hi
Framework Programme in support of EU-Ukraine agreement
(AAP 2013)
Support to the Establishment
of the State Aid Control System
in Ukraine
Inception report
Final version
27.03.2017
This project is funded by
A project implemented by
The European Union
AETS
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
Project Title:
Support to the Establishment of the State aid control System in Ukraine
Project No:
2016/382073
Framework contractor:
AETS
Location of Action:
Kyiv, Ukraine
Beneficiary:
Antimonopoly Committee of Ukraine
Date of Report:
27th March, 2017 (revised)
Reporting Period
Inception Period (7th February, 2017 – 20th February, 2017)
Submitted to:
Delegation of the European Union to Ukraine
Prepared by:
Mrs. Daiga Lagzdina, Team Leader
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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Table of Content
0.
Abbreviations ……………………………………………………………………………………………...........
1.
Background …………………………………………………………………………………………………......... 4
2.
Project Synopsis …….………………………………………………………………………………………......
5
3.
Methodology ………………………………………………………………………………………………………
6
3.1.
System and System components …………………………………………………………………………
6
3.2.
Enterprise Architecture to build a system ……………………………………………………………
6
3.3.
Approach to development State Aid information system …………………………………….
7
3.4.
Agile vs Water-Fall approach ……………………………………………………………………………….
8
3.5.
Core deliverable of system development …………………………………………………………….
9
4.
Plan of Operation……………………………………………………………………………………………...... 10
4.1.
Activities carried out during inception period ………………………………………………........ 10
4.2.
Overall work plan for the Project Implementation ……….……………………………….......
11
4.2.1.
Component 1: Study visit …………………………………………………………...…………………......
11
4.2.2.
Component 2: Operational set-up of State aid control system …….………………........
13
4.2.3.
Component 3: Capacity building ……………………………………..…………………………….......
20
4.2.4.
Component 4: System testing ………………………………………………………………….……....... 23
4.2.5.
Overall work planning …………………………………………………………………………………………. 24
4.3.
Closure meeting ………………………………………………………………………………………………….
24
5.
Overall Risks and Assumptions.…………………………………………………………………………..
25
6.
Reporting ...............………………………………………………………………………………………........
25
2
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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Abbreviations
Term used
Explanation / Meaning of term used
AMCU
The Antimonopoly Committee in Ukraine
BP
The State Aid Business Processes
BPM
Business Process Management
BPMN
Business Process Modeling Notation
DMN
Decision Model Notation
DMS
Document Management System
EIS
Enterprise Information System
EUDEL
The Delegation of European Union in Ukraine
FC
Framework contract
RAD
Rapid Application Development
RFP
Request for Proposal
SAU
AMCU’ State Aid Unit
SDLC
Software Development Lifecycle
SRS
Software Requirements Specification
TA
Technical Assistance
The Beneficiary
The Antimonopoly Committee in Ukraine
The Law
The Law on State Aid to Undertakings
The Project
Project “Support to the Establishment of the State aid control
system in Ukraine”
ToR
Terms of Reference of the Project
WFM
Work-flow Management
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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1. Background
The purpose of the Law on State Aid to Undertakings (the Law) is to regulate a State aid control
system in Ukraine. The Law shall come into force on 2nd August, 2017. As of this date, all State aid
granting bodies must notify the Antimonopoly Committee of Ukraine (AMCU) of any new State aid
measure.
In accordance with the transitional provisions of the Law, AMCU must be notified of all existing State
aid, i.e. any State aid which has been in implementation prior to 2nd August, 2017 and is still
applicable after this date, by 2nd August, 2018 at the latest.
In addition to the Law, AMCU has adopted several procedural ordinances, i.e.:





AMCU Ordinance of 28th December, 2015 No.43-rp approving ”Procedure for monitoring
State aid to undertakings”;
AMCU Ordinance of 28th December, 2015 No.43-rp approving “Procedure for the submission
of information on existing State aid to undertakings to the Antimonopoly Committee of
Ukraine, completing the form and fulfilling the requirements for such a submission”;
AMCU Ordinance of 28th December, 2015 No.43-rp approving “Procedure for maintaining
and accessing the register of State aid to undertakings”;
AMCU Ordinance of 4th March, 2016 No.2-rp approving “Provisions on the Procedure for
submitting and drafting notifications of new State aid and for amendments to existing State
aid”;
AMCU Ordinance of 12th April, 2016 No.8-rp approving “Procedure on the considerations for
cases on State aid to undertakings”.
AMCU internal procedural regulations, as mentioned above, provide procedures for AMCU to deal
with new and existing State aid, they provide notification templates for new State aid, amendments
to existing State aid and notification of existing State aid measures, set-up minimum requirements to
submit complaints on illegal State aid or misused State aid, as well as establish procedures for
monitoring State aid and for running the State aid registry.
AMCU has drafted the regulation on recovery of unlawful State aid which has been commented on
already by DG COMP.
On 7th February, 2017 AMCU approved seven drafts of State aid by-laws relevant for the
compatibility assessment of State aid measures (General criteria, Regional Aid & SMEs, Environment,
Training, Employment, Research & Development, Rescue & Restructuring) and a draft Law amending
some Laws of Ukraine aligning them in correspondence with legislation on State aid to undertakings.
They were published for consultation on 23rd February, 2017 and the deadline for comments is one
month from the date of publication.
There has been a specialised State Aid Unit operating in AMCU since March 2017, consisting of 7
employees. AMCU plans to increase the State aid unit to 32 employees by the end of 2017.
The State Aid Business Processes (BP) are being identified and formalised by AMCU, specifically by
the State Aid Unit (SAU) in collaboration with line departments, specifically the Department of
Documentary Support and Logistics which is responsible for IT support and document management
including archiving.
AMCU is in the processes of implementing a large Enterprise Information System (EIS) with such core
modules as



Document Management System (DMS)
Work-flow Management (WFM)
Web-site and
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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
Corporate intranet
which are foreseen to be based on Business Process Management (BPM) platform/suite module. The
EIS is deemed to substitute existing legacy DMS systems and cover business processes and workflow of State Aid business processes to be managed by the SAU in collaboration with other lined
departments.
2. Project Synopsis
2.1. Global objective
The overall objective of the Project is to support the establishment of an effective State aid control
system in Ukraine as required under the EU-Ukraine Association agreement.
2.2. Specific objective
The specific objective of the Project is to assist AMCU to establish a State aid control system by 2nd
August, 2017 in accordance with the Law of Ukraine on State aid to undertakings.
Assistance provided by the Project is foreseen as “bridging assistance” until a dedicated technical
assistance project can take over sometime in the third quarter of 2017.
2.3. Expected results
Result 1: Study visit to well-run State aid control authority is proposed and organised.
Result 2: Operational arrangements, including relevant IT solutions, are identified, developed and
ready to be implemented in order to effectively run a State aid control system in Ukraine by 2nd
August, 2017.
Result 3: Large granting bodies are trained so that they can effectively fulfil their notification
obligations as of 2nd August, 2017.
Result 4: Developed State aid control mechanisms are tested with up to three of the largest State aid
granting bodies in Ukraine.
2.4. Location and duration
Start date of the Project is 26th January, 2017.
Project activities will be implemented by 1st September, 2017.
Overall duration of the Project is foreseen until 21st November, 2017.
Experts already started working on the Project prior to the Introductory meeting which was held in
Kyiv (Ukraine) on 7th February, 2017. Advanced work undertaken by experts (preparatory work for IT
solutions, Study visit, reviewing legislative and operational arrangements already in place, etc.) was
targeted to ensure the Project start was a quick and smooth one and to ensure effective cooperation
with the Beneficiary as of 7th February, 2017 onwards.
Input by each expert is expected to be 125 working days. Principally the location of the assignment is
Kyiv, Ukraine, with the exception of days used for the Study visit and 15% of work being performed
as home-based. Some training activities will be performed in other regions of Ukraine.
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3. Methodology
3.1 System and System components
As per the ToR scope “to support the establishment of an effective State aid control system in
Ukraine” it is important to clearly define the system which is part of the Management Information
System (MIS) discipline:
“System - is a set of interrelated components, with a clearly defined boundary,
working together to achieve a common set of objectives by accepting inputs and
producing outputs in an organised transformation process”1.
The five components (aka “resources”) as per (MIS) discipline are:
1.
2.
3.
4.
5.
People (i.e. system owners, technical support, developers etc.)
Data (i.e. data, information, knowledge)
Software (i.e. applications, system software, procedures etc.)
Network (i.e. network hardware, network interfaces etc.)
Hardware (i.e.: nodes, physical servers etc.). The basic hardware of a system is
paper and pencil
Development of any system must consider all five components; the system cannot be referred to as
a ‘system’ if any of the components are ignored.
Under the ToR of the current FC, experts shall focus on ‘People’, ‘Data’ and ‘Software’ resources
while assessing and making recommendations on ‘Network’ and ‘Hardware’ resources.
3.2 Enterprise Architecture to build a system
Enterprise (or System) Architecture (EA) is the discipline which helps to manage objects of an
existing system or a system-under-development (SuD). The Enterprise Architecture (EA) is guided by
ISO/IEC/IEEE 42010 Standard “Systems and software engineering — Architecture description”, which
is an international standard for architecture descriptions of systems and software with its own
system - The Open Group's Architecture Framework (TOGAF) and Enterprise architecture modeling
language to support the description, analysis and visualisation of architecture named ArchiMate.
The Enterprise Architecture (EA) approach has been undertaken to build a platform for the majority
of EU e-services and is currently named European Interoperability Reference Architecture (EIRA) 2.
The EIRA “re-uses terminology and paradigms from TOGAF such as architecture patterns, building
blocks and views”3. EIRA has become a solid system to enable rapid delivery of business services in
specific EU member-states or at government-to-government (G2G) level.
It is foreseen that the current project shall take into account the best EU practices and for the
purpose of sustainability, standardisation and further scalability of the project outputs the TOGAF
framework and ArchiMate modeling language shall be applied.
1
Management Information System 10e by James A. O'Brien, George M. Marakas
European Interoperability Reference Architecture (EIRA) at https://joinup.ec.europa.eu/asset/eia/description
3 European Interoperability Reference Architecture (EIRA) at https://joinup.ec.europa.eu/asset/eia/description
2
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Passive Structures
Behaviour
Active Structures


Business Services
Business Processes
 Business Interface
 Business Role
 Business Actor
Business
Layer
 Representations (i.e.
forms, documents
 Business Objects
Application
Layer
 Data Objects


Application Service
Application Function
 Application
interface
 Application
Component
Technology
Layer
 Artifact


Infrastructure Service
System Software
 Infrastructure
Interface
 Node
 Network
Figure 1: ArchiMate language summary
3.3 Approach to development State Aid information system
There are different approaches to system analysis and design. The life cycle approach (as opposed to
object-oriented analysis and design (OOP) ) remains predominant among classical organisational
approaches and is still a standard both for EU member-state institutions and Ukraine4.
The standard that governs the life-cycle approach is ISO/IEC 12207:2008 Systems and software
engineering -- Software life cycle processes.
4
For example, the state standard to system development of Ukraine named “ДСТУ 3918-1999 (ІSО/ІЕС 12207:1995)
«Процеси життєвого циклу програмного забезпечення»
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The key Life Cycle Process groups are as following:
Figure 2: Life Cycle Process groups
During the course of Inception period, it was discovered that AMCU is in Acquisition Process of a
Document Management System. Therefore, the Project shall align its activities and shall contribute
within the scope of State Aid business service to finalse the Acquisition Process as well as
contributing to the development of Software Requirements covering Software Architecture.
3.4 Agile vs Water-Fall approach
While bearing in mind the software life cycle and its key
components (groups) there is always room for management
decision to undertake a classical “water-fall” or agile/scrum to
software development.
The classical “water-fall” method is appropriate in cases of well
documented, predictable functional requirements and clear
technology and policy environments. In case of undefined
(chaotic) functional and non-functional requirements, it is
recommended to undertake the Agile/Scrum approach and
possibly the Rapid Application Development (RAD) prototyping
approach, shortening iterations of the development to gather
client’s feedback as soon as possible to be able to adjust the
development roadmap.
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Figure 3: Source: Scrum Reference Card by
Michael James
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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Although the timeframe is tight, sufficient time has been foreseen to allow for 2 iterations of
Functional Requirements and System Design and only one iteration for the Document Management
System to be acquired via open tender by AMCU.
Figure 4: Scrum approach iterations (from Scrum Reference Card)
3.5 Core deliverables of system development
Regardless of the software development approach undertaken (in case of scrum/agile the core
phases are allocated in each iteration) the core deliverables of any process of system development
(even if it is a paper-based system) shall follow the core phases of a system development life cycle:





Project Charter: defining scope, out of scope, subject matter experts etc.
Functional Requirements: defining “what” shall be done
System Design (could be done using RAD, prototyping): defining “how” it shall be
done
Total Cost of Ownership (TCO) is frequently omitted but is important to the
sustainability of a project and is highly recommended
Coding and Testing results in product manuals: developer, administrator, operator.
Figure 5: System development life cycle
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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4. Plan of Operation
This Section described the scope of activities to be executed within the Project, deliverables
(outputs) to be produced by the Project, as well as expected timing of outputs.
All outputs produced by the FC experts will be produced in English. Upon request by the Beneficiary,
and with agreement, some outputs will also be provided in Ukrainian.
4.1. Activities carried out during the inception period
Kick-off meeting for the Project was held on 7th February, 2017.
During the Inception period (7th to 20th February, 2017) the following activities were performed and
deliverables (outputs) produced:
 Meeting with Mr. Eugene Stuart, Team Leader of the EU funded Project “Harmonisation of
Public Procurement system in Ukraine with EU Standards” (project’s hand-over meeting)
took place on 8th February, 2017 at the EUD’s premises;
 Updated list covering four well-run State aid control authorities was sent to the Beneficiary
(AMCU) and EUD on 10th February, 2017 (initial paper was prepared for discussion during
the kick-off meeting and submitted officially on 6th February, 2017);
 Country for Study visit and its timing was agreed with the hosting country, Romania; and
communication with the hosting country is on-going to agree on the duration of study visit
and its agenda;
 AMCU’s established legal framework was assessed and some discussion started with AMCU’
State aid unit to deliver outputs requested for Component 2;
 Some expertise and advice in legal drafting (secondary legislation important for State aid
eligibility assessment) have been provided to AMCU;
 Gap assessment performed on the existing Ukrainian legal framework to make the State aid
system operational;
 IT expert participated in planning and review meetings on the Request for Proposal (RFP)
and Software Requirements Specification (SRS) for the EIS which shall cover the State Aid
processes as well as the overall document workflow of the AMCU;
 IT expert carried out an assessment of the IT Environment within the AMCU to identify
consumption capacity and non-functional requirements (part of functional requirements
artifact) that shall serve as a foundation for the next Functional Requirements and System
Design
 IT expert prepared a Project Charter for the IT component which is part of the SDLC prior to
committing to Functional Requirements and System Design;
 IT expert initiated the identification of business (sub)-processes and business functions to be
automated for the State Aid processes;
 AMCU provided FC experts by 7th February, 2017 with office accommodation at their
premises, which also includes necessary office equipment, telephone, internet access. FC
experts are now using they own computers, therefore there is no need to provide them
(although initially computers were also provided).
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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4.2. Overall work plan for the Project Implementation
Following the provisions in the ToR, the Project activities are grouped into 4 components, namely:
Component 1 – Study visit; Component 2 – Operational set-up of State aid control system;
Component 3 – Capacity building; and Component 4 – System testing.
4.2.1. Component 1: Study visit
Activity 1.1. Presentation list of a minimum of three well-run State aid control authorities for the
Study visit
Activities to be performed
Timing
Constrains and Assumptions
1.
List of four well-run suitable state aid control
authorities and selection criteria presented to AMCU
and EUDEL.
Selection criteria shall cover the following aspects:
Status with EU; Placement of State Aid controlling
competence before and after Accession to EU;
Placement of State Aid competence; Operational
arrangements (State Aid control mechanisms);
Cooperation models with State Aid granting
authorities; Reputation; Training; Central database
(IT); Availability to host Study visit
Beginning of
February 2017
Active cooperation from the
proposed host countries to
organise Study visit
2.
Assignation of the country for the study visit from
the list of countries proposed
By mid-February
2017
Request from AMCU or EDUDEL to
consider another country for Study
visit other than those proposed
3.
Agreement with host country on dates and duration
of Study visit
Beginning of March
2017
Availability of host country to
organise Study visit on dates
chosen by AMCU
4.
Agreement on delegation from AMCU for the Study
visit
By mid-March 2017
Delays in decision regarding
delegation from AMCU
Output 1.1. List of four well-run State aid control authorities ready to host delegation under the
Project
Activity 1.2. Elaboration of the questionnaire for the Study visit
Activities to be performed
Timing
Constrains and Assumptions
1.
Initial proposal by FC experts on questions to be
covered by Study visit to ensure relevant expertise
from the host country
Beginning of
February 2017
Initial proposal shall be entirely
revised
2.
Revision of the initial questionnaire, in conjunction
with AMCU
By mid-March 2017
Delays in elaborating questions of
interest from AMCU side
3.
Sending questionnaire to the host country
By mid-March 2017
Delays in elaborating questions of
interest from AMCU side
Output 1.2. Questionnaire
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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Activity 1.3. Drafting of agenda for the Study visit
Activities to be performed
Timing
Constrains and Assumptions
1.
Initial proposal by FC experts on draft agenda for
Study visit
Beginning of
February 2017
Initial proposal shall be entirely
revised
2.
Revision of the initial draft agenda, in conjunction
with AMCU
By the end of
March 2017
Delays in proposals from AMCU
side
3.
Communicating draft agenda with the host country
By the end of
March 2017
Delays in proposals from AMCU
side
4.
Receiving proposal from the host country on exact
planning of Study visit
By the end of
March 2017
Delays in proposals from host
country
5.
Agreement on final agenda for Study visit
Beginning of April
2017
Delays in proposals from host
country or agreements from
AMCU side
Activities to be performed
Timing
Constrains and Assumptions
1.
Practical arrangements for Study visit ensured
By the end of
March 2017
Delays in decisions on dates for
Study visit or changes in timing for
study visit
Delays in agreeing on changes in
ToR to include 6 AMCU experts for
Study visit
2.
Study visit executed
By mid-April 2017
Delays due to changes of dates for
Study visit as originally planned or
agreed
3.
Preparation of report and recommendations for
AMCU
By the end of April
2017
Delays due to changes of dates for
Study visit as originally planned or
agreed
Output 1.3. Draft agenda for study visit
Activity 1.4. Reporting about Study visit results
Output 1.4. Report from the Study visit
Actual status as at the date of Reporting:
It has been agreed that the study visit will take place in the second week of April, 2017 and is
planned to last 4 working days (plus travel days).
The delegation of 8 experts, two FC experts and six AMCU experts, will participate in the study visit
hosted by the Romanian Competition Council.
Changes required to the ToR regarding Component 1:
1) Two FC experts and six experts from the beneficiary will visit a well-run State aid control
authority (sub-point 2.3.1);
2) Timing for Component 1 shall be changed, covering Month 1 (February 2017) to Month 3
(April 2017) (sub-point 4.3).
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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4.2.2. Component 2: Operational set-up of State aid control system
Activity 2.1. Gap assessment of the Ukrainian legal framework
Activities to be performed
Timing
Constrains and Assumptions
1.
Obtaining all national legal acts already adopted from
AMCU as well as draft legal acts relevant for the
State aid control system
By the end of
February 2017
Some legal acts, incl. drafts are
not provided to FC experts by
AMCU
2.
Analyses of legal framework (incl. draft texts) and
comparison with the EU legal framework in the field
of State aid rules
By the end of
March 2017
Some legal acts, incl. drafts are
not provided to FC experts by
AMCU
There are other legal acts relevant
for the assessment, but due to
limited timeframe of Project they
cannot be assessed in a proper
manner
3.
Advanced discussions of findings with AMCU
By the end of
March 2017
Ukrainian national legal system
does not allow the findings to be
addressed effectively
4.
Drafting of proposal for changes, including providing
justification on proposed changes
By the end of April
2017
Ukrainian national legal system
does not allow the findings to be
addressed effectively
5.
Discussions with AMCU on time-table to address
identified legal gaps
By the end of April
2017
Ukrainian national legal system
does not allow the findings to be
addressed effectively
6.
Providing ad-hoc advice on State aid legal drafts
Regularly by midAugust 2017
Lack of cooperation from the side
of AMCU
Assessment performed under this Activity is linked to the implementation of Activities 2.3., 2.4. and
2.7.
Output 2.1. List of missing provisions and/or of the provisions in the existing Ukrainian legal
framework that may not be in line with EU rules as well as a List of missing provisions necessary
for making the State aid system operational
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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Activity 2.2. Gap assessment of missing elements required for State aid control mechanism
Activities to be performed
Timing
Constrains and Assumptions
1.
Assessment of national legal acts, incl. AMCU’s
internal legal acts describing procedures relevant for
State aid control mechanisms to be functional
By the end of
March 2017
Some legal acts, incl. drafts are not
provided to FC experts by AMCU
2.
Discussions with AMCU on process descriptions
(identification whether a process description is
provided in any document)
By the end of
March 2017
Not all documents are provided to
FC experts
3.
Discussion on necessity to standardise some
procedural documents being issued by AMCU within
State aid management processes
By the end of
March 2017
Limited cooperation from the side
of AMCU with FC experts
4.
Interviewing State Aid IT System stakeholders for IT
environment and enterprise architecture gap
assessment
By the end of
March 2017
Limited human resources at AMCU
to provide required information
5.
Gap Analysis for AMCU IT environment
By mid-May 2017
Limited human resources at AMCU
to provide required information.
6.
Drafting of proposal for improvements to the State
aid control mechanisms
By the end of May
2017
Limited cooperation from the side
of AMCU with FC experts
Assessment performed under this Activity is linked to the implementation of Activities 2.3., 2.4. and
2.7.
Output 2.2. List of missing elements required for State aid control mechanism are identified
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Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
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Activity 2.3. Improvements proposed for the operational set-up of the system
Activities to be performed
Timing
Constrains and Assumptions
1.
Preparation of Project Charter outlining Scope, Out
of Scope, Subject Matter Experts (SME), IT risks and
mitigations
By the end of
February 2017
Limited consumption capacity of
key stake-holders
2.
Assessment of processes described in the existing
legal framework relevant for the operational set-up
of the State aid control system (submission of
notification, reports, complaints, case handling
procedures within AMCU, monitoring, reporting,
etc.)
By the end of
March 2017
Some legal acts, incl. drafts are not
provided to FC experts by AMCU
3.
Contribution to Request for Proposal (RFP) /
Software Requirements Specification (SRS) for the
Document Management System of (AMCU)
By the end of
March 2017
Limited time-frame and lack of
human resources at AMCU
4.
Development of Functional Requirements for State
Aid covering Business Processes and high-level
Architecture for State Aid business service (Version
1.0)
By the end of
March 2017
Limited time-frame and lack of
human resources at AMCU
5.
Prototyping and System Design of State Aid (Version
1.0)
By the end of April
2017
Limited time-frame and lack of
human resources at AMCU
6.
Drafting of proposal on possible cooperation models
with AMCU’s regional offices and information flows
By the end of May
2017
Limited cooperation from the side
of AMCU
7.
Development of Functional Requirements for State
Aid covering Business Processes and high-level
Architecture for State Aid business service (Version
2.0)
By the end of May
2017
Limited time-frame and lack of
human resources at AMCU
8.
Prototyping and System Design of State Aid (Version
2.0)
By the end of May
2017
Limited time-frame and lack of
human resources at AMCU
9.
Contribution to finalisation of implementation plan
with the vendor (after AMCU tender for Document
Management System)
By the end of May
2017
Assuming the tender is carried out
on time and vendor is ready to
start on time
10.
Contribution to Document Management System
setup and roll out at AMCU
By the end of July
2017
Assuming that AMCU and the
selected vendor can pass
verification for Complex System of
Information Protection at State
Service of Special Communication
and Information Protection of
Ukraine (SSSCIPU)
Output 2.3. Report on Operational set-up of the system
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Activity 2.4. Elaboration of an Action plan to ensure State aid control system’s functionality in
Ukraine
Activities to be performed
Timing
Constrains and Assumptions
1.
Assessment of the provisions of the Ukrainian legal
framework, including enforcement procedures
prescribed in legal acts which AMCU may use to
make State aid control system in Ukraine functional
By the end of
March 2017
Procedures shall be looked at in
other legal acts as well (like
administrative procedural Law or
similar), which may be applicable
2.
Assessment of communication modes and formats
used in communication with the State aid granting
authorities in Ukraine so far
By the end of
March 2017
FC experts do not receive all the
necessary information from AMCU
3.
Assessment of existing competences and
communication processes within AMCU’s regional
offices
By the end of
March 2017
FC experts do not receive all the
necessary information from AMCU
4.
Assessment of the best practice solutions used in EU
Member States to discipline State aid granting
authorities to comply with State aid notification
obligations
By mid-April 2017
Lack of publicly available
information
5.
Drafting of proposal with actions to be undertaken
to have State aid control mechanism functional in
Ukraine by 2nd August, 2017.
To also include the revision of established casehandling management procedures by AMCU’
approved ordinances
By mid-May 2017
FC experts do not receive all the
necessary information from AMCU
6.
Action plan agreed with AMCU
By the end of May
2017
Lack of cooperation from the side
of AMCU
7.
Implementation of activities prescribed in the Action
plan
By the end of July
2017
Lack of cooperation from the side
of AMCU as well as AMCU’s
regional offices
Lack of cooperation from the side
of State aid granting bodies
8.
Revision of status of the Implementation of Action
plan
By mid-August 2017
Lack of cooperation from the side
of AMCU
Output 2.4. Action plan with all the operational arrangements necessary for having a developed
State aid control mechanism in place by 2nd August, 2017, necessary steps on their
implementation agreed with Beneficiary and implemented
17
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
Activity 2.5. Revision of notification forms
Activities to be performed
Timing
Constrains and Assumptions
1.
Assessment of notification forms (new aid, existing
aid, changes in existing aid) established by Ordinance
of AMCU
It also includes an assessment of notification forms
against draft secondary legislation relevant for the
State aid assessment
By the end of
March 2017
Delays in finalising draft secondary
legislation necessary for the
assessment process
2.
Discussions with AMCU on findings/
recommendations for changes
By the end of
March 2017
Lack of cooperation from the side
of AMCU
3.
Assessment of necessity to introduce standardised
complaint forms based on EC practices
By mid-May 2017
Lack of cooperation from the side
of AMCU
4.
Proposal for the harmonisation of notification forms
with draft secondary legislation as well as with
relevant provisions in EU legal framework
By the end of May
2017
Delays in finalising draft secondary
legislation
5.
Documentation of business objects and its
representations as part of Functional Requirements
document (Version 1.0)
By the end of May
2017
Lack of consumption capacity of
key stake-holders
6.
Development of data objects that shall recognise the
identified business objects and building a semantic
layer of State Aid application as part of Prototyping
and System Design of State Aid (Version 2.0)
By the end of May
2017
Lack of consumption capacity of
key stake-holders
Output 2.5. Notification forms (recommendations for the revision)
18
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
Activity 2.6. Establishment of comprehensive State aid inventory
Activities to be performed
Timing
Constrains and Assumptions
1.
Assessment of national legal acts, incl. AMCU’s
internal legal acts describing procedures relevant for
monitoring State aid measures and data collection
on State aid granted
By end of March
2017
Procedures shall also be looked at
in other legal acts (like
administrative procedural Law or
similar), which may be applicable
2.
Assessment of competences within the AMCU’s
regional offices relevant for monitoring State aid
measures and data collection on State aid granted
By end of March
2017
Lack of cooperation from the side
of AMCU
3.
Assessment of structure of existing inventory
established by AMCU and proposal for modification
By the end of May
2017
Lack of cooperation from the side
of AMCU
4.
Assessment of necessity to introduce standardised
reporting forms to facilitate data transfer into the
inventory
By the end of May
2017
Lack of cooperation from the side
of AMCU
5.
Identification of searchable fields in the inventory
By the end of May
2017
Lack of cooperation from the side
of AMCU
6.
Documentation of business objects and its
representations as part of Functional Requirements
document (Version 1.0)
By the end of May
2017
Lack of consumption capacity of
key stake-holders
7.
Development of data objects that shall recognise the
identified business objects and building a semantic
layer of State Aid application as part of Prototyping
and System Design of State Aid (Version 2.0)
By the end of May
2017
Lack of consumption capacity of
key stake-holders
Output 2.6. Structure of the Inventory of State aid measures (recommendations for the revision)
19
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
Activity 2.7. Elaboration of procedural manual
Activities to be performed
Timing
Constrains and Assumptions
1.
Assessment of AMCU’s existing internal legal acts
describing procedures relevant for State aid related
information flow within AMCU
By end of March
2017
Procedures shall also be looked at
in other legal acts (like
administrative procedural Law or
similar), which may be applicable
2.
Assessment of the level of integration of AMCU’s
regional offices in the State aid related information
flow with AMCU’s central office in Kyiv
By end of March
2017
Lack of cooperation from the side
of AMCU
3.
Elaboration of Business Processes in (BPM) notation
in “swim-lane” format to support State Aid
operations of as part of Functional Requirements
document (Version 1.0)
By the end of May
2017
Lack of consumption capacity of
key stake-holders
4.
Contribution to acceptance of Document
Management System by the selected vendor
including acceptance of documentation for
administrators and operators
By the end of
August 2017
Lack of consumption capacity of
key stake-holders
Output 2.7. Manual with detailed procedures (information flows, responsibilities, IT system)
Changes required to the ToR regarding Component 2:
1) AMCU Ordinance of 4th March, 2016 No.2-rp approving “Provisions on the Procedure for the
submission and drafting of notifications of new State aid and of alteration to existing State
aid” is already establishing notification forms for new State aid, for alteration of existing
State aid. Project will revise the aforementioned notification forms and also look for
possibilities to standardise some procedural documents being issued by AMCU within State
aid management processes, as well as to elaborate standardised forms for State aid
complaints (sub-point 2.3.2);
2) The project team shall develop a prototype State aid application system to simplify and
automate information flows and contribute to the AMCU information system tender (subpoint 2.3.2);
3) Timing for Component 2 shall be changed, covering also Month 1 (February 2017) (sub-point
4.3).
20
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
4.2.3. Component 3: Capacity building
Activity 3.1. On-the-job training of AMCU state aid personnel
Activities to be performed
Timing
Constrains and Assumptions
1.
Identification of training needs for the ACMU
personnel
By the end of
March 2017
Lack of cooperation from the side
of AMCU
2.
Implementation of on-the-job training activities
By the end of
August 2017
Lack of cooperation from the side
of AMCU
3.
Review and introduction of basics of Enterprise
Architecture (EA) to develop systems as per ISO 420102011 Standard for Systems and Software Engineering –
Architecture Description
By the end of
August 2017
Lack of consumption capacity of
key stake-holders
4.
Review and introduction on Business Process Model
and Notation (BPMN) as per ISO 19510:2013 Standard
for Information technology – Object Management
Group Business Process Model and Notation
By the end of
August 2017
Lack of consumption capacity of
key stake-holders
5.
Review and introduction of ISO standard 12207-2008
for System and Software Engineering – Software Life
Cycle Processes
By the end of
August 2017
Lack of consumption capacity of
key stake-holders
Output 3.1.1. Scope of on-the-job training needs for AMCU agreed
Output 3.1.2. Short report by the end of month (where relevant) on the on-the-job training
activities performed with AMCU
Activity 3.2. Ad hoc training of State aid granting bodies and potential State aid beneficiaries
Activities to be performed
Timing
Constrains and Assumptions
1.
Discussions with AMCU on ad hoc training needs for
the State aid granting authorities and potential State
aid beneficiaries
By end of August
(on-going)
Lack of cooperation from the side
of AMCU
2.
Execution of ad hoc training to address questions of
interest of the State aid granting authorities and
potential State aid beneficiaries
By the end of
August 2017 (ongoing)
Lack of cooperation from the side
of AMCU, State aid granting
authorities and potential State aid
beneficiaries
Output 3.2. Short report by the end of the month (where relevant) on the ad hoc training
activities performed for State aid granting authorities and potential State aid beneficiaries
21
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
Activity 3.3. Specialised training of State aid granting authorities
Activities to be performed
Timing
Constrains and Assumptions
1.
Identification of central State aid granting authorities
to be covered by the training
By the end of April
2017
Lack of cooperation from the side
of AMCU
Lack of interest from the side of
the State aid granting authority
concerned
2.
Identification of the best training format
Proposed format: training based on case study of
one or two State aid schemes run by the relevant
State aid granting body
By the end of April
2017
Lack of cooperation from the side
of AMCU
Delays in the process of adoption
of the necessary secondary
legislation relevant for the State
aid assessment
3.
Preparation of training material – case assessment
analyses
By mid-June 2017
Lack of cooperation from the side
of AMCU
Lack of interest from the side of
the State aid granting authority
concerned
Delays in the process of adoption
of the necessary secondary
legislation relevant for the State
aid assessment
4.
Training activities executed
By the end of July
2017
Lack of interest from the side of
the State aid granting authority
concerned
Delays in the process of adoption
of the necessary secondary
legislation relevant for the State
aid assessment
Presuming that the secondary legislation prescribing State aid eligibility criteria are adopted in May,
2017, training shall be performed in June – July, 2017.
Training under this Activity can be linked with the implementation of Activity 4.1.
Output 3.3.1. Selection of granting bodies to be targeted for the advocacy and proposal for
scope of the training
Output 3.3.2. Training material (case-study assessment)
Output 3.3.3. Implementation of training activities with granting bodies
22
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
Activity 3.4. General training for regions of Ukraine
Activities to be performed
Timing
Constrains and Assumptions
1.
Identification of exact regional centres and
additional coverage to perform training locally
General training is expected to be provided in four
regional centres of Ukraine, i.e. in Odesa, Lviv,
Kharkiv and Dnipro, covering a broader audience
than the regional centre just mentioned
By the end of April
2017
Lack of cooperation from the side
of AMCU
Lack of interest from the side of
the State aid granting authority
concerned
2.
Identification of the best training format and scope
of training
Training for regional centres could be organised in a
format of seminars and to cover general aspects of
applicable legal framework, rights and obligations
under State aid legal framework for different
authorities and market players
By the end of April
2017
Lack of cooperation from the side
of AMCU
Delays in the process of adoption
of the necessary secondary
legislation relevant for the State
aid assessment
3.
Preparation of training material
By the end of May
2017
Lack of cooperation from the side
of AMCU
Lack of interest from the side of
the State aid granting authority
concerned
Delays in the process of adoption
of the necessary secondary
legislation relevant for the State
aid assessment
4.
Training activities executed
By the end of July
2017
Lack of interest from the side of
the State aid granting authority
concerned
Delays in the process of adoption
of the necessary secondary
legislation relevant for the State
aid assessment
Output 3.4.1. Selection of regions in Ukraine covered by training activities and proposal for
scope of the training
Output 3.4.2. Training material
Output 3.4.3. Implementation of training activities
Changes required in ToR regarding Component 3:
1) Project team will develop training programmes and execute four different types of training
activities for four target groups: a) on-the-job training for AMCU; b) ad hoc training for State
aid granting authorities and potential State aid beneficiaries; c) specialised training for State
aid granting authorities in Kyiv; and d) general training for regions of Ukraine (sub-point
2.3.3);
2) Training activities will be organised in Kyiv, Odesa, Lviv, Kharkiv and Dnipro (sub-point 2.3.3);
3) Timing for Component 3 shall be changed, covering also Month 7 (August 2017) (sub-point
4.3).
23
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
4.2.4. Component 4: Testing of the system
Activity 4.1. Testing of State aid notification process
Activities to be performed
Timing
Constrains and Assumptions
1.
Identification of State aid granting bodies to be
covered by system testing
By the end of April
2017
Lack of cooperation from the side
of AMCU
2.
Identification of existing State aid measures
implemented by the relevant State aid granting body
to be notified to AMCU as part of testing exercise
By the end of April
2017
Lack of cooperation from the side
of AMCU
Lack of interest from the side of
the State aid granting authority
concerned
3.
Assessment of the needs for setting up testing site
outside of AMCU at datacenter that would be
certified for “KSZI” by SSSCIPU
By the end of April
2017
Lack of necessary financing and
skills at AMCU
Setting up testing server(s) at a certified datacenter
By the end of June
Lack of necessary financing and
skills at AMCU
Setup and Testing of the purchased Document
Management System
By the end of July
2017
 The installed application does
not meet the setup requirements.
 The system is not certified by
State Service of Special
Communication and Information
Protection of Ukraine (SSSCIPU)
for implementation.
 The regional offices have not
been connected to corporate
network which limits usage of
State Aid module to Central
Office of AMCU only.
5.
System testing is expected to start in July, 2017 and continue through July, 2017. The exact timing is
dependent on the purchase of the Enterprise Information System (EIS) by AMCU, which is scheduled
to be purchased by 26 April 2017, and consumption capacity of AMCU. The prototype to be
developed by FC experts could serve as a fully operational application supporting State Aid business
processes bridging As-Is “no-application” state and To-Be state with EIS in place.
Once the test-run has been undertaken, an evaluation of the system can be performed and
recommendations for improvements can be elaborated. EIS with its State Aid module in place and
fully functional, is planned to be launched as beta version as of 2nd August, 2017.
Output 4.1.1. List of State granting bodies enrolled in the pilot phase
Output 4.1.2. Test run the State aid control on the selected list of notified measures
Output 4.1.3. Evaluation of the pilot phase and list of improvements (realised and
recommended)
24
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
Activity 4.2. Pilot exercise to test remote information flow with one regional office of AMCU
Activities to be performed
Timing
Constrains and Assumptions
1.
Agreement with AMCU on the AMCU’s regional office
to be covered by the pilot exercise
By end of April
2017
Lack of cooperation from the side
of AMCU
2.
Setup and Testing of the purchased Document
Management System
By the end of July
2017
 The installed application does
not meet the setup requirements.
 The system is not certified by
State Service of Special
Communication and Information
Protection of Ukraine (SSSCIPU)
for implementation.
 The regional offices have not
been connected to corporate
network which limits usage of
State Aid module to Central
Office of AMCU only.
Output 4.2.1. Identification of AMCU regional office to be enrolled in the pilot phase
Output 4.2.2. Test run on the remote information flow between central office of AMCU and
selected regional office
Output 4.2.3. Evaluation of the pilot phase and list of improvements (realised and
recommended)
Execution of this pilot exercise will be based on outputs created within Component 2 (Activities 2.2.
and 2.3.) concerning the operational set-up of the system and identification of tasks that could be
delegated to the regional offices of AMCU.
Changes required in ToR regarding Component 4:
1) Pilot exercise shall be performed to test remote information flow with one regional office of
AMCU (sub-point 2.3.4);
2) Timing for Component 4 shall be changed, covering also Month 7 (August 2017) (sub-point
4.3).
4.2.5. Overall time planning
Overall timetable for the implementation of Project’ activities is presented in the table below:
Timetable
Activity
Month 1
February
2017
Month 2
March 2017
Month 3
April 2017
Month 4
May 2017
Activity 1
Activity 2
Activity 3
Activity 4
4.3. Closure meeting
Project closure meeting shall be organised mid-August 2017.
25
Month 5
June 2017
Month 6
July 2017
Month 7
August
2017
Project “Support to the Establishment of the State aid control system in Ukraine” (Kyiv, Ukraine)
_________________________________________________________________________________________
5. Overall Risks and Assumptions
 Lack of active cooperation from AMCU, including regional offices
 Lack of administrative capacity at the AMCU to absorb planned Project activities
 Lack of staff available within AMCU to effectively enforce State aid legal framework in force
in Ukraine
 Lack of Parliament and Government readiness to revise and adopt new legislation
harmonised with the EU legal framework in the field of State aid
 Lack of political support and commitment at central and local government level to
implement State aid legal framework in force in Ukraine
 Lack of active cooperation from relevant ministries and other State aid grantors
 Lack of active cooperation
 Tender for purchase of Document Management System (DMS) for AMCU fails
 The DMS provided (to AMCU) fails certification by State Service of Special Communication
and Information Protection of Ukraine (SSSCIPU)
 AMCU does not finalise connections with regional offices
 Absence of sufficient hardware resources to host DMS and/or State Aid module and/or State
Aid registry
 Absence of sufficient networking resources (capacity) to provide for connectivity to DMS
and/or State Aid module and/or State Aid registry
 Lack of human resources to provide for required security level to maintain uptime for DMS
and/or State Aid module and/or State Aid registry
 Lack of human and software resources to maintain and optimise performance of back-end
for DMS and/or State Aid module and/or State Aid registry
 Lack of human, software and hardware resources to maintain DMS and load-balancing for
front-end of the DMS and/or State Aid module and/or State Aid registry
6. Reporting
A draft final report will be submitted by 7th August, 2017 and subsequently the final version of Final
report, responding to any comments made by EUDEL and AMCU, will be provided to EUDEL and
AMCU. Final versions of Outputs will be attached to the Final report.
“The contents of this publication are the sole responsibility of AETS and can in no way be taken to reflect the
views of the European Union”
26