How to Create, Sign, Validate & Send a Partial Closure?...Selection of the CCI Confirmation of details Step by Step Step 1: Selection of the CCI: 3. Click the button to select the

SFC2007: System for Fund management in the European Community 2007-2013 How to Create, Sign, Validate & Send a Partial Closure?

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 23/11/2012 For more information on this document please contact [email protected]

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How to Create, Sign, Validate & Send a Partial Closure?

Contents of this guide: PURPOSE OF THIS FUNCTIONALITY........................................................................................................................... 2

REGULATION SOURCE ............................................................................................................................................... 2

CONCERNED FUNDS.................................................................................................................................................. 2

USER ROLES AND PERMISSIONS NEEDED.................................................................................................................. 2

BEFORE YOU START, CHECK THAT… ........................................................................................................................ 2

1. Create the Partial Closure ...........................................................................................................3 1.1. How to create a new Partial Closure?...............................................................................3 1.2. The Creation Wizard ...........................................................................................................3 1.3. Edit a Partial Closure...........................................................................................................4 1.4. Edit the Declaration of Partial Closure .............................................................................4 1.5. Editing the Statement of Expenditure...............................................................................5 1.6. Adding the Partial Closure documents ............................................................................5 1.7. Adding the officials in charge ............................................................................................7

2. Sign the Declaration for the Partial Closure............................................................................8

3. Sign the Statement of Expenditure ...........................................................................................9

4. Validate the entered data ............................................................................................................9

5. Send the Partial Closure to the Commission.........................................................................10

6. General .........................................................................................................................................12 6.1. Validation rules for the Partial Closure data .................................................................12 6.2. Workflow of the Partial Closure data .............................................................................13 6.3. Mandatory fields................................................................................................................13 6.4. History & date ....................................................................................................................13 6.5. Associated Documents......................................................................................................14 6.6. Document type 'Other Member State Document' .........................................................14


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.


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Purpose of this functionality

The closure procedure covers the Declaration for the Partial Closure, signed by the Audit Authority and the Statement of Expenditure, signed by the Certifying Authority. Both annexes will be sent together to the Commission by the Managing Authority.

Regulation source

ERDF/CF, ESF: Article 88(2)(b) of Regulation (EC) No 1083/2006

EFF: Article 85(2)(b) of Regulation (EC) No 1198/2006.

Concerned Funds

ERDF/CF ESF EFF

User roles and permissions needed

Before you start, check that…

When creating, the Partial Closure of Operational Programme version does not yet exist or all previous versions are 'Accepted' by the Commission. The Operational Programme is managed on the user's level.

MS Managing Authority Update (MSMA U+S) : Creation and sending of the Partial Closure object.

MS Certifying Authority (MSCA U) and MS Managing Authority (MSMA U) : Update & Sign the Statement of Expenditure.

MS Audit Authority (MSAA U) and MS Managing Authority (MSMA U) : Update & Sign the Declaration for the Partial Closure.

All actors can manage Persons in Charge & Associated Documents.



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1. Create the Partial Closure

1.1. How to create a new Partial Closure? Step by Step

1. Go to the CLOSURE > ERFDF/CF, ESF, EFF PARTIAL CLOSURE menu.

The Partial Closure Search Screen appears.

Step by Step

2. Select the CREATE A NEW PARTIAL CLOSURE link.

The Create Partial Closure Wizard appears.

1.2. The Creation Wizard This wizard is divided into two steps:

Selection of the CCI Confirmation of details

Step by Step

Step 1: Selection of the CCI:

3. Click the button to select the CCI (1).

4. The list of available CCI appears. Select the corresponding one (2). The CCI number is



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automatically filled in.

5. Click on NEXT to go to step 2 of the creation wizard (3).

Step by Step

Step 2: Finalise creation

6. Click on FINISH to finalise the creation wizard.

You are redirected to the edit tabs.

1.3. Edit a Partial Closure

TO GET IN

EDIT MODE:

- If you directly edit the Partial Closure dossier after finishing the wizard, you are directed automatically to the edit tabs. - If you are editing the Partial Closure dossier at a later stage, go to the menu CLOSURE

-> ERDF/CF, ESF, EFF PARTIAL CLOSURE. Search for the existing dossier. It will be displayed in the list. Click on its title. You are directed to the Partial Closure display screen. Select any of the "edit" options that appear. You are directed to the editing tabs.

IMPORTANT!

When modifying one of the items of the Declaration for the Partial Closure, the signature of the signer will be removed and a new sign action by the Audit Authority or the Managing Authority will have to be performed before sending to the Commission is allowed.

When modifying one of the items of the Statement of Expenditure, the signature of the signer will be removed and a new sign action by the Certifying Authority or the Managing Authority will have to be performed before sending to the Commission is allowed.

1.4. Edit the Declaration of Partial Closure tab

IMPORTANT! Only the MS Audit Authority (MSAA U) and MS Managing Authority (MSMA U) can update the Declaration.

Step by Step In the DECLARATION tab:



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7. Enter the information as requested (1).

8. Click on Save to save any changes made (2).

1.5. Editing the Statement of Expenditure tab

IMPORTANT! Only the MS Certifying Authority (MSCA U) and MS Managing Authority (MSMA U) can update the Statement of Expenditure.

Step by Step

9. Click on the STATEMENT OF EXPENDITURE tab and enter the total Expenditure and Corresponding Public Contribution (1):

10. Click on Save to save the entered information (2).

1.6. Adding the Partial Closure documents

IMPORTANT! If the Partial Closure is returned to the Member state by the Commission after sending, the official document (Declaration of Partial Closure) must be uploaded again before validation.

Step by Step

11. To add a new document, select the DOCUMENTS tab.

12. Then select the Add a new Document option.

13. The Add New Document screen appears. Enter the requested information (1): Select the Type of document



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Enter the Name of the document Add the Date of creation of the document Select the Language of the document If any, enter the Local Reference you give to this document

14. Click SAVE to save the entered criteria (2).

15. The Add a new Attachment option appears after you save. Click on it.

16. Give a Title to the uploaded file (1).

17. Click on BROWSE to search for the file on your computer (2).

18. Select the file to upload (3).

19. Click SAVE (4).



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REPEAT STEPS 11 TO 19 TO ADD MORE ATTACHMENTS IF NECESSARY.

1.7. Adding the officials in charge

REMARK: This information is optional

Step by Step

20. Select the IN CHARGE tab. The add officials in charge tab appears.

21. Select the Add a new Official in Charge option.

22. Enter the requested data (1): Name of the official (mandatory) E-mail address (mandatory) Phone and Fax Valid from and Until (if the official will be in charge only for a specific period of time) Automatically notified: must be checked in order to receive the automatic notifications. Preferred language: The automatic notifications will be sent in the selected language.

23. Click ADD (2).



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24. Repeat the steps to add as many officials as necessary (no limitation).

TIP If a user no longer wants or needs to receive the automatic notifications, simply select the user, uncheck the Automatically Notified option and click UPDATE.

2. Sign the Declaration for the Partial Closure

IMPORTANT! Only the MS Audit Authority (MSAA U) can sign the Declaration for the Partial Closure.

TO GET TO THE

DISPLAY

SCREEN:

- If you directly want to sign the Declaration of the Partial Closure dossier after editing, click on the Return to Display option in the edit tabs screen (bottom left hand side). - If you are editing the Partial Closure dossier at a later stage, go to the menu CLOSURE

-> ERDF/CF, ESF, EFF PARTIAL CLOSURE. Search for the existing dossier. It will be displayed in the list. Click on its title. You are directed to the Partial Closure display screen.

Step by Step

1. In the display screen of the Partial Closure select the Sign option in the DECLARATION FOR THE

PARTIAL CLOSURE section.

2. The confirmation screen appears. Select YES to confirm signature.

3. The Declaration is signed with your username and today's date.



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3. Sign the Statement of Expenditure tab IMPORTANT! Only the MS Certifying Authority (MSCA U) can sign the Statement of Expenditure.

TO GET TO

THE

DISPLAY SCREEN:

- If you directly want to sign the Statement of Expenditure after editing, click on the Return to Display option in the edit tabs screen (bottom left hand side). - If you are editing the Partial Closure dossier at a later stage, go to the menu CLOSURE

-> ERDF/CF, ESF, EFF PARTIAL CLOSURE. Search for the existing dossier. It will be displayed in the list. Click on its title. You are directed to the Partial Closure display screen.

Step by Step

1. In the display screen of the Partial Closure select the Sign option in the STATEMENT OF

EXPENDITURE section.

2. The confirmation screen appears. Select YES to confirm signature.

3. The Statement is signed with your username and today's date.

4. Validate the entered data

IMPORTANT!

The validation is a technical check to verify the completeness of the data entered. It can be done at any moment of the procedure.

ERRORS will block you from sending the dossier and must be corrected.

WARNINGS are for information purposes only and will not block you from sending the dossier to the commission.



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If there are no ERRORS, the status of the dossier will become VALIDATED.

Step by Step In the DISPLAY PARTIAL CLOSURE screen you have an overview of the dossier and its contents.

4. Click on the Validate option.

The system checks the consistency of the data.

The validation results screen appears:

If no errors are detected, the message 'Object has been validated' appears.

REMARK: After successful validation, the status of the Dossier is "Validated". If errors are detected, the status remains "created"

Validation rules: go to the General Validation rules for the Partial Closure data section

TIP: If errors are detected and you need to modify/add/delete data, click on the Return to Display option and click Edit on the specific section to get to the corresponding edit tab.

5. Send the Partial Closure to the Commission REMARK Make sure that you have access as MS Managing Authority Send (MSMA S).

Step by Step

5. From the validation results screen, click the Return to Display option. The DISPLAY PARTIAL CLOSURE screen appears.

6. Click on the Send option on the upper part of the screen.



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The CONFIRM SENDING screen appears.

The snapshot report is available (this PDF report contains the screenshot of the data to be sent).

7. Click YES to confirm the sending. You are redirected to the DISPLAY screen.

The status of the Partial Closure is "SENT".



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6. General

6.1. Validation rules for the Partial Closure data

CODE VALIDATION SEVERITY

2.1 validate that the Partial Closure of Operational Programme is linked to the last adopted Operational Programme version present at validation time (error)

Error

2.2 validate that the "Operations Completed From" date is < "Operations Completed To" date is < Current Date (error)

Error

2.3 validate that the Statement of Expenditure contains all Priorities present in the last adopted Operational Programme Version (SFCF) (error)

Error

2.4 validate that the Statement of Expenditure contains all Region Types and Priorities present in the last adopted Operational Programme Version (EFF) (error)

Error

2.5 validate that Designated Body is provided (error) Error

2.6 validate that the Declaration and the Statement of Expenditure are each signed by a valid application user:

• when on highest Member State node (error) • when on a lower Member State node (warning)

Error

Warning

2.7 validate that at least one Member State Official in Charge exists (warning)

Warning

2.8 validate that community contribution per priority in the Statement of Expenditure is <= community contribution per priority present in the linked Operational Programme Version (SFCF and EFF) (warning). This has a side effect for SFCF, where the community contribution has to be calculated: If calculation basis = total cost, then community contribution is the smallest of (cofinancing rate * Total Expenditure) and Public Amount. If calculation basis = public cost, then community contribution is cofinancing rate * Public Amount.

Warning

2.9 validate that in the Statement of Expenditure per Priority, the Total Expenditure is >= EFF Contribution + National Contribution (EFF) (error)

Error

2.10 validate that in the Statement of Expenditure per Priority, the Total Expenditure is >= Public Amount (SFCF) (error)

Error



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6.2. Workflow of the Partial Closure data Object action Acting authority Status of the Partial Closure Creation MS Managing Authority - Completion of data - Upload of Declaration document

MS Managing Authority

- Completion of data for Declaration of the Partial Closure - Upload of Declaration document - Signature for Declaration of the Partial Closure.

MS Audit Authority

- Completion of data for Statement of Expenditure - Upload of Declaration document - Signature for Statement of Expenditure.

MS Certifying Authority

Created1

Validation of data. MS Managing Authority MS Audit Authority or MS Certifying Authority

Validated

Partial Closure submission to the EC MS Managing Authority Sent The EC official returns the Partial Closure to the Member State.

Returned2

The Partial Closure is approved by the EC official.

EC Operational Agent Closure Accepted

1 The Partial Closure can only be deleted from the system by the MSMA; if so, it is no longer visible. Deletion can only occur if the Partial Closure has never been sent to the Commission. 2 The EC official returns the Partial Closure as it requires correction and/or complementary information (optional stage). The MS is to upload the corrected Declaration (official document) before the resubmission of the object.

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

.

6.4. History & date In the HISTORY tab of the Partial Closure, all report statuses are logged with its respective level (MS or EC), date and users:



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6.5. Associated Documents In the ASSOCIATED DOCUMENTS tab, all documents are registered with its type, language, date of uploading and submission.

If the 'Sent Date' column is blank, either:

• The status of the Partial Closure is still 'created' or 'validated' and the document 'type' is 'Declaration of Partial Closure' (this is an official document and will be sent to the commission when the Partial Closure is sent).

• It is document 'type': 'Other Member State Document'. In this case the document must be sent manually (cf. section 6.6).

The Commission Registration number (automatically attributed once document is sent to the Commission) and details of the user (who edited, uploaded and sent the documents) can be checked through the button, which activates the yellow window with the information.

6.6. 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 Partial Closure workflow.

If applicable, follow the steps of section 1.6 to complete the uploading of the document, and choose the 'Other MS Document' document type.