User Manual SL2014 Module: CONTROLS INTERREG

Transcription

1 User Manual SL2014 Module: CONTROLS INTERREG Version 2 April 2018

2 TABLE OF CONTENTS 1. INTRODUCTION REGISTERING A CONTROL SHEET... 4 I. BLOCK: Information on the project II. BLOCK: Information on the control III. BLOCK: PPL controls IV. BLOCK: Control result V. BLOCK: Effects of financial control SAVING DATA CONCERNING THE REGISTERED CONTROL EDITING DATA CONCERNING THE REGISTERED CONTROL VIEWING AND PRINTING OUT A CONTROL SHEET REMOVING CONTROLS FILTERING AND SEARCHING DATA FILTERING THE LIST OF CONTROLS MANAGING THE SCREEN LIST OF CONTROLS Page 2

3 1. Introduction This Instruction Manual is addressed to employees of institutions that are responsible for carrying controls of Interreg projects (including verification of compliance with principles public procurement and competitiveness). Apart from using the module to handle payment claims where they verify payment claims submitted by beneficiaries in administrative terms, firstlevel controllers are obliged to register in SL2014 any information on controls carried out on site, controls of public procurement and competitiveness, as well as results of external controls. The module Controls is used to register data related to controls that are carried out, according to the information included in the post-control documentation (e.g. post-control information, reports, and statements). Amounts of detected Irregularities should be provided in EUR. Page 3

4 2. REGISTERING A CONTROL SHEET In order to register a control, the User chooses Controls from the drop-down menu Projects. The screen List of controls is displayed by the System, including a list of registered controls according to the User s authorizations. The list with the following set of columns is displayed by default: Project number, Control number, Starting date, Completion date, Type of control, Institution carrying out the control, Controlling entity, Page 4

5 Control procedure, Type of control, PPL controls, Post-control recommendations. On the panel List of controls, the User can (depending on its authorizations): add new Control sheets, edit existing Control sheets, view and print out registered Control sheets, delete Control sheets, export Control sheets, as well as search specific items and filter items by different columns. In order to register a new control, the User uses the function Add control : in the top left-hand corner of the List of controls, in the pop-up menu activated by pressing the right-mouse button. Page 5

6 The selection window Selection of a project is displayed by the System, including a list of registered projects with the following set of fields according to the User s authorizations: Project number, Name of the beneficiary, NIP (tax ID number) of the beneficiary, Project title. Page 6

7 In the displayed window Selection of a project, the User selects a project for which a new control is registered. It should be selected (the selected project will be highlighted). The User can use the function Filter in order to find the project. The User can select functions: Select approves an activity and moves to the Control sheet, Page 7

8 Cancel - terminates the process of selecting a project. Data are not saved and the System returns to the List of controls. If the function Select is selected, the System displays a partly completed Control sheet. Page 8

9 Page 9

10 I. BLOCK: Information on the project Project number Mandatory field. The project number selected in the step Selection of a project is filled in automatically. The User can edit this field - details in Chapter 4 of this Instruction Manual. Name of the beneficiary Mandatory field. It is filled in: automatically in case there is one unique combination of the Name of the beneficiary and the NIP (tax ID number) of the beneficiary in all versions of the contract for co-financing for which the User registers a control. In this case, the User cannot edit it; manually by the User in case there is more than one unique combination of the Name of the beneficiary and the NIP (tax ID number) of the beneficiary in all versions of the contract for co-financing for which the User registers a control. In this case, the entering of the field Name of the beneficiary activates the selection window Beneficiaries with the following columns: Name of the beneficiary and NIP (tax ID number) of the beneficiary. The list contains values corresponding to unique combinations of the Name of the beneficiary and the NIP (tax ID number) of the beneficiary from all versions of the contract for cofinancing. In case of partnership contracts, the Name of the beneficiary is the name of the leading beneficiary. Page 10

11 NIP (tax ID number) of the beneficiary Mandatory field. It is filled in automatically with the value from the field NIP (tax ID number) of the beneficiary, as selected in the field Name of the beneficiary. II. BLOCK: Information on the control Project ID Control number Control number The 28-digit field has the following format: XXXX / It consists of 2 elements: project identifier (XXXX /00-) - this part is not editable, filled in automatically with a value from the field Contract number/co-financing decision number (excluding the last two digits), as selected by the User while pressing the function Add control), control number (001) - this part is editable in the form of a numeric field with values from 001 to 999 (to be selected from the list which does not contain control numbers already entered into the System for a particular project). The System automatically assigns the first free number. The sequence is not forced by the System. In case there is an attempt to break the continuity of numbering, the system displays an alert message not blocking the entry after leaving the field: Continuity of numbering of controls has been broken. Check the data. The list works according to the following principles: the first column is marked with number 001, the second column with number 002, etc. In case 3 controls have been entered into the System for a particular project, the list of values starts with 004 for Page 11

12 the following control (in case the value has already been assigned, the following free number 005, 006, etc., is assigned). In case the User deletes a Control sheet from the System, the control number is released and can be re-used in case a new control for a particular project is registered. NOTE: The Control number should be unique. Starting date Mandatory date-type field, filled in manually or with the use of a calendar in the format: yyyy-mm-dd. This is the first day when control activities are performed on the project site/in the seat of the beneficiary/in the seat of the institution carrying out the control (in case documents are subject to control). In case an audit of operations (or any other control of entities from outside the management and control system) is registered, the starting date of the audit/control should be entered, as specified in the audit/control report, while in case the date has not been specified, it is allowed to enter the completion date in this field. NOTE: The date entered in the field must not be later than the current date. Page 12

13 Completion date Mandatory date-type field, filled in manually or with the use of a calendar in the format: yyyy-mm-dd. This is the date when control activities have been completed. If it is not possible to specify the control completion date explicitly, the date when the final post-control report or result of the control have been approved should be entered in the field. While registering controls carried out by external entities, the date when the postcontrol report has been submitted to the institution should be entered in the field in case it is not possible to specify the control completion date. NOTE: The date entered in the field must not be earlier than the date in the field Starting date. The date entered in the field must not be later than the current date. Type of control Mandatory field. It is filled in with the use of a drop-down list. The User can select one of the following values: Audit of operations, Other (carried out by external entities), Own control of the institution (on site), Own control of the institution (on documents). Page 13

14 Institution carrying out the control The field is filled in with the use of a drop-down one-choice list managed on the level of administrative modules. Values in the list are related to the particular level of implementation. In case the field is included in the Control sheet, it is filled in by default with the name of an institution the User entering data is assigned to in the System. NOTE: The field is editable and mandatory in case any other position than Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. The field is not accessible in case the position Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. Controlling entity The field is filled in with the use of the selection window Controlling entities which is activated by entering the field, with positions being displayed from the dictionary managed on the level of administrative modules. The User can select one of the following values: European Commission, Page 14

15 European Court of Auditors, OLAF, Auditing Authority - Ministry of Finance, Auditing Authority - Tax Control Office, President of the Public Procurement Office, Supreme Audit Office, Regional Audit Chamber, Construction Supervision Inspector, Inspector of Environmental Protection, Sanitary Inspector, Inspector General for the Protection of Personal Data, National Labour Inspection, Tax Office, Central Anti-Corruption Bureau, Prosecutor s Office, Auditor/external controller under outsourcing. The User indicates the correct controlling entity and confirms that by pressing Select, which: closes the selection window Controlling entities, causes the field to be filled in, as selected by the User. Page 15

16 The User can filter the list Controlling entities by entering part of data. NOTE: The field is editable and mandatory in case the position Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. The field is not accessible in case any other position than Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. Controlled partner The field is included in the Control sheet, is editable and mandatory for partnership projects only. In case the field is accessible, it is filled in with the use of the selection window Partners which is activated by entering the field, with the following columns being displayed: Name of the partner and NIP (tax ID number) of the partner. The list contains values corresponding to unique combinations of the Name of the partner and the NIP (tax ID number) of the partner from all versions of the contract/decision. Page 16

17 The User indicates correct partners (can select more than one) by selecting checkboxes in the left-hand column and confirms that by pressing Select, which: closes the selection window Partners, causes the field to be filled in, as selected by the User. Payment claim number The field is not mandatory, filled in with the use of the function Add payment claim number in the selection window Payment claims, where all payment claims for a particular project are displayed after they have been registered in the module Payment claims in the menu Projects (the so-called payment claims to be certified). The selection window Payment claims contains the fields: Payment claim number, Payment claim for the period to, Final payment. The User indicates correct payment claims to be controlled (can select more than one) by selecting checkboxes in the left-hand column and confirms that by pressing Add Page 17

18 selected, which: closes the selection window Payment claims, causes the field to be filled in, as selected by the User. It is not possible to enter the same payment claims two times. NOTE: The field is not accessible in case the position Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. Control procedure The field is editable and mandatory in case any other position than Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. The field is not accessible in case the position Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. In case the field is included in the Control sheet, it is filled in with the use of a dropdown list. The User can select one of the following values: Ad hoc, Not applicable, Planned.. Type of control The field is editable and mandatory in case any other position than Audit of operations or Other (carried out by external entities) has been selected in the field Type of Page 18

19 control. The field is not accessible in case the position Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. In case the field is included in the Control sheet, it is filled in with the use of a dropdown list. The User can select at least one of the following values: Control of a microproject, As of the completion date, Upon the completion, Before singing the co-financing contract, Control of sustainability, During the implementation of a project, Monitoring visit, Control of the administrative potential Competitiveness. In case of registration of control concerning compliance with principles of competitiveness please add in field Description of control result the information on the ID of that order, place of publication and subject of the order. Horizontal cross-check control The field is editable and mandatory in case any other position than Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. The field is not accessible in case the position Audit of operations or Other (carried out by external entities) has been selected in the field Type of control. Page 19

20 In case the field is included in the Control sheet, it is filled in with the use of a dropdown multiple-choice list. The User can select at least one of the following values: Not controlled, With projects under the OP FISHES, With projects under the RDP, The field is filled in by default with the value: Not controlled. NOTE: The System prevents from selecting the default value Not controlled in combination with any other values. PPL controls The checkbox-type field can be selected or not selected. The checkbox is not selected by default. Controlled microproject partners The field is editable and mandatory in case the value Control of a microproject has been selected in the field Type of control. The field is not accessible in case any other value than Control of a microproject has been selected in the field Type of control. In case the field is included in the Control sheet, it is a text field where a maximum of 250 signs can be entered. The User can enter the Name of the microproject partner in the field. By pressing Add, the User can add any number of partners, while the maximum Page 20

21 limit of signs is equal to 250 for each of the partners. In this field, the System always transforms small letters into capital letters. Furthermore, the field contains a mechanism to delete the so-called white signs. The mechanism delates spaces and signs of a new line from the beginning and end of the entered text and replaces sequences of white signs (in the text) wit one sign. III. BLOCK: PPL controls The block is not accessible in case the field PPL controls has not been selected. In case the field Controlled partner has not been filled in for partnership projects, it is not possible to enter any data in this block. In the block, there is a table with the following columns: Type of PPL control, Number of the contract notice, Contract number. In case the field PPL controls has been selected, only one line can be added to the table. The User can add any number of lines. In order to fill in the table, the User presses Add, which displays the selection window PPL control. Page 21

22 NOTE: In this block, the User can add information on the orders and contracts that have been registered by beneficiaries and submitted to the competent institution. Type of PPL control Mandatory field. It is filled in with the use of a drop-down list. The User can select one of the following values: Ex-ante, Ex-post. Number of the contract notice The field is mandatory and filled in with the use of the selection window Public Procurement. In the field (in the order Number of the contract notice, Contract number, Contract signing date, Contractor s name, Contract value), there are all contracts under the particular project subject to control, registered by the beneficiary in the module Handling payment requests in the folder Public procurement that have been submitted to the institution. Page 22

23 Columns concerning the contract contain information on contracts that have been submitted by beneficiaries to the institution. In case more than one contract with the status Sent has been registered for an order, the list of orders contains a separate record for each contract. In case the control concerns a partnership project, the list contains only those contracts that have been registered under the partner specified in the field Controlled partner. In the window Public Procurement, the User can search values by pressing Filter. The User indicates the correct contract (can select only one position) and confirms that by pressing Select, which: closes the selection window Public Procurement, causes the field to be filled in, as selected by the User. Page 23

24 NOTE: The field does not accept special characters, e.g. ", &, <, >,, $, *, etc., in case they are the only ones entered. Contract number The field is mandatory, filled in automatically with the Contract number according to the selection made in the selection window Public procurement provided that the contract has been submitted by a beneficiary to the institution. The field is not mandatory in case the value Ex-ante has been selected in the field Type of PPL control. NOTE: The field does not accept special characters, e.g. ", &, <, >,, $, *, etc., in case they are the only ones entered. IV. BLOCK: Control result Post-control recommendations Mandatory field. It is filled in with the use of a drop-down one-choice list. In case of detection of financial irregularities the value with major reservations has to be selected. Description of the control result A short description of findings made during the control should be entered on the basis of the post-control report. Page 24

25 Furthermore, it is obligatory to enter the description of the method for selecting projects to be controlled, the objective of the control (in order to confirm or supplement the result of administrative verifications), matters subject to control, etc. The text field is mandatory, up to 3,000 signs can be entered. NOTE: In case of registration of control concerning compliance with principles of competitiveness please add in field Description of control result the information on the ID of that order, place of publication and subject of the order. The field does not accept special characters, e.g. ", &, <, >,, $, *, etc., in case they are the only ones entered. Description of post-control recommendations Data are filled in according to the content of the issued post-control recommendations. The text field allows to enter up to 3,000 signs. The field is editable and mandatory in case the value With insignificant reservations or With significant reservations has been selected in the field Post-control recommendations. The field is not editable in case any other value than the above mentioned ones has been selected. Description of the implementation of post-control recommendations Information on the implementation status of the issued post-control recommendations. Page 25

26 The text field allows to enter up to 3,000 signs. The field is editable in case the value With insignificant reservations or With significant reservations has been selected in the field Post-control recommendations. The field is not editable in case any other value than the above mentioned ones has been selected. V. BLOCK: Effects of financial control In case the field Controlled partner has been not filled in for partnership projects, it is not possible to enter any data in this block. In the block, there is a table with the following columns: Type of adjustment Legal basis of the infringement Contract number Basis for adjustment calculation % rate of adjustment Value of financial correction Page 26

27 The System allows to add any number of lines to the table. In case the value With significant reservations has been selected in the field Post-control recommendations, at least one line should be added to the table. Type of adjustment Mandatory field. It is filled in with the use of a drop-down one-choice list. In case the expenditure is corrected due to the infringement upon the Public Procurement Law in case of contracts not registered in SL2014, the value Other basis for adjustment should be selected in the field and the value PPL - contract not registered should be entered in the field Legal basis of the infringement, including the contract number, legal basis of the infringement and % rate of adjustment in case it Page 27

28 refers to an indicator adjustment. Legal basis of the infringement It is necessary to indicate which provision has been infringed upon and that a decision has been taken to impose a pecuniary fine as a result. The text field allows to enter up to 2,000 signs. In case the value Other basis for adjustment has been selected in the field Type of adjustment, in case this is not PPL - contract not registered, the value selected from the list in section of the Guidance of the European Commission for Member States on drawing up the management declaration and annual summary should be entered in this field at the beginning and supplemented by information on the legal basis of the infringement. Contract number The field is mandatory in case the value Adjustment PPL - indicator or Adjustment PPL - differential has been selected in the field Type of adjustment. The field is filled in with the use of the selection window Contract numbers that displays (in the order Number of the contract notice, Contract number, Contract signing date, Contractor s name, Contract value) all contracts that have been registered in the module Public Procurement under the project subject to control, with the status Sent. Page 28

29 In case the control refers to a partnership project, the list contains only those contracts that have been registered under the partner selected in the field Controlled partner. In the window Contract numbers, the User can filtered displayed values. The User indicates the correct contract (can select only one position) and confirms that by pressing Select, which: NOTE: closes the selection window Contract numbers, causes the field Contract number to be filled in with the selected value. The field does not accept special characters, e.g. ", &, <, >,, $, *, etc., in case they are the only ones entered. Basis for adjustment calculation This is a numeric field to be filled in manually. The field is editable and mandatory in Page 29

30 case the value Adjustment PPL - indicator has been selected in the field Type of adjustment. The value should be actualised by the Controller on an ongoing basis, on the basis of information included in following payments claims of a beneficiary that contain expenditure under the contract subject to financial correction. NOTE: The value in the field must not be negative. % rate of adjustment Mandatory field. It is filled in with the use of a drop-down one-choice list. The field is editable and mandatory in case the value Adjustment PPL - indicator has been selected in the field Type of adjustment. Value of financial correction Mandatory field, to be filled in manually. The field is filled in with 0.00 by default. The value of the financial correction is the value of the adjustment established during the control (even if it is to be imposed gradually on expenditure before they are approved). The value of ineligible expenditure corresponding to the financial correction established during the control (even if it is to be imposed gradually on expenditure before they are approved) should be entered in the field Value of financial correction. The value should be actualised by taking into account Page 30

31 potential changes to the factual value of the correction (e.g. on the basis of information included in following payments claims of a beneficiary that contain expenditure under the contract subject to financial correction). NOTE: The value in the field must not be negative. <Sum> Column: Value of financial correction Sum Mandatory field, to be filled in automatically. The line is a sum of values indicated in lines in the column Value of financial correction. Page 31

32 3. Saving data concerning the registered control In order to save entered data, the User presses Save that is available at the top and at the bottom of the Control sheet. By selecting Undo, the process of registering a control terminates. The System displays the blocking alert message: The changes have not been saved and will be lost. Do you want to leave control sheet? The User can select: OK if selected, data are not saved. The System returns to the screen List of controls. Cancel if selected, the System returns to the screen Control sheets. In case incorrect or incomplete data are to be saved, the System informs the User about occurred errors in two ways: by displaying alert messages directly on the Control sheet, immediately upon leaving the field where the User has made an error. The alert message in red contains a description of the requirement that has not been fulfilled. Page 32

33 in the block Validation result in case the Control sheet is to be saved. The block is displayed at the bottom of the Control sheet and contains an indication of the block/field where incorrect data have been entered, including the description of the missed requirement. After clicking the content of the alert message in red in the column Description, the System returns to the field Control sheet the message refers to. The System displays the User a flashing exclamation-mark icon next to the field the error refers to. The icon disappears once the field has been filled in correctly and Save has been selected again. In case correct data are to be saved, the User receives a message about the correct entry. Page 33

34 4. Editing data concerning the registered control In order to edit data on the Control sheet (e.g. in case data have been entered incorrectly or it is necessary to enter data after the control process has been completed), the User selects the particular control on the List of controls and presses Edit the function is not visible, but is activated by selecting the control). (before selecting the control, Afterwards, the System displays the Control sheet to be edited. It should be born in mind that there are validation rules and values set up for different fields, as described in Chapter 2 of this Instruction Manual. Page 34

35 NOTE: In case of partnership projects handled in SL2014, by amending the value in the field Controlled partner, which is to amend the formerly selected partner or its removal, the System displays the alert message that blocks the edition of data: Change of data will delete the information entered in sections PPL controls and Effects of the financial control. Are you sure you want to continue?. The User can select: o OK if selected, data in the selected blocks are deleted and the System returns to the Control sheet in the mode of edition, with actual data from after amending values in the field Controlled partner. o Cancel if selected, data in the selected blocks are not deleted and the System returns to the Control sheet in the mode of edition, with actual data from before amending values in the field Controlled partner. CHANGING THE PROJECT NUMBER In case the User finds it necessary to amend a formerly chosen project number, it can amend it by pressing Edit project number that is activated by entering the field Project number. After selecting and approving a new position by pressing Select, the System closes the selection window, the field Project number is filled in, as selected by the User, while the remaining fields filled in on the basis of the contract are filled in again with appropriate values from the actual contract/decision sheet for the newly selected project. Fields from the following blocks: Information on the control (excluding the following fields: Control number, Controlled partner) and Control result formerly filled in by the User remain unchanged. Page 35

36 5. Viewing and printing out a Control sheet The User selects a control on the List of controls and presses Preview. The System displays the Control sheet for the selected control in the read-only mode (without the option to edit data). From the read-only mode, it is possible to move to the mode Sheet printing. To do that, the User presses Print. The window Print preview appears. The User can print out a sheet or save it on the local disk. The User closes the window by pressing Close. It is also possible to print out from the level of the List of controls. To do that, the User selects a control on the List of controls and presses Print, and follows the above mentioned instruction. Page 36

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38 6. Removing controls On the List of controls, the User selects a control and presses Delete. In order to ensure that data are not randomly deleted after the option has been selected, the System displays the alert message: Are you sure you want to delete control? Page 38

39 The User can select: OK the column is deleted by the System and returns to the screen List of controls, Cancel the System returns to the screen List of controls. The fact that a control has been deleted is confirmed by an appropriate communication. NOTE: It is not possible to delete a control under which the Burden sheet has been entered into the System. In case a control is to be deleted, the System displays the message: It is not possible to delete data. There is a related burden sheet for the control in the System. Page 39

40 7. Filtering and searching data In order to find a control, the User presses Filter. The window Filter settings appears that contains fields by which it is possible to find a control. It is possible to find a control by all fields on the form Control sheet, excluding fields that belong to the blocks PPL controls and Effects of financial control, as well as by audit fields: Who created, When created, Who modified, When modified. Page 40

41 In order to cancel the formerly entered filter (display an empty list of controls), the User presses Clear filter Filter settings and presses OK. The User can search data: or presses Clear in the window Page 41

42 by entering a key word, amount or passage of the text, by selecting the checkbox Scope and selecting appropriate amounts/dates by setting up the parameter from-to, by using the drop-down list, where it selects the appropriate parameter =, >, >=, < or <= and enters appropriate amounts/dates. The System makes it possible to search by empty values in different non-mandatory fields on the Control sheet - to do that, the User selects the checkbox Empty field. The User defines parameters of the filter. After they have been accepted, the System displays the filtered List of controls according to the parameters defined by the User. In order to start searching again, the User presses Filter once again. Page 42

43 8. Filtering the List of controls In order to sort data, the User select a header of the appropriate column on the List of controls (e.g. Project number, Control number, Starting date, etc.). Controls are sorted in the ascending order or alphabetically according to the values in the selected column. By clicking again, data are sorted in the descending order. 9. Managing the screen List of controls The User can set up its own list of columns that are to be displayed after entering the screen List of controls by pressing Column display. By pressing the function, the list of fields of the control form is displayed. The User selects the checkbox next to the field that is to appear on the List of controls. Page 43

44 The User can add columns to fields from blocks PPL controls and Financial consequences of the control to the screen List of controls. The User can select: Page 44

45 Accept if selected, the window Column display closes and the System returns to the screen List of controls with the order of columns, as selected by the User. Cancel if selected, the process of adding columns terminates, the window Column display closes and the System returns to the screen List of controls with the former order of columns. The System saves individual settings of the User as to its selected scope of columns. Page 45