Pre-Financing request (ENI-CB)
PURPOSE
This document describes the specifications and details related to the Pre-Financing Request procedure for ENI-CBC.
REGULATIONS
More detail regarding the regulation of the Pre-financing Request can be found in About SFC2014 section of this portal.
ROLES
Roles involved in the Pre-financing Request are:
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MS Certifying Authority MS Managing Authority
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Record Pre-financing Request Upload Pre-financing Request Consult Pre-financing Request Delete Pre-financing Request Cancel Pre-financing Request Validate Pre-financing Request Send Pre-financing Request Return Pre-financing Request Create New Version Pre-financing Request |
|
MS Audit Authority |
Consult Pre-financing Request |
FUNDS
|
ENI |
ERDF |
IPA |
PRE-CONDITIONS
· When creating a new Pre-Financing Request, all existing versions for the same CCI must be 'Sent' to the Commission, 'Cancelled', 'Stopped' or 'Accepted by EC'.
· When creating a new Final Pre-Financing Request, all existing versions (last working version) for the same CCI and Fund must be 'Sent' to the Commission, 'Cancelled' or 'Stopped' or 'Accepted by EC'.
· The Cooperation Programme is adopted and managed on your Node.
· Maximum one version for the same CCI per day can be created.
Workflow
This section shows the lifecycle to create and manage a Pre-financing ENI-CB.
Click here to see the Pre-financing Request ENI-CB workflow diagram in high resolution.
Create a Pre-Financing Request (ENI-CB)
|
REMARK |
When creating a new Pre-Financing Request, all existing versions for the same CCI must be 'Sent' to the Commission, 'Cancelled', 'Stopped' or 'Accepted by EC'. When creating a new Final Pre-Financing Request, all existing versions (last working version) for the same CCI and Fund must be 'Sent' to the Commission, 'Cancelled' or 'Stopped' or 'Accepted by EC'. The Cooperation Programme is adopted and managed on your Node. Maximum one version for the same CCI per day can be created. To create the Pre-Financing you must have MS Certifying Authority or MS Managing Authority with Update access for all funds covered by the CCI (ENI, ERDF or ENI, ERDF & IPA). |
1. To access the Pre-financing request (ENI-CB) section, first click on the Execution menu and then on the Pre-financing request (ENI-CB) link.
2. Click on the Create new pre-financing request link to create a new Payment Application.
You are redirected to the Pre-Financing creation wizard:
3. Enter or select the following information:
(1) Select the CCI code from the drop-down menu.
The CCI list contains all adopted ENICBC Programmes managed at your Node. The list returns the CCI and the Programme Title.
(2) Select the Balance on date
(3) Select the Payments from the EC – From date
(4) Select the Payments from the EC – To date
(5) Select the Expenditure to be incurred by the end of two accounting years following the reported one – From date
(6) Select the Expenditure to be incurred by the end of two accounting years following the reported one – To date
(7) Click on Create.
The status of the Pre-Financing is Open.
Record/Edit the Pre-Financing Request (ENI-CB)
You can only EDIT a version of a Pre-Financing Request, when its status is 'Open', 'Ready to send' or 'Sent' and currently resides on your Node.
Find all the information to complete each screen of the Pre-financing request (ENI-CB). Below are the links to the main sections:
General
Version Information
The Version Information contains information on the identification and status of the Pre-Financing Request Version like the CCI, the Title, the Version Number, the Status and the Node where it currently resides.
It also shows the results of the last validation done on this Pre-Financing Request version.
1. Clicking on the Edit button 
will enable the entry of a new National reference:
The Edit details pop-up window appears:
2. Enter the new National reference or the new date you want to modify and click on Update to save the information.
The display will also contain a Print link allowing generating a PDF version of the encoded information in the format defined by the Template for the Pre-Financing Request. It will allow you to verify what you have entered in the system and what has been modified compared to any previous version.
Officials in Charge
|
Note |
Officials in Charge can be updated at any time, independent from the status of the Pre-financing Request (ENI-CB). |
1. Click on the Add
button 
to add a new official in charge.
·
Select an official and click in the Edit button to modify the information of this official.
·
Select an official and click on the Remove button 
to delete the official in charge selected.
The Edit Details pop-up window appears:
2. Enter the following information:
Enter the Name.
Enter the Email.
Click on Update to save the information.
|
Note |
Commission Officials (email domain "ec.europa.eu") can only be created/updated/deleted by Commission Users. |
History
This section shows all the actions that happened in the Pre-financing Request since it was created, for example:
The email of the User is directly accessible via the email link.
Documents
The following documents will be foreseen:
|
Description |
Non-integral |
Integral |
System |
Required |
|
Provisional Budget/Interim Financial Report |
|
X |
|
|
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Other Member State Document |
X |
|
|
|
|
Snapshot of data before send |
|
X |
X |
X |
|
Bank Account Identification Form |
|
X |
|
X |
Uploading & Sending Documents
Multiple documents can be uploaded in the Pre-financing Request:
·
Clicking on the Add button will open a pop up window allowing you to add a new document type
with attachments.
·
Selecting a document row and click in the Edit buttonwill allow you to modify the
document information. If a document of type 'Other Member State Document' must
be sent, you can select the edit button in order to send the document.
|
REMARK |
Referential Documents (ie. 'Other Member State Document') can be sent at any time independently of the status of the Pre-financing Request. A document is only visible to the Commission when the Sent Date is visible:
|
1. Click on the Add
button to add a new document.
The document detail pop-up window appears:
2. Enter or select the following information:
Select a Document Type
Enter a title for your Document
Enter a Document Date
Click on the Add button to add a new attachment
·
You can add multiple attachments by clicking on
the Add button
·
You can remove unwanted attachments by selecting
the attachment and clicking on the Remove
button
Enter a Title for your attachment.
Select the Language of the document.
Select the file to upload.
Click on Update to save the information or Update & Send to send the document to the Commission.
|
REMARK |
Commission Registration N° is only enabled for Commission Users, while Local Reference is only enabled for Member State Users. |
The pop-up window closes and the documents are uploaded.
Sending an unsent non-integral document
1. Once the document and attachment(s) have been uploaded select the
document row in the list and click
on the Edit button):
2. Click on Update & Send to send the document to the Commission.
|
Note |
The Update & Send link will only be shown for documents which are not integral part of the Object and after at least one attachment was added. If more than one file are uploaded from the same document table, when clicking the Update & Send link, will send all the files and not only the one(s) for which the check-box has been ticked. |
|
Remark |
Non-integral documents (ie. 'Other Member State Document') can be sent at any time independently of the status of the Pre-financing Request. The 'Other Member State Document' type demands a manual submission (they are NOT sent automatically within the Pre-financing). The other document types, integral documents, are automatically sent - together with the encoded data – when the Pre-financing Request is submitted to the EC. A document is only visible to the Commission when the Sent Date is visible. |
Deletion of an unsent document
1. Select a row of a previously uploaded document
and click on the Remove button to delete the document and associated attachments.
A confirmation window appears:
2. Click on Yes to confirm deletion. Click on No to return to the Pre-financing Request documents.
Hiding a sent document
|
Note |
Sent Documents can never be deleted, but the sender can decide to hide the content for the receivers in case of an erroneous and/or accidental send. |
1. Select a row of a previously sent document and
click on the Edit button to hide the document and associated
attachments.
2. Select the Hide Content option and click on Update to hide the Pre-financing Request document.
Observations
This section is to provide any relevant information to the Pre-financing Request ENI-CB.
1. Enter the following information:
(1) Enter an observation.
All Users who have Read and Update Observation permission on the Pre-financing will be able to send an Observation and participate in the conversation.
(2) Click on the Add link to save the information.
All Observations are kept against the specific version of the Pre-financing Request ENI-CB.
Pre-financing request
1. Clicking on the Edit
button will enable the entry of the values
for the amounts of the Pre-financing.
The Pre-financing request screen becomes editable:
2. Enter the following information:
Enter the amount for the Balance on
Enter the amount for the Payments from the EC from
Enter the Expenditure to be incurred by the end of two accounting years following the reported one
Enter the bank account
Click on the Update link to save the information.
|
“Payment needs for the following financial year” = “Expenditure to be incurred by the end of the two accounting years following the reported one” – “Balance” – “Payments from the EC. |
Validate the Pre-Financing Request (ENI-CB)
|
REMARK |
The Pre-Financing Request can be validated when the current version is in status 'Open' and it currently resides at your Node. It is a must to have the role of MS Certifying Authority or MS Managing Authority with Update access for all funds covered by the CCI (ENI, ERDF or ENI, ERDF & IPA) to validate the Pre-financing Request. |
1. Click on the Validate link to validate the Pre-Financing Request version.
The system validates the following information:
|
REMARK |
An Error will block you from sending the Pre-Financing Request version. The error(s) should be resolved and the Pre-Financing must be revalidated. Note that a Warning does not block you from sending the Pre-Financing Request version. |
|
CODE |
VALIDATION RULES |
SEVERITY |
|
2 |
The system validates the integrity of the input fields |
Info |
|
2.1 |
Validate that at least one official in charge of the Member State exists |
Warning |
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2.2 |
Validate that the CCI code matches the following regular expression: · for ENICBC (…TC16M5CB…, …TC16M6CB…) |
Error |
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2.3 |
Validate that the Programme is already adopted |
Error |
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2.4 |
Validate that Balance Date is not null and before the current date. |
Error |
|
2.5 |
Validate that Payment From Date is before Payment To Date and both are not null. |
Error |
|
2.6 |
Validate that Expenditure From Date is before Expenditure To Date and both are not null. |
Error |
|
2.7 |
Validate that the Balance Amount is not null. |
Error |
|
2.8 |
Validate that the Payments Amount is not null. |
Error |
|
2.9 |
Validate that the Expenditure Amount is not null. |
Error |
|
2.10 |
Validate that the Bank Account is not null. |
Error |
|
2.11 |
Validate that the “Provisional budget/Interim Financial Report” (PFR.IFR) was uploaded in the current version with an non-empty attachment. |
Error |
|
2.12 |
Validate that the “Bank account information form” (PFR.BAI) was uploaded in the current version with a non-empty attachment. |
Error |
After all errors have been resolved the status of the Pre-Financing Request becomes Ready to send.
An example of a validation window:
Send the Pre-Financing Request (ENI-CB)
|
REMARK |
The Pre-Financing can only be sent once the Validation Errors have been removed and the status is 'Ready to Send' or 'Sent'. It is a must to have the role of MS Certifying Authority or MS Managing Authority with Update access for all funds covered by the CCI (ENI, ERDF or ENI, ERDF & IPA) to send the Pre-financing Request version. The "4 eye principle" must be respected. Therefore, the user sending must be different from the user who last validated. The Sending of information by a Member State to the Commission should be electronically signed in accordance with Directive 1999/93/EC. Sending of the different objects is generating a snapshot document and after the sending an acknowledge document is generated by the European Commission. |
1. Click on the Send link to send the Pre-Financing to the Commission or to an upper Node.
The system will ask you to confirm the send action:
2. Click on Yes to confirm or on No to return to the Pre-Financing Request.
3. The Sending of information by a Member State to the Commission should be electronically signed in accordance with Directive 1999/93/EC.
Sending of the different objects is generating a snapshot document and after the sending an acknowledge document is generated by the European Commission.
This acknowledge document is signed but the Member State was not signing the snapshot document. The EU Login now provides a functionality of signing without forcing the user to have a certificate. The action to sign will only be triggered when sending to the European Commission:
(1) Enter your SFC2014 Password
(2) Click on the 'Sign' button
On success, the Pre-Financing Request version has been sent to the Commission or to an upper Node. When sent, the status is set to 'Sent'.
Delete the Pre-Financing Request (ENI-CB)
|
REMARK |
A Pre-Financing Request version can be deleted when the status is 'Open' or 'Ready to send' and has never been sent to the Commission before and has no sent documents attached. It is a must to have the role of MS Certifying Authority or MS Managing Authority with Update access for all funds covered by the CCI (ENI, ERDF or ENI, ERDF & IPA) to delete the Pre-financing Request. |
1. Click on the Delete link to remove the Pre-Financing Request version from the system.
The system will ask you to confirm the delete action:
2. Click on Yes to confirm or click on No to return to the Pre-Financing Request version.
Return the Pre-Financing Request for Modification by MS
|
REMARK |
When you want to return the Pre-financing request version sent by the MS/Region because it is incomplete or incorrect and needs to be modified. It is a must to have the role of MS Certifying Authority or MS Managing Authority with Update access for all funds covered by the CCI (ENI, ERDF or ENI, ERDF & IPA) to return the Pre-financing Request. The Pre-Financing Request currently resides at your Node and has a status 'Sent', 'Open', 'Ready to send' or 'Returned for modification by MS' and a lower level exists. |
1. Click on the Return for modification link to return the Pre-financing version.
The system will ask you to confirm the return action.
2. Enter the following information:
Enter the Reason for return.
Click on Yes to confirm or click on No to return to the pre-financing request version.
On success, the Pre-Financing Request version has been set in status ‘Returned for Modification by MS'.
The sender has been notified of the return and its reason.
Cancel the Pre-Financing Request (ENI-CB)
|
REMARK |
When you want to cancel a Pre-financing request version with documents sent to the Commission before it reaches an Acceptance or Stoppage status. The Pre-financing version currently resides on your Node and its status is 'Open' or 'Ready to send' or 'Returned for modification by MS' and has documents sent to the Commission. It is a must to have the role of MS Certifying Authority or MS Managing Authority with Update access for all funds covered by the CCI (ENI, ERDF or ENI, ERDF & IPA) to cancel the Pre-financing Request version. |
1. Click on the Cancel link to cancel the Pre-financing request version in the system.
The system will ask you to confirm the cancel action:
2. Click on Yes to confirm or click on No to return to the Pre-Financing Request version.
On success, the Pre-Financing Request has been cancelled and its status was set to 'Cancelled'.