Operational Programme (SME)

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MS Audit Authority

MS Certifying Authority

Consult Operational Programme

ERDF

CF

ESF

YEI

Description

Non-Integral

Integral

System

Required

Supplementary information

X

Other Member State Document

X

Snapshot of data before send

X

X

X

Acknowledgment of Receipt

X

X

Draft Report of the Ex-ante Evaluation with an executive summary

X

X (only on version 1.0)

Documentation on the assessment of the applicability and the fulfilment of ex-ante conditionalities

X

Opinion of national equality bodies on sections 12.2 and 12.3

X

Citizens' summary

X

Standard Funding Agreement for SME Programmes

X

Legal Entity Form

X

Bank Account Identification Form

X

MS Request to withdraw programme version

X

MS Request to return programme version for modification

X

CODE

VALIDATION RULES

SEVERITY

2

The system validates the integrity of the input fields

INFO

2.1

Validate that the First Year and the Last Year are >= 2014 and <= 2020 and that First Year is <= Last Year.

ERROR

2.2

Validate that at least one Priority Axis has been defined.

ERROR

2.4

Validate that Technical Assistance Priority Axes are mono-Fund.

ERROR

2.6

Validate that the Financing Plan per Priority Axis (Table 18a) contains EU Support for all Priority Axis, Fund and Category of Region combinations defined in the Programme.

In versions > 1 this EU Support can be 0.

ERROR

WARNING

2.8

Validate that one and only one Managing Authority has been specified

ERROR

2.9

Validate that one and only one Audit Authority has been specified

ERROR

2.10

Validate that one and only one Certifying Authority has been specified

ERROR

2.11

Validate that for each of the Categorisation Breakdowns (Tables 7-10 and 14-16), the total Union Support per Priority Axis and Fund equals the total Union Support (main + performance) per Priority Axis and Fund in Table 18a, and vice versa. When Programme Version Major Amendment is true then (error) else (warning). For Table 11 the Total does not have to add up. This rule doesn't apply for SME Programmes since they do not have Categorisation.

ERROR

WARNING

2.14

Validate that at least one official in charge of the Member State exists.

WARNING

2.15

Validate that the CCI code matches the regular expression:

(……16..OP…|……05(?!FM)OP…|……05(?!FS)OP…|……05..TA…|……16..TA…|……16..SM…|2020..16RFRE…|2020..05SFRE…|2020..16M2RE…|2020..05M2RE…|2020..16M0RE…|2020..05M0RE…|2020..05M9RE…)

ERROR

2.17

Validate that the Partnership Agreement of the Country of the OP has already been sent except for a Dedicated YEI Programmes and SME Programmes who will not be in the Partnership Agreement.

ERROR

2.21

Validate that in Table 22, the Priority Axis, Investment Priority, Fund, and Category of Region combination is defined for the Programme.

ERROR

2.22

Validate that Major Projects defined against this Programme in the Major Project module are listed in Table 27 by comparing the Priority Axis, Investment Priority and Major Project Title information.

ERROR

2.23

Validate that for SME Programmes the co-financing rate at Priority Axis is 100%.

WARNING

2.24

Validate that SME Programmes and SME Priority Axes only use Thematic Objective 3.

ERROR

2.25

Validate that SME Programmes have no data on Section 1 (except Table 1), Section2A Tables 4, 4a, 6, 7-11, Section 2B, Table 18b, Table 18c, Table 19, Section 4, Section 5, Section 6, Paragraph 7.2.2, Paragraph 7.2.3, Section 8, Section 10, Section 11, Section 12 (implicit in web).

ERROR

2.27

Validate that TA Programmes have no data on Section 1 Table 1, Section 2A, Section 3 Tables 18b and 18c, Section 7.2.2, Section 9.2 Table 26, Section 12.1 Table 27 and Section 12.2 Table 28 (implicit in web).

ERROR

2.31

Validate that in Table 27 on the Major Projects, the notification date <= the start date <= completion date.

ERROR

2.32

Validate that in Table 18b per Priority Axis, the ESF matching support is at least equal to the YEI specific allocation.

ERROR

2.33

Validate that there are no Technical Assistance Priority Axes for Fund YEI (implicit in web)

ERROR

2.34

validate that in Table 18b, on the YEI record the amounts for the National Public and National Private Funding are 0 or null (implicit in web)

ERROR

2.35

Validate that at least one Investment Priority with one Specific Objective is defined for each non-Technical Assistance Priority Axis

ERROR

2.36

Validate that at least one Specific Objective is defined for each Technical Assistance Priority Axis where the Union Support exceeds  €15M

ERROR

2.37

Validate that for each YEI related Investment Priority, all Common Indicators are foreseen in Table 4a (implicit in web).

ERROR

2.38

Validate that for SME Programmes, only Investment Priorities of Thematic Objective 3 are selected Table 1.

ERROR

2.39

Validate that baseline is not null in Table 3. "Indicator {0} has no baseline in Table 3 for priority axis {1}, investment priority {2} and specific objective {3}"

WARNING

2.40

Validate that total baseline is not null when total target is not null in Table 4.   "Indicator {0} with a target has no total baseline in Table 4 for priority axis {1} and investment priority {2}"

WARNING

2.41

Validate that when baseline men or women is not null that baseline total is null and that when baseline men and women are null that baseline total is not null in Table 4. "Indicator {0} has both a total baseline value and a gender breakdown or no baseline value at all in Table 4 for priority axis {1} and investment priority {2}"

WARNING

2.42

Validate that when target men or women is not null that target total is null and that when target men and women are null that target total is not null in Table 4. "Indicator {0} has both a total target value and a gender breakdown or no target value at all in Table 4 for priority axis {1} and investment priority {2}"

WARNING

2.43

Validate that total baseline is not null when total target is not null in Table 4a. "Indicator {0} with a target has no total baseline in Table 4a for priority axis {1} and investment priority {2}"

WARNING

2.44

Validate that when baseline men or women is not null that baseline total is null and that when baseline men and women are null that baseline total is not null in Table 4a. "Indicator {0} has both a total baseline value and a gender breakdown or no baseline value at all in Table 4a for priority axis {1} and investment priority {2}"

WARNING

2.45

Validate that when target men or women is not null that target total is null and that when target men and women are null that target total is not null in Table 4a. "Indicator {0} has both a total target value and a gender breakdown or no target value at all in Table 4a for priority axis {1} and investment priority {2}"

WARNING

2.46

Validate that baseline is not null when target is not null in Table 12 for ESF. "Indicator {0} for ESF with a target has an empty baseline in Table 12" for priority axis {1} and specific objective {2}"

WARNING

2.47

Validate that when baseline men or women is not null that baseline total is null and that when baseline men and women are null that baseline total is not null in Table 12. "Indicator {0} has both a total baseline value and a gender breakdown or no baseline value at all in Table 12" for priority axis {1} and specific objective {2}"

WARNING

2.48

Validate that when target men or women is not null that target total is null and that when target men and women are null that target total is not null in Table 12. "Indicator {0} has both a total target value and a gender breakdown or no target value at all in Table 12 for priority axis {1} and specific objective {2}"

WARNING

2.49

Validate that total target is not null in Table 12 for ERDF/CF. "Indicator {0} for ERDF/CF has no target in Table 12 for priority axis {1} and specific objective {2}"

WARNING

2.51

Validate that all programme specific output and result indicators are quantitative in Table 6. "Indicator {0} is not a quantitative indicator in Table 6 for priority axis {1}".

WARNING

2.52

Validate that there is at least one target value defined, either in total, either in men or either in women in Table 6.

"Indicator {0} has no target value at all in Table 6 for priority axis {1}"

WARNING

2.53

Validate for non-CARE and CARE Priority Axes, that there is at least one milestone value defines, either in total, either in men or either in women in Table 6.

"Indicator {0} has not milestone value at all in Table 6 for priority axis {1}

WARNING

2.55

Validate that in Table 11 (Dimension 6 – ESF Secondary Theme) only Funds ESF and YEI are used.

ERROR

2.56

Validate for non-CARE Priority Axes that the list of Funds of the Investment Priorities defined under a Priority Axes is equal to the list of Funds defined under that Priority Axis in "Funds, Categories of Region and Calculation Basis".

ERROR

2.58

Validate in Table 18c that the total amounts over Priority Axis, Fund, Category of Region equal the amounts per Priority Axis, Fund, Category of Region of Table 18a:

·         T18c Union Support = T18a Union Support (A)

·         T18c National Counterpart = T18a National Counterpart (B)

ERROR

2.59

Validate for subsequent major versions that compared to the previous major version

·         The title was not modified. We implement this via a validation rule, because in some exceptional cases the title can change. In that case we can just lower the validation level to warning, so the MS can do the update and we do not have to do the update directly in the database. In order to easily and independently switch the validation level we should not implement this rules together with rule 2.16

ERROR

2.60

Validate that all integral documents have at least one attachment with a length > 0.

ERROR

2.61

Validate that in Table 17, the Main Allocation and the Performance Reserve amounts have no decimals. "The annual financing plan must be in euros, without decimals".

ERROR

2.62

Validate for each YEI Priority Axis in Table 18a that the Union Support (A) equals the total Union Support (A) for that Priority Axis in Table 18b

ERROR

2.63

validate that Investment Priorities of Thematic Objective 12 can only be used under Priority Axes for ERDF with Category of Region 'Outermost or Northern Sparsely Populated'

ERROR

2.64

Validate that in Table 18a, the Union Support (a), the National Public Funding (c), the National Private Funding (d), the EIB Contribution (g) and the Performance Reserve Union Support (j) have no decimals. "The financing plan must be in euros, without decimals"

ERROR

2.66

Validate when Total Funding (E) is > 0 that the (Union Support (A) / (Union Support (A) + National Public Funding (C))) * 100 of each Programme Priority Plan record in Table 18a is minimum 20% (Art. 120(6) of Reg. 1303/2013 says that “the contribution from the funds for each priority axis shall not be less than 20% of the eligible public expenditure”)

ERROR

2.67

Validate for non-SME Programmes that the co-financing rate of each non-YEI Programme Priority Plan record in Table 18a doesn't exceed the maximum allowed co-financing rate

The maximum allowed co-financing rate for a ProgrammePriorityPlan record and the severity level for the rule are determined as followed: 

IF NonTaPriorityAxisSfCf.unionFinancialInstruments is true or NonTaPriorityAxisSfCf.sme is true or FosteringCrisisRepair is true 

THEN set maximum co-financing rate = 100% (error); 

ELSIF ProgrammePriorityPlan.Fund = CF and (NonTaPriorityAxisSfCf.financialInstruments is true or NonTaPriorityAxisSfCf.localDevelopment is true) THEN set maximum co-financing rate = 95% (error); 

ELSIF NonTaPriorityAxisSfCF.naturalDisasters is true 

THEN set maximum co-financing rate = 95% (error); 

ELSIF ProgrammePriorityPlan.Fund = CF  

THEN set maximum co-financing rate = 85% (error); 

ELSE  

Get distinct maximum co-financing rate(s) from MaxCofinancingRateErdfEsf  

for CCI.Country/PriorityPlanSfCf.RegionCategory; 

IF it returns no value  

THEN no maximum co-financing rate (no validation needed); 

ELSIF it returns one distinct value  

THEN save it as maximum co-financing rate (error); 

ELSE (It returned a list of distinct values)  

get distinct maximum co-financing rate(s) from MaxCofinancingRateErdfEsf  

for CCI.Country/PriorityPlanSfCf.RegionCategory/NUTS  

for each NUTS region covered by the Programme (ProgrammeRegion); 

IF it returns no value  

THEN save highest rate from the previous list as maximum co-financing rate (warning); 

ELSIF it returns one distinct value  

THEN save as maximum co-financing rate (error); 

ELSE (It returned a list of distinct values) save highest rate as maximum co-financing rate (warning); 

END IF; 

END IF; 

-- Determine if an increase must be applied to the maximum co-financing rate 

IF NonTaPriorityAxisSfCf.socialInnovation is true or NonTaPriorityAxisSfCf.financialInstruments is true or NonTaPriorityAxisSfCf.localDevelopment is true  

THEN add 10% to maximum co-financing rate, not exceeding 100%; 

END IF; 

END IF; 

ERROR

2.68

Validate that the co-financing rate of each non-YEI Priority Plan record in Table 18b doesn't exceed the maximum allowed co-financing rate

The maximum allowed co-financing rate for a YeiPriorityPlan record and the severity level for the rule are determined as followed:

IF NonTaPriorityAxisSfCf.unionFinancialInstruments is true or PriorityAxisSfCf.reactEu is true

THEN set maximum co-financing rate = 100% (error);

ELSE

Get distinct maximum co-financing rate(s) from MaxCofinancingRateErdfEsf

for the CCI.Country/YeiPriorityPlan.RegionCategory combinations covered by in the Programme;

IF it returns no value

THEN no maximum co-financing rate (no validation needed);

ELSIF it returns one distinct value

THEN save it as maximum co-financing rate (error);

ELSE (It returned a list of distinct values)

get the maximum co-financing rate from MaxCofinancingRateErdfEsf

for the CCI.Country/YeiPriorityPlan.RegionCategory/NUTS combinations covered by the Programme

IF it returns no value (Can happen when covered NUTS codes are not in line with covered Categories of regions)

THEN save highest rate from the previous list as maximum co-financing rate (warning);

ELSE

save as maximum co-financing rate (error);

END IF;

END IF;

-- Determine if an increase must be applied to the maximum co-financing rate

IF NonTaPriorityAxisSfCf.socialInnovation is true or NonTaPriorityAxisSfCf.financialInstruments is true or NonTaPriorityAxisSfCf.localDevelopment is true

THEN add 10% to maximum co-financing rate, not exceeding 100%;

END IF;

END IF;

ERROR

2.69

Validate that there is at least one record in the Region Coverage.

ERROR

2.71

Validate that in Table 27 on the Major Projects, that each record has at least one Priority Axis/Investment Priority reference.

ERROR

2.72

Validate that the "Number of Bodies to whom payments will be made by the Commission in Table 23 is not bigger than the number of Funds covered by the Programme".

ERROR

2.73

Validate when version > 1 that when Major Amendment is set, that the Justification for amendment is not null.

ERROR

2.74

Validate when version > 1 that when Major Amendment is not set, that the MS amending decision information is not null (Number, Date and Entry into force date)

ERROR

2.75

Validate when version > 1 that the Approval by the monitoring committee is ticked (“In accordance with Article 210(2)(e) CPR, any amendment of the programme needs the approval by the monitoring committee).

ERROR

2.76

Validate when Priority Axis is dedicated to natural disasters that it only covers ERDF.

ERROR

2.77

Validate when Programme contains a natural disasters Priority Axis that the total Union support on natural disasters over all Member State Programmes is <= 5% of the Total ERDF Union support over all Member State Programmes.

WARNING

2.78

Validate that the “use of Art.96(8) CPR” is not set for countries other than ‘AT’, ‘CY’, ‘DK’, ‘EE’, ‘HR’, ‘LT’, ‘LU’, ‘LV’, ‘SI’.

Error message should say “Your Programme cannot make use of Article 96(8)”.

ERROR

2.79

Validate that the 2023 Target Values (Total, Men and Women) per PA/IP in Table 4 and 4A on Common Result Indicators with a “measurement unit for baseline and target” = Number, and with an “Output Indicator as basis for target setting”, are <= the 2023 Target Values (Total, Men and Women) for the same PA/IP of the referred Output Indicator in Table 5.

=> “Total target value entered in table {0} is > total target value entered in table 5 for priority axis: {1}, investment priority: {2}, region category: {3}, result indicator: {4}, output indicator: {5} ({6} > {7})"

=> "Men target value entered in table {0} is > men target value entered in table 5 for priority axis: {1}, investment priority: {2}, region category: {3}, result indicator: {4}, output indicator: {5} ({6} > {7})"

=> "Women target value entered in table {0} is > women target value entered in table 5 for priority axis: {1}, investment priority: {2}, region category: {3}, result indicator: {4}, output indicator: {5} ({6} > {7})"

ERROR

2.83

Validate in Table 4, that Common Indicators CO12, CO13 and CO14 are not used as basis for target setting.

=> "Common Indicators CO12, CO13 and CO14 are obsolete following the omnibus regulation. They should eventually be replaced by programme specific indicators. If you want to keep using household indicators as basis for target setting, you have to encode them as programme specific indicators: Table 4, priority axis: {0}, investment priority: {1}, region category: {2}, result indicator: {3}, output indicator: {4}”

WARNING

2.84

Validate in Table 4A, that Common Indicators CO12, CO13 and CO14 are not used as basis for target setting.

=> "Common Indicators CO12, CO13 and CO14 are obsolete following the omnibus regulation. They should eventually be replaced by programme specific indicators. If you want to keep using household indicators as basis for target setting, you have to encode them as programme specific indicators: Table 4A, priority axis: {0}, investment priority: {1}, result indicator: {2}, output indicator: {3}”

WARNING

2.85

Validate in Table 5, that Common Indicators CO12, CO13 and CO14 are not used anymore.

=> "Common Indicators CO12, CO13 and CO14 are obsolete following the omnibus regulation. They should eventually be replaced by programme specific indicators. If you want to keep using household indicators in the programme as output indicators with a quantitative target, you have to encode them as programme specific indicators: Table 5, priority axis: {0}, investment priority: {1}, region category: {2}, output indicator: {3}”

WARNING

2.86

Validate in Table 6, that Common Indicators CO12, CO13 and CO14 are not used anymore.

=> "Common Indicators CO12, CO13 and CO14 are obsolete following the omnibus regulation. They should eventually be replaced by programme specific indicators. If you want to keep using household indicators in the performance framework, you have to encode them as programme specific indicators: Table 6, priority axis: {0}, fund: {1}, region category: {2}, output indicator: {3}”

WARNING

2.87

Validate in Table 13, that Common Indicators CO12, CO13 and CO14 are not used anymore.

=> "Common Indicators CO12, CO13 and CO14 are obsolete following the omnibus regulation. They should eventually be replaced by programme specific indicators. If you want to keep using household indicators in the programme as output indicators with a quantitative target, you have to encode them as programme specific indicators: Table 13, priority axis: {0}, output indicator: {1}”

WARNING

2.88

Validate in Table 18a, when minor amendment, that the Union Support (A) for a Priority/Fund/ [Category of Region] does not decrease by more than 8% compared to the value existing in the last adopted programme version existing at 01.02.2020

WARNING

2.89

Validate in Table 18a, when minor amendment, that the Union Support (A) for a Priority/Fund/ [Category of Region] does not decrease by more than 4% of the Programme Total Union Support (A) in the last adopted programme version existing at 01.02.2020

WARNING

2.90

Validate in Table 18a, when minor amendment, that the total Union Support (A) for a Fund/ [Category of region] has not changed compared to the value existing in the last adopted programme version

ERROR

2.106

Validate in table 18a that there is no priority axis selected in the column ‘100% co-financing rate for accounting year 2020-2021’.

ERROR

2.116

Validate in the categorisation tables 7, 8, 9, 10 and 11, that the Fund is a Fund defined under the Priority Axis in "Funds, Categories of Region and Calculation Basis" (PriorityAxisFundRegionCategory).

ERROR

2.117

Validate in Table 4 for Result Indicators different from CR05 and CR09, when the Measurement unit for baseline and target is Ratio that a Common Output Indicator used as basis for target setting is selected.

=> "In Table 4 when the Measurement unit for baseline and target is Ratio, a Common Output Indicator used as basis for target setting is expected: priority axis: {0}, investment priority: {1}, region category: {2}, result indicator: {3}” 

WARNING

2.118

Validate in Table 4a for Result Indicators different from CR05 and CR09, when the Measurement unit for baseline and target is Ratio that a Common Output Indicator used as basis for target setting is selected

=> "In Table 4a when the Measurement unit for baseline and target is Ratio, a Common Output Indicator used as basis for target setting is expected: priority axis: {0}, investment priority: {1}, result indicator: {2}”

WARNING

2.119

Validate in Table 4 for Result Indicators, that the Measurement unit for baseline and target has a value

=> "In Table 4 the Measurement unit for baseline and target should have a value: priority axis: {0}, investment priority: {1}, region category: {2}, result indicator: {3}”, output indicator: {4}”

WARNING

2.120

Validate in Table 4a for Result Indicators, that the Measurement unit for baseline and target has a value

=> "In Table 4a when a Common Output Indicator used as basis for target setting is selected, the Measurement unit for baseline and target should have a value: priority axis: {0}, investment priority: {1}, result indicator: {2}”, output indicator: {3}”

WARNING

2.122

Validate in the table 14 for ESF that Intervention field codes 102 to 120 are not used (error)

=> "In Table 14 for priority axis “{1}”, Fund “{2}” and category of region “{3}”, Intervention field codes 102 to 120 cannot be used”

ERROR

REMARK

Major amendment, Justification for amendment, MS amending decision number, MS amending decision date and MS amending decision entry into force date are only available in versions > 1.

The MS related fields need to be filled in when the MS wants to create a version containing modifications which do not require a Commission Decision. This kind of version will automatically be set to 'Adopted by MS' when sent to the Commission and when only non-decisional parts of the Operational Programme have been modified.

When Major amendment is set, a Justification is required and the version will need a new Commission Decision, even when only non-decisional parts have been modified.