How to create, validate & send an Audit Strategy for EBF, ERF, EIF and RF?

Transcription

1 How to create, validate & send an Audit Strategy for EBF, ERF, EIF and RF? Contents of this guide: 1. Create an Audit Strategy Edit an Audit Strategy General Funds Covered Documents Officials in charge Validate the Audit Strategy Send the Audit Strategy Creation of a new version of the Audit Strategy General Statuses History & details of uploaded documents Mandatory fields Edition and deletion of recorded data New version of Audit Strategy Document type 'Other Member State Document' Automatic notifications Validation rules...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 Last revised: 01/02/2012 Page 1

2 Purpose of this functionality This functionality enables Member States to create, validate and submit an Audit Strategy 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 Strategy for the SOLID fund(s) 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 Last revised: 01/02/2012 Page 2

3 1. Create an Audit Strategy Step by step 1. Go to the AUDIT > AUDIT STRATEGY (SOLID) menu. The search pane screen and the list of Audit Strategy (AS) appear. 2. Click on Create a new Audit Strategy. The Create Audit Strategy wizard appears. It is divided in two steps: Step 1: Provide General Details 3. Enter the title of the AS in the corresponding field (1). 4. Click on NEXT (2). Page 3

4 Step 2: List Funds Covered 5. Select the concerned fund(s) (1). 6. Click on FINISH (2). a. The title of the AS is unique for all Member States. If a title has already been used, the system prevents the creation of a second AS 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 Strategy 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. You are automatically directed to the tabs (cf. Figure 2 - Tab view) to be completed if you edit the AS after finishing the wizard. NOTE If the AS is to be edited at a later stage, go to the AUDIT > AUDIT STRATEGY (SOLID) menu (cf. step 1). The existing AS 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. Page 4

5 2. Edit an Audit Strategy The contents of the AS are displayed in different tabs, which are to be completed before validation and submission to the EC: General, Funds Covered, Documents and In Charge. They can be displayed by tabs or as a list of tables: Figure 1 List view (Display) Figure 2 - Tab view Page 5

6 2.1. General SFC2007: System for Fund management in the European Community This tab refers to the AS title and the optional comments to be written and saved. As long as the AS 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) Funds Covered The fund(s) covered by the AS can be modified in this tab, provided that the AS 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 AS, keep the Control key pressed and click on the other fund(s) to be added with the mouse (2). 12. Click on the SAVE (3). 13. If a fund is to be deleted from the AS, 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) Page 6

7 2.3. Documents SFC2007: System for Fund management in the European Community The audit strategy document(s) is to be uploaded in this tab. There are two types of documents: MS Audit Strategy and Other MS Document. Step by step 15. Click on the DOCUMENTS tab (1). 16. Click on Add a new Document (2). 17. Select the document to be uploaded in the 'Type' drop down list. 18. Fill in the 'Title' field with 255 characters maximum (alphanumeric field). 19. 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 to open the calendar window to select the corresponding date. Page 7

8 20. Select the 'Language' of the document in the drop down list and click on SAVE. The fields 'Local Reference' and 'Comments' are optional. 21. The system activates the Add a new Attachment link, which enables the upload of the MS Audit Strategy. Click on it. Page 8

9 22. 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). 23. 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 21). b. If an additional document of the same type needs to be uploaded, click on Add a new Attachment and restart the operation. Page 9

10 24. For the upload of 'Other MS Document', please refer to steps 15 to 22. This type of document requires a manual submission after being uploaded: a. In case the document has to be suppressed after having saved it (to be re-downloaded by an updated one), please click on and start the operation again. b. The upload of the document type 'MS Audit Strategy' is mandatory. After uploading the 'MS Audit Strategy', the system displays the message below: REMARKS This type of document will be sent together with the encoded information of the AS. The system does not accept the AS 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 AS to the EC. It covers any complementary information to be attached to the AS Officials in charge Following the upload of the document(s) associated to the AS, the MSAA may assign one or several contact persons within the MS who will be responsible for the AS via the IN CHARGE tab. Each exchange of information generated within the system for the AS will generate the dispatching of an automatic notification to the mailbox(es) encoded in the ' ' field. Step by step 25. Click on the IN CHARGE tab (1) 26. Click on Add a new Official in Charge (2). Page 10

11 27. Complete the mandatory fields ('Name' and ' ') and click on ADD. 28. If there is more than one Official in charge for the AS, restart the operation (cf. steps 25 to 27). a. Optional fields: - 'Valid From' and 'Until' indicates the period during which the official(s) in charge will be responsible for the AS. - '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 Member State authority who will be in charge of the AS, he/she can be deleted by clicking on. d. The submission of an AS 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 AS validation and dispatch to the EC. Page 11

12 3. Validate the Audit Strategy After completion of the AS by the MSAA, the system generates the Validate link. This link is available when opening the AS through the AUDIT > AUDIT STRATEGY (SOLID) > DISPLAY AUDIT STRATEGY 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 AS, the system switches the report status from 'Created' to 'Validated'. REMARK The AS is not visible at the EC level with the 'Created' and 'Validated' statuses. Page 12

13 4. Send the Audit Strategy 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 AS submission. REMARKS a. The data snapshot is created in the language the MSAA user account's node is linked to. b. The AS is visible at the EC level as from the moment its status is 'Sent'. Page 13

14 5. Creation of a new version of the Audit Strategy ATTENTION The MSAA can create a new version of the AS, provided that its status is 'Accepted'. In this case, a copy of the original document is generated. Its version is incremented by one, its status is reset to 'Created', the data becomes editable and the button Validate is available again. The title of the AS can be modified and one or more funds can be added to this new version, if any other AS has covered these funds for the programming year. Step by Step 1. Go to the AUDIT > AUDIT STRATEGY (SOLID) > LIST AUDIT STRATEGY menu and click on the click on the Country link of the AS whose version is to be incremented. 2. Click on Create a new Version. 3. Click on YES to confirm the request. 4. Execute the required modifications on the new version and click on Validate. Page 14

15 The report is validated, provided that all business rules are respected, with an incremented version and its status becomes 'Validated'. 5. Click on Send. 6. Click on YES to confirm the AS submission. Page 15

16 6. General 6.1. Statuses The summary of the AS statuses is presented in the table below: REPORT ACTION Acting authority Status of the AS CREATION OF AS COMPLETION OF INFORMATION UPLOAD OF OFFICIAL DOCUMENTS VALIDATION SUBMISSION TO EC OFFICIALS THE EC OFFICIAL RETURNS THE AS AND REQUESTS MODIFICATION IN ITS TEXT. THE EC OFFICIAL RETURNS THE AS AND REQUESTS CORRECTION IN THE PROVIDED INFORMATION THE EC OFFICIAL HAS ACKNOWLEDGED RECEPTION OF THE MS AUDIT STRATEGY THE EC OFFICIAL HAS ASSESSED THE STRATEGY AND OFFICIALLY ACCEPTED IT. MS Audit Authority EC Audit Agent Created Validated Sent Returned - with EC comments 1 Returned - for clarification 1 Admissible 1 Accepted 1 THE EC OFFICIAL CAN RETURN THE AS AT ITS RECEPTION (STATUSES: 'SENT 'OR 'ADMISSIBLE'). THE STRATEGY CAN THEN BE CORRECTED AND RESUBMITTED BY THE MSAA. BEFORE RESUBMISSION, THE MS AUDIT STRATEGY OFFICIAL DOCUMENT IS TO BE UPLOADED AGAIN WITHIN THE AS History & details of uploaded documents In the HISTORY tab of the AS, 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 AS proposal as it is to be submitted manually. Page 16

17 The details of the user - who uploaded and sent the documents - can be checked through the button, which activates a yellow window: 6.3. 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 Edition and deletion of recorded data The table below presents the operations that can be executed in the AS throughout its workflow: REPORT'S STATUS ACTION Data edition AS deletion CREATED VALIDATED SENT RETURNED - WITH EC COMMENTS * RETURNED - FOR CORRECTION * ADMISSIBLE ACCEPTED SENT (AFTER RE-OPENING) * CREATED (NEW VERSION) * LABELS * has permission only documents uploading and Officials in charge modification details, addition or deletion hasn't permission Optional stage 6.5. New version of Audit Strategy When a new version of the AS is created, all data of the original report is kept in the incremented version. However, all uploaded documents in the original version (by the MSAA and EC officials) are suppressed. Page 17

18 Consequently, the system accepts to validate the new version of the AS, provided that MS Audit Strategy is uploaded again. Note that: the original report is kept in the system (version 1) along with the incremented version (version 2), the history workflow of the original report (version 1) is deleted from the HISTORY tab; only the new version workflow (version 2) is kept Document type 'Other Member State Document' The document type 'Other Member State Document' can be uploaded and submitted to the EC throughout the different statuses of the AS Automatic notifications An automatic notification ( ) is generated and sent to the mailbox of the authority indicated in the ' ' field of the IN CHARGE tab (cf. step 27) for the following executed operations: SENT EVENT RETURNED (FOR CLARIFICATION OR WITH EC COMMENTS) ADMISSIBLE ACCEPTED Executed operation in the Audit Strategy object The MSAA has submitted a first version of the AS to the EC Audit Agent (ECAA) - (version n) The MSAA has submitted a revised version of the AS to the ECAA - (version n+1) The ECAA has returned the AS to the MSAA The ECAA acknowledges the AS by admitting it The ECAA accepts the AS The authority can visualize the latest update of the Audit Strategy by clicking on the here link, which redirects her/him to the related document within SFC Validation rules VALIDATION RULES A title for the Member State Audit Strategy must be provided. At least one SOLID fund must be covered in the Member State Audit Strategy. The Member State Audit Strategy document must be uploaded in the system. At least one Official in Charge is to be provided. SEVERITY Error Error Error Warning Page 18

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