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)4C EpoL

Consolidated Annual Activity Report (CAAR)
of the European Union Agency for Law Enforcement Training (CEPOL)
for financial year 2016

This Consolidated Annual Activity Report has been drawn up in compliance with Article 47 of the Regulation (EU) No
1271/2013 of 30 September 2013 on the framework financial regulation for the bodies referred to in Article 208 of
Regulation (EU, Euratom) No 966/2012 of the European Parliament and of the Council.

CEPOL 2017
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European Union Agency for Law Enforcement Training
Offices: H-1066 Budapest, 0 utca 27., Hungary • Correspondence: 1-1-1903 Budapest, PL 314, Hungary
Telephone: +36 1 803 8030 • Fax: +36 1 303 8032 • Email: info@cepol.europa.eu • wwwcepol.europa.eu

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:0/

CEPOL
EUROPEAN
AGENCY FOR
LAW ENFORCEMENT TRAINING

Table of Contents
Management Board's analysis and assessment

3

Introduction

5

Executive Summary

7

Part I. Achievements of the year

12

1.1 Portfolio based programming of CEPOL learning activities

13

1.2 Development of education and training products

16

1.3 External Relations

24

Part II. (a) Management and Governance

29

2.1 Agency Governance

29

2.2 Major developments

30

2.3 Budgetary and Financial Management

35

2.4 Human Resources (HR) Management

41

2.5 Assessment by Management

44

2.6 Budget implementation tasks entrusted to other services and entities

49

2.7 Assessment of audit results during the reporting year

49

2.8 Follow-up of recommendations and action plans for audits

51

2.9 Follow-up of observations from the Budgetary Authority

52

Part II. (b) External Evaluations

52

Part III. Assessment of the effectiveness of the internal control systems

53

3.1 Risk Management

53

3.2 Compliance and effectiveness of internal control

54

Part IV. Management Assurance

57

4.1 Review of the elements supporting assurance

57

4.2 Reservations and overall conclusions on assurance

57

Part V. Declaration of Assurance

58

ANNEXES

60

Annex I. Performance statistics and ISO 9001:2015 certificate

60

Annex II. Statistics on financial management

62

Annex III. Organisational chart

64

Annex IV. Establishment Plan and additional information on Human Resources Management

65

Annex V. Human and financial resources by activity

68

Annex VI. Specific annexes related to Part II

71

ANNEX VII. Specific annexes related to Part III

76

Annex VIII. Draft Annual Accounts 2016

76

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d

Management Board's analysis and assessment
The Management Board,
Having regard to Regulation (EU) 2015/2219 of the European Parliament and of the Council of
25 November 2015 on the European Union Agency for Law Enforcement Training (CEPOL) and
replacing and repealing Council Decision 2005/681/JHA,
Having regard to Decision 01/2014/GB of the Governing Board of the European Police College
(CEPOL) adopting the Financial Regulation and repealing decision 28/2011/GB, and in particular
Article 47 thereof;
Having regard to the Consolidated Annual Activity Report (CAAR) for the financial year 2016 of
the Authorising Officer of CEPOL;
1. Considers that the Consolidated Annual Activity Report represents a comprehensive and
transparent account of the Agency's activities and results of the year; takes note that the
Executive Director had no reservation to report;
2. Notes that 2016 was the first year of implementation of CEPOL's new legal mandate starting
with 1 July 2016; welcomes that a change management plan has been proactively prepared and
implemented, to respond to the additional challenges and tasks entrusted to CEPOL;
3. Notes with satisfaction that, in terms of the delivery of its core business, for the sixth year in a
row, the outreach of CEPOL has increased: number of participants has grown to 18,009
compared to 12,992 in 2015 which represents an increase of over 38%. This takes place while
operating within a stable budget frame and staffing levels, which demonstrates CEPOL's success
in achieving higher resource efficiency and providing good value for money;
4. Stresses that in total 10 priority categories, encompassing all EU Policy Cycle priorities and 9
other categories, were covered by CEPOL training portfolio 2016, responding to the training
needs of the Union internal security threats, such as terrorism, serious and organised crime,
cybercrime and migration;
5. Notes with satisfaction that the quality of CEPOL products as measured by the stakeholders'
and clients' satisfaction rate remained exceptionally high with 95% of participants stating that they
were very satisfied or satisfied with the activities;
6. Notes however that the requirements for training are considerably greater than the available
resources though, therefore the agency had to apply negative priorities resulting in 30% of
applications for CEPOL Exchange Programme could not be implemented within the given budget;
7. Notes that CEPOL progressed with the implementation of the EU/MENA Counter-Terrorism
Training Partnership programme aiming at building capacities of law enforcement services of the
region of Middle East and North Africa, notably Jordan, Lebanon, Tunisia and Turkey, having
responsibility for combatting terrorism by training means;
In 2016 CEPOL managed to build local ownership and trustworthy, respectful relationship with
interlocutors, most of which had not been familiar with CEPOL; 16 programme activities were
implemented with 281 law enforcement officers from MENA countries trained in Counter terrorism
related topics; 92% general satisfaction rate was reached;

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8. Notes with satisfaction that, following the independent external quality audit, CEPOL received
certification in accordance with the Quality Management System Standard ISO 9001:2015; the
third-party recognition demonstrates that the Agency has established a comprehensive quality
management framework and applies good business practices with the aim of always providing its
services to the satisfaction of its stakeholders;
9. In terms of human resources management, the MB takes notes of the Agency's efforts to
ensure business continuity while the staff turnover continues to increase following relocation, due
to the significantly lower correction coefficient applied to staff salaries; notes that due to limited
human resources capacity in the area of information and communications technology, there are
certain delays in introducing the e-tools intended to support the operational activities (CRM,
ECM);
10. Notes that as far as regards budget management, at the end of December 2016, the total
2015 budget implementation, including carried forward funds from 2015-2016, has reached 93%,
which is a good result, although slightly below the target of 95%; with regards to the regular
budget 2016, by end of the year 96% of the budget has been committed, 79% has been paid,
while 17% carried over to 2017; the carried over is justified by the pending invoices from the
service suppliers, a number of residential activities organised in the first 2-3 months of 2017 and
service and supply contracts signed at the last month of the year.
11. The Management Board takes note of the declaration of assurance of the Executive Director
and the underlying supporting information. The Management Board positively notes that audit
recommendations have been addressed and there are no critical findings from the external auditor
with respect to the legality or regularity of transactions in the last year.
The Management Board considers CEPOL has effectively delivered the expected products and
services in accordance with the 2016 Work Programme. Acknowledges that the training activities
implemented in 2016 help to consolidate CEPOL's role as a contributor to the development of a
common European law enforcement culture across Europe and beyond.
The Management Board attaches this analysis and assessment to the CAAR for submission to
the Court of Auditors, the Commission, the European Parliament and the Council by no later than
1 July, in accordance with Article 47(2) of the Financial Regulation applicable to CEPOL.

For the Management Board
<Signature on file>
Mrs. Frederike Everts MPA
Chair of the Management Board

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Introduction
CEPOL was initially founded by Council Decision 200/820/JHA of 22 December 2000 as a body
financed directly by the Member States of the European Union and functioned as a network, by
bringing together the national training institutes in the Member States, whose tasks include the
training of senior police officers. CEPOL was later established as an agency of the European
Union by Council Regulation No. 2005/681/JHA of 20 September, 2005 (OJ L 256/63 of 1
October, 2005). The decision was amended by Regulation (EU) No 543 of 15 May 2014 changing
the seat of CEPOL from Bramshill, UK to Budapest, Hungary.
Since 1 July 2016, the date of its new legal mandate', CEPOL's official name is `The European
Union Agency for Law Enforcement Training'.
CEPOL is headed by an Executive Director, who is accountable to a Management Board. The
Management Board is made up of representatives from EU Member States2 and the EU
Commission. The Chair of the Management Board is a representative of one of the three Member
States that have jointly prepared the Council of the European Union's 18-month programme. The
Management Board meets at least two times per year. In addition, CEPOL has dedicated National
Units (CNUs) in every Member State to provide information and assistance to law enforcement
officials who wish to participate in CEPOL's activities. CNUs also support CEPOL's operations.
The agendy's annual work programme is built with input from its network and other stakeholders,
resulting in topical and focused activities designed to meet the needs of Member States in the
priority areas of the EU internal security strategy. Moreover, CEPOL assesses training needs to
address EU security priorities.
CEPOL contributes to a safer Europe by facilitating cooperation and knowledge sharing among
law enforcement officials of the EU Member States and to some extent, from third countries, on
issues stemming from EU priorities in the field of security; in particular, from the EU Policy Cycle
on serious and organised crime.
CEPOL constantly strives to offer innovative and advanced training activities by integrating
relevant developments in knowledge, research & technology, and by creating synergies through
strengthened cooperation.

Mission
CEPOL as a European Union Agency contributes to European police cooperation through
learning to the benefit of European citizens.

1 Regulation (EU) 2015/2219 of the European Parliament and of the Council of 25 November 2015
2 Denmark and the United Kingdom are not considered Member States in relation to CEPOL in accordance with Protocol 22 on the
position of Denmark and Protocol 21 on the position of the United Kingdom in respect of the area of freedom, security and justice,
annexed to the TEU and to the TFEU.

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EUROPEAN UNION AGENCY FOR
LAW ENFORCEMENT TRAINING

Vision
CEPOL's vision is to be acknowledged by allied agencies and authorities in the policing and
educational world to be the primary source of learning and development in the field of
education and training for enhanced cooperation and policing in Europe.

Values
-

Primary source of knowledge
Respect for diversity
Faith in justice and policing

CEPOL'S Quality Statement
The Agency is committed to implement internationally recognised management standards, such
as ISO 9001:2015.
CEPOL intends to demonstrate the ability to consistently provide products and services that meet
stakeholder expectations and applicable regulatory requirements, to contribute to European law
enforcement cooperation through learning to the benefit of European citizens.
The Agency aims at enhancing services through effective application of the CEPOL's
Management System, by continually improving its processes, addressing risks and opportunities,
and ensuring the Management System is fit for purpose.
CEPOL focuses on customers, stakeholders and other interested parties, provides
leadership, engages and involves people, uses a process approach, encourages
improvement, uses evidence based decision-making, and manages effective stakeholder
relationships.
The Agency intends to ensure compliance with the applicable ISO 9001:2015 requirements, and
the Internal Control Standards.

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Executive Summary
The Year in Brief
2016 was the year of CEPOL's transformation in line with the requirements of the new legal
basis, Regulation (EU) 2015/2219 of the European Parliament and of the Council of 25 November
2015, which came into effect starting 1 July 2016.
In the run up to the entry into force of the CEPOL Regulation, the Governing Board has adopted
a Change Management Plan3. The plan outlines the necessary steps to best prepare CEPOL
for the implementation of its legal mandate.
CEPOL payed attention to business continuity whilst implementing the change management
measures which were foreseen to take effect in 2016. Among those, the governance
arrangements necessary for CEPOL to function effectively were given priority. Notably,
preparations have been made with regard to the renewed planning and programming timelines,
the Management Board has been established, the amended Rules of Procedure for the
Management Board were adopted.
In 2016, CEPOL implemented the changes in its corporate and visual identity agreed by the
Governing Board as a result of the "re-branding" project started by the agency in 2015. CEPOL
has now a brand new logo and, for the first time in its history, a Corporate Identity Manual setting
guidelines for the use of the visual elements. The new visual identity was implemented since 1
July 2016 (date of application of CEPOL's new legal mandate).
Reflecting the extended CEPOL's target group following the new mandate, the scope of
Framework Partnership Agreements was widened in order to encompass EU law enforcement
agencies and training institutions, as well as research institutes and public universities that have
working agreements with EU law enforcement institutions. Therefore, a Call for Framework
Partners (FP) 2017-2020 was launched and finalised in 2016 resulting in 60 FPs, which
represents a significant increase comparing to 35 previous FPs.
CEPOL has effectively delivered the expected products and services in accordance with the 2016
Work Programme. The number of participants to CEPOL's trainings activities continued to
increase achieving 18,009 law enforcement officials trained, while the quality of products as
measured by the stakeholders' and clients' satisfaction rate has increased to 95%.
2016 was the first full year of implementation of the 'EU/MENA Counter-Terrorism Training
Partnership project'. The project aims at building the capacity of relevant law enforcement
services and other relevant personnel in the target countries by offering tailored made learning
and training activities in the field of counter-terrorism. The project is worth 2.5 M EUR over a span
of 24 months, and is funded under the Instrument Contributing to Stability and Peace (IcSP)
managed by the Service for Foreign Policy Instruments. This project has now been recognised
as a flagship project in EU cooperation with MENA countries on Counter Terrorism.
In 2016 CEPOL completed the inception phase and managed to establish functioning cooperation
with all relevant interlocutors of the beneficiary countries and provide solid ground for organizing
latter activities.

3 Decision 34/2015/GB of the Governing Board of the European Police College adopting the Change Management
Plan. Adopted by written procedure on 18 December 2015.

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Following the external audit completed in January 2017, CEPOL has been certified to the
Management System Standard ISO 9001:2015 by Lloyd's Register Quality Assurance. The
Management System is applicable to: Management of the Law Enforcement Residential Activities
and the Exchange Programme: support, develop, implement and coordinate training for law
enforcement officials. This strategic development helps CEPOL to demonstrate its high
commitment to quality and stakeholder satisfaction.

Key Performance Indicators
Goals and objectives reflected in the CEPOL's short-term strategy 2014-2017 are subject to
regular monitoring, analysis and reporting, both internally (management) and externally
(Management Board). The Agency's Key Performance Indicators (KPIs) and Performance
Indicators (Pis), linked to the achievement of three Strategic Goals, demonstrate sustainable
progress achieved in 2016.
Summary of the Agency's performance in 2016 — KPIs
Key Performance Indicators
Satisfaction of training provided by CEPOL

Target

'WA -

Performance Performance
2015
2016

Overall rate of implemented agreements

80%

94%
100%

Implementation of the CEPOL strategy

80%

-70%

95%

100%
87%

Key conclusions on training and learning activities, external relations
(executive summary of Part I)
CEPOL, on the basis of identified training needs, offered training portfolio in total of 10 priority
categories, deriving from CEPOL mandate encompassing all EU Policy Cycle priorities and 9
other categories. The current portfolio encompasses residential activities, online learning (i.e.
webinars, online modules, online courses, etc.), exchange programmes, common curricula,
research and science actions. The use of varied training tools ensures complementarity and that
identified needs of the Member States are met to a greater extent.
More than 80% of the CEPOL training and learning activities, i.e. residential activities, webinars,
online courses, online modules, tackle the security threat priorities stemming from the European
Security Agenda, for example:
-

Serious and organised crime, including cybercrime and migration - 35% of activities
Counterterrorism - 13% of activities
Horizontal aspects, such as law enforcement cooperation tools, professional networks
information exchange etc. - 33%

For the sixth year in a row the outreach of the agency has increased while operating within a
stable budget frame: number of participants has grown to 18,0094 compared to 12,992 in 2015.
The requirements for training are considerably greater than the available resources though,
therefore the agency had to apply negative priorities resulting in more than 30% of applications
for CEPOL Exchange Programme not implemented within the given budget.

4 Including the number of participants in MENA project

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▪

CEPOL
EUROPEAN UNION AGENCY FOR
LAW ENFORCEMENT TRAINING

Participation in CEPOL activities 2010-2016*

Number of participants 2016
18009

20000
15000
8251

10000
. 5000

2042

4206

2280

10322

6019

r
:

0
2009

2010

2011

2012

2013

2014

2015

2016

* Participation includes seminars, courses, conferences, e-learning modules, online courses, webinars, the European
Police Exchange Programme and MENA Programme

In 2016, the content of CEPOL's training efforts successfully met the operational expectations,
the overall satisfaction rate with CEPOL activities remained exceptionally high - 95% of
participants stating that they were very satisfied or satisfied with the activities (94% in 2015).
External relations have always been an important part of CEPOL's activities, nevertheless, they
have gained additional importance under the new legal mandate (Regulation (EU) 2015/2219).
Having recognised this, CEPOL has adopted its external relations sub-strategy (Decision
22/2016/GB) which sets out the directions to fill the legislative framework with content.
Against this background, CEPOL aims at entering the "global market" of law enforcement training
(c.f. multiannual strategic objective 1.1 of the sub-strategy) while ensuring the continuous highlevel implementation of its statutory tasks and giving priority to the immediate partners of the EU
among third countries. This approach is facilitated by the provisions of the new regulation enabling
CEPOL to manage dedicated Union External Assistance funds (art. 4 paragraph 4 d).
2016 was the first full year of implementation of the EU/MENA Counter-Terrorism Training
Partnership project. The programme is implemented with direct, bilateral projects frame with
Jordan, Lebanon, Tunisia and Turkey. In the course of inception the subjects of the activities,
their methodologies were identified and logically structured allowing to build a systematic action
plan and got it endorsed by partners. Activities were carefully fine-tuned in order to be in line with
exact needs and to avoid any duplications of other ongoing donor activities.
In close cooperation with law enforcement services of the beneficiary countries, 11 residential
activities were carried out in the programme frame. The centre of the gravity was the cyber arena
in the light of terrorism and anti-terrorism. Most of the courses focused specific areas of this
mainstream and these were addressed by precisely tailored activities. Besides, international
cooperation, critical infrastructure protection, counter terrorism financing, counter radicalisation
were also at the agenda. Study visits and thematic courses also begun to be organised last year
to Europol, CEPOL and other relevant European Member State's law enforcement bodies (Italy
and Cyprus). All in all 281 participants were involved in 16 programme activities or exchanges in
2016 and more importantly 92% general satisfaction was reached and positive feedback received.

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POL

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Key conclusions on management of human resources
In line with the budget as adopted by the Budgetary Authority and the Governing Board, CEPOL's
establishment plan 2016 contains 28 Temporary Agents (TA) and 20 Contract Agents (CA); this
latter number includes 3 positions for the EU/MENA Counter-terrorism project, separately
financed from the grant agreement signed in November 2015. In addition to regulatory staff
positions, CEPOL had in 2016, 4 SNE allocated positions.
By the end of 2016, the agency had in post 25 Temporary Agents (including one on unpaid leave)
and 18 Contract Agents; in addition 6 SNE were in post, 4 financed from CEPOL budget and 2
from EU/MENA Counter-terrorism project.
As a consequence of the relocation from UK to Hungary, due to the significantly lower correction
coefficient applied to staff salaries in the new location, the number of resignation showed an
increasing trend. The Agency used a number of interim staff and SNEs to fill in for staff absence
and ensure business continuity, until recruitment of statutory staff was completed.
As CEPOL was and is aware of the risks of high staff turnover, during the relocation a number of
mitigating actions where implemented. CEPOL would like to highlight its GB decision on school
fees for international school's for children of staff, the generous set up of core hours and the use
of tele-work for its staff. Besides these, CEPOL has made significant progress in professional
training for its staff.
In 2016 CEPOL run 22 recruitment campaigns which attracted 500 applications. The number of
applications decreased compared to the period before relocation, however, this did not impact on
the quality of applications received and the Agency's ability to recruit suitable candidates.
The low grading of posts combined with low correction coefficient, does not encourage foreigners
(especially from West and Northern Europe) to move to Hungary, therefore the geographical
balance cannot be always ensured during the recruitment process. As expected, an
overrepresentation of the Host Member State nationals has occurred in the last year.
At the end of 2016, there were 16 Hungarians (32%) working for the agency, from a total of 49
staff (TA, CA & SNE). Especially in CA there is a very significant overrepresentation (10 out of
18) of Hungarian nationals.
Further details on management of human resources can be found in Part II, point 2.4.

Key conclusions on management of financial resources
At the end of December 2016, the total 2015 budget implementation, including carried forward
funds from 2015-2016, has reached 93%.
CEPOL's regular budget for 2016 was €8 641 000. The regular budget is consumed over three
budget headings (titles). Title 1 covers staffing; Title 2 covers expenditure related to infrastructure,
such as running costs; and Title 3 covers operational costs.
By the end of December 2016, 95.95% of the C1 budget has been committed, out of which 82%
has been paid (79% of the total budget).
A total of 1,477,2885 has been carried over to 2017, amounting to 17% of the overall 2016
budget. The justification of this higher amount relates to the fact that invoices for the flight scheme

5 Includes 1,398,594 € of the annual subsidy (C1 credits) and 8,390 € of recoveries (C4 credits)

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POL

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and exchanges for the month of November have not been sent correctly by the travel agent; a
number of residential activities are organised in the first 2-3 months of 2017 and number of
substantial contracts have been signed at the last month of the year.
After relocation, some staff members initiated a Court case, arguing the conditions in which the
relocation has been carried out and its financial impact on their income. CEPOL arrived to an
amicable settlement with 4 ex-staff members during 2015 and the partial payment of the agreed
amount, forming part of the relocation budget, was made in December (€54,000), while the
remaining part (€39,700) has been paid from the 2016 budget. The amicable settlement case is
considered to be closed.
With regard to the remaining legal case, the three staff members decided on an appeal. It is
unlikely that this case will be settled before the second half of 2017.
In 2015, a budget of € 2.5 M has been granted to CEPOL via the grant agreement signed with
the European Commission on EU/MENA Counter-terrorism Training Partnership. In order to
properly follow up the project financially, Title 4 has been created to manage this project. The
second instalment has been inscribed in ABAC and became available for commitments and
payments. Of the total available credits in value of € 1 243 891, 89% have been committed and
48% have been paid by end of 2016.
Further details on management of financial resources can be found in Part II, point 2.3.

Key conclusions on internal control effectiveness
CEPOL conducts its operations in compliance with the applicable rules and regulations, working
in an open and transparent manner, and meeting the expected high level of professional and
ethical standards.
The Agency has adopted a set of internal control standards (ICS), based on international good
practice, aimed at ensuring the achievement of operational objectives. As required by the
Financial Rules, the Executive Director has put in place an organisational structure and internal
control systems suited to the achievement of the agency's objectives, in accordance with the ICS
and with due regard to the risks associated with the environment in which it operates. As reported
in Part Ill, CEPOL has a constant progress towards full compliance with the 16 internal control
standards.
The Agency has systematically examined the observations and recommendations issued by
internal auditors, the European Court of Auditors and the European Parliament. On this basis, it
took actions as appropriate.
No audit recommendations having a critical nature or impacting on the legality and regularity of
transactions were formulated by the internal/external auditors in the past four years.
The agency has assessed the effectiveness of its key internal control systems during the reporting
year and has concluded that the internal control system is working effectively. Further details
regarding the assessment of the effectiveness of the internal control systems can be found in Part
III
The Executive Director, in his capacity as Authorising Officer, has signed the Declaration of
Assurance.

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Y
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Part I. Achievements of the year
Strategy Goal 1: "An enhanced independent CEPOL capability that delivers satisfactory, effective and efficient
training and education services"
Specific activities for Goal 1
1.1

Contribute to the development of a methodology for
a four-year Strategic Training Needs Assessment
(STNA) and annual Training Needs Analysis (TNA)

Performance indicator
Input timely provided to European Commission and
Contractor
Target: requests replied to within specified timeframe
Progress: 100% responses in time with contractual
obligations
Number of stakeholders consulted/involved:
Target: 35; Progress: 32 (91%)
Requests for contribution submitted on time: 100%

1.2

Education and training activities

Number of participants in CEPOL flagship activities
Target: 220; Progress: 333
Satisfaction with CEPOL activities
Target: 90%; Progress: 95%

1.3 CEPOL Exchange Programme:
1. Further alignment of the programme with EU
priorities;
2. Ensure participation of candidate countries and
ENP countries in the Programme

All EU Policy Cycle priorities included:
Target: 11; Progress: 13
Number of participants from Candidate and ENP countries
take part in CEPOL EPEP
Target: 30; Progress: 80
Satisfaction with training provided by CEPOL (CEP)
Target: 90%; Progress: 96%

1.4 Contribute to the harmonisation of the training
programs across EU through the use of Common
Curricula.

Number of common curricula maintained

Extend and further develop e-learning tools

Number of online courses implemented

1.5

Target: 9; Progress: 9

Target: 1; Progress: 1
Satisfaction of training provided by CEPOL (webinars)
Target: 90%; Progress: 94%
1.6

Finalisation of revised evaluation methodology

Finalisation of revised evaluation methodology
Target: 1; Progress: 1

1.7

Assist the access to scientific and research material
to stakeholders through further development of
access to journals

1.8 Further develop Lecturers, Trainers and
Researchers (LTR) database

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Number of journals available
Target: 15; Progress: 17 full access (plus more than 300 in
time-delayed repository)
Number of new registrations
Target: 100; Progress: 149

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LAW ENFORCEMENT TRAINING

1.1 Portfolio based programming of CEPOL learning activities
Strategic Training Needs Assessment (STNA)
Strategic Training Needs Assessment (STNA) is the examination and identification at strategic
level of capability challenges in the area of the threats to EU internal security that should be
tackled with training.
The STNA derives from the LETS communication6 and is one of the implementing measures of
the Renewed EU Internal Security Strategy 2015-2020.
New CEPOL Regulation that became fully applicable on 1st of July 2016, tasks the agency to
implement STNA. In order to prepare for the new legal mandate and facilitate a smooth and
efficient start of the STNA project under the new Regulation, early on CEPOL worked in close
cooperation with the European Commission in drafting the Terms of Reference for a
methodological study to develop STNA in the framework of the LETS implementation.
The methodology development commenced in September 2016 by an external contractor
engaged by the Commission; CEPOL is represented in the STNA methodology development
through the Steering Board along with the representatives of the Member States, Europol and
Frontex. By the end of 2016 the Inception Phase was completed.
It is envisaged that the project is finalised and the STNA methodology developed by the end of
April 2017.

Operational Training Needs Analysis (TNA)
While it is envisaged that STNA having assessed security threats and challenges will give
strategic guidance where the Union shall dedicate its resources in law enforcement training, it is
necessary for CEPOL to:
identify the detailed training needs at operational level for specific target groups, required
competencies and mastery levels in the STNA priority areas, including the volume of law
enforcement officials that require such training;
-

design comprehensive tailored thematic training portfolios.

For that reason CEPOL began the development of scientifically sound and reliable Operational
Training Needs Analysis. The work is supported by experts from Member States, Europol and
Frontex. It is planned to complete the methodology in May 2017.

Multi-layered portfolio approach to thematic education and training
Based on the outcomes of the annual TNA consultations with the MS and stakeholders, CEPOL
develops its response to the EU level training needs, which is reflected in the CEPOL's training
catalogue. A thematic based approach in line with the LETS principles is applied when preparing
a selection of training intervention solutions.
In 2016 CEPOL continued selecting its learning and training themes from the relevant EU policy
instruments taking into account the Member States opinion on topic prioritisation. All CEPOL

6 Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and

the Committee of the Regions Establishing a European Law Enforcement Training Scheme, Brussels, 27.3.2013, COM(2013) 172
final
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activities are designed to facilitate the sharing of knowledge and best practices, and to help
developing a common European law enforcement culture.
It was planned to implement 159 activities (80 residential and 79 webinars), but catering to
emerging needs, CEPOL delivered 174 activities (87 residential and 87 webinars).

Number of activities implemented:
2015 and 2016
151
85

Iri

87

66

Residential

174

87

Webinars
• 2015 IN 2016

Total activities

Beyond that, CEPOL also developed and implemented 492 exchanges, 1 online course (Police
English language) and maintained 27 online modules throughout the year. In total, 17 728 law
enforcement officials took part in CEPOL training activities on issues vital to the security of the
EU and its citizens, which represents a significant (more than 1/3) increase compared to 2015. In
addition, the implementation phase of EU/MENA Counter-Terrorism Training Partnership
project programme started in 2016 with 281 law enforcement officials taking part in CEPOL
training activities on counter terrorism.
20000
18000

18009

Number of participants in 2016 vs 2015

16000
14000

1299

12000

10889

10000
8000

6731

6000
4000

3 329
2709

307946

2000
0

Total

I
I
Residential
activities

II
E-leaming
Webinars

i I
E-leaming
Modules

51 72
Online course

428 492
.
EPEP

0 281
MENA

2015 • 20 16

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The Overview of the number of activities per thematic priority and training categories is illustrated
in the table below.
Priority

-a

IA

tO

coi f
:7,
0 =0

c
:a

C

as

a) c.)

The EU Policy Cycle to tackle
Serious and Organised Crime
2014-2017
Other organised international
crime
Counter terrorism
Special law enforcement
techniques
EU police and judicial
cooperation
External dimension of the area
of Freedom, Security and
Justice
Maintenance of law and order
and public security
Leadership, learning, training
and language development
Research and science / Crime
prevention
Fundamental rights
Total

A is

..c0

0

re

a) a)
,c
s.

x

—

w

00

E
EE 0

00
°

<

z
w

31-

2

73

4

5

37

0

0

0

8
10

1
15
12 64

2
0

0
0

16
0

13

19

92

12

0

0

8

1

2

0

0

0

1

2

33

0

0

0

8

7

68

7

1

0

1 global
conference
3
87

1

4

0

0

0

15
87

4
492

0
27

0
1

0
16

0

Overview of the number of participants per thematic priority is provided below, for each category
of training fostered by CEPOL.
-_ , . •

7.3 0
c :
0 1_
73
0 =0
0
0
r4
The EU Policy Cycle to tackle
Serious and Organised Crime
2014-2017
Other organised international
crime
Counter terrorism
Special law enforcement
techniques
EU police and judicial
cooperation
External dimension of the area
of Freedom, Security and
Justice
Maintenance of law and order
and public security
Leadership, learning, training
and language development
Research and science / Crime
prevention
Fundamental rights
Total

ca
0
a)

:ii
i

-°
x
Wu

C

ca
0 a)

-5.
"E 12
.0

C

to

0 g

u)

cu 10
0
=c
.c =
w
00
°

O

I—

979

3412

173

1097

0

0

5661

128

485

37

0

0

0

650

212
15
365
311 1589 64

143
0

0
0

281
0

1016
1964

385 2355 92

1179 0

0

4011

201

112

2

0

0

0

315

56

187

33

0

0

0

276

232

742

68

910

72

0

2024

199

101

4

0

0

0

304

90
2946

1694
10889

4
492

0
3329

0
72

0
281

1788
18009

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1.2 Development of education and training products
Education and training activities (residential)
In 2016 CEPOL planned to implement 80 residential activities, delivered — 87 (85 in 2015).
Residential activities were represented in the following categories:
- EU Policy Cycle — Council's priorities in the fight against serious and organised crime 20142017 (31 residential courses)
- Other organised international crime (4 residential courses)
- Counter terrorism (8 residential courses)
- Special law enforcement techniques (10 residential courses)
- EU police and judicial cooperation (13 residential courses)
- External dimension of the area of Freedom, Security and Justice (8 residential courses)
- Maintenance of law and order and public security (1 residential course);
- Leadership, learning, training and language development (8 residential courses)
- Research and science / Crime prevention (1 conference);
- Fundamental rights (3 courses)
The overall satisfaction with CEPOL activities remains high, for 2016 it was 95% for residential
courses (in 2015 it was 93%), whereby there were 2 946 residential participants in 2016 (3 073
in 2015).
The major thematic areas of training intervention were: EU Policy Cycle for organised and
serious international crime with two specific topics highlighted: Migration, Cybercrime;
furthermore the Counter-terrorism also remains an area of high significance.

EU Policy Cycle
CEPOL continues to provide a portfolio of training options for all priority areas within the EU Policy
Cycle, whereby the priority area Illegal immigration was reinforced with 4 additional courses
implemented in the first quarter of the year.
In total in 2016 CEPOL delivered 31 residential activities on the Policy Cycle priorities attended
by 979 participants. This demonstrates continuous and increasing commitment of CEPOL's
investment (in comparison with 21 activities attended by 710 participants in 2015).
The training is a complementary tool for operational actions of EMPACT actions in order to ensure
that investment into training and exchange of best practices delivers benefits in terms of improving
data gathering and intelligence sharing or in better operational cross-border cooperation.
The aim to align training with operational needs and actions in the EU Policy Cycle areas was a
trigger for organising a joint session of CEPOL National Contact Points and Europol National
Units with dedicated workshop for the EU Policy Cycle and cooperation between Europol and
CEPOL's national structures (held at Europol on 13 April 2016). Closer cooperation between
training and operational structures was one of the follow-ups reflecting the views expressed in the
Outcome of proceedings of the Conference "EU Policy Cycle - Safer Europe - together against
organised and serious international crime" held on 8-9 December 2015 at CEPOL in Budapest,
Hungary (Council document 5411/16).
Migration (as one of the EU Policy Cycle areas)
CEPOL addressed the challenges stemming from the unprecedented migration flows and
reflected the fact that the growth in illegal migration volumes continued to pose EU policing
problems. Therefore, CEPOL training was aligned with the requirements voiced by the EU Policy
Cycle expert group on illegal immigration, with focus on increasing the knowledge and
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competences on combating organised crime groups (OCGs) and transnational investigation
techniques.
In order to assist the MS in their response to unprecedented migration influx, the content of
training was developed in close cooperation with experts from Member States, Western Balkan
countries, Europol, Eurojust, Frontex, EASO, FRA, it covered important aspects concerning
exchange of information and the cooperation between the EU agencies and national law
enforcement institutions operating at the frontline, both in transit and destination countries.
Moreover, to address the issue about misuse of migration flows for terrorism, the topics on
radicalisation processes, foreign fighters and returnees were part of the training, too.
In total 6 residential activities were attended by 195 participants, which is a significant increase in
comparison with one residential activity in 2015 with 28 participants trained.

Cybercrime (as one of the EU Policy Cycle areas)
Cybercrime remains one of the key priorities for CEPOL training considering the substantial need
for such training to strengthen the capacity of Member States law enforcement to conduct
international investigations. The first Cyber TNA demonstrated that in average slightly more than
25% of the training needs can be met by Member States. In the face of such pressing situation,
CEPOL allocated additional dedicated resources to the area to focus on cybercrime related
cooperation and training, supporting the development of a structure for the identification and
delivery on the training needs. This allowed to strengthen CEPOL's contribution for the following
areas:

-

Support for EMPACT priorities Payment Card Fraud, Child Sexual Exploitation and Cyberattacks
Cooperation with relevant partners, such as European Cybercrime Centre at Europol (EC3),
Interpol, Council of Europe, ECTEG
Delivery of the first Cybercrime Training Needs Analysis
Development of Training Competency Framework.

CEPOL implemented 5 residential activities attended by 142 participants. Examples of cyber
related activities:
-

CEPOL supported MS by implementing their pilot residential course "Investigation on Darknet
and Virtual Currencies" (87/2016). One of the aims of this specific course was to create
additional training material for European Cybercrime Training and Education Group (ECTEG)
that could be shared free of charge with law enforcement community via ECTEG. Inviting also
OSCE, Council of Europe and Interpol as observers to this activity ensured CEPOL's global
outreach.

-

CEPOL proved to be an important partner in the area of Child Sexual Exploitation with a new
2-weeks practical course "Victim Identification in the area of Child Sexual Exploitation"
(86/2016) implemented in cooperation with Interpol and Europol. Besides MS, Europol and
Interpol, the expertise was coming from overseas (Australia, USA, Canada) which added a
worldwide relevance.

Terrorism
CEPOL responded to the challenges related to terrorism by implementing a portfolio of training
activities focusing on improving operational cooperation and increase the capabilities on
countering the terrorist threats. As a result 8 residential activities were implemented and attended
by 365 participants (6 activities attended by 296 participants in 2015)

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Some of the most relevant aspects covered were prevention of radicalisation, foreign fighters,
Special Intervention Units (ATLAS), explosives - bomb threat response, protection of critical
infrastructures and current modus operandi particularly in respect of recent terrorist attacks.
Target group for these courses was identified as law enforcement officials, first line law
enforcement officers, senior and chief specialists, and investigators from EU law enforcement
institutions responsible for public security (police, dignitaries, protection, etc.) or dealing on a
regular basis with counterterrorism issues.
Parallel to implementation of training activities there was an analysis of CEPOL current portfolio
related to terrorism. This was performed by an external expert in order to assess how CEPOL
training meets the needs and what could be the way forward in terms of further prioritisation and
clear focus of training profile in the field of counterterrorism in the light of recent developments at
the EU level.

Flagship activities
In 2016 CEPOL continued to implement its flagship activities.

1) EU Leadership Programme
CEPOL implements a fully accredited European Joint Master Programme (EJMP) designed to
further qualify law enforcement officers on the implementation and operationalisation of EU
instruments, especially on police cooperation in concrete cross-border settings. It is the first EU
academic programme aimed at addressing common challenges of police cooperation in the frame
of internal security. EJMP was launched in October 2015. In 2016 4 out of 7 modules were
implemented in Finland, Spain, France and Bulgaria with 27 students. Successful students will
graduate in 2017.
In 2016 CEPOL continued to support the strategic vision of European law enforcement leadership
development by delivering two components of European Leadership Development
Programme:
-

the Future Leaders (two modules) - 29 'future' EU executive leadership participants attended
the CEPOL training with the view to develop the competencies necessary to manage law
enforcement structures in the global environment. The methodology adopted was a blended
learning and development mix of event workshops, residential training modules including
coaching support. The programme incorporated a variety of relevant subjects delivered by
both policy and specialist public and private sector experts including the provision of five day
exchange under the Exchange Programme, to help facilitate the research and preparation of
the Group Assignment projects (strategic topics arising from the Police Chiefs Workshop)

-

the Heads of National Training Institutes (HoTI) hosted in Budapest, Hungary, the event was
attended by 21 EU MS Directors, Deputies or Managers of law enforcement training
institutions and leadership programmes. The event curriculum comprised a range of expert
sessions covering policing leadership, skills and competencies, training needs and
international law enforcement cooperation across current EU operational, organisational and
political topics and issues, including the Future Leader Assignments.

EU CSDP Police Command and Planning Course attended by 28 participants responds to the
training needs defined by the European External Action Service catering for operational needs of
the EU missions aiming to develop necessary competencies for deployment on high level
positions within the CSDP civilian crisis management missions or to relevant EU bodies dealing
with crisis management.

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,,,;;$
EUROPEAN UN
ION
AGENCY FOR
LAW ENFORCEMENT TRAINING

2) CEPOL 15th Anniversary Research and Science Conference
The Annual CEPOL Research and Science Conference 2016: Global Trends in Law
Enforcement Education and Training - a widely acknowledged event offering a dialogue
between science and educational practice for law enforcement - was organised in cooperation
with the Hungarian National University of Public Services.
Aiming at bringing together leading practitioners, scholars and educators from law enforcement
and academia, the event attracted almost 200 participants from all continents, featuring keynotes
among others by Secretary General of Interpol Mr. Stock and Europol Director Mr. Wainwright.
Main track contribution were live-streamed and they included presentations from European
Member States, Australia, Brazil, China, South Africa and the United States. The programme
offered 75 papers in main track and open paper sessions.

Grants
Residential activities continued to be implemented via grants mechanism, however the trend of a
shared responsibility for implementation between CEPOL and the Framework Partners continued
— alongside with grants (54 activities), CEPOL implemented 33 activities (in cooperation with
Framework Partners through joint procurement -13 activities, by CEPOL - 20 activities).
As planned, there was one Call for Applications for 2016 activities, and resulted in signature of
49 grant agreements for the implementation of 54 activities. All grants have been implemented
as planned.
The average time taken to notify the applicants on the grant decisions is two months from the
deadline for submitting applications. From the moment of notifying the applicants on the grant
decision, the average time taken to sign the grant agreement by both parties, is one month.
Reflecting the extended CEPOL's target group following the new mandate, the scope of
Framework Partnership Agreements was widened in order to encompass EU law enforcement
agencies and training institutions as well as research institutes and public universities that have
working agreements with EU law enforcement institutions. Therefore, a Call for Framework
Partners (FP) 2017-2020 was launched and finalised in 2016 resulting in 60 FPs, which
represents a significant increase comparing to 35 previous FPs.

CEPOL Exchange Programme
The current Erasmus-style CEPOL Exchange Programme (CEP) was established by Council
Conclusions in 20107. The Council tasked CEPOL to implement the CEP and envisioned
additional 5M€ for its implementation. Although it was a new task, no additional resources were
given to the agency; hence CEPOL has been implementing the CEP using its core budget. Its
limitations affect the extent to which the programme can be implemented hence negative priorities
need to be applied (30% of applications for CEP could not be implemented within the given
budget).
The CEP reflects the requirements of the Union's internal security strategy and the EU Policy
Cycle on serious and organised crime. Thematic areas of study are synchronised with EU
priorities and CEPOL's overall training portfolio. This alignment enables the exchange programme
to complement CEPOL's other training options contributing to the agency's multi-layered
approach to learning.
CEP allows participants to exchange knowledge and good practices, initiating cooperation
projects and fostering deep and long-lasting learning and networking. Notably, exchanges
successfully promote trust and cooperation between law enforcement staff from different police
Conclusion of the Council of European Union of 13 April 2010 on the exchange programme for police officers
inspired by Erasmus, 8309/1/10 REV 1 ENFOPOL 93
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services. The programme fulfils one of CEPOL's key objectives in developing a European police
culture; exchanges increase appreciation of different cultures, remove biases and break down
barriers.
The 5-year external evaluation completed in 2015 reported that exchange programme-related
activities were fully relevant to the needs of participants and was considered as a highly relevant
programme for the law enforcement area.
In 2016 all partners (EU Member States, EU Candidate Countries, Western Balkan and European
Eastern Partnership countries) submitted a record high number of applications (676). Within the
available budget it was possible to implement 492 exchanges comprising:
-

435 exchanges for law enforcement officers
18 participants from the Future Leaders course
39 participants took part in the study visit to Europol/Eurojust.

Annual number of participants
600
500
400
300
200
100
0

Year of 2011

Year of 2012

Year of 2013

Year of 2014

VAININEW

Year of 2015

Year of 2016

to5.11M11111.413

*01111111il

1M11111111,

The aspiration was to involve all countries, all thematic areas in the programme. The outcome to
accommodate this need is shown in the below graphs (data apply to exchange programme
applicants only, the study visit participants are not included).

Applied vs. Matched - EU Member States

60
40

59

50

42

35

37

33 26
24
20.. 21
._L li 9 9 11 9 _62 13

29
18
21
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121 14 11116
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CEPOL 2017
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a

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Applied vs. Matched — Non EU Member States
54
36
SO

30
20
10

0

7
2 14
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*The Former Yugoslav Republic of Macedonia
*This designation is without prejudice to positions on status, and is in line with UNSCR 1244 and the ICJ
Opinion on the Kosovo Declaration of Independence

A priority was given to the categories under the EU Policy Cycle, particularly the exchange needs
identified by the Policy Cycle EMPACT Teams. In total 173 exchanges (35% of the entire
programme) were supporting the EMPACT priorities, the distribution of the exchanges per priority
is given below:

POLICY CYCLE
• Cr allickliw in human hehig5,
/

Card fraud, 10

Child Sexual
Exploitation, 12

Synthetic drugs, 6
mur

.

.n,

Counterfeit goods, 6
Property crimes, 23
Lvbst attacks, 1G

MTIC fraud, 13
Heroin trafficking, 6
Firearms trafficking, 16

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Immigration, 25

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(Common) Curricula/Training manuals
In 2016 CEPOL continued to maintain 9 (common) curricula. Two new course curricula were
developed that have a similar aim and effect, i.e. standardisation of knowledge:
a curriculum on Strategic Analysis in the context of Drug Markets and Drug Crime developed
in close cooperation with EMCDDA; and
-

a blended Certified Training Programme for Hate Crime Trainers was developed with the input
of six MS, FRA and ODIHR. The curriculum entails learning through e-learning module and a
residential activity.

Use of e-learning systems
2016 CEPOL e-Learning users per activity
Webinars
Online modules
Online Course
Total

N users
10,889
3,329
72
14,290

CEPOL webinars as a comprehensive training service have continued to evolve in 2016. With
87 webinars implemented (32% increase from 2015), a total attendance of 10,889 at CEPOL
webinars has been achieved (62% increase from 2015). The perceived quality of the CEPOL
webinars remained the same with a 94% satisfaction level of the webinars' attendees.
All webinars are recorded and made available on the learning management system (LMS) of
CEPOL's e-Net - users can more easily find recorded webinars and play them instantly from
desktop, laptops and mobile devices as well as embed them into other trainings such as
residential activities and online courses. As of the end of 2016 there are 208 recorded webinars
available and they have been accessed 19,608 times.
In 2016 the Police English Language online course including certification from British Council
was implemented for the second year in succession. 72 participants completed the online course,
which for the first time included a comprehensive module on Cybercrime (developed in
cooperation with the European Cybercrime Training and Education Group).
In 2016 CEPOL ensured 27 online modules. The online modules have seen 3,329 users
throughout the year, which is an increase of 23% compared to 2015. In 2016 CEPOL performed
the following;
developed and made available two new modules (on Firearms and on Migration), as well as
hosted a 3rd party module on professional network of Airpol.
developed content for two new online module (on Synthetic Drugs and on Hate Crime); began
updating of the existing Europol online module. These modules will become available in 2017.
With the increased potential of online learning and training, the needs to facilitate these activities
evolve for CEPOL's electronic network, or e-Net as the main platform to offer CEPOL's e-learning
solutions.
In 2016, an expert group consisting of MS experts and academic consultants was established for
the development of the functional and technical requirements of the next generation of e-Net. The
Group provided options for the technical architecture for which e-Net can be developed on the
basis of which the specifications for e-Net based on the preferred ICT architecture will be drafted
in 2017.

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POL

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Quality assurance of learning — education and training
Evaluation is the integral component of the CEPOL training process supporting the establishment
of business needs, identification of training/performance gaps and the planning and
implementation of the training and learning products.
Following a consultation with the CEPOL stakeholders in May 2016 the Governing Board
approved the revised CEPOL training evaluation methodology with the new feedback templates
that are to be used from 2017.
The adopted methodology at the same time:
-

ensures continuity with the former assessment system by applying the Kirkpatrick's model
and retaining the two-step evaluation model scheme,

-

and strengthens the CEPOL's quality assurance system by launching the individual
assessment of trainers and gradual introduction of mandatory testing in relevant residential
activities (6 courses are to be tested in 2017).

CEPOL evaluates the quality and efficiency of learning and training products in a coherent and
comprehensive way applying the same logic throughout the assessment while acknowledging the
differences of the various training and learning options.

CEPOL will be developed into a European law enforcement knowledge base
In 2016 the agency continued to work towards becoming a trusted repository for law enforcement
knowledge and best practice by offering various products and services, such as:
-

registered users of the CEPOL e-Net had online access to 17 European and international
titles of e-journals covering multiple access of police science, law enforcement and criminal
justice. In addition articles of more than 300 international journals are accessible through a
criminal justice abstracts service;

-

CEPOL e-Library, comprising 1908 items, where users can find research outcomes and
studies from the institutions of the Member States;

-

Scientific and research articles are regularly published in the peer-reviewed European Police
Science and Research Bulletin, which has gained increased acknowledgement in the
scholarly community. 3 issues of the Bulleting were published in 2016

-

Other successful forums for exchange of leading expertise were the Annual CEPOL Research
and Science Conference attended by almost 200 participants and the workshop of the
European Expert Network on Radicalism and Terrorism, which was hosted by CEPOL and
was attended by 69 participants.

-

Finally in March 2016 the online version of the CEPOL Lecturers, Trainers and Researchers
Database was successfully launched. Experts in various specialised areas can now be invited
and enrol themselves in the online-database, where organisers of learning activities in the
CEPOL environment are given the privilege to search in the competence profile of experts,
supporting their programming efforts. Since its online launch, there has been a remarkable
increase in making use of this tool.

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1.3 External Relations
Strategy Goal 2: "Strengthening the CEPOL network and enhancing the external relations"
Specific activities for Goal 2
2.1

Enhance Network Experts' involvement in
activities related to Third Countries

Performance indicator
Involvement of CEPOL network engaged per each Fact
Finding Mission
Target: 80% Progress: N/A (no missions needed)

2.2

cooperation
to
European
Extend
Neighbourhood Partnership countries, in
particular Southern countries, as well as
Strategic Partners of the EU

MENA training activities delivered to partner countries
in the region
Target: 80%; Progress:100% (all 2016 planned
activities achieved, with 92% general satisfaction rate)
Working Arrangement stipulated with a Strategic
Partner
Target: 1; Progress: 1 (draft WA with the Federal Law
Enforcement Training Centre of the US)
Working Arrangement stipulated with a Southern ENP
Partner
Target: 1; Progress:1 (draft WA with Tunisia)

2.3

Maintain close dialogue and cooperation with,
as well as responsiveness to, the needs and
inputs formulated by EU institutions and other
JHA agencies

CEPOL-led JHA Scorecard activities implemented
Target: 80%; Progress: 82% (9 out of 11 CEPOL-led
activities implemented)

External relations will be considered and dealt with as the corner stone of
partnerships
In the first semester of 2016, the interpretation of the combined provisions of art. 8 of Council
Decision 2005/681/JHA and art. 36 (2) of Regulation (EU) 2015/2219 determined CEPOL's
temporary inability to conclude any working arrangement with authorities or training institutes of
third countries until the date of application of the new CEPOL regulation, set for the 1 July 2016.
Following this date, the negotiations continued with a new impetus. Based on Article 34 of the
CEPOL regulation, five drafts have been finalized on technical level and were submitted officially
for consultation to the Commission (draft working arrangements with the Former Yugoslav
Republic of Macedonia, Kosovo*, Serbia, Armenia and the European Judicial Training Network).
As for the draft working arrangement with the Ukraine, the drafts were aligned to the new
regulation and sent to the respective partners, with no official reactions received to date, though.
Another novelty brought along by the new legal mandate of CEPOL is the change in the status of
the three EU Member States which are not bound by the CEPOL regulation (i.e. Denmark, Ireland
and the UK). As of 1 July 2016, these Member States have essentially become third states in
relation to CEPOL. In order to ensure the participation of these Member States in CEPOL to the
greatest extent possible, the Executive Director has sent them letters in early July outlining the
possibility to conclude working arrangements as a possible further basis for cooperation,
specifying, in particular, the nature, extent and manner of their participation in CEPOL's work.
The issue remains pending with Denmark and the UK.8
As for organisations, in the last month negotiations were ongoing with the European Security and
Defence College and UNODC, all of which has a good chance to be concluded soon.
Ireland has opted back in the second semester of 2016.
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:

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Relations with the Middle East and North Africa have also intensified, especially in the context of
the MENA project, which is specifically reported upon later on in this document. There had been
preliminary contacts with the Israeli, Lebanese and Tunisian authorities towards the possibility of
stipulating a working arrangement, however further reactions are awaited from their side.
_
Cooperation"
CEPOL's ExternalRelations
Overview of CEPOL's cooperation and working agreements
Type of cooperation
Country/entity
Working arrangement
Albania
Working arrangement
Armenia
Working arrangement
Bosnia and Herzegovina
The former Yugoslav Republic of
Working arrangement
Macedonia
Cooperation agreement
Georgia
Cooperation agreement
Iceland
Working arrangement
Kosovo 10
Working arrangement
Lebanon
Informal cooperation
Mexico
Working arrangement
Moldova
Cooperation agreement
Montenegro
Cooperation agreement
Norway
Working arrangement
Russian Federation
Serbia (Republic of)
Working arrangement
South Africa
Informal cooperation
Cooperation agreement
Switzerland
Cooperation agreement
Turkey
Ukraine
Working arrangement
Working arrangement
USA FLETC
AEPC
EJTN
EN FSI

Memorandum of

understanding
Working arrangement

Status
In force

Negotiation finalised, ready for signature
In force
Negotiation finalised, ready for signature
In force
In force

Signed on 24 March 2017
Preparatory phase
Preparatory phase
In force
In force
In force
In force

Negotiation finalised, ready for signature
Preparatory phase
In force
In force

Under negotiation
Negotiation initiated
In force

Signed on 15 February 2017

Memorandum of

In force, amendment in preparatory

understanding

phase
Negotiation finalised, under approval in

ESDC

Working arrangement

eu-LISA
Eurojust
Europol
Frontex

Working arrangement
Cooperation agreement
Cooperation agreement
Cooperation agreement

Interpol

Cooperation agreement

PCC-SEE
UNODC

Informal cooperation

In force

Working arrangement

Under negotiation

written procedure with the MB
In force
In force
In force
In force
In force, amendment in preparatory

phase

Relations with the EU institutions
CEPOL continues to work in close collaboration with the European Commission and, in particular,
with its partner Directorate-General, the DG for Migration and Home Affairs (DG HOME), on all
aspects of the agency's activities, be they administrative, financial or operation/policy oriented. A
working arrangement (not covered by the scope of Article 34 of the new regulation) for
cooperation on external action activities between DG HOME and CEPOL was signed on 14
November 2016.

9 Some beneficiary countries of the MENA project have not been included in this overview as only very preliminary contacts have
been made in terms of formal cooperation.
10 This designation is without prejudice to positions on status, and is in line with UNSCR 1244 and the ICJ Opinion on the Kosovo
Declaration of Independence.

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JHA agencies coordination and cooperation with other EU bodies
JHA agencies coordination
Under the FRA chairmanship, CEPOL took part in the JHA agencies meetings (in June and
September), where the representatives of the nine participating agencies, the Commission (DG
HOME and DG JUST) and EEAS shared information about the recent activities in their areas of
responsibility.
The network keeps up-to-date various analytical tools, such as Scorecard, Index of Analytical
Reports, Foreign Terrorist Fighters toolbox, etc.
CEPOL achieved a significant step towards better coordination of training activities for law
enforcement officials carried out by EU agencies, by developing the online Justice and Home
Affairs Agencies' Training Matrix, which has been finalised and is currently being used. All the
JHA agencies, as well as the ESDC and EJTN, are being invited to contribute to the Training
Matrix. To date, 3 agencies (Eurojust, EIGE and FRA) have not uploaded activities yet, while
EJTN's formal accession to the Matrix is under preparation.
The Training Matrix is a joint JHA agencies' tool hosted on CEPOL's e-Net. It can be accessed
by registered users. The European Commission (DG HOME) has also been invited to nominate
users and to grant access to the tool.
The Training Matrix functions as a mapping tool for the existing and planned training activities at
the EU level. It enhances the understanding of partner agencies' actions and helps in the
identification of the training needs and gaps. In the future, this tool should facilitate a more efficient
planning, implementation and evaluation of training activities, both at policy and operational level.
An upgrade to the Matrix, allowing for bulk upload of entries has been finalized in March 2017.
Activities implemented in cooperation with other agencies and partners
CEPOL's engagement with regional and international organisations has continued, with a number
of activities involving the participation of international partners. CEPOL is supporting and advising
the PCC-SEE, organising a JITs activity for their contracting parties and is testing the e-Learning
modules developed for them. Until this day, the informal cooperation with the ETJN focuses
mainly on JITS activity. CEPOL is considering enhancing this cooperation (with e-Learning
products, webinars).
CEPOL has signed agreements with eu-LISA and Europol concerning jointly organised training
activities for the year 2016.

The EU/MENA Counter-Terrorism Training Partnership project
CEPOL started implementing the EU/MENA Counter-Terrorism Training Partnership programme
in November 2015, via projects with the beneficiary countries in the region of Middle East and
North Africa, notably Jordan, Lebanon, Tunisia and Turkey.
The programme aims at building the capacity of law enforcement services and other relevant
personnel (such as judges, prosecutors and security services personnel whose tasks include a
role in judicial investigations) by offering a direct, truly multilateral European approach to good
practices in the field of counter-terrorism via tailor-made learning and training activities based on
CEPOL's tried-and-tested learning methodologies and training products such as specialist
residential training courses and staff exchange programmes.
The overall objective of this programme is to sustain institutional capacity in the target countries'
law enforcement services to prevent and prosecute terrorism offences. Its specific objectives
include:

O CEPOL 2017
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Raising knowledge, skills and competencies of MENA in tackling specific priorities in the fight
against terrorism, with particular regard to Rule of Law based investigations and prosecutions;
The creation of sustainable professional networks building upon the practical exchange of
professional experiences across the region and with the EU Member States.

The programme duration is 24 months commencing with 15 November 2015 and the overall
budget of the action is 2,490,504 Euros.
In 2016 the inception phase was completed, CEPOL managed to:
-

Establish functioning cooperation with all relevant interlocutors of the beneficiary countries and
provide solid ground for organizing latter activities
Draft work programs and get them approved by interlocutors
Work in smooth collaboration with European Union Delegations
Map parallel projects, donor activities in the same domain so as to avoid any duplication.

The budget and program review took place in line with the work program and an addendum to
the Grant Agreement was signed in October 2016, referring to:
-

Extension of the programme till 15 November, 2017
Extended actions (from 12 residential activities and thematic courses to 24)
Reviewed budget in line with the business needs, but without the need for additional financial
resources.

To achieve its objectives, the programme is structured along the following main components:
Component 1: Thematic Residential Courses
-

-

Identification of training needs and development of country specific training action plans;
Thematic, country-specific made courses and seminars on international law enforcement and
judicial cooperation instruments, investigative techniques, information sharing and exchange,
terrorism financing, and links between organised crime and terrorism;
Specialist courses on selected topics.

Under this component, CEPOL intends to implement at least 18 residential activities, for an
approximate number of 450 trainees. In 2016, CEPOL implemented 11 residential activities
(courses and workshops) for 248 officers.
Component 2: Enhanced Law Enforcement Staff Exchanges and reinforced cooperation
and networking in the area of training
-

Bilateral (as well as unilateral) staff exchange programmes between EU member states law
enforcement services and corresponding MENA law enforcement services;
Bilateral staff exchange programmes between MENA services, on condition that this is
mutually accepted by partners;
Study Visits to European Union agencies (Europol, Eurojust, Frontex) and/or other
International Organisations as appropriate
Study visits to relevant EU National services as well as Brussels-based institutions and/or
bodies.
Thematic courses focusing on learning and training methodologies, curricula development and
others, which may include Train-the-Trainers options.

Under this component, CEPOL intends to mobilise approximately 300 participants between study
visits and exchanges (with a minimum of 4 study visits), and organise at least 6 thematic courses
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for approximately 150 participants. In 2016 CEPOL implemented 2 study visits for 10 participants;
1 combined study visit and thematic course for 12 officers; 2 exchange elements for 11 officers.
Overview of performance indicators for each of the two programme components, as well as
achievements in 2016, is provided below.
Component 2

Component 1

.5
Z3

=co

CL

Project Indicators

Achievements in 2016

Project Indicators

Achievements in 2016

residential
18
activities

11 residential activities

At least 4 study visits,6
thematic/Train of trainers
course

2 study visit, 1 combined study
visit and thematic course; 2
exchange elements

85%

92%, positive feedbacks:
unique opportunities,
needs for more
courses/activities

Positive
feedbacks

participant's

Positive
feedbacks:
better
understanding the European
strategy, methodology used has
been beneficial for participants
and their organisations and they
will be able to use all this
information in their work.

Study visit: 100;Thematic
course/Train of Trainers:
150; Exchanges: 200;Total:
450

Study visit: 10; Combined study
visit and thematic course 12;
Exchange: 11; Total: 33

general
participant
satisfaction/positive
feedbacks

450

248

The EUROMED Police IV
CEPOL attended the kick-off meeting on 27 May 2016 in Brussels and has developed proposals
to the Euromed team in relation to e-Net procurement.
The Euromed project team visited CEPOL on 29 September 2016 to explore possibilities of
CEPOL involvement in the project.
The exchanges foreseen under Euromed is under development and would start by the end of
2017 at the earliest.

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Part II. (a) Management and Governance
Strategy Goal 3: "Maintaining and improving the effectiveness of the current governance structures and
processes whilst preparing for future commitments"
Specific activities for Goal 3
3.1

Ensuring business continuity whilst adjusting to the
requirements of the agency's new mandate

Performance indicator
Implementation of change management plan
actions foreseen for the year 2016
Target: 80%
Progress: 62%

3.2

Developing and strengthening the internal control
mechanism

Implementation of Internal Control Plan
Target 2016: 100%
Progress: 100%
Timely closure of audit recommendations
Target 2016: 100%
Progress: 100%

3.3

Ensuring full deployment of CEPOL's Human
Resources capacity

Implementation of the Establishment Plan
Target: 95%
Progress:90%

3.4

Enhancing CEPOL's operational support and
administrative capacities

Timely implementation of the Enterprise Content
Management project (ECM) and the ISO
9001:2015 project (certification of the CEPOL
Management System)
Target: 80%
Progress:0% (ECM project on hold)
Progress:100% (ISO project)

2.1 Agency Governance
The Governing Board has issued 22 decisions under the Netherlands Presidency (11 adopted by
written procedure, 1 during the virtual Governing Board meeting and 10 during the 35th Governing
Board Meeting 24-25 May 2016 in The Hague, the Netherlands).
One virtual / web meeting of the Governing Board was organised on 10 March 2016, where the
Governing Board (acting as Management Board in line with art. 37 of the CEPOL Regulation)
decided on the new CEPOL logo.
The new CEPOL Management Board has issued 17 decisions under the Slovak Presidency (14
adopted by written procedure and 3 during the 1st Management Board Meeting which took place
from 10 to 11 November 2016 in Bratislava, Slovak Republic).
In 2016, the Executive Director took 47 administrative decisions. These included decisions on
grant procedures, working groups, budget implementation, appraisal exercise, and delegation of
roles in the financial workflow.
A strategic workshop featuring members of the CEPOL Management Team and the Chair of the
Governing Board was held in January 2016, to finalise the 'Management Plan and Risk
Register', and to discuss priorities for the future strategy of the Agency.
Following an initiative by the Chair of the Management Board, an Expert Group has been
instigated with the objective of developing the new CEPOL strategy. The group held two
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meetings at CEPOL Headquarters, during February and March, and has defined the Mission,
Vision and the Values of CEPOL. It has also agreed on the general structure and the terminology
and has set (4) multiannual objectives. The group completed its work and handed over a draft
strategy for further elaboration by CEPOL staff.
The Agency initiated two successive rounds of consultations with the Member States and a
number of comments and suggestions were received. The Agency has evaluated the input
received during the consultation process and incorporated the parts that were aligned to the
original work produced by the Expert Group. The resulting text, has been placed under Section II
of the SPD 2018 (the Multiannual Programming), which has been put forward for adoption during
the 1st MB meeting.
After the adoption of the new CEPOL legal mandate, regulation (EC) 2015/2219, the 34th
Governing Board approved the Change Management Plan, thus endorsing the creation of
Centres of Excellence (CoE).
The concept of Centres of Excellence" has been introduced by the European Commission in
its Communication on the Law Enforcement Training Scheme (LETS)12, calling on CEPOL to
become the EU centre of excellence and cooperate/coordinate the work with national centres of
excellence. Although LETS principles per se, are not explicitly spelled out in the final text of the
CEPOL Regulation'', the preamble (3) requires "that a set of general principles should represent
the European Law Enforcement Training Scheme, which aims to ensure that Union level training
for law enforcement officials is of high quality, coherent and consistent."
A Working Group for Centres of Excellence/ Centres of Knowledge
has been established in accordance with the new CEPOL legal mandate (Regulation EC
2015/2219) by GB decision 18-2016-GB.
The overall purpose of the Working Group would be to identify practical ways in the establishment
and operations of the Centres of Excellence and the impact and the workflow for Framework
Partners, CEPOL and the National Units. It could provide to the Agency the necessary information
for the establishment and operations of the Centres of Excellence. The WG deliverables are
expected to be presented to the MB in May 2017.

2.2 Major developments
Change management
In the run up to the entry into force of the CEPOL Regulation, the Governing Board has adopted
a Change Management Plan. The plan outlines the necessary steps to best prepare CEPOL for
the implementation of its legal mandate. It comprises 35 measures across three different areas:
1. Governance and Stakeholder Relations (14 measures)
2. Human Resources and Administration (10 measures)
3. Core Business (11 measures)
Since the approval of the Change Management Plan, CEPOL has been working on the
implementation of the measures foreseen. Notably, preparations have been made with regard to
the renewed planning and programming timelines, the Management Board has been established,
the amended Rules of Procedure for the Management Board were adopted.

11

Further use of the term 'Centre of Excellence' is without prejudice to further decision that may amend the term.

12 COM (2013) 172 final Communication from the Commission to the European Parliament, the Council, the European Economic

and Social Committee and the Committee of the Regions Establishing a European Law Enforcement Training Scheme, Brussels,
27.3.2013
13 OJ L319/1 Regulation (EU) 2015/2219 of the European Parliament and of the Council of 25 November 2015 on the European
Union Agency for Law Enforcement Training (CEPOL) and replacing and repealing Council Decision 2005/681/JHA
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The issue of voting arrangements during the transitional period (prior to the entry into force of the
new Regulation) was also settled by a legal opinion obtained by the European Commission. The
new voting arrangements were used for the first time during the virtual Governing Board held on
10 March 2016.
At the time this report is being drafted, the majority of the activities (62%) have already been
completed; others are on-track, either 'Ongoing' or 'Planned' (38%).

Organisational changes
In 2016 the MB adopted a new organisation chart of CEPOL (detailed in the SPD document 20172019), based on the following considerations:
-

Need to reinforce the Training and Research Unit (TRU) in view of the growth of the existing
tasks and the addition of new tasks, as a result of the new legal mandate of CEPOL. In that
respect, it is noted that the new structure allows for re-allocation of posts including a post of
senior policy officer for the TRU unit;
Need
to create in-house structure focused on the implementation of projects similar to the
nature of the MENA project;
- Need to have the areas of Planning, External Relations Governance and Communication
followed directly by the management;
- Better distribution of management responsibility within the Corporate Service Department
(CSD).
This is a purely internal re-allocation of tasks and responsibilities to improve the structural setup
of the organisation.

Quality Management
The Agency has committed resources to certify its Management System according to the updated
international standard ISO 9001:2015. The project was successfully completed in 2016, the
certificate was issued on 2nd February 2017 after a sequence of internal and external audits.
An in-depth focus was given to management consistency and improvement of internal processes,
which further advanced compliance with principles of legality and regularity.
This strategic achievement helps CEPOL to demonstrate its high commitment to quality and
stakeholder satisfaction, especially in the management of Residential Activities and the Exchange
Programme.
The ISO 9001:2015 certificate was issued by Lloyd's Register Quality Assurance, it is valid for
three years and subject to annual surveillance audits.

Data Protection
CEPOL is committed to collect and use personal data in a responsible, secure and fair way. In
2016 further progress was achieved in the core business and support services areas.
The following CEPOL operations have improved personal data processing and overall
compliance:
-

Management of Residential Activities (evaluation methodology, training needs survey)
Management of Research & Science (The Lecturers, Trainers and Researchers Database)
Management of e-Learning (webinar needs analysis)

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Management of the CEPOL Exchange Programme
Management of the Human Resources (recruitment, staff feedback collection, audio
recordings)
Management of Communications Support (photo sharing, filming)
Management of declarations of interest and CVs (website publication)

Dedicated contribution to build capacity of the EU law enforcement officers was made through
webinar no. 77/2016, 'Data Protection and Handling/Processing of Personal data according to EU
Legislation'.
Collaboration with the Network of the Data Protection Officers (DPO) of the EU agencies and
institutions is ongoing, as well with the European Data Protection Supervisor (EDPS). Input was
provided to the DPO Network on the resourcing of the DPO function at CEPOL, and on the
lessons learnt from the Agency's relocation. The first meeting of the DPOs of the EU law
enforcement agencies was organised to enhance topic-based collaboration and prioritisation.
Support was provided to a complaint investigation by the EDPS, related to personal data
processing in incoming correspondence handling.

Stakeholder relations
The 14th National Contact Point (NCP) meeting took place in April 2016, in the Hague,
Netherlands, chaired by the Dutch Presidency, and attended by CEPOL management and staff.
In addition to discussing key sub- strategies in the areas of External Relations and
Communications, the NCPs also held technical workshops on 1) the promotion of CEPOL
activities within the Member States; 2) the future Centres of Excellence; 3) the new Evaluation
methodology. The meeting was combined with a joint session with the Heads of Europol National
Units (HENUs), where NCPs and their Europol correspondents had a chance to analyse common
challenges in view of stronger partnerships between the operational and training law enforcement
constituencies.
The annual Stakeholders meeting took place on 12 July in Budapest, under the chairing of the
Deputy Chairperson of the CEPOLs Management Board. The new legal framework of CEPOL
was presented. An update was given by DG HOME on the Strategic Training Needs Analysis.
CEPOL gave an update on the progress of the MENA project, presented the training catalogue
2017 and distributed information on the Programme Planning 2017/2018, framework partners and
grants. FRA provided the participants with the developments of the JHA Agencies Network. There
were presentations of common interest by OSCE on its training activities, PCC SEE on its relevant
activities, DCAF (border security programme) and UNODC (LE TrainNet - Law Enforcement
Training Network Initiative).
The 1st CEPOL National Unit (CNU) meeting was organised in September 2016, in Budapest,
Hungary, chaired by the Slovak Presidency and attended by CEPOL management and staff. In
addition to discussing planning, budgeting, operational and educational matters, the CNUs also
held technical workshops on 1) the CEPOL Regulation 2015/2219 2) New Decision replacing GB
Decision 30/2006/GB, 3) Change of EPEP to European Law Enforcement Exchange Programme.

Communication
Communications was used throughout 2016 to promote the new CEPOL and build its reputation
as a platform of excellence for learning. In order to raise the profile of the agency, CEPOL
communications drafted and implemented a new communications sub-strategy that was
approved by GB.
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Moreover, in 2016, CEPOL implemented the changes in its corporate and visual identity agreed
by the Governing Board as a result of the "re-branding" project started by the agency in 2015.
CEPOL has now a brand new logo and a Corporate Identity Manual (CIM) setting guidelines for
the use of the visual elements. The new visual identity was implemented since 1 July 2016 (date
of application of CEPOL's new legal mandate). According to a survey among stakeholders,
CEPOL's new logo and brand identity have been rated 4.25 out of 5 points.
CEPOL built upon its established communications products (e.g. Annual Report; fact sheets; etc.)
to provide information to key decision makers. CEPOL communications produced 15 publications
and disseminated over 10 700 copies. In addition, CEPOL continued to provide its network
partners with promotional materials targeted to course participants: in 2016, CEPOL
communications supported 78 in-house activities and 94 events in EU Member States and
distributed over 5000 course packs, 2000 promotional gifts for experts/trainers and 700
promotional gifts for guests.
The web continued to be the main communications channel and CEPOL focused on developing
communications materials that are web-friendly (for use of public website and e-Net), such as ebooks and materials that can be disseminated through handheld devices. CEPOL's website had
over 570 000 visitors, amounting to an average of over 50 000 visitors monthly. Social media
were used to a greater extent to advertise and promote the work of the agency and its Network.
A social media plan aimed at increasing online visibility (Facebook, Twitter, Linkedln, YouTube)
was adopted and implemented, allowing to reach over 420 000 impressions and 2 600
engagements in the second half of the year. Besides, social media proved to be a success when
it comes to the coverage of CEPOL's biggest event of the year, the R&S Conference, that earned
over 80 000 impressions in three days.
Reaching a wider audience and engaging with the new target audience was part of CEPOL's
Communications priorities for 2016. The outsourcing of non-core services was pursued as a
matter of priority, to ensure CEPOL's dedicated resources can focus on articulating and
communicating the agency's key messages.

Development Projects
e-NET 3.0
In January 2015 a new project has been launched to redesign CEPOL's e-Net. The next version
of e-Net shall provide educational support to the Agency and its target groups. An open tender
procedure for a feasibility study and provision of technical expertise and support in drawing up
the tender documentation for e-Net 3.0 has been carried out, and the contract was signed in
September 2015.
Following the failure of the contractor to complete qualitatively works for development of e-NET
3.0 tender documentation, it was decided to terminate the contract and engage an expert group
for completion of the work. This approach was endorsed by CEPOL Governing Board on 10 March
2016.
Therefore, for the continued development of the functional and technical requirements of the next
generation of e-Net, an expert group was established by Decision of the Director 19/2016/DIR on
20 May 2016. Experts from the Institute of Educational Technology from the Open University (UK)
have been added to the expert group in a role of academic consultants. The academic consultants
together with the expert group members have the following main tasks to perform:
- finalise the development of functional and technical requirements of the next generation of
CEPOL's electronic Network (e-Net 3.0)

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draft the tender documentation for the open procurement of the development, hosting, support
and maintenance of e-Net 3.0.

Based on the work of the expert group, it is expected that the new procurement framework
contract for development, hosting, maintenance and support next generation e-Net will be signed
in May 2017.
Customer Relationship Management (CRM) tool
A pilot phase of the Customer Relationship Management tool has been launched in 2015.
CRM is a tool for sharing data and monitoring all CEPOL events where travelling is required
(courses, meetings, EPEP, missions). CRM shall replace the current way of working based on
manually maintained Excel sheets and storage of documents on P drive.
During the pilot phase of the CRM tool, a roll out was scheduled to be internally applied for
missions, in order for CEPOL to gain experience with the tool and with that experience be better
prepared for a further roll out to the Member States.
Due to limited human resources capacity to manage the project including lack of ICT staff
following ICT Officer resignation, this project was put on hold in 2016.
With the arrival of a new ICT Officer on 1 October 2016 and ongoing recruitment of an IT Systems
Manager, it is expected the project will be progressed further in 2017.
ECM-Enterprise Content Management System
In 2015 the Agency initiated a project aiming to introduce an electronic document management
system technology (ECM-Enterprise Content Management System). The tool shall provide a
digital platform to manage the document flow.
Like the CRM, this project was not progressed in 2016 due to limited human resources capacity
to manage the project, including lack of ICT staff.

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UNI
EUROPEAN
ON AGENCY FOR
LAW ENFORCEMENT TRAINING
L

2.3 Budgetary and Financial Management
2.3.1 Budget 2016 execution - overview
Budget 2016 — Implementation to 31.12.16 (overall)
10 coo tioo
9 000 000
8 000 000
7 000 000
6 000 000
5 000 000
4 000 000
3 000 000
2 000 000
1 000 000 L
Budget 2016(0)
FIB Budget

8 641 000

• Committed

8 290 875

[raid

6 813 587

Budget 2016 — Im • lementation to 31.12.16 Titles
10 000 000
9 000 000
8 ow coo
7 000 COO
6 000 000
5 000 000
4 000 000
3 000 000
2 000 000
1 000 000
0

r• TITLE 3 Operational Expenditure

Budget

Committed

Paid

4 812 850

4 586 947

3 430 457

x TITLE 2 Buildings & equipment and
miscellaneous expenditure

480 897

468 329

328 274

• TITLE 1 Expenditure relating to persons
working with CEPOL

3 347 253

3 235 599

3 054 856

CEPOL has a total voted budget for 2016 of € 8 641 000.
By the end of December 2016, 95.95% of the C1 budget has been committed, out of which 82%
has been paid (79% of the total budget).
-

For Title 1 97% of the C1 credits available has been committed and 91% has been paid.

-

For Title 2 97% of the C1 credits has been committed and 68% has been paid.

-

For Title 3 95% of the available C1 funds have been committed and 71% has been paid.

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A total of € 1,477,288 has been carried over to 2017, amounting to 17% of the overall 2016
budget. The justification of this amount relates to the fact that invoices for the flight scheme and
exchanges for the month of November have not been sent correctly by the travel agent; a number
of residential activities are organised in the first 2-3 months of 2017 and number of substantial
contracts have been signed at the last month of the year.
At the end of December 2016, the total 2015 budget implementation, including carried forward
funds from 2015-2016, has reached 93%.
Overview on Budget 2016 execution, status as of 31 December 2016 is provided in Annex II Table
A2.1)
Budget implementation 2008 - 2016 (amounts in EUR)*

Evolution of budget execution 2008-2016
Evolution of budget execution 2008-2016in %

10,000,003
9,000,420
8,003,C00

103%

7,000,030

96%

6pco,coo

80%

5,000,000

70%

82%

59%

88%

91%

93%

95% 93% 92%
" " •

66%

4,000,11.0
3,000,000

50%

2,0(0,000

40%

1,000,000

30%
20%
2008 2039 2010 2011 2012 2013 2014 2015 2016

10%
0%

.Budget —Execution

2C08 2039 2010 2011 2012 2013 2014 2015 2015

* The 2016 consumption of 92% reflects estimation. By the end of the year, the 2016 budget had a consumption rate of
79%; however including the carried over appropriation to 2017, the 2016 budget consumption could reach theoretically
95.95% (commitment level in 2016). The exact budget consumption will be known at the end of 2017.
Carry-over of funds 2011-2017

Carried over funds expressed in %
35

32

30
25

21

20

20

15

15

17

17 •

2016

2017

11

10
5
0
2011

2012

2013

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2015

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2.3.2 Budget 2016 Implementation per Titles
Title 1: Expenditure relating to persons working with CEPOL
Title 1 C1: Regular budget 2016
Regular budget 2016- Staff costs
Budget Implementation
Regular budget 2016 (C1)

1
11
13
14
16
17

1

Initial
Budget

Budget
Transfers

A

B

11TLE 1 Expenditure relating to persons working with CEPOL
- 256 047
3 215 000
Staff in active employment
35 000
0
Missions and duty travel
- 66 500
Socio-Medical Infrastructure
407 800
5 000
2 000
Social welfare
2 000
Entertainment and representation expenses
3 000
TITLE 1 Expenditure relating to

persons working with CEPOL

Actual
Budget

I Committed

Paid
(Compared (Compared to
to budget) commitments)
E/C
E/D

D/C
2 958 953:
35 C001
341 300:
7 000:
5 OM

2 882 455
34 000
310 743
3 901
4 500

3 662 800 - 315 547 3 347 253 3 235 599

97%
97%
91%
56%
90%

Potential
Carry over
D-E

2 728 264
28 929
290 058
3 901
3 705

92%
83%
85%
56%
74%

95%
85%
93%
100%
82%

154 191
5 071
20 685
0
795

97% 3 054 856

91%

94%

180 743

By the end of December 97% of the budget for Title 1 has been committed and 91% paid. CEPOL
implemented its first re-classification (promotion) exercise in 2016.
After relocation, some staff members initiated a Court case. An amicable settlement has been
reached with 4 ex-staff members in 2015 and a partial payment has been executed (€54,000).
The remaining part of the amicable settlement for ex staff members has been paid from the 2016
budget, amounting to almost € 40 000.
This is such a high amount as a result of the difference between the correction coefficients
between the UK (on which the amicable settlement is based) and the correction coefficient in
Hungary (on which the initial payment was made). With the correction paid in April, the amicable
settlement case is considered to be closed. With regard to the remaining legal case, the three
staff members decided on an appeal. It is unlikely that this case will be settled before the second
half of 2017.
Due to the lower correction coefficient applied in Hungary, the geographical balance of staff is
shifting and the Agency is employing more and more Hungarian staff members. This has an
impact on staff cost too, resulting that the planned estimates are high. Taking into consideration
this fact, it has been decided to transfer unused funds from Title 1 to Title 3 allowing the
implementation of additional operational activities in September and to Title 2 in November.

Title 1 C8: Amounts carried over from 2015 for payment in 2016
Use of amounts carried over in Title 1
Budget Implementation

Curried Over

-

Still to be

Maximum

Corniritmcnts carried over from 2015 to 2016 (C8)

from 2015

Paid.
(Compered to

committed

paid

amount to

to20:6

arnaunt3rded

(Dm:5 3rry

be returned

aver)

aver)

to

C/A

A

1

INA-B-c

c+D (zA-B)

TITLE TITLE 1 Expenditure relating to persons working with CEPOL

248 748
4046k

95%
81%

13 324

5%

0

13 324

5 002

956

19%

0

14 Mis Schooling and nursery

7 189

0

0%

7 189

100%

0

956
7 189

16 Mis Social welfare

5 751

4 539

79%

1 212

21%

17 Mis Entertainment and representation expenses

439

44

10%

395

90%

0

395

280 454

257 377

92%

23 076

8%

0

23076

11 Staf Staff in active employment
13 Mis Missions and duty travel

1

TITI TITLE 1 Expenditure relating to persons working with CEPOL

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1 212

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€ 23k has been de-committed. The highest overestimates related to recruitment (11k) and
schooling (7k).

Title 1 C4: Internally assigned revenue
Internally assigned revenue is generated where CEPOL recovers overpaid amounts. By the end
of December 2016, € 15 716 has been made available for re-use in this way and € 15 445 has
been paid.

Title 2: Buildings & equipment and miscellaneous expenditure
Title 2 C1: Regular budget 2016
Building & equipment and miscellaneous expenditure

Budget Implementation and Budget

Initial

Budget

Actual

Execution

Budget

Transfers

Budget

Committed

Regular budget 2016 (Cl)
A

B

C

Budget

Unused

Paid

Budget

Compared Carry over

Implemen

Execution to commit-

tation %

ments %

D

D/C

C-D

E

E/C

E/D

to 2017

D•E

TITLE 2 Buildings & equipment and miscellaneous expenditure
20

Investments in immovable

38 ON

• 21 880

16 120

15 902

99%

218

15 582

97%

98%

320

21

Information and communication

290 000

19 931

309 931

305 346

99%

4 585

252 970

82%

83%

52 375

22

Movable property and associated

14 500

-3204

11 296

9 760

86%

1 536

8 091

72%

83%

1 668

23

Current administrative

87 000

40 400

127 400

121 172

95%

6 228

38 858

31%

32%

82 314

24

Postal charges

2

11 500

4 650

16 150

16 150

100%

0

12 772

79%

79%

3 378

441000

39 897

480 897

468 329

97%

12 568

328 274

68%

70%

140 055

By the end of December 97% of the available budget has been committed and 68% of payment
credits have been used. In December a budget transfer between titles has been carried out in
order to allow for the implementation of consultancy services for an ICT Strategy and for the
purchase of 3 multifunctional devices in replacement of the old ones. As the contract for those
has been signed in the last weeks of December, the corresponding amounts are carried forward
to 2017.

Title 2 C4: Internally assigned revenue
By the end of December 2016, € 1 469 has been made available for re-use in this way, which
could not be used due to the late inscription of the funds.

Title 2 C8: Amounts carried over from 2015 for payment in 2016

Use of amounts carried over in Title 2

Carried Over
from 2015
to 2016

Paid

A

B

20 Investments in immovable property & rental of buildings
21 Information and communication technology expenditure

7 050
144 015

22 Movable property and associated costs
23 Current administrative expenditure

10 782
49 974

6 536
113 309
8 851
44 954

635

212 456

Budget Execution
Commitments carried over from 2015 to 2016 (C8)

2

Amount to
be returned
to
Commission
A-B

TITLE 2 Buildings & equipment and miscellaneous expenditure

24 Postal charges

2

(Compared to
amount carried
over)
B/A

TITLE 2 Buildings & equipment and miscellaneous expenditure

514
30 706
1 931

564

93%
79%
82%
90%
89%

174 214

82%

38 242

5 020
71

Only 15% of the total funds carried over to 2016 correspond to Title 2. The biggest part relates to
Chapter 21 — ICT services. The biggest de-commitments relate to Checkpoint firewall,
telecommunication services.
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Title 3 — Operational expenditure
Title 3 C1: Regular budget 2016
Title 3 0 erational ex.enditure
Committed

Budget Implementation

Initial

Budget

Actual

Regular budget 2016 (C1)

Budget

Transfers

Budget

Paid

%

Potential
(Compared (Compared to Carryover
to budget) commitments)

E/D

0/C

D-E

TITLE 3 Operational Expenditure
30
31
32
33
35

Bodies and organs
Courses, Flight Schemes, E-Net
Other programme activities
Evaluation
Missions

37

Other operational activities

3

TITLE 3 Operational Expenditure

234 COO
3 173 200
940 000
0
140 000
90 000

- 35 550
300 648
-150 948
0
35 000
126 500

198 450
3 473 848
789 052
0
175 COO
176 500

169 993
3 314 461
750 993
0
175 000
176 500

145 007
2 435 668
527 795
0
163 955
158 032

73%
70%
67%
NA.
94%
90%

85%
73%
70%
NA.
94%
90%

95% 3 430 457

71%

75% 1156 490

86%
95%
95%
NA.
100%
100%

4 537 200 275 650 4 812 850 4 586 947

24 986
878 793
223 198
0
11 045
18 468

By the end of December 95% of the available budget has been committed. Payments represents
71% of the available payment credits.
During last week of September a budget transfer has been carried out to allow the implementation
of additional training and supporting activities. A number of activities will be organised in the first
few months of year 2017, therefore the necessary funds are carried forward. Also, invoices from
the travel agent were not received for the month of November in due course, therefore for the
flight scheme and exchanges, a higher amount than expected has been carried forward to 2017.

Title 3 C8: Amounts carried over from 2015 for payment in 2016
Use of amounts carried over in Title 3

Budget Implementation
Commitments carried over from 2015 to 2016 (C8)

De-

Maximum

from 2015

(Compared to

committed

amount to

to 2016

amount carried

(Excess carry

be returned

over)

over)

Carried Over

Paid

to
Co mmissiCI

A

3

B

6/A

C

C/A

C+D(EA-B)

TITLE 3 Operational Expenditure

30 Bodies and organs

39 763

25 861

65%

13 902

35%

31 Courses, Flight Schemes, E-Net

599 380

511 759

85%

87 622

15%

87 622

32 Other programme activities

202 442

173 612

86%

28 830

14%

28 830

35 Missions

12 613

12 613

100%

0

0%

0

37 Other operational activities

59 876

51 111

85%

8 765

15%

8 765

914 075 774 956

85%

139 118

3 TITLE 3 Operational Expenditure

13 902

15% 139 118

Two thirds of the total funds carried over to 2016 correspond to Title 3, mostly to courses (€ 437k)
and travel expenses (€ 63K); e-Learning (€ 99k), E-Net (€ 120k), EPEP (€ 70k), communication
activities (€ 60k).
By the end of December 85% of the carried over funds have been paid and about € 139k,
corresponding to 15% of the funds carried over, have been cancelled.

Title 3 C4: Internally assigned revenue
Internally assigned revenue is generated where CEPOL recovers over paid amounts. By the end
of December 2016, € 14 995 has been made available for re-use in this way, out of which € 9 913
has been committed and paid (66%).

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Title 4 RO: MENA project
In 2015 a new task has been delegated to CEPOL via grant agreement with the European
Commission. The project aims at building the capacity of relevant law enforcement services and
other relevant personnel in the target countries by offering tailored made learning and training
activities in the field of counter-terrorism.
The second instalment has been inscribed in ABAC and became available for commitments and
payments. € 1 243 891 is available out of a budget of € 2 490 504. The next instalment amounting
to € 995k is expected around May 2017.
Budget Implementation
Assigned Revenue 2016 (RO)

4

Budget
Transfers

Actual
Budget

Committed

A

B

C

0

0/C

5tilito be
used

Paid

C-D

E

Potential
(Compared (Compared to Carry over
to budeet) commitments
E/C
0-1
1/0

TITLE 4 Mena Project
41 Bodies and organs

776 869

0

776 869

767 269

99%

9 601

425 212

55%

55%

342 057

42 Travel

171 817

0

171817

171 817

100%

0

56 188

33%

33%

115 629

43 Equipment

9 200

0

9 200

8 757

95%

443

5 722

62%

65%

3 034

44 Local Office

7 200

0

2 600

0

0%

2 600

0

0%

NA.

0

45 Other cost

177 180

192 180

162 179

84%

30 001

105 860

55%

65%

56 319

0

0

N.A.

0

N.A.

NA.

0

47 indirect costs

66 225

0

66 225

0

0%

66 225

0

0%

NA.

0

48 Provision

25 OM

0

25 KO

0

0%

25 000

0

0%

NA.

0

0

0

0

0

N.A.

0

0

N.A.

NA.

0

0 1 243 891 1 110 021

89%

133 870

592 982

48%

53%

517 040

46 Other

49 Taxes

4

Initial
Budget

TITLE 4 Mena Project

0

1 233 491

89% of the available credits have been committed, 48% of the available credits have been paid
until the end of the year.
2.3.4 Other financial and budgetary topics
Budget transfers
By the end of December, 9 budget transfers have been carried out for the standard operational
and administrative budget. 2 transfers have been processed on the authority of the Executive
Director, using the flexibility clause according to Art 27.1(a) of CEPOL Financial Regulation.
For the first between titles operation, € 173k has been transferred in September from Title 1 to
Title 3 to allow the implementation of additional training activities.
For the second between titles operation, € 26k has been transferred early December from Title 1
to Title 2 in order to allow to increase the amount dedicated to the consultancy on ICT Strategy
and the purchase of 3 multifunctional devices.
The remaining transfers were all executed within Titles. 3 intra-title transfers have been carried
for the MENA projects in order to better align the budgetary needs of the project.
Recovery orders
At the end of December, there were 7 recovery orders not cashed or cleared in the accounting
system. 4 of the recovery orders relate to inter-agency balances with other European entities and
3 of them are issued to framework partners.
Payment statistics
By the end of December, CEPOL processed in total 1 544 payments, which represents a 20%
increase compared to 1 281 payments in 2015.
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At the end of December, 91% of all payments were paid in time, thereby exceeding the objective
of 85% of all payments paid within the legally set timeframe. No interest was charged by the
suppliers through late payments.
More details on payment times per title and fund source are presented in Annex II (Table A2.2
and A2.3).
Procurement
In 2016, the procurement function continued to provide support for the acquisition of goods and
services necessary for the achievement of the Agency's objectives in an effective, efficient and
compliant manner.
Overall 240 contracts were signed in 2016 as a result of conclusion of procurement procedures
and implementation of existing framework contracts. Information on procurement procedure types
used is provided in the table below
Number of
procedures

Type of procedure
Open procurement procedure
Negotiated procurement procedure — contracts with value
between €15,000 and €60,000 (Art 137 (1) of RAP)

6
4

2.5
1.6

Negotiated procurement procedure for contracts between
€1,000.00 and €15,000 (Article 137 (2) of the RAP)

61

25

Negotiated procurement procedure without publication of a
contract notice (Article 134 (1) (b) of RAP)

0

0

Specific contracts in execution of framework contracts

126

51.6

Procedure following a call for expression of interest (Art. 136

47

19.3

244

100

of RAP)

TOTAL

2.4 Human Resources (HR) Management
Overall situation
A new legal basis and the new Financial Perspective (2014-2020) had an influence on the
Establishment Plan of CEPOL, and its human resource planning. CEPOL has been allocated one
additional position in the Establishment Plan. This position — legal officer — has been a long
requested position.
In order to be able to provide better service to CEPOL stakeholders, the Agency has launched
the initiative to transform 3 SNE's positions (together with 2 positions that have been filled by
interim staff for two years or longer) into 6 contract agent positions.
In line with the budget as adopted by the Budgetary Authority and the Governing Board, CEPOL's
establishment plan 2016 contains 28 Temporary Agents (TA), 20 Contract Agents (CA); this latter

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number includes 3 positions for the EU/MENA Counter-terrorism project, separately financed for
which the grant agreement was signed in November 2015. In addition to statutory staff, CEPOL
had in 2016, 4 SNE positions.
By the end of 2016, the agency had in post 25 Temporary Agents (including one on unpaid leave)
and 18 Contract Agents; in addition 6 SNE14 were in post, 4 financed from CEPOL budget and 2
from EU/MENA Counter-terrorism project.
The number of resignation showed an increasing trend in 2016, therefore interim staff has been
contracted to fill in for staff absence and to cope with peak periods. The areas covered by the
interim staff are: travel and mission arrangements, IT, HR, procurement, finance (please refer for
further details to Annex IV Table A4.4).
Recruitment
The recruitment policy has been further changed to ensure alignment with the framework for
recruitment as laid down in the implementing rule on temporary agents under Article 2(f) of the
CEOS. This has been done in the period November 2016 — February 2017, the timeframe of the
preparation and implementation of the e-Recruitment system.
CEPOL published 15 vacancies in 2016 (12 for regulatory staff, 3 for SNEs, including 2 SNE for
MENA) plus finalized recruitments published in the 4th quarter of 2015 where 7 recruitment
procedures have taken place in first half of 2016, out of which one from the reserve list. Out of
these 22 recruitments, 1 recruitment was cancelled due to request for reintegration into service
after unpaid leave, but the reserve list for the published post was established; 1 recruitment failed
as no candidate passed the selection day. Three recruitments that started in the 4th quarter of
2016, will be finalized 2017.
For the MENA project — for which CEPOL receives specific, earmarked funds — 4 contract agents
have been recruited. These colleagues joined CEPOL during February and April 2016 on
contracts running until the formal end of the project: 15 November, 2017. The Project manager's
contract has been terminated during probation period. The candidates on the reserve list were
contacted, but declined the offer. In order to ensure business continuity, the Senior Project Officer
was appointed Project Manager (a position in the same grade); from the reserve list for his original
position, the second candidate has accepted a conditional offer that has declined in May 2016.
The position has been converted into the SNE position. The newcomer joined CEPOL on 15
August 2016.
The 22 recruitment campaigns attracted 500 applications. It should be noted that the number of
applications is lower than in the past; also there is a significant number of applications from
Hungarian citizens. This leads to the risk that in a few years there will be a significant over
representation of Hungarians in CEPOL.
Benchmarking exercise
The benchmarking exercise indicates that out of 52 positions in total, 34 positions (65%) are
directly related to operational activities; administrative support has only 7 positions (14%) with
other 11 positions either neutral or related to coordination and communication (21%).
Details of the establishment plan 2016 and the results of the screening exercise compared to last
year are available in Annex IV (Table A4.1 and A4.2-4.3).
14

One cost-free SNE not included in the staff population overview

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Human Resources allocation
An overview of the actual against the planned allocation of human resources (expressed in Full
Time Equivalent (FTE)) and budget, for the activities included in the Work Programme 2016 is
provided in Annex V.
Annex V also includes the analysis on the actual use of resource-allocation per activity, in terms
of human resources (FTE) and budget. No significant or unjustified deviations occurred.
Staff Training
The 2016 Training plan has been adopted by the management. It has been done based on the
training plan 2015 and not completed trainings by staff, as well as based on the corporate level
(horizontal level) training needs identified by management and Staff Committee.
Besides horizontal training to improve the organisation and the working environment (via training
on prevention of harassment, training and appointment of confidential councillors) the training
plan is also aimed at improving general competences (e.g. Microsoft products training as well as
project management training) and individual competences based on the results of the annual
appraisal procedure from the previous year.
A number of horizontal training activities took place in 2016:
- Smart Board training was held in January
- Confidential counsellor training took place in April. Participants from other agencies (e.g.
CPVO, EIT and ENISA) participated in this training
- Prevention of harassment training was held in April
Fire training/evacuation was held on 17 May 2016
- In June (27 and 28 June) a two-day training on objectives and KPIs was organised. This
shared training with EIT, was considered by the participants as very useful and a request was
already made for a repeat of this training early next year.
- In September the follow up from 2015 year's project management training (PM2) was
organised; followed by a new cycle for staff who will be identified by line managers based on
the business needs. It is a shared training with EIT.
Implementing Rules on the Staff Regulations
CEPOL is closely following any development with regards to the Implementing Rules on the Staff
Regulations, in order to be able to prepare MB decisions on the application or the request for
deviation or opt out in a timely manner.
In 2016, the human resources (HR) team in cooperation with Legal Officer, made a great deal of
progress on the implementation of the new Staff Regulations, making sure that internal rules and
procedures align with them.
CEPOL's Governing Board has approved a decision concerning unpaid leave for temporary and
contract staff within the agency. The decision has been published on CEPOL's website.
The CEPOL Executive Director requested a derogation on two points from the Commission on
the application of the Commission decision on telework.
Reclassification of Temporary Agents 2f (communicated to CEPOL on 18 December 2015) has
been adopted; Reclassification of Contract Agents (communicated to CEPOL on 18 December
2015) was adopted; working time (communicated to CEPOL on 18 December 2015) was adopted.
CEPOL received on 12 January 2016 an implementing rule on part-time work. It has been adopted
and communicated to CEPOL.
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Finally, the new Agency Mission guide has been adopted by the MB which was drafted based on
the Commission Mission Guide. However the new Commission Mission Guide is under revision
therefore it will have impact on adoption of the new version for CEPOL as well.

2.5 Assessment by Management
This section outlines and assesses the internal sources of assurance that support the
management's assessment. At the management level, the Agency relies on a set of mechanisms
that allow to monitor the Agency's performance and compliance to established procedures and
plans.
CEPOL adopted and implements the following documentation and practices: annual management
plan and risk register (FO.PLAN.001), regular review meetings (e.g. Management Coordination
Meetings, Management Board meetings), regular reports (e.g. Core Business/Corporate Services
Monthly Reports, Agency's Progress Reports including reporting on performance indicators and
audit recommendations, weekly/monthly budget implementation reports) and individual monthly
activity reports (FO.HR.029).
In accordance with ISO 9001:2015 quality management system requirements, CEPOL formalised
in 2016 a procedure on review of CEPOL's quality management system (PR.ORMA.001) at
planned intervals, to ensure its continuing suitability, adequacy, effectiveness and alignment with
the strategic direction of the organisation.
CEPOL adopted and implements delegation of authority via Executive Director's decision on
financial workflow, which is amended on continual basis, whenever changes occur in the staff
having a role in the financial circuit.
The financial workflow implemented in CEPOL follows the four eyes principle. Each financial
transaction needs to be verified after initiation and before it is authorised. The implementation of
ex-ante controls (verifications in the financial circuits, exceptions recording) covering 100% of the
Agency's budget, remains the primary means of ensuring sound financial management and
legality and regularity of transactions.
In line with the provisions of ICS # 8 'Processes and procedures' CEPOL implements a process
for registration and authorisation of exceptions. Every year, the exceptions registered are
analysed to identify specific areas of concern and relevant improvement actions. In addition, they
enable the management team to handle exceptional circumstances with a reasonable degree of
flexibility and in a transparent and justified way.
CEPOL management adopts on an annual basis an internal control plan based on which ex post
controls are conducted within the agency, as well as at the level of the grant beneficiaries, to
check that transactions are in compliance with rules and regulations, as well as respect of the
principle of sound financial management.
The compliance with internal control standards is assessed every year; there is regular follow-up
of the action plan where progress is constantly monitored to assist the implementation of specific
actions.
In order to support the ethical and organisational values, CEPOL adopted and implements the
following documentation: Code of Conduct (Decision of the Director 003/2010), Decision of the
Director 019/2011/DIR on Reporting Suspected Improprieties, Anti-fraud Strategy (Decision
33/2014/GB), Policy on Management of Conflict of Interest (Decision 32/2014/GB), Policy on
identification and management of sensitive functions (Decision 34/2014/GB), Fraud Response
Plan (FO.INCO.004), Staff Induction Plan (FO HR021).
In accordance with its Anti-fraud Strategy, CEPOL adopted an action plan having as one of the
objectives: 'Promote the highest level of integrity of CEPOL staff, aiming to further develop an
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anti-fraud culture in the organisation. In this context, CEPOL organises regular refresher trainings
on ethics and integrity for all staff.
2.5.1 Management review of the exceptions' register for 2016
The Executive Director adopted the register of exceptions for 2016 in January 2017. The report
on exceptions confirms that CEPOL's internal control system is well functioning, non-compliance
events are detected and mitigated with corrective and preventive actions.
None of the exceptions indicate any weakness within the existing controls that is qualitatively and
quantitatively relevant with respect to the materiality criteria. The Court of Auditors examined the
exceptions during their audits and raised no observations.
By end of 2016, a total of 43 exceptions were raised (versus 31 exceptions in 2015) in value of
€125,190 (versus €181,597 in 2015), therefore the financial impact is lower comparing to last
year. The financial impact is between €8.07 (the lowest) and €15,000 (the highest). There are 2
exceptions with no financial impact.
Exceptions below €1,000 - in case of 25 exceptions (59%), the financial impact is below €1,000.
Of these, 7 exceptions are below €100 and 2 exceptions have no financial impact.
Exceptions above the ceiling limit requiring approval by Authorizing Officer by Delegation
(between €1,000 and €24,999) - in case of 18 exceptions (41%), the financial impact is above
€1,000. In this category, the lowest financial impact is €1,100.89 and the highest is €15,000.
Exceptions above the ceiling limit requiring approval by Authorizing Officer (€25,000 or
higher) - there are no exceptions falling under this category.
In most cases, the exceptions filed during 2016 were necessary due to occurring circumstances
and business needs, and are duly justified as exceptional situations.
As in the previous year, the most common occurring non-compliance event remains the 'a
posteriori budgetary commitment (37%) having also the highest financial impact, namely 63,423
€ representing 51% in total value of exceptions raised. Nevertheless, no financial loss was
involved.
The high staff turnover in 2016 involving a frequent change of the budget line owner (Operational
Initiator) with limited handover on contract management/budget related matters, have negatively
contributed to the repetition of this non-compliance.
In 2016 the exception register has been complemented with an action plan including the action
owner and deadline for implementation of proposed action for prevention/improvement. There is
a regular follow-up on status, until action is complete.
2.5.2 Ex post controls
CEPOL implements ex post controls in accordance with Article 46 of the CEPOL Financial
Regulation, stating that the Authorising Officer may put in place ex post controls to verify
operations already approved following ex ante controls. Such controls are organised on a sample
basis according to risk. The ex post controls are carried out on the basis of documents and, where
appropriate, on the spot.
The ex post controls shall verify that operations financed by the budget of CEPOL are correctly
implemented and in particular that the criteria referred to in FR Article 45(4) are complied with.

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In 2016 the Agency conducted 8 ex post controls (7 originally planned, 1 ad hoc requested),
resulting in 100% achievement rate (vs 100% in 2015). The areas subject to verification, were
based on the legal requirements and risk assessment considerations.
Overall, the 2016 ex post controls showed no significant weaknesses in the Agency's internal
control system, resulting in positive assurance to the Executive Director with regard to the legality
and regularity of transactions and some recommendations on improving transparency and
administration of the concerned processes. Recommendations were also made for supporting
the Agency to continue its progress in further increasing compliance with the adopted internal
control standards.
The results of ex post controls did not reveal any amounts to be recovered. The areas subject to
the ex post controls and main conclusions for each control are presented below:
Internal control standards - ICS # 15 requires that Management assesses the effectiveness
of the internal control systems, at least once a year; the results of the assessment shall be
presented in the Consolidated Annual Activity Report — to meet this legal requirement, a 'Followup on Compliance Review on the Internal Control Standards' Implementation within CEPOL' is
implemented every year in February-March. The related action plan is updated with progress
made in the past year and further actions for maintaining and strengthening compliance with
internal control standards.
Recruitment - a number of factors contributed to maintaining the recruitment as a challenging
process; in 2016 HR office dealt with increasing number of recruitments due to staff departures,
while at the same HR office confronted itself with frequent staff fluctuations; the recruitment
process was subject to criticism by the auditors in the past years; CEPOL introduced
improvements to the process description and practices, which awaited confirmation by the IAS
auditors; further changes to the recruitment process were triggered by the new staff regulation
and implementing rules, as well as by the need to further simplify the process; therefore the
recruitment process remained an area under the management attention, in order to ensure via
management supervision and ex post controls, that the legal requirements and transparency
principle are met.
Two recruitment files were sampled and checked (Procurement Support Officer and ICT Officer),
resulting in positive assurance with small remarks for improvement; progress was noticed in the
way the work of the selection panel was documented, as scorings were justified with brief
qualitative assessments.
Procurement - the procurement process is well managed in CEPOL, this is demonstrated by the
fact that no issues were raised by the auditors with regards to the legality and regularity for the
past 4 years. In 2016, the Procurement Officer position became vacant after the former job
holder, a very experienced professional, resigned. Until recruitment of new officer was completed,
the position was covered by an interim. The procurement process was under the management
attention, in order to ensure via management supervision and ex post controls that the legality
and regularity requirements are maintained.
One ad hoc control on negotiated procurement procedure (trainers for on-line English course)
was implemented, resulting in recommendations for improving the administration of the
procurement process in line with the adopted procedures.
Open tender procedure for FWC 'Multimedia service for CEPOL', was checked as having the
highest value (180,000€) among contracts signed in 2016 — the control resulted in positive
assurance, except for Section F— Signature of the contract with the successful tenderer: provision
of documentation (selection criteria) in the tender specifications. The contract was awarded
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without further assessing the tenderer's capacity to implement the contract, against documentary
evidences; this caused the procurement to be irregular, as this aspect was not in line with the
requirements in the tender specifications (section F and section B.6.2).
Grant Agreements implemented by the training bodies in the Member States — internal
control standards # 15 requires that Management assesses the processes carried out by
implementing bodies, at least once a year; in this respect CEPOL checks every year two of the
Grant Beneficiaries that have implemented activities financed by CEPOL in the past year15;
priority is usually given to those beneficiaries implementing the highest number of courses; the
results and problems indicated by the ex-ante controls are also considered when selecting the
bodies to be checked.
In 2016 CEPOL implemented on the spot controls to the Security Academy of the Federal Ministry
of Interior from Austria and to the Ministry of Interior — ITC from Hungary, both of them having
premises in the close proximity, after CEPOL's relocation from UK to Hungary.
Both controls resulted in positive assurance, organisers being fully compliant with the
reimbursement rules; in case of Ministry of Interior — ITC from Hungary there was one minor
finding - travel cost by car (in value of 800€) for one expert was not paid before sending the
course claim to CEPOL, which was not in line with the principle of reimbursement.
The ex post control reports including recommendations for improvement of related processes are
subject to approval by the Executive Director; the resulted action plans are regularly monitored
until implementation is achieved.
The latest follow-up on open recommendations resulting from ex post controls was conducted in
2016; it indicates that out of 26 recommended measures in 2015, 16 were implemented (61%);
10 still to be addressed in the areas: procedures for operational activities, formalisation of
processes for budget planning, updated job descriptions for travel team; 7 remarks for
improvement from past years ex post controls, are still to be addressed in the areas: document
management, filing, archiving, data protection.
2.5.3 Prevention and management of conflicts of interests and transparency
This section is developed in accordance with point 10 in the observations and comments made
by the Discharge Authority on 28 April 2016 regarding implementation of the budget for the
financial year 2014 (2015/2180(DEC)), stating that: the annual reports of the College could play
an important role in compliance regarding transparency, accountability and integrity; calls on the
College to include a standard chapter on these components in its annual report;
CEPOL is an EU agency dedicated to providing training and learning opportunities to senior police
officers on issues vital to the security of the European Union and its citizens.
The partners and stakeholders with whom CEPOL cooperates towards achievement of its
objectives are represented by bodies of the European Union in the field of law enforcement and
other related areas, as well training bodies in Europe. A significant role is played by the national
police training colleges —which through framework partnership agreements - implement activities
from CEPOL's Work Programme.

15 since 2011 CEPOL implemented on the spot controls on the courses implemented by the national training institutes
in the following Member States: Sweden, United Kingdom, Germany, Italy, France, Portugal, Slovakia, Romania,
Finland, Croatia, Austria, Hungary

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Considering the nature of its activity and specific context in which it operates, CEPOL does not
work with lobbyists in legislative or other related initiatives and has a low degree of exposure to
the risk of conflict of interest.
In accordance with CEPOL's conflict-of-interest policy (adopted by Decision 32/2014/GB), the
Management Board, staff members and other individuals directly collaborating with CEPOL
(interims, experts, National Seconded Experts, Audit Panel) were requested to fill in a declaration
on interest.
To date, no case has been identified where a staff member or individual collaborating with CEPOL
is in a conflict of interest situation, financial or otherwise.
Having in view the low risk of conflict of interest, the factual correctness of the given declaration
is not checked, unless there is a justified reason to do so (for instance if a potential conflict of
interest is observed or a suspicion is raised).
In accordance with the CEPOL's policy on prevention and management of potential conflict of
interest, and the privacy statement communicated to the data subjects, the declarations of interest
were published on CEPOL website only for the top management (Director, Deputy Director and
Head of Corporate Services) and the Management Board members.
In case of staff members and other individuals directly collaborating with CEPOL, the declarations
of interest are not made public, in order to limit the unnecessary exposure of personal data; given
the same data protection considerations, the Agency does not publish on its website the names
of its staff members.
Due to the nature of CEPOL's work with a low risk of conflict of interest, there are no specific rules
on a cooling-off period for experts and staff. However, CEPOL's Policy on prevention and
management of potential conflict of interest include references to Article 16 of the SR, stipulating
2 years cooling-off period.
With regards to sensitive functions, CEPOL has reviewed its posts and the criteria contributing to
the sensitivity of a post, on which occasion adopted CEPOL's Policy on identification and
management of sensitive functions (Decision 34/2014/GB).
The objective was to identify the preventing measures already in place for each post subject for
evaluation and to review and update the mitigating controls.
The following functions have been identified as being sensitive by nature, considering the factors
contributing to the sensitivity of the function:
-

-

Authorizing Officer and Appointing Authority (Executive Director) and Authorizing Officers by
Delegation (Deputy Director, Head of Corporate Services, Head of Finance) - decision-making
capacity
Procurement Officer - recurrent contacts with third parties outside the Agency (suppliers,
private sector)
HR Officer and HR interim staff - regular access to confidential information
IT Officer and IT interim staff - regular access to confidential information, high-level of
specialised expertise.

In principle, the measures and controls in place to ensure legality and regularity of the transactions
(governance and management supervision mechanisms, segregation of duties, four-eyes
principle, procedures and checklists) are considered to sufficiently address the fraud-related risks,
therefore these functions have not been flagged as sensitive in the job descriptions.
Nevertheless, CEPOL has to remain vigilant and enhance the anti-fraud culture in the
organisation in order to promote the highest level of integrity of CEPOL staff. CEPOL's Antifraud Strategy (adopted by Decision 33/2014/GB) includes specific actions with regard to raising
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and maintaining staff awareness on ethics and integrity, to be implemented on regular basis. A
detailed report on implementation of the Anti-Fraud Strategy Action Plan is regularly provided to
the Management Board.
To underpin the requirement of Staff Regulations Article 22a, the Director adopted the Decision
019/2011/DIR on 'Reporting Suspected Improprieties' in order to raise staff awareness on the
duty to report any possible illegal activity, including fraud or corruption and to lay down
whistleblowing arrangements.
Rules on fraud reporting and protection of whistle blower are also embedded in CEPOL's Antifraud Strategy (section 1.2.1 Internal control system and fraud reporting arrangements in place).
During 2016, no cases were transmitted to the European Anti-fraud Office (OLAF). Also OLAF
did not initiate any cases that concern the Agency's activity on the basis of other sources of
information.

2.6 Budget implementation tasks entrusted to other services
and entities
N/A

2.7 Assessment of audit results during the reporting year
CEPOL is audited by both internal and external independent auditors: the Commission's Internal
Audit Service (IAS) and the European Court of Auditors (ECA).
The Governing Board has also established an Internal Audit Panel16 to assist in fulfilling its
oversight responsibility for the audit process, the system of internal control and the financial
reporting process. The Internal Audit Panel is composed of three financial experts nominated, on
a voluntary base, by public institutions in the Member States, which participate in CEPOL's
network.
2.7.1 Internal Audit Service
From 28 November to 02 December 2016, IAS audited CEPOL on 'Training Needs Assessment,
Planning and Budgeting' with focus on the core business activities. The objective of the audit was
to assess the adequacy of the design and the efficiency and effectiveness of the management
and control systems set up by CEPOL for the needs assessment, planning and budgeting of its
training activities.
The advance draft audit report received in March 2017 concludes the following:
-

CEPOL has an effective process for identifying and prioritising training activities that meet the
needs of the Member States and the European Union. In addition, the programming and
budgeting of operational tasks ensures that strategic and annual planning and corresponding
resource allocation is effective overall;

-

while the audit did not result in the identification of any critical or very important issues, the
IAS considers that there is room for improvement in the utilisation of the JHA Training Matrix
to avoid overlap with training courses organised by other Justice and Home Affairs agencies;
CEPOL should also improve its training needs assessment methodology, as well as its
reporting on objectives, plans, and budgets.

16 Decision 27/2012/GB of the Governing Board establishing an Audit Panel repealing Decision 37/2010/GB

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2.7.2 European Court of Auditors (ECA)
ECA visited CEPOL 19-23 September to audit the legality and regularity of 2016 operations made
until end of August. ECA opinion on legality and regularity of transactions for the financial year
2016 is not available yet; however the preliminary findings do not refer to any critical issues;
remarks were made with regards to:
-

high rate of staff turnover, with reference to low correction coefficient, that can impact on
business continuity and the Agency's ability to implement the activities foreseen in its work
programme;

-

irregular payment of accommodation costs (in value of €315) for one trainee who cancelled
attendance due to sickness; hotel agreed to free cancellation, however the amount was
wrongly invoiced by the travel agent and accepted for payment; subsequently, a credit note
was issued by CEPOL and the irregular amount was recovered.

With relation to the desk review audit carried out in January 2017, ECA informed that the mission
has not led to any preliminary findings.
The audit of the annual accounts has been outsourced by ECA to the private audit firm Ernst
&Young. The audit was carried out from 27 February to 3 March 2017. The draft audit report on
provisional accounts provides a positive opinion, with no findings.

2.7.3 Internal Audit Panel
The 2016 audit plan included two Internal Audit Panel visits.
The first visit took place from 21 to 22 March 2016. The checks concerned the following topics:
administration of the budget 2015; draft opinion on provisional annual accounts 2015 and
Consolidated Annual Activity Report 2015.The audit report provided a positive opinion.
The second visit of the Internal Audit Panel 24-25 October 2016 dealt with checking the
preparation of the draft budget 2017; follow up on audit /ex post control/internal control standards'
action plans; recruitment; MENA project, courses and seminars.
The report does not refer to any critical issues; remarks were made with regards to:
-

high rate of staff turnover due to low grading of posts combined with low correction coefficient;

-

CEPOL's new mandate provides for an increased target group, however the financial and
human resources are at the same level;

-

the budget planning process not yet formalized.

Another visit took place from 08 to 09 March 2017. The checks mainly concerned the following
topics: administration of the budget 2016; draft opinion on provisional annual accounts 2016;
Consolidated Annual Activity Report 2016.
The report provided a positive opinion on provisional annual accounts 2016, with no critical
remarks.

2.7.4 ISO 9001:2015 audit
The Agency's Management System has been assessed by an independent accredited body
Lloyd's Register (LRQA), and found in full compliance with the ISO 9001:2015 requirements.
The certificate was issued on 2nd February 2017, and is valid for 3 years. It covers the following
scope: 'Management of the Law Enforcement Residential Activities and the Exchange Programme:
support, develop, implement and coordinate training for law enforcement officials'.

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One minor non-conformity had been identified, related to the ICT. The auditor suggested (a)
improving processes performance via determining necessary controls and criteria for the ICT, and
(b) confirming the ICT process monitoring, KPIs, and mitigation of relevant risks.
The CEPOL's Management System will continue to be audited each year to ensure that
compliance with internationally recognised quality management standard ISO 9001:2015 is being
maintained. Next audit is scheduled in January 2018.

2.8 Follow-up of recommendations and action plans for audits
2.8.1 Internal Audit Service
Regarding the IAS 4 important recommendations in the HR Management report received in 2014,
all recommendations have been addressed and confirmed closed by the IAS auditors in 2016. No
other IAS recommendations are pending.
In January 2015 IAS performed a full Risk Assessment in CEPOL. It covered all processes of the
Agency (administrative, financial, operational and IT).
The exercise resulted in preparing the IAS Strategic Audit Plan 2015-2017 for CEPOL, whereby
the IAS presented the key risks in CEPOL as seen by the auditors and proposed topics for future
IAS audits.
CEPOL has put together an action plan in response to the risk areas identified in the strategic
audit plan, some actions were completed, and others are on track, as following:
-

business continuity - the 'Business Continuity and Disaster Recovery Plan' has been revised
and adopted together with a Service Level Agreement on alternate location offered by the
host country, in case of major disruptions;

-

promotion / reclassification of staff - in line with the EC Staff Regulations and related
implementing rules, the CEPOL's Management Board adopted the decisions on appraisal and
reclassification of CA and TA (28/2015/GB, 27/2015/GB, 14/2015/GB, 15/2015/GB). In 2016
CEPOL implemented for the first time a reclassification exercise for CEPOL staff;

-

IT Governance, IT Security and IT Back-up Policy - due to lack of (human) resources and
delays in adoption of the CEPOL ICT Strategy, no progress could be made in these areas.
CEPOL is now working with external consultancy (contract based on DG DIGIT FWC) to
elaborate the CEPOL ICT Strategy. It is foreseen that this should be completed the latest in
Q2 2017.

Regarding the IAS audit report on 'Training Needs Assessment, Planning and Budgeting',
following the contradictory procedure, an action plan will be drafted to address the 4 important
recommendations.
2.8.2 European Court of Auditors
ECA sent in October 2016 the final report on the annual accounts of CEPOL for the financial year
2015. The report provides a positive opinion with regards to the reliability of the accounts and
legality and regularity of the transactions underlying the accounts.
The report includes no critical findings, only two comments:
1. The College's audited budgetary implementation report differs from the level of detail provided
by most other agencies which demonstrates the need for clear guidelines on the agencies' budget
reporting;
CEPOL reply to comment 1:

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the Agency has taken note of the Court's comments. CEPOL - who, in line with the
suggestions in the Framework Financial Regulation, has outsourced the role of Accounting
Officer to the Accounting Officer of the European Commission - is of the understanding that
the different level of detail is based on the practices of the Commission's reporting and to
avoid having largely similar information in two different reports. CEPOL supports the
Commission's intention on establishing guidelines for the agencies' budget reporting for the
2016 accounts.
2. The level of committed appropriations carried over was high for Title II (administrative
expenditure) at 212 456 euro, i.e. 49 % (2014: 383 940 euro or 59 %). This resulted from the
College's relocation from the UK to Hungary in September 2014 and the consequential need to
initiate new service and supply contracts. Most of the services procured under these annual
contracts had not been provided by the end of 2015.
CEPOL reply to comment 2:
the Agency has taken note of the Court's comments. The carry-over rate for Title II
(administrative expenditure) is high but justified having in view the contract renewals or
pending invoices at the end of year. CEPOL improved its budget management and commits
to further maintain compliance with the budgetary principle of annuality provided in the
Financial Regulation.

2.9 Follow-up of observations from the Budgetary Authority
Detailed information on the measures taken by CEPOL in the light of observations and comments
made by the Discharge Authority on 28 April 2016 regarding implementation of the budget for the
financial year 2014 (2015/2180(DEC)) is provided in Annex VI A.
All observations have been addressed, except point 12 (conflicts of interests and transparency),
where additional improvement measures regarding internal rules on whistle-blowers under Article
22c of the Staff Regulations and rules against "revolving doors" are on track.

Part II. (b) External Evaluations
The Five Year External Evaluation of CEPOL (2011-2015) was completed by the external
evaluator in January 2016. This assignment provides the Governing Board with conclusions on
the relevance, efficiency, effectiveness, coherence, impact, utility and added value of the Agency.
The external evaluator has assessed the Agency as being efficient. This conclusion is supported
by evidence of an increased number of activities implemented by CEPOL over the evaluation
period, against a relatively stable number of resources put at its disposal for the same period.
Moreover, a comprehensive set of recommendations is also put forward by this study.
A Working Group was mandated to prepare the recommendations and compile the five-year
CEPOL evaluation report. After having convened twice at the CEPOL Headquarters (February
2016), the working group elaborated a number of recommendations on behalf of the Board. The
group based its work on findings by the external evaluator.

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CEPOL's five-year evaluation report was adopted by the 35th Governing Board17 in The Hague
and incorporated 17 recommendations, covering five areas, regarding CEPOL's structure and
working practices.
At the same time, the GB invited the Executive Director to elaborate an action plan for the
implementation of the GB's/MB's recommendations and report on its implementation on a yearly
basis. The plan elaborated by the Executive Director identified 31 actions addressing all the 17
recommendations by the GB/MB. In terms of timelines/deadlines, these span over a period of two
and a half years between mid-2016 to end of 2018.
Overall, the majority (48%) of activities are on-track; either 'Ongoing' or 'Planned', while a
significant number of them (45%) have already been completed. Two activities have been
overtaken by events and have been attributed the status 'Cancelled'.

Part Ill. Assessment of the effectiveness of the internal control
systems
3.1 Risk Management
CEPOL implements risk assessment as part of the annual programming cycle. For each of the
risks identified, mitigating action(s), action owners and deadlines for these actions are agreed and
recorded on the risk register.
Risks considered 'critical' from an overall CEPOL's perspective are indicated in the Single
Programming Document/Work Programme and followed-up in the Consolidated Annual Activity
Report.
In 2016, 17 preventive measures were agreed to mitigate risk areas for core business and support
activities. Overall, the action plan has been followed up adequately and none of the risks has
materialised in a way that has impacted negatively the Agency's reputation or the achievement
of the strategic or operational objectives.
The following three main risks were considered as having a high likelihood of occurrence and
significant impact on the agency's activities:
1. Business continuity and loss of institutional memory due to deficit of human resources; high
staff turnover and marked decrease in morale due to decrease of salaries and repetitive decrease
of correction coefficient.
As a consequence of the relocation from UK to Hungary, due to the significantly lower correction
coefficient applied to staff salaries in the new location, the number of resignation showed an
increasing trend. The Agency used a number of interim staff and SNEs to fill in for staff absence
and ensure business continuity, until recruitment of statutory staff was completed.
The low grading of posts combined with low correction coefficient, does not encourage foreigners
(especially from West and Northern Europe) to move to Hungary. As expected, an
overrepresentation of the Host Member State nationals has occurred in the last year.
CEPOL will continue to implement staff retention and business continuity measures, however as
long as the Agency cannot positively amend the grades, the staff turnover may keep its high trend.

17 Decision 11/2016/GB of the Governing Board of the European Police College adopting the Five-Year External Evaluation of the
European Police College. Adopted by the Governing Board on 24 May 2016

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2. Discrepancy between enhanced mandate and available resources. On 25 November 2015 the
new CEPOL Regulation has been adopted by the legislative authorities; as from 1 July 2016 it is
applied. The new Regulation sets ambitious goals for the agency, including new tasks.
The 5-year evaluation that was finalised in 2016 as well as on earlier reports, indicate a clear
need for a significant reinforcement of the Agency with both human and financial resources.
CEPOL applied prioritisation of tasks, management of stakeholder's expectations, and requested
additional resources from the Budgetary Authority. Three additional posts were allocated in the
establishment plan 2017: Project Portfolio Manager (AD8) and Training Needs Assessment
Specialist (2 positions AD6-AD8).
3. Non-compliance with the budgetary principle of annuality caused by underspending, high level
of carry-overs, cancellations.
This is a recurring risk, therefore CEPOL continues to implement regular budget execution reports
and periodic meetings between relevant staff, to analyse the potential carry-overs with a view to
minimise them.
For 2015, budget implementation reached 93% at the end of December 2016. Due to the
constraints of the financial regulation, it is not realistic to expect that it will ever be possible to use
the budget to its full amount — a certain margin for unforeseen development beyond the Agency's
control (e.g. exchange rate differences, cancellations due to grant beneficiaries implementing
courses with less money that initially budgeted) will always be necessary, but the efforts made in
the last years to decrease the over-budgeting of CEPOL activities from 30% to less than 10% will
be further continued.

3.2 Compliance and effectiveness of internal control
In 2011 and with subsequent amendment, the Management Board of CEPOL adopted the 16
internal control standards18 (ICS) based on the European Commission's model, which provide
generic management principles and set out the minimum requirements for internal control of all
business activities throughout the Agency.
Since then, a self-assessment and reporting on the implementation of internal control standards
is conducted every year', the conclusions being reported in the Consolidated Annual Activity
Report. The analysis is based on the documentary evidence available and takes into account the
results of the risk assessment and the recommendations of external and internal audits, as well
as quality audits and ex post controls.
In 2016 CEPOL prioritised for implementation ICS # 4 'Staff evaluation and development', to
complete the only pending action with regards to implementing a promotion policy for the staff.
The action was achieved, CEPOL has introduced and applied for the first time the reclassification
policy for its Temporary and Contracts Agents (following adoption of Decision 14/2016/GB and
Decision 15/2016/GB).
ICS # 8 'Processes and procedures' was also prioritized in 2016, having in view that the planned
actions of improvement, may have contributed to the success of the project regarding ISO

18GB Decision 10/2014/GB amending the 'GB Decision 8/2011/GB adopting the European Police College's internal control
standards'
19 '
Follow-up on Compliance Review on the 'Internal Control Standards' Implementation within CEPOL'
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9001:2015 certification of the Management System, initiated in 2015. Priority was given to
improving those processes/procedures subject to ISO 9001:2015 certification.
Up to date CEPOL is fully compliant with 10 standards (ICS #1 'Mission', ICS #2 'Ethical and
organisational values', ICS # 3 'Staff allocation and mobility', ICS # 4 'Staff evaluation and
development', ICS # 5 'Objective and performance indicators', ICS # 6 'Risk management
process', ICS # 9 'Management supervision', ICS # 14 'Evaluation activities', ICS # 15
'Assessment of internal control systems', ICS #16 'Internal Audit').
Achievement of 3 standards (ICS # 7 'Operational structure', ICS #10 'Business continuity', and
ICS# 12 'Information and communication') is depending on further developments in the ICT area:
adopt the standard IT governance policy (incl. management of the information systems and a
multi annual IT strategy); adopt the ICT Backup Policy; document an Information System Security
Policy based on an inventory of the security requirements and a risk analysis of the IT systems
under CEPOL responsibility.
Due to lack of (human) resources it has not been possible to realise progress on these points.
With the arrival of a new ICT Officer on 1 October 2016 and the elaboration of an ICT strategy to
be finalised in Q2 2017, the next step shall be to elaborate a fitting disaster recovery plan from
ICT point of view, as well as the security policy. These developments and achievement of the 3
related control standards are prioritised in 2017.
Achievement of ICS # 8 'Processes and procedures' is pending on further developments
scheduled and not fully addressed yet: procedures in the area of operational activities,
formalisation of processes for payment of salaries, mission claims and budget planning.
Achievement of ICS # 11 'Document management' is pending on finalising and implementing the
Draft Information Management Strategy; also the Agency initiated a project aiming to introduce
an electronic document management system, which is currently on hold due to limited human
resources capacity to manage the project.
Achievement of ICS 13 # 'Accounting and financial reporting' is pending on documenting the key
elements of the accounting processes implemented by CEPOL after outsourcing. This task was
not achieved last year, having in view limited capacity due to high staff fluctuation in the Finance
Unit; therefore it is rescheduled for 2017.
CEPOL's has in place an action plan for an increased level of compliance with internal control
standards, including deadlines and responsibilities, to assist with further improvement actions.
The updated overall situation following the assessment of compliance with the 16 ICS is
presented in the table below:
Internal Control Standard (ICS)

Fully
Compliant

ICS 1 Mission
ICS 2 Ethical and Organisational values
ICS 3 Staff allocation and mobility
ICS 4 Staff evaluation and development
ICS 5 Objective and performance indicators
ICS 6 Risk management process
ICS 7 Operational structure
ICS 8 Processes and procedures
ICS 9 Management supervision
ICS 10 Business continuity

X
X
X
X
X
X

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Partially
Compliant

Not
Compile
nt

X
X

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ICS 11 Document management
ICS 12 Information and communication
ICS 13 Accounting and financial reporting
ICS 14 Evaluation activities
ICS 15 Assessment of internal control systems
ICS 16 Internal Audit"

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CEPOL
EUROPEAN UNION AGENCY FOR
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X
X
X
X
X
X

Conclusion
In 2016 the Agency continued to complement and strengthen its existing tools and procedures to
better manage, control and monitor the achievement of strategic objectives, planned activities
and key performance indicators, as well as the efficient use of human and financial resources.
In February 2017 the Agency successfully completed the ISO 9001:2015 certification of the
CEPOL's Management System, bringing additional elements of improvement and helping to
demonstrate the Agency's commitment to quality.
Considering the results indicated by the internal assessment on implementation of internal control
standards, register of exceptions, ex post controls, risk assessment and audit findings (IAS, ECA,
Audit Panel, Quality audits), the management has reasonable assurance that, overall, suitable
controls are in place and working effectively; risks are being appropriately monitored and
mitigated; and necessary improvements and reinforcements are being implemented.

20 CEPOL relies on the internal audit capability provided by the Internal Audit Service

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Part IV. Management Assurance
4.1 Review of the elements supporting assurance
The information reported in Parts II and III stems from the results of management and auditor
monitoring contained in the reports listed. These reports result from a systematic analysis of the
evidence available. This approach provided sufficient guarantees of the completeness and
reliability of the information reported and results in a complete coverage of the budget managed
by the Agency.
In conclusion:
there were no reservations listed in the previous years' annual activity reports
-

all IAS recommendations issued before 2015 were considered adequately implemented
and have been closed

-

ECA's preliminary findings on legality and regularity of the transactions 2016 do not refer
to any critical issues

-

observations from the European Parliament have been considered.

4.2 Reservations and overall conclusions on assurance
Taking the above into consideration, no critical weaknesses were identified related to the financial
management of appropriations inside the Agency, so no reservations are made in this context in
the declaration below.

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Part V. Declaration of Assurance
I, the undersigned, Executive Director of the European Union Agency for Law Enforcement
Training (CEPOL),
In my capacity as Authorising Officer,
Declare that the information contained in this report gives a true and fair view.
I state that I have reasonable assurance that the resources assigned to the activities described
in this report have been used for their intended purpose and in accordance with the principles of
sound financial management, and that the control procedures put in place give the necessary
guarantees concerning the legality and regularity of the underlying transactions.
This reasonable assurance is based on my own judgement and on the information at my disposal,
such as the results of the self-assessment, ex-post controls, the observations of the Internal Audit
Service and the lessons learnt from the reports of the Court of Auditors for years prior to the year
of this declaration.
I confirm that I am not aware of anything not reported here which could harm the interests of
CEPOL.

Done at Budapest, on 07 April 2017
<Signature on file>

Dr Ferenc Banfi
CEPOL Executive Director

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EUROPEAN UNION AGENCY FOR
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Statement of the Internal Control Officer and the Quality Management Officer
I, the undersigned,
In my capacity as
Internal Control Officer

I, the undersigned,
In my capacity as
Quality Management Officer

Acting in line with the ICS # 15 'Assessment of internal control systems', we have reported our
advice and recommendations to the Executive Director on the overall state of internal control system
of CEPOL and that the best of our knowledge the information on management and internal control
systems provided in the Consolidated Annual Activity Report 2016 is accurate and exhaustive.

Done at Budapest, on 05 April 2017

Internal Control Officer
<Signature on file>

Quality Management Officer
<Signature on file>

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t} 11

CEP
EUROPEAN UNION AGENCY FOR
LAW ENFORCEMENT TRAINING

ANNEXES
Annex I. Performance statistics and ISO 9001:2015 certificate
The Agency's Key Performance Indicators (KPIs; referenced in the in the Executive
Summary) and Performance Indicators (Pls; referenced below), linked to the
achievement of three Strategic Goals, are demonstrating sustainable performance in
2016.

3 targets
21%

• Targets achieved or exceeded

11 targets
79%

Targets not achieved

Performance Indicators -- Annual targets achieved or exceeded (79%, ie 11 targets out
of 14):
1. Participant satisfaction with training provided 95% (annual target 90%)
2. Increase in the number of participants in leadership development activities 22% (annual
target 20%)
3. Increase in the overall participation in the CEPOL residential activities 13% (annual target
10%)
4. Implementation of signed Grant Agreements 100% (annual target 95%)
5. Overall rate of implemented agreements 88% (annual target 80%)
6. Implementation of a new evaluation system for the whole CEPOL training portfolio 100%
(annual target 100%)
7. Implementation of Working Arrangements with third countries 90% (annual target 80%)
8. Implementation of CEPOL-led planned JHA scorecard activities 82% (annual target 80%)
9. Five-year-evaluation report completed and recommendations adopted by the GB 100%
(annual target 100%)
10. Implementation of the CEPOL strategy 87% (annual target 80%)
11. Implementation of the Annual Budget 96% (annual target 95%)
Performance Indicators Annual targets not achieved (21%, ie 3 targets out of 14):
1. Implementation of the Annual Work Programme 88% (annual target 95%)[11
2. Implementation of activities under Framework Partnership Agreements 74% (annual
target 90%)P1
3. Turnover of statutory staff 16% (annual target 510%)13i
3 tasks out of 25 not completed [1. Pilot new Participants Management System, 2. Develop new online educational
platform (e-Net), 3. Implement the archiving policy (for electronic communication)]
[2] 26 Framework Partners out of 35 implemented activities
[3] 7 resignations vs 43 posts filled
[1]

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....") CEPOL
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d's Register
LR A

CERTIFICATE OF APPROVAL
This is to certify that the Quality Management System of:

European Union Agency for Law Enforcement
Training (CEPOL)
1066 Budapest, 0. u. 27.
Hungary
has been approved by Lloyd's Register Quality Assurance
to the following Quality Management System Standard:

ISO 9001:2015
The Quality Management System is applicable to:

Management of the Law Enforcement Residential Activities
and the Exchange Programme: support, develop,
implement and coordinate training for law enforcement
officials.
Approval
Certificate No: VNA6046022

Original Approval:

02nd February 2017

Current Certificate:

02nd February 2017

Certificate Expiry:

01st February 2020

—
Issued by: Lloyd's Register EMEA Mft.
For and on behalf of Lloyd's Register Quality Assurance Limited
da
.
UKAS
001
vac' Ot 95.. Budapest, 141139, 1-tvivary. 01-17.000252
For and on behalf of 1 Trindy Park, likkonhil Lan., Birmingham, 837 7ES, Linked Kingdom
OW. I Mu &no, omotA Go/OtOntoorols,UOSortu arrtg Lloyd, [NM," OtolOyAUtraxt Umkbyll.r10.4% atol litit,MOUtivo EL. itooAnou agrta r
itt9olor. okysi !yob, Morns rik ItTOPS billy kid Yule rO't !wok iot ,no omsoof0I4oy WA. 44.14,7e ityrkilit tabled try feiilet coo Vi itiofnAlAnv ad,:to
U
otncn has tssoad a cassis., »Sthlhoses•wassIsVfeiilti411f trf.27 forha N-avow;of 1114 nfmsau,scc Once and h brat sax asss ressmassitiSsyst Wits hasclasihsly

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,n caul OA* 'Mimed to' hi,d, tot
tkeAumf co II...cow ;Pron.{ on*.
e.dA,AII3OOM
omI.AA

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Annex II. Statistics on financial management
Table A2.1: Budget 2016 execution status as of 31 December 201 6

Budget Implementation and Budget Execution

Initial

Budget

Actual

Regular budget 2016

Budget

Transfers

Budget

A

B

C

0

2 958 953
35 000
341 300
7 000
5 000

2 882 455
34 000
310 743
3 901
4 500

1

TITLE 1 Expenditure relating to persons working with CEPOL

11
13
14
16
17

Staff in active employment
Missions and duty travel
Socio-Medical Infrastructure
Social welfare
Entertainment and representation expenses

1

TITLE 1 Expenditure relating to persons
working with CEPOL

3 215 000
35 000
407 800
2 000
3 000

- 256 047
0

- 66 500
5 000
2 000

2

TITLE 2 Buildings & equipment and miscellaneous expenditure
Investments in immovable property & rental
Information and communication technology
Movable property and associated costs
Current administrative expenditure
Postal charges

TITLE 2 Buildings & equipment and
miscellaneous expenditure

Budget

I

Paid

Implementation %
E

D/C

3 662 800 - 315 547 3 347 253 3 235 599

20
21
22
23
24

2

Committed

Budget

Carry over to

Execution

2017

E/C

0-E

2 728 264
28 929
290 058
3 901
3 705

92%
83%
85%
56%
74%

154 191
5 071
20 685

97% 3 054 856

91%

180 743

97%
97%
91%
56%
90%

0

795

38 000
290 000
14 500
87 000
11 500

- 21 880
19 931
-3204
40 400
4 650

16 120
309 931
11 296
127 400
16 150

15 902
305 346
9 760
121 172
16 150

99%
99%
86%
95%
100%

15 582
252 970
8 091
38 858
12 772

97%
82%
72%
31%
79%

320
52 375
1 668
82 314
3 378

441 000

39 897

480 897

468 329

97%

328 274

68%

140 055

234 000
3 173 200
940 000

- 35 550
300 648
-150 948

198 450
3 473 848
789 052

169 993
3 314 461
750 993

86%
95%
95%
N.A.
100%
100%

145 007
2 435 668
527 795

73%
70%
67%
N.A.
94%
90%

24 986
878 793
223 198

3

TITLE 3 Operational Expenditure

30
31
32
33
35
37

Bodies and organs
Courses, Flight Schemes, E-Net
Other programme activities
Evaluation
Missions
Other operational activities

3

TITLE 3 Operational Expenditure

4 537 200

275 650 4 812 850 4 586 947

95% 3 430 457

71% 1 156 490

GRAND TOTAL

8 641 000

0 8 641 000 8 290 875

95.95% 6 813 587

78.85% 1 477 288

0

0

0

0

140 000
50 000

35 000
126 500

175 000
176 500

175 000
176 MO

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0

163 955
158 032

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Table A 2.2: Payment times per title and fund source

Payment time
monitoring

Number of
payments

Title 1
C8
Cl
C4
RO
Title 2
C8
Cl
C4
Title 3
C8
Cl
C4
Title 4
RO
Non Budgetary payments

Amount
Number

44
219
0
203
466

153 423
866 938
0
450 696
1 471 057

45
198
0
243

169 297
308 815
0
478 112

36
161
0
197

183
723 589
604 3 400 984
5
5 558
792
4 130 130

154
557
0
711

.203
203
43
1 544

450 696
450 696
896 052
6 975 352

89%

90%

Payments in time
Amount

ova

C/A

D/B

42
95%
211
96%
0
200 r 81%
453
97%

200
200
40
1 401

152 444
793 980
0
140 842
1 087 267

87%
74%

80%
81%

151 942
269 791

90%
87%

81%

421 733

88%

84%
635 721
92% 3 252 804
5 558
90% 3 894 083

88%
96%
94%

91%
99%
93%
91%

94%
0%
97%
90% •

0
0
871 282
6 274 365

99%
92%

Table A 2.3: Progression of payment times in 2016

1800
1600 -1-----

88%

90%

89%

90%

91%

91%

91%

91%

91%

95%
90%
85%

1400
1200

80%

74

1000

75%

800

70%

600

65%

400

•60%

200

55%

0

-

Jan I Feb Mar
All payments 86 190 286
[0=00•0411 payments 74% 88% 90%

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Apr May Jun
422 514 619
89% 90%

Jul
Aug T Sep Oct Nov Dec
796 1 890 986 I 1091! 1264 1544
90%1 91% j 91% I 91%1 91% 91%

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Annex III. Organisational chart
Last organisational chart valid by the end of the year.

CEPOL STRUCTURE - DRAFT
29 June 2016

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Annex IV. Establishment Plan and additional information on
Human Resources Management
Table A 4.1: Overview of staff at 31 December 2016
Staff population

Officials

Staff population in EU budget
31.12.2016

Staff population on
31.12.2016

AD

0

AST

0

AST/SC
TA

0

AD

17

1721

AST

11

8

AST/SC

0

0

Total22

28

25

CA GF IV

5

3

CA GF III

4

CA GF II

10

3
11

CA GF I
Total CA23
SNE24

1

1

20
4

18
6

52

49

Structural service
providers 25
TOTAL

21 Including 1 AD9 — unpaid leave 01.06.2016
22 Headcounts
23 FTE
24 FTE
25 Service providers are contracted by a private company and carry out specialised outsourced tasks of horizontal/support nature,
for instance in the area of information technology. At the Commission the following general criteria should be fulfilled: 1) no
individual contract with the Commission; 2) on the Commission premises, usually with a PC and desk; 3) administratively followed
by the Commission (badge, etc.) and 4) contributing to the value added of the Commission. FTE

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Table A 4.2: Information on the entry level for each type of post and indication whether the function is dedicated
to administrative support or operations
JOB TITLE

Staff
Category

Bandwidth
Low

Group

Type/Role

Category Code

1 Finance & Accounting Correspondent

TA

AD

5

FIN CONT

Neutral

2 Travel & Logistics coordinator

TA

AST

3

LOG

Administrative support (ADM SUP)

3 Communications & Publicity Officer

TA

AST

4

COMM

Coordination (COORD)

4 Web & Communications Assistant

CA

FG-II

4

COMM

Coordination (COORD)

5 Head of Department/Deputy Director

TA

AD

10

TOP COORD

Operational (OPER)

6 Executive Director

TA

AD

13

TOP COORD

Operational (OPER)

7 Head of Unit

TA

AD

9

FIN CONT

Neutral

8 Finance & Budget Officer

TA

AD

7

FIN CONT

Neutral

9 Finance & Budget Assistant

TA

AST

3

FIN CONT

Neutral

10 Finance Assistant Initiation

CA

FG-II

5

FIN CONT

Neutral

11 Head of Department

TA

AD

10

RES DIR/HoA

Administrative support (ADM SUP)

12 Finance Assistant Initiation

CA

FG-11

5

FIN CONT

Neutral

13 HR Officer

TA

AST

5

HR

Administrative support (ADM SUP)

14 , HR Assistant

CA

FG-11

5

HR

Administrative support (ADM SUP)

15 Internal Control

TA

AD

5

IA

Administrative support (ADM SUP)

16 ICT Officer

TA

AST

5

ICT

Administrative support (ADM SUP)

17 ICT assistant

TA

AST

3

ICT

Administrative support (ADM SUP)

18 Management Support Assistant

TA

AST

4

GEN OPER

Operational (OPER)

19 Secretary

CA

FG-I

GEN OPER

Operational (OPER)

20 Procurement Support Officer

TA

AST

3

FIN CONT

Neutral

21 Procurement Support Assistant

CA

FG-III

5

FIN CONT

Neutral

22 Planning Officer

TA

AD

5

GEN OPER

Operational (OPER)

23 Head of Unit

TA

AD

9

GEN OPER

Operational (OPER)

24 Govemance Assistant

TA

AST

3

GEN OPER

Operational (OPER)

25 E-leaming Officer

TA

AD

5

PGM M/IMP

Operational (OPER)

26 E-leaming Support Assistant

CA

FG-III

5

PGM M/IMP

Operational (OPER)

27 Research & Knowledge Management Officer

TA

AD

5

PGM M/IMP

Operational (OPER)

28 Head of Unit

TA

AD

9

GEN OPER

Operational (OPER)

29 Programme Officer

TA

AD

5

PGM M/IMP

Operational (OPER)

30 Programme Officer

TA

AD

5

PGM M/IMP

Operational (OPER)

31 Programme Officer

TA

AD

5

PGM M/IMP

Operational (OPER)

32 Finance & Budget Support Officer

TA

AST

3

PGM M/IMP

Operational (OPER)

33 Programme Support Officer

TA

AST

3

PGM M/IMP

Operational (OPER)

34 Governance Support Assistant

CA

FG-11

5

GEN OPER

Operational (OPER)

35 Travel & Mission Assistant

CA

FG-11

5

PGM M/IMP

Operational (OPER)

36 Travel & Mission Assistant

CA

FG-II

5

PGM M/IMP

Operational (OPER)

37 Quality Management/Data Protection Officer

TA

AD

5

EVAL

Operational (OPER)

38 SNE Training & Evaluation

SNE

SNE

PGM M/IMP

Operational (OPER)

39 SNE European Police Exchange Programm

SNE

SNE

PGM M/IMP

Operational (OPER)

40 SNE European Police Exchange Programm

SNE

SNE

PGM M/IMP

Operational (OPER)

41 SNE Webinar and LMS Administration

SNE

SNE

PGM M/IMP

Operational (OPER)

42 Project manager

CA

FG-IV

PGM M/IMP

Operational (OPER)

43 Senior project officer

CA

FG-IV

PGM M/IMP

Operational (OPER)

44 Project Officer

CA

FG-III

PGM M/IMP

Operational (OPER)

45 Project Officer

CA

FG-III

PGM M/IMP

Operational (OPER)

46 Legal Officer

TA

AD

LEGAL

Coordination (COORD)

47 Programme Assistant

CA

FG-II

PGM M/IMP

Operational (OPER)

48 Residential Events Assistant

CA

FG-II

PGM M/IMP

Operational (OPER)

49 Travel & Mission Assistant

CA

FG-II

PGM M/IMP

Operational (OPER)

50 Policy Officer/ External Relations

CA

FG-W

GEN OPER

Operational (OPER)

51 Cybercrime Portfolio Manager

CA

FG-W

PGM M/IMP

Operational (OPER)

52 e-NET/ECM Manager

CA

FG-1V

GEN OPER

Operational (OPER)

53 Senior Programme Officer/Deputy Head of Unit

TA

AD

PGM M/IMP

Operational (OPER)

6

8

4

7

9

(*)

(*) it includes the position of the Head of Unit that ceased to exist with new CEPOL organogram adopted in GB meeting
November 2016. The position was replaced with the Senior Programme Officer/Deputy Head of Unit

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Table A 4.3: Benchmarking against previous year results
Year N-1 (%)
Job type
Core functions (operational)
60%
21%
Support functions
19%
Special functions (neutral)

EPOL

EUROPEAN UNION AGENCY FOR
LAW ENFORCEMENT TRAINING

Year N (%)
65%
14%
21%

Table A 4.4: Information on interim staff employed by CEPOL in 2016

Position

Office

Category

Grade

Start

End

Days in
2016

1

Financial Initiator

CSD/Finance

FG- II

4

16/04/2016

31/12/2016

260

2

Financial Initiator

CSD/Finance

4

16/06/2016

31/08/2016

3

Secretary/Management
Support Assistant

Director

4

01/01/2016

31/07/2016

4

Administrative Assistant

OPS/TRU

FG- II

4

16/05/2016

31/12/2016

229

5

ICT Assistant

CSD/ IT

FG- II

4

01/04/2016

31/12/2016

274

6

Travel booker

CSD/Logistics

FG- II

4

01/01/2016

31/12/2016

FG- II
FG- II

77
212

365
258

7

Procurement Support
Officer

CSD/
procurement

FG-IV

14

01/01/2016

15/09/2016

8

HR assistant

CSD/HR

FG- II

4

01/01/2016

15/09/2016

9

HR Assistant

CSD/HR

14

01/01/2016

31/08/2016

10

Financial controller

OPS/TRU

FG- IV
FG- II

4

01/01/2016

31/12/2016

365

11

e-Learning

OPS/TRU

Group III

9

01/01/2016

31/12/2016

365

12

Travel Booker
Governance Support
Assistant
Procurement Support
Assistant
Procurement Support
Assistant

CSD/Logistics

FG- II

4

01/09/2016

31/12/2016

122

Governance

FG- II

4

01/01/2016

31/12/2016

CSD/Procurement

FG-III

9

16/10/2016

31/12/2016

CSD/Procurement

FG-111

9

01/01/2016

31/10/2016

13
14
15
16

Financial Contact Point

CSD/Finance

Group III

9

01/01/2016

30/06/2016

17

EPEP Assistant

OPS/TRU

FG-II

4

01/01/2016

30/06/2016

258
243

365
77
305
182
182

Table A4.5: Information on the number of leave days authorised to each grade under the flexitime
Flexi time (in days) taken
Grade
10
AD8
0
AD7
AD6
25.5
AD5
66
AST5
36
AST4
23
19.5
AST3
11
FG-IV
4.5
FG-III
35
FG-II
FG-I
8
SNE
25.5

Grand total

264

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EUROPEAN UNION AGENCY FOR
LAW ENFORCEMENT TRAINING

Annex V. Human and financial resources by activity
Estimates for resource-allocation per Activity
Activity Based Budget 2016
Allocated human resources (FTE)
(ABB)28

Allocated budget resources
(EUR)
Indirect
cost
(T1 & T2)

Direct
cost
(Title 3)

CT
MENA27
(Title 4)

Activity area

TA

CA I SNE

Total
HR

Portfolio based
programming of CEPOL
learning activities

7.80

7.10

2.60

17.50 i 1,432,500 3,642,500

Development of education
and training products

2.00

0.90

0.40

3.30

1 255,500

582,200

0

715,700

. External Relations

1.85

i 5.5028 j 0.90

8.25

638,800

48,000

1,650,700

688,800
(+1,650,700)

Governance and
management of the Agency

16.35

6.50

Subtotals / Totals

28

20

0.10 j 22.95

i 1,777,000 j 264,500

5,143,000

2,093,500

i0
1,650,700

8,641,000
(+1,650,700)

I CT
I MENA32
(Title 4)

Total budget

52.00 4,103,800 4,537,200

Actual consumption or use of resources per Activity
I Activity Based Budget 2016
(ABB)29
Actual allocation of human
resources (FTE)3°
Table of actual allocations

Total budget

Actual budget consumed31
(EUR)

Total Indirect cost
i (T1 & T2)
HR

Direct
cost
(Title 3)

4.10

17.65 j

1,244,637

3,843,766

0.55

0.70

3.55

249,868

456,906

External Relations

1.55 i 5.00

0.70

7.25

510,613

72,457 1,110,021

Governance and
management of the Agency

15.70 8.35 0 24.05 1,698,810

Subtotals / Totals

26.15

Activity area

TA

CA

Portfolio based
programming of CEPOL
learning activities

6.60 i 6.95

Development of education
and training products

2.30

20.85

SNE

5.50

52.50

0

5,088,403

706,774
583,070
(+1,110,021)

213,818

0

1,912,628

3,703,928 4,586,947

1,110,021

8,290,875
(+1,110,021)

The allocation of indirect costs (Titles 1 and 2) are driven by the FTE allocation per activity area
The cost of CT MENA project reflects an estimated cost of 12 months for the project (for year 2016 only)
28 This figure included the four (4) Contract Agent (CA) post for the CT MENA'project
29 The allocation of indirect costs (Titles 1 and 2) are driven by the FTE allocation per activity area
30 For the purpose of this exercise, interim staff have been treated as per the category of the post they have provided cover for.
31 Commitment appropriations on 31/12/2016
32 The cost of CT MENA project reflects the cost for year 2016 only)
26
27

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Deviations between estimated resource-allocation per Activity and actual use or actual consumption
Activity Based Budget
2016 (ABB)33
Deviations in allocated budget resources (estimates vs
Deviation in allocation of
Table of differences
actual consumption - amounts in EUR)
human resources (FTE)
between estimates
and actuals
Net effect

Indirect
cost
(T1 & T2)

Direct cost
(Title 3)

CT
MENA"
(Title 4)

-187,821
(13.11%)

+201,266
(5.53%)

+13,445

-125,294
-5,651
(2.21% (21.52%)

-130,945

Subtotals

Activity area

TA 'CA jSNE

Portfolio based
programming of
CEPOL learning
activities

N/A i N/A N/A

+0.15
(0.86%)

Development of
education and training
products

N/A N/A N/A

+0.25
(7.58%)

External Relations

N/A N/A N/A

-1.00
(12.12%)

-540,679
-128,186
+24,457
(20.07%) j (50.95%) I (32.75%)

-103,72e
(-540,679)

Governance and
management of the
Agency

N/A

+1.10
(4.49%)

-78,213 i
(4.40%)

-50,682
(19.16%)

-128,895

+0.50

-399,871 j

+49,747

on HR

r"--1

N/A

N/A

L
Subtotals / Totals

-540,679

(Net effect)

-350,1241
(-540,679)

Analysis on the actual use of resource-allocation per activity
a) Human resources (FTE)
The time CEPOL staff spent to each Activity Area in 2016 has been captured in an updated ABB matrix for
each staff member, including Seconded National Experts and interim staff. For the purpose of this exercise,
time allocation of interim staff has been treated as per the category of the post they have provided cover
for - i.e. either CA or TA.
For Activity Area 'Portfolio based programming of CEPOL learning activities' no significant deviation from
original planning has been noticed.
For Activity Area 'Development of education and training products' an increase of 7.6% in HR resources
has been noticed. In absolute terms this is equivalent to +0.25 FTEs. The analysis of the ABB matrix
indicated that the e-Learning Officer and the SNE on Training & Research have spent in this activity more
of their time than originally planned.
For Activity Area 'External Relations' the analysis showed a decrease of 12.12% in HR resources. In
absolute terms this is equivalent to -1.00 FTE. The reason behind this is that the Head of the Strategic
Affairs Unit and the Policy Officer have been only employed for half the year (5 + 6 months respectively)
than initially anticipated.
For Activity Area 'Governance and management of the Agency' the analysis showed an increase of 4.49%
in HR resources which is equivalent to 1.10 FTEs. This is mainly due to strengthening areas with a high
33 The allocation of indirect costs (Titles 1 and 2) are driven by the FTE allocation per activity area

Commitment appropriations on 31/12/2016
35 The cost of CT MENA project reflects the cost for year 2016 only)

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turnover (or workload) during 2016; such as Finance Assistant Initiator posts, Procurement and the HR
section
The net effect of the above was +0.50 FTE for the year.
b) Budget consumption
In this text, analysis and comparison between initial estimates and actual consumption refer to Title 3.
Moreover, 'Budget estimate' refers to amounts in the draft Budget 2016 at the last quarter of 2015. By
'Consumption'it is meant the Commitment appropriations at 31 December 2016.
The initial estimates used for the ABB 2016 have been based on the draft Budget 2016. These amounts
have now been compared and updated against the actual consumption for the year — i.e. Commitment
appropriations on 31 December 2016.
While budget consumption for Titles 1 and 2 has been generally lower than originally anticipated, this
analysis is focusing on operational budget (Title 3). In particular:
For Activity Area 'Portfolio based programming of CEPOL learning activities' less funds have been spend
under Article 322 'Electronic Network', while budget on Exchanges (Article 324) has had a significant
increase. An increase on Communication activities (Article 370 'Other Operational activities') has had an
impact across all Activity Areas, in particular the operational ones. An additional amount of about EUR
200K has been spend in this activity.
For Activity Area 'Development of education and training products,'although the budget (Title 3) spend on
e-Learning Modules (Article 313) and Communications (Article 370 'Other Operational activities') where
higher than the initial estimates they had not offset the underspending in Common Curricula (Article 320)
and 'Electronic Network' (Article 322). Spending in this areas fell short of EUR 125K than originally planned.
For Activity Area 'External Relations' more funds have had been spend on Communication (Article 370)
and Missions (Article 370) and less than anticipated on Article 325 'External Relations' The overall effect
was as small increase (EUR 25K) in budget consumption in this area.
For Activity Area 'Governance and management of the Agency; although Mission expenses (Article 351)
had an increased spending of 25%, at EUR 35,000 compared to draft budget, the overall spending in Title
3 was lower than expected; mainly due to decreased costs under Article 300 (Governing Board) and
Working Groups (Article 301). As a result, spending in this area fell short of about EUR 51K.
Finally, it should be noted that the draft budget for the CT MENA project, at the time the ABB 2016 was
prepared (last quarter of 2015), was EUR 1,650,700. However, as the project spans over 24 months in
three years' time, only EUR 1,110,021 have been spend (commitment appropriations) during 2016.

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Annex VI. Specific annexes related to Part II
A. Detailed information on the measures taken by CEPOL in the light of observations and comments made by
the Discharge Authority on 28 April 2016 regarding implementation of the budget for the financial year 2014
(2015/2180(DEC))
Observation of the Discharge Authority

Response and measures taken by CEPOL

Commitments and carryovers
(point 6)
Points out that the College improved
its budget-monitoring system by
implementing monthly budget reports
and periodic meetings between all
actors in the financial circuit in order to
analyse and minimise potential carryovers; notes that, as a result, the last
five years have showed a continuous
decrease in percentage points of the
level of carry-overs and cancellations;
calls on the College to reduce further
the level of committed appropriations
carried over to the following year and
to keep it as low as possible;

CEPOL continuously improved its budget management and commits to further Yes
maintain compliance with the budgetary principle of annuality provided in the
Financial Regulation.

Implement
ed/Deadli
ne

In the last 5 years the budget demonstrates considerable improvements both in
the area of carry overs and cancellations, with constants implementation rates
above 90%.
The budget implementation of financial year 2014 reached 95% by end of 2015,
representing the best budget management result in the history of CEPOL.
For 2015, budget implementation reached 93% at the end of December 2016. In
2015, approx. €1400k were carried over (17%) of which €200k were cancelled,
representing 14% of the carried over amounts. Of the cancelled amounts, €139k
were related to Title 3.
We would like to clarify that the cancellations, due to grant beneficiaries
implementing courses with less money that initially budgeted, may result from
events beyond the Agency's control or which are justified by the nature of
activities, as following:
grant beneficiaries not able to estimate fully accurate their budget
needs when applying for grants, as the service providers are not known
at that time;
grant beneficiaries are obliged to budget for 28 course participants,
while it is not guaranteed this level of attendance will be achieved;
the value for money is a subject of grant evaluation, therefore the grants
cannot be increased at a later stage in case prices prove to be higher;
grant beneficiaries budgeting for a reserve margin is justified;
for courses organised in the last months of the year, it is difficult to
estimate the correct volume of underspending, while the invoices from
service providers are still pending. Hence, in order to ensure that
sufficient funds remain on the budgetary commitment, the funds are
carried over.

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Recruitment procedures
(point 7)
Ascertains from the College that it
adopted guidelines on scoring
applicants as well as a shortlisting
matrix, both of which are used by the
Selection Committee in recruitment
procedures and link the scoring
thresholds to the justification behind
them; notes that these guidelines were
applied for the recruitment rounds
starting in April 2014; calls on the
College to inform the discharge
authority of the final assessment of the
guidelines a soon as they are
evaluated by the Court and the
Commission's Internal Audit Service
(IAS); calls on the College to
incorporate
any
improvements
needed into its guidelines
without delay;
Procurement procedures
(point 8)
8. Asks the College to apply strictly the
measures pertaining to discretion and
exclusion in public procurement, with
proper background checks being
carried out in every instance, and to
apply the exclusion criteria so as to
debar companies in the event of any
conflict of interest, this being essential
to protect the financial interests of the
Union;
Prevention and management of
conflicts
of
interests
and
transparency
(point 10)
10. States that the annual reports of
the College could play an important
role
in
compliance
regarding
transparency, accountability and
integrity; calls on the College to
include a standard chapter on these
components in its annual report;
Prevention and management of
conflicts
of
interests
and
transparency
(point 11)
11. Calls on those Union institutions
and agencies which have introduced
codes of conduct, to step up their
implementation measures, such as
checks of declarations of financial
interests;

09/09/2017

EPOL

EUROPEAN UNION AGENCY FOR
LAW ENFORCEMENT TRAINING

During the follow-up audit implemented by the IAS in September 2016, the Yes
auditors confirmed that the recommendation regarding introducing scoring
guidelines for the Selection Committee was addressed and it has been closed.
No other issues were raised in relation to the recruitment procedures by the
internal/external auditors during 2016 audits.

Whenever CEPOL is contracting external service providers to support it in its
tasks, it ensures that these contractors are bound by confidentiality duties and
that potential conflicts of interest are avoided. Both a confidentiality clause and
a conflict of interest clause are included in all such contracts that CEPOL
concludes.

Yes

During the procurement process and before a contract is signed, the companies
are checked against detailed eligibility criteria and excluded for instance in case
there is proof of grave professional misconduct or having violated applicable
laws or regulations or ethical standards of the profession.

New section '2.5.3 Prevention and management of conflicts of interests and Yes
transparency' has been included in the annual report in accordance with the
Discharge Authority observation.

To date, no case has been declared where a staff member or individual
collaborating with CEPOL is in a conflict of interest situation, financial or
otherwise.
Considering the nature of its activity and specific context in which it operates,
CEPOL has a low degree of exposure to the risk of conflict of interest, therefore
the factual correctness of the given declaration is not checked unless there is a
justified reason to do so (for instance if a potential conflict of interest is observed
or a suspicion is raised).

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Prevention and management of
conflicts
of
interests
and
transparency
(point 12)
12. Asks for the adoption of a clear
whistle-blowing strategy and rules
against "revolving doors"; reminds the
College that it must adopt binding
internal rules on whistle-blowers under
Article 22c of the Staff Regulations,
which came into force on 1 January
2014;

TE.REP0.001-1
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iC EPOL
EUROPEAN UNION AGENCY FOR
LAW ENFORCEMENT TRAINING

To underpin the requirement of Staff Regulations Article 22a, the Executive
Director adopted the Decision 019/2011/DIR on 'Reporting Suspected
Improprieties' in order to raise staff awareness on the duty to report any possible
illegal activity, including fraud or corruption and to lay down whistleblowing
arrangements.

November
2017

Rules on fraud reporting and protection of whistle blower are also embedded in
CEPOL's Anti-fraud Strategy adopted by Decision 33/2014/GB (section 1.2.1
Internal control system and fraud reporting arrangements in place).
In 2015 CEPOL adopted a Fraud Response Plan (FO.INC0.004) as a guide on
how allegations of fraud will be dealt with by CEPOL and the approach to take in
communicating around the suspicion of fraud inside and outside CEPOL, with
parties having an interest in the matter.
The Anti-fraud Strategy adopted in 2014 was valid for three years, therefore an
update after its assessment at the end of the implementation period is scheduled
for 2017. On this occasion, CEPOL will review and streamline its whistle blowing
internal rules around requirements in the Article 22c of the Staff Regulations. In
doing so, CEPOL will use the draft model rules on whistleblowing (developed by
the SWP) which is currently circulating for comments within the Agency' Network.
With reference to Article 16 of the SR, CEPOL's conflict-of-interest policy
(adopted by Decision 32/2014/GB) stipulates that after leaving the service,
former Agency's staff members are still subject to certain obligations. In
accordance with section 4.4 Outside activities and post-employment, former staff
members are bound not to accept any duties or professional activities after
leaving the service that would be incompatible with the interests of the Agency.
A former staff member intending to engage in an occupational activity within two
years of leaving the service must inform the Agency. If the activity could lead to
a conflict with the legitimate interests of the Agency, the Executive Director could
forbid the former staff member from undertaking this activity or could give his
approval subject to any conditions he sees fit.
In order to strengthen avoidance of post-employment conflict of interest, CEPOL
will introduce a declaration of intention to engage in an occupational activity after
leaving the EU Agency, to be filled in by staff members upon
resignation/retirement (exit form).

Internal audit
13. Acknowledges from the College's
annual report that all the audit
recommendations issued by the IAS
have been addressed; notes that, after
receiving
information
on
improvements from the College, the
IAS confirmed as closed two of its
recommendations, while feedback on
the remaining three recommendations
is to be communicated after the next
desk review or follow-up audit; calls on
the College to inform the discharge
authority of the results of the review as
soon as they are available;

Yes
All IAS recommendations in the HR Management report received in 2014, have
been addressed and confirmed closed by the IAS auditors in 2016. No other IAS
recommendations are pending.
In November 2016, IAS implemented in CEPOL an audit on 'Training Needs
Assessment, Planning and Budgeting' with a focus on the core business
activities.
The draft report is currently awaited.

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Other comments
16. Calls on all the College to enhance
its procedures and practices aimed at
safeguarding the financial interests of
the Union and to actively contribute to
a results-oriented discharge process

TEREP0.001-1
09/09/2017

,,arACEPOL
EUROPEAN UN
ION
AGENCY FOR
LAW ENFORCE MENT TRAINING

CEPOL conducts its operations in compliance with the applicable rules and
regulations, working in an open and transparent manner, and meeting the
expected high level of professional and ethical standards.

Yes

CEPOL has adopted a set of internal control standards, based on international
good practice, which provide generic management principles and set out the
minimum requirements for internal control of all business activities throughout
the Agency.
It has in place measures to ensure legality and regularity of the Agency's
underlying transactions, including comprehensive ex-ante verification, targeted
ex-post controls and specific measures to prevent and detect fraud and conflict
of interest. The Agency has systematically examined the observations and
recommendations issued by internal auditors, the European Court of Auditors
and the European Parliament. On this basis, it took actions as appropriate.
No audit recommendations having a critical nature or impacting on the legality
and regularity of transactions were formulated by the internal/external auditors
in the past four years.
Moreover in 2017 the Agency successfully completed the ISO 9001:2015
certification of the CEPOL's Management System, bringing additional elements
of improvement and helping to demonstrate the Agency's commitment to quality.

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B. Materiality Criteria36
Materiality criteria define the elements for determination of significant weaknesses that should be
subject to a formal reservation in the assurance declaration of the Authorising Officer in the context of
the Consolidated Annual Activity Report.
The decision whether weakness is significant, remains a matter of judgement of the Authorising
Officer. In this judgement the overall impact of a weakness needs to be identified and an assessment
needs to be made on whether the issue is material enough to have an influence on the decisions or
conclusions of the users of the assurance declaration.
In consequence judgement needs to be based on a qualitative and a quantitative assessment. In
addition, reputational events may be considered. The following provides a non-exhaustive list of
possible types of weaknesses to be considered in this context.
Quantitative weaknesses: significant occurrence of errors in the underlying transactions (legality and
regularity).
Qualitative weaknesses: significant control system weaknesses, insufficient audit coverage and/or
inadequate information from internal control systems, critical issues reported by the European Court
of Auditors, the IAS, or OLAF, significant reputational events.
Qualitative criteria are linked to failure in achieving CEPOL's short-term objectives, risks to CEPOL
reputation, significant deficiencies in its control systems and repetitive errors. The qualitative
assessment of a weakness (deficiency) should consider if the type of deficiency falls within the scope
of the assurance declaration which refers to the use of resources, sound financial management, and
legality and regularity of transactions.
In considering the significance of the materiality criteria, one should include the nature and scope of
the weakness, the duration of the weakness, the existence of mitigating actions reducing the impact
of the weakness and the existence of corrective actions (action plans and financial corrections) which
have had measurable impact.
In quantitative terms, in order to make a judgement on the significance of a weakness, it is essential
to quantify the potential financial impact ("monetary value of the identified problem"/"amount
considered erroneous"/"the amount considered at risk") in monetary terms.
As regards legality and regularity, the proposed standard quantitative materiality threshold must not
exceed 2%. Related to CEPOL's overall budget for 2015, the 2% threshold would define an amount
of about € 170.000. Considering potential cases, this amount seems too high. Thus, the (standard)
quantitative threshold is set at €25,00037.
This threshold is in line with the level of materiality defined by CEPOL in case of exceptions requiring
approval by the Authorising Officer, as per adopted 'Policy on Recording and Management of
Exceptions' (PO.INCO.002).
Deviations from this materiality threshold must be fully justified in the Consolidated Annual Activity
Report. It is however necessary to underline that some deficiencies below this threshold may be
deemed significant on the basis of the qualitative assessment. In addition, it may be considered that
specific reputational events on the basis of specific assessments may give rise to a reservation.

36 Reference: Standing Instructions for 2014 Annual Activity Reports - Ref. Ares (2014)3722820 - 10/11/2014
37 A deficiency is considered material if the financial impact or risk of loss is equal to or more than €25,000.

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EUROPEAN UNION AGENCY FOR
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ANNEX VII. Specific annexes related to Part III — N/A
Annex VIII. Draft Annual Accounts 2016

BALANCE SHEET
EUR '000

Note

31.12.2016

31.12.2015

2.1
2.2

3

7

433

613

436

620

NON-CURRENT ASSETS
Intangible assets
Property, plant and equipment
CURRENT ASSETS
Pre-financing

2.3

66

2

Exchange receivables and non-exchange recoverables

2.4

3 307

2 713

3 373

2 715

3 809

3 336

(1 300)

(1054)

(632)

(551)

(1 933)
(1 933)

(1 605)
(1 605)

NET ASSETS

1 876

1 731

Accumulated surplus
Economic result of the year

1 731
146

1 239
492

NET ASSETS

1 876

1 731

TOTAL ASSETS
CURRENT LIABILITIES
Payables
Accrued charges and deferred income
TOTAL LIABILITIES

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2.6

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STATEMENT OF FINANCIAL PERFORMANCE
EUR '000

REVENUE
Revenue from non-exchange transactions
Subsidy from the Commission

3.1

Total
Revenue from exchange transactions
Other exchange revenue

3.2

Total

8 715
8 715

8 562
8 562

21

73

21

74

8 736

8 636

EXPENSES
Operating costs
Staff costs

3.3

(4 682)

(4 131)

3.4

(2 812)

(2 955)

Other expenses

3.5

(1 096)

(1 059)

(8 590)

(8 145)

146

492

ECONOMIC RESULT OF THE YEAR

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