How to create, validate send an Annual Audit Plan for EBF, ERF
код для вставкиSFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? Contents of this guide: 1. Create an Annual Audit Plan ..................................................................................................... 3 2. Edit an Annual Audit Plan.......................................................................................................... 6 2.1. General ................................................................................................................................... 7 2.2. Funds Covered ...................................................................................................................... 7 2.3. Annual Plan........................................................................................................................... 8 2.4. Documents........................................................................................................................... 10 2.5. Officials in charge ............................................................................................................... 14 3. Validate the Annual Audit Plan .............................................................................................. 16 4. Send the Annual Audit Plan..................................................................................................... 17 5. General ......................................................................................................................................... 18 5.1. Statuses................................................................................................................................. 18 5.2. History & details of uploaded documents ...................................................................... 18 5.3. Mandatory fields................................................................................................................. 19 5.4. Edition and deletion of recorded data ............................................................................. 19 5.5. Document type 'Other Member State Document' .......................................................... 19 5.6. Automatic notifications...................................................................................................... 20 5.7. Validation rules................................................................................................................... 20 Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 1 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? Purpose of this functionality This functionality enables Member States to create, validate and submit an Audit Plan for EBF, ERF, EIF and RF to European Commission (EC) officials. Regulation source Submission of Audit Strategies by Member States: European Fund for the Integration of Third Country Nationals: Article 25 of Commission Decision 2008/457/EC European Refugee Fund III: Article 25 of Commission Decision 2008/22/EC External Borders Fund: Article 25 of Commission Decision 2008/456/EC European Return Fund: Article 25 of Commission Decision 2008/458/EC Submission of comments on Audit Strategies by the European Commission: European Fund for the Integration of Third Country Nationals: Art.32 of the Decision No 2007/435/EC of the Council European Refugee Fund III: Art.34 of the Decision No 573/2007/EC of the European Parliament and of the Council External Borders Fund: Art.36 of the Decision No 574/2007/EC of the European Parliament and of the Council European Return Fund: Art.34 of the Decision No 575/2007/EC of the European Parliament and of the Council Concerned Funds EBF ERF EIF RF User roles and permissions needed Member State Audit Authority (MSAA U+S) Before you start, check that… There is no existing Audit Plan for the SOLID funds and the year to be encoded. Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 2 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? 1. Create an Annual Audit Plan REMARK Every year an Annual Audit Plan for the SOLID funds is to be created by the MSAA. Step by step 1. Go to the AUDIT > ANNUAL AUDIT PLAN (SOLID) menu. The search pane screen and the list of Annual Audit Plan (AAP) appear. 2. Click on Create a new Audit Plan. The Create Audit Plan wizard appears. It is divided in two steps: Step 1: Provide General Details 3. Enter the year and the title of the AAP in the corresponding fields (1), (2). 4. Click on NEXT (3). Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 3 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? Step 2: List Funds Covered 5. Select the concerned fund(s) (1). 6. Click on FINISH (2). a. The title of the AAP is unique for all Member States. If a title has already been used, the system prevents the creation of a second AAP with this same title, even if it is used by a MS which is different from the one that used the title for the first time. REMARKS The system displays the following message aside the 'Title' field: b. One Audit Plan report can cover one or several funds. If several funds are to be selected, press the Control key and click on the funds to be added with the mouse. You are redirected to the tabs to be edited. Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 4 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? You are automatically directed to the tabs (cf. Figure 2 - Tab view) to be completed if you edit the AAP after finishing the wizard. NOTE If the AAP is to be edited at a later stage, go to the AUDIT > AUDIT PLAN (SOLID) menu (cf. step 1). The existing AAP is displayed in the list under the status "Created". Click on the Country link to be directed to the display screen. Select any of the Edit options, provided that you have the Update and/or Send role assigned to your user account. Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 5 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? 2. Edit an Annual Audit Plan The contents of the AAP are displayed in different tabs, which are to be completed before validation and submission to the EC: Вѓ General, Вѓ Funds Covered, Вѓ Documents and Вѓ In Charge. They can be displayed by tabs or as a list of tables: Figure 1 – List view (Display) Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 6 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? Figure 2 - Tab view 2.1. General This tab refers to the AAP title and the optional comments to be written and saved. As long as the AAP has not been validated and submitted to EC officials, the title and comments can be modified. Step by step 7. Click on the GENERAL tab (1). 8. Modify the title and/or the comments (2). 9. Click on SAVE to record your update (3). 2.2. Funds Covered The fund(s) covered by the AAP can be modified in this tab, provided that the AAP has not been validated and submitted to EC officials. Step by step 10. Click on the FUNDS COVERED tab (1). 11. If a fund is to be added to the AAP, keep the Control key fund(s) to be added with the mouse (2). pressed and click on the other 12. Click on the SAVE (3). Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 7 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? 13. If a fund is to be deleted from the AAP, click on the fund(s) to be kept with the mouse (1) (the fund to be deleted is no longer selected). 14. Click on the SAVE (2) 2.3. Annual Plan The ANNUAL PLAN tab is showed in two sub-tabs: Вѓ System Audits and Вѓ Audit of projects. Step by step 15. Click on the SYSTEM AUDIT sub-tab (1). 16. Click on the fund(s) to be selected (2). 17. Complete the information accordingly in the fields 'Authorities concerned', 'Processes concerned', Scope of the audit', 'Man-Days' and 'Planning'. The only mandatory field is 'Funds'. 18. Click on ADD (3) to record the System Audit. 19. Click on Add a new Audit (4) if more than one System Audit is applicable and, start the operation again (cf. steps 15 to 18). Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 8 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? Step by step 20. Click on the AUDIT OF PROJECTS sub-tab (1). 21. Click on Add a new Audit (2). 22. Click on the fund(s) to be selected (3). 23. Complete the information accordingly in the fields 'Priority', 'Project', 'Final Beneficiary', 'Costs to be audited', Man-Days', 'Planning', 'Total Eligible Cost of Project' and 'Programme Year'. The only mandatory field is 'Funds'. 24. Click on ADD (4) to record the Audit of Projects. 25. Click on Add a new Audit (5) if more than one Audit of Project is applicable and, start the operation again (cf. steps 22 to 24). Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 9 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? In case the System Audits and/or Audit of Project is/are to be suppressed after having saved it (to be re-downloaded by an updated one), please click on the corresponding subtab, click on of the document to be deleted and start the operation again. REMARKS 2.4. Documents The AAP official document(s) is(are) to be uploaded in this tab. There are two types of documents: Вѓ MS Annual Audit Plan and Вѓ Other Member State Document. Step by step 26. Click on the DOCUMENTS tab (1). Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 10 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? 27. Click on Add a new Document (2). 28. Select the document to be uploaded in the 'Type' drop down list. 29. Fill in the 'Title' field with 255 characters maximum (alphanumeric field). 30. Complete the 'Document Date' field manually (dd/mm/yyyy) or double click in the field to have the current date entered automatically or click on corresponding date. to open the calendar window to select the 31. Select the 'Language' of the document in the drop down list (1) and click on SAVE (2). Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 11 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? The fields 'Local Reference' and 'Comments' are optional. 32. The system activates the Add a new Attachment link, which enables the upload of the MS Audit Plan. Click on it. 33. Enter the name of the document in the field 'Title' (1), check the type of attachment to be uploaded (2), click on CHOOSE FILE (3) to select the location of the file and, after having chosen it, click on OPEN (4) to launch the upload. Record the operation through the button SAVE (5). Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 12 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? 34. After the upload, the ATTACHMENTS tab displays the document with its title: a. If the document is not the correct one, click on the button to delete it and restart the operation (cf. step 26 to 33). b. If an additional document of the same type needs to be uploaded, click on Add a new Attachment and restart the operation. 35. For the upload of 'Other MS Document', please refer to steps 26 to 33 (and select 'Other Member State Document' for document type). This type of document requires a manual submission after being uploaded: Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 13 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? a. In case the document has to be suppressed after having saved it (to be re-downloaded by and start the operation again. an updated one), please click on b. The upload of the document type 'MS Audit Plan' is mandatory. After uploading the 'MS Audit Plan', the system displays the message below: REMARKS This type of document will be sent together with the encoded information of the AAP. The system does not accept the AAP validation unless it has been attached accordingly. c. The upload of the document type 'Other MS Document' is optional. After uploading 'Other MS Document', the system displays the message below: This type of document can be sent manually before or after submitting the AAP to the EC. It covers any complementary information to be attached to the AAP. 2.5. Officials in charge Following the upload of the document(s) associated to the AAP, the MSAA may assign one or several contact persons within the MS who will be responsible for the AAP via the IN CHARGE tab. Each exchange of information generated within the system for the AAP will generate the dispatching of an automatic notification to the mailbox encoded in the 'Email' field. Step by step 36. Click on the IN CHARGE tab (1) 37. Click on Add a new Official in Charge (2). 38. Complete the mandatory fields ('Name' and 'Email') and click on ADD. 39. If there is more than one Official in charge for the AAP, restart the operation (cf. steps 36 to 38). Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 14 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? a. Optional fields: - 'Valid From' and 'Until' indicates the period during which the contact person(s) will be responsible for the AAP. - 'Language' refers to the language of notification(s) that will be sent to the assigned official(s) in charge. If no language is selected, the default language is English. REMARKS b. The checkbox 'Automatically Notified' is to be ticked to be active (and unchecked to reverse the process). c. After adding the responsible Member State authority who will be in charge of the AAP, he/she can be deleted by clicking on . d. The submission of an AAP is possible without the nomination of an Official in charge. The system generates the warning message 'No Official in Charge was created'. However, it doesn't prevent the AAP validation and dispatch to the EC. Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 15 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? 3. Validate the Annual Audit Plan After completion of the AAP by the MSAA, the system generates the Validate link. This link is available when opening the AAP through the AUDIT > AUDIT PLAN (SOLID) > DISPLAY AUDIT PLAN menu and clicking on the Country link. Step by Step 1. Click on Validate to trigger the data validation check, whose rules are presented in the chapter 6, section 6.2 of this guide. 2. In case of inconsistency, the system detects it and presents its details in the LATEST VALIDATION RESULTS tab. Return to Display to correct the inconsistent data. 3. Click on Validate to restart the data validation check. 4. After correction of all inconsistent data and successful validation of the AAP, the system switches the report status from 'Created' to 'Validated'. Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 16 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? 4. Send the Annual Audit Plan Step by Step 1. If the report is to be sent right after its validation, click on Return to Display to access the Send button. 2. If the report is to be sent at a later stage, open the report by its country link as from the PROGRAMMING > ANNUAL PROGRAMME menu. 3. In both cases, the system displays the Send button. Click on it to trigger the submission process. 4. Click on YES to confirm the AAP submission. REMARK The data snapshot is created in the language the MSAA user account's node is linked to. Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 17 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? 5. General 5.1. Statuses The summary of the AAP statuses is presented in the table below: Report action Creation of AAP Completion of information Upload of official documents Validation Submission to EC officials The EC official returns the AAP and requests modification in its text. The EC official returns the AAP and requests correction in the provided information The EC official has acknowledged reception of the AAP. The EC official has assessed the AAP and officially accepted it. Acting authority Status of the AAP Created1 MS Audit Authority Validated1 Sent2 Returned - with EC comments EC Audit Agent Returned - for clarification Admissible2 Accepted 1 The AAP can be deleted from the system and no longer visible at MS level. EC official can return the AAP. The plan can then be corrected and resubmitted by the MSAA. Before resubmission, the MS Annual Audit Plan (official document) is to be uploaded. 2 The 5.2. History & details of uploaded documents In the HISTORY tab of the AAP, all statuses are logged with its respective authority level (MS or EC), date and users: In the ASSOCIATED DOCUMENTS tab, all documents are registered with its type, language, date of uploading and submission. If there is a blank in the column 'Sent Date', it means the document wasn't automatically sent with the AAP as it is to be submitted manually (cf. section 2.4, step 35). Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 18 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? The details of the user - who uploaded and sent the documents - can be checked through the button , which activates a yellow window: 5.3. Mandatory fields The mandatory fields are highlighted in light yellow (e.g. ). If any obligatory field is left blank, the system refuses to proceed and displays the warning sign. 5.4. Edition and deletion of recorded data The table below presents the operations that can be executed in the AAP throughout its workflow: Report's status action Created Validated Sent Returned - with EC comments * Returned - For correction * Admissible Accepted Sent (after re-opening) * Data edition 9 9 9 9 9 9 9 9 AAP deletion 9 9 8 8 8 8 8 8 LABELS 9 has permission 9 only documents uploading and Officials in charge modification details, addition or deletion 8 hasn't permission * Optional stage 5.5. Document type 'Other Member State Document' The document type 'Other Member State Document' can be uploaded and manually submitted to the EC throughout the different statuses of the AAP. Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 19 SFC2007: System for Fund management in the European Community 2007-2013 How to create, validate & send an Annual Audit Plan for EBF, ERF, EIF and RF? 5.6. Automatic notifications An automatic notification (email) is generated and sent to the mailbox of the authority indicated in the 'Email' field of the IN CHARGE tab (cf. step 38) for the following executed operations: Event Executed operation in the Annual Audit Plan object The MSAA has submitted the AAP to the EC Audit Agent (ECAA) Sent Returned (for clarification or with EC comments) Admissible Accepted The ECAA has returned the AAP to the MSAA The ECAA acknowledges the AAP by admitting it The ECAA accepts the AAP The authority can visualize the latest update of the Audit Plan by clicking on the here link, which redirects her/him to the related document within SFC2007 5.7. Validation rules REFERENCE1 1 2 VALIDATION RULES SEVERITY2 2.1 A title for the Member State Annual Audit Plan must be provided. Error 2.2 At least one SOLID fund must be covered in the Member State Audit Plan. Error 2.5 The funds covered are in a non-cancelled Audit Strategy for the same Country, sent to the Commission Error 2.6 The Annual Audit Plan (official document) must be uploaded in the system. Error 2.3 At least one Official in Charge within the MS might be provided. Warning 2.4 The covered SOLID funds are not covered in other Annual Audit Plans for the same Country and Year Warning 2.7 At least one System Audit might be provided Warning 2.8 At least one Project Audit might be provided Warning SFC2007-RQ-334 Use Cases AUD-07 AAP 0.003.doc An error blocks the AAP submission to EC officials whereas the warning does not. Disclaimer: The information contained herein is for guidance only and is a description on how to use the SFC2007 application. There can be no guarantees as to the accuracy of the descriptions due to the evolving nature of the computer system. In no way does this information replace the regulations or could be considered as a legal interpretation of the Commission services. Version 1.0 - Last revised: 19/03/2012 For more information on this document please contact sfc2007-info@ec.europa.eu Page 20
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