ent

ités,

et

pour

cer

tain

es q

uest

ions

, on

t ré

alis

é de

s so

n-da

ges

inte

rnes

afin

d’é

valu

er le

s m

esur

es p

rises

pou

r de

s po

litiq

ues

appl

iqué

es.

15Év

alua

tion

des

syst

èmes

de

cont

rôle

inte

rne

L'un

ité

Res

-so

urce

s m

ène

en c

ontin

u un

e év

alua

tion

des

syst

èmes

de

cont

rôle

et

d'an

alys

e de

s ci

rcui

ts e

t des

stru

ctur

es m

ises

en

plac

e ta

nt d

ans

son

sein

que

dan

s le

s un

ités

opér

atio

nnel

les

en c

harg

e de

l'ex

écut

ion

dubu

dget

(y in

clus

es le

s re

cette

s af

fect

ées)

de

la D

G d

ans

les

dom

aine

sde

l'ex

écut

ion

budg

étai

re, d

e la

pas

satio

n de

s m

arch

és, d

u su

ivi d

esbo

ns d

e co

mm

ande

(éva

luat

ion

des

beso

ins,

circ

uits

et p

rocé

dure

s in

-te

rnes

), m

ise

à jo

ur d

u ta

blea

u de

s ac

teur

s fin

anci

ers,

vér

ifica

tion

des

perm

issi

ons

dans

les

syst

èmes

de

gest

ion,

sub

délé

gatio

n de

s or

don-

nate

urs

com

péte

nts)

, et

des

form

atio

ns lo

rsqu

e ce

la s

'avè

re n

éces

-sa

ire. L

a no

min

atio

n de

l’Int

erna

l Con

trol C

oord

inat

orre

nfor

cera

l’év

a-lu

atio

n pe

rman

ente

des

sys

tèm

es d

e co

ntrô

le in

tern

e.

16R

appo

rts d

’Aud

itLa

DG

PR

ES n

’a p

as fa

it l’o

bjet

d’a

ucun

aud

itin

tern

e ou

ext

erne

ou

cour

sde

201

8 et

auc

une

actio

n da

ns c

e se

nsn’

est o

uver

te.

Annu

al a

ctiv

ity re

port

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GPR

ES, E

urop

ean

Parli

amen

t34

ANN

EXES

SELF

-ASS

ESSM

ENT

SUM

MAR

Y TA

BLE

N° N

OR

ME

ACH

EVEE

PRES

QUE

EN P

ARTI

ED

EMAR

REE

A D

EMAR

RER

Secti

on 1:

miss

ion et

valeu

rs

1. Mi

ssion

Ache

vée

2. Va

leurs

éthiqu

es et

orga

nisati

onne

lles

Ache

vée

Secti

on 2:

Res

sour

ces h

umain

es

3. Af

fectat

ion du

perso

nnel

et mo

bilité

Pres

que

4. Év

aluati

on et

déve

loppe

ment

du pe

rsonn

elAc

hevé

e

Secti

on 3:

Pro

cess

us de

planif

icatio

n et g

estio

n des

risqu

es

5. Ob

jectifs

et in

dicate

urs d

e per

forma

nce

Ache

vée

6. Pr

oces

sus d

e ges

tion d

es ris

ques

Ache

vée

Secti

on 4:

Opé

ratio

ns et

acti

vités

de c

ontrô

le

7. St

ructu

re op

érati

onne

lleAc

hevé

e

8. Pr

oces

sus e

t pro

cédu

res

Ache

vée

9. Su

pervi

sion p

ar le

man

agem

ent

Ache

vée

Annu

al a

ctiv

ity re

port

201

8D

GPR

ES, E

urop

ean

Parli

amen

t35

ANN

EXES

N° N

OR

ME

ACH

EVEE

PRES

QUE

EN P

ARTI

ED

EMAR

REE

A D

EMAR

RER

10. C

ontin

uité d

es op

érati

ons

Pres

que

11. G

estio

n des

docu

ments

Pres

que

Secti

on 5:

Infor

matio

n et r

epor

ting f

inanc

ier

12. In

forma

tion e

t com

munic

ation

Ache

vée

13. In

forma

tion c

ompta

ble et

finan

cière

Ache

vée

Secti

on 6:

Éva

luatio

n et a

udit

14. É

valua

tion d

es a

ctivit

ésAc

hevé

e

15. É

valua

tion d

es sy

stème

s de d

u con

trôle

inter

neAc

hevé

e

16. R

appo

rts d’

audit

N/A


ANNEXES

COMMENTS ON THE OUTCOME OF THE ANNUAL SELF- ASSESSMENT OF MICSPERFORMANCE

1. Normes évaluées achevées.

Bon nombre des NMCI, même si marqués comme achevés, de par sa propre na-ture sont à caractère évolutif et d'actualisation permanente (NMCI 2, 4, 5, 8, 9,12, 13, 14 et 15).

En ce qui concerne le NMCI 6, le tableau de risques de la DG PRES a été modifiépour l’année 2018 et sera révisée le premier trimestre 2019 en conformité avecles objectifs généraux de la DG et présenté au nouveau Risk Manager mais touteévolution de ce tableau lui sera communiquée ultérieurement. Un tableau sur lerisque de fraude et un autre sur les risques éventuels d’un des projets du PPPont également été établis et communiqués au Risk Manager du PE.

La DG PRES a conclu son Business Continuity Plan (NMCI 10) et a fait preuvede sa flexibilité et capacité de réponse lors de l’incident informatique de la findu mois d’octobre pour assurer la continuité des opérations de la plénière enétroite collaboration avec la DG ITEC et le EP Business Continuity Manager.

2. Normes évaluées presque achevées - éléments à compléter

NMCI 3 L’exercice de mobilité du staff est en cours mais la DG PRES n’a pasun nombre élevé d’agents statutaires AD/AST affectés par cet exercice.

NMCI 10 La DG PRES a consolidé son Business Continuity Plan (BCP) et il aété communiqué au EP Business Continuity Manager comme contribution auBCP général du PE. De la même manière, notre DG a finalisé son BIA (BusinessImpact Analyse) et a identifié les opérations essentielles et les agents respon-sables dans le cas d’une situation en Business Continuity Mode.

Le Incident Management Scheme et le Communication Incident Scheme sont enphase finale d’approbation et ils ont été déjà communiqués officieusement auEP Business Continuity Manager. Il manque uniquement l’adoption formelle deces documents par le Secrétaire General Adjoint et Directeur General DG PRES.

NMCI 11 La DG PRES travaille dans l’adaptation de ses archives et documentsau nouveau Plan de Classement adopté par le Bureau. Cet exercice sera finiavant la fin du premier semestre 2019. Par ailleurs la DG PRES dirige le


ANNEXES

ERMS/Steering Committee, étroitement lié à la mise en oeuvre de ce Plan deClassement via la nouvelle application acquise par le PE suite à l’appel d’offresEP/DGPRES/ERMS/2017/021.

3. Normes évaluées partielles ou démarrées - points faibles et pratiques

NA

4. Normes évaluées à démarrer ou non applicables.

NMCI 16

N/A La DG PRES n’a pas fait l’objet d’aucun audit interne ou externe ou coursde 2018 et aucune action dans ce sens n’est ouverte.