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MCIS Irregularities User Guide

1. Priority Axis P3 Amount of the Irregularity Identification of x Communication Capital Irregular Expenditure Revenue Irregular Expenditure Total Irregular Expenditure Irregularity Editor Irregularity Manager P2 100 00 25 00 0 00 Comments y P3 50 00 13 78 0 00 ih Clawhacks E Comments v P3 50 00 13 78 0 00 Si R Clawbacks Total 0 00 0 00 0 00 Clicking on one of these links may result in changes lost Are These Estimates O Key Yes No Can irregularity be submitted with page in this state Possibility of recovery v Yes Has Further Payment Been Suspended No Yes No Page H No Provide Further Details of Why Further Payment amounts are small We have no concerns that there may be larger scale or systemic irregularity Has Not Been Suspended Is empty E Is complete Contains errors or warnings Potential for Recovery of ERDF Funds Reported e D Contains information only Good Possible Unlikely Reasoning Amounts are small and beneficiary does not dispute Previous Step Next Step e v Completing this screen 1 Nature of irregular Expenditure Enter a brief description of the irregular expenditure 2 Amount of the Irregularity For each priority axis enter the Capital and Revenue Irregular Expenditure amounts Select appropriate radio button to Irregularities User Guide Version 1 Created 17 03 09 Document Ow
2. e JL after investigation you are satisfied that there has been no irregularity click on the Reject button This will bring it to the end of its lifecycle and change its status to Concluded Rejectea Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 45 of 72 Irregularities User Guide 5 The Clawbacks screen redisplays The status of the irregularity has changed to Unconcluded In the Task list the irregularity remains locked against the same Irregularity Editor the task is Review Irregularity Project Reference ASP ICDN Irregularity Reference 040 9 193 o Project Status Live version 1 Irregularity Status Qgconcluded vi ion 4 Offer Details Overview Irregularities Risk Visits Categories Profile Visit 040 8 45 gt Irregularity 040 9 193 Clawbacks M History E Details of Irregularity EI Financial Aspects of P2 Business Growth and Enterprise Priority Axis P2 Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Priority Axis P3 Identification of D f game tte P3 Technical Assistance E Irregularity Editor Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Irregularity Manager Comments x P Clawbacks Previous Step Next Step 6 Note the Print button at the bottom right of the screen This opens Cognos in a new window
3. 2 The first time you log in as a new user for security purposes you will be asked to change your password You are also required to add two security questions and answers These will be used to validate your identity if you should forget your password in the future Change Password screen First time Login Change Password Because you are logging in for the first time you must set a new password Please enter the original password sentto you and your new password twice Then click on the Save button Old Password Hew Password Re enter Hew Password Created 17 03 09 Irregularities User Guide Version 1 Page 9 of 72 Document Owner Anne Smith MCIS Project Team Irregularities User Guide Security questions at first logon First time Login Security Questions To complete the registration of your account please supply two security questions such as Mother s maiden name and first pet s name together with the appropriate answers and click Continue The security questions may be used to verify your identity should you need helpdesk support Security Question 1 OT Security Answer 1 ee Security Question 2 7 Security Answer 2 A co 3 On subsequent log ins your home page will display Notes e Once you are logged in MCIS will not generally request further proof of your identity It is therefore essential that you do not share your ID and password with anyone e f you have not received a MCIS I
4. Concluded state when that information is considered finalised e irregularity Manager this is an MA role that reviews details of all SFIRs raised on MCIS and updates them with an EC Case Number and the date when BERR were informed via OLAF e Clawback Editor is an RDA role that role allows a user to recover overpaid grant either by Offsetting against future claims or by issuing a Demand Note to the beneficiary This User Guide covers the roles of Irregularity Creator Irregularity Editor and Irregularity Manager There is a separate User Guide for the Clawback Editor Team Leaders Any irregularities role allocated a team leader status on MCIS can in addition to the tasks above e Access an irregularity locked to another user with the same role and route it on to him or herself or to any other user who has that role This feature of MCIS ensures that irregularities locked against a user who is out of the office on holiday or sick leave for example can be released and re allocated to another member of staff to action Notes It is recommended that all users are allocated Team Leader status It is only possible to route between users within the same organisation Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 3 of 72 Irregularities User Guide Irregularities amp Clawbacks It is important to clearly understand the differenc
5. This part of the screen displays a table that updates when the user clicks the save button to refresh the amounts of irregular expenditure that have not been included on paid claims Financial Consequences 2 Capital Capital Revenue Revenue Total Irregular Total Irregular Irregular GBP Irregular EUR Irregular GBP Irregular EUR Expenditure GBP Expenditure EUR Total Irregular Expenditure Not Paid 0 00 0 00 150 00 165 00 150 00 165 00 ERDF Amount 0 00 0 00 75 00 82 50 75 00 82 50 Match Funding Amount 0 00 0 00 75 00 82 50 75 00 82 50 Public Match Funding Amount 0 00 0 00 0 00 0 00 0 00 0 00 Private Match Funding Amount 0 00 0 00 75 00 82 50 75 00 82 50 Latest monthly EC exchange rate of 1 100000 has been used to convert from GBP to EUR Amount of expenditure and grant recovered and unrecovered calculated using the project priority axis intervention rate Total Recovered GBP Total Recovered EUR Total Unrecovered GBP Total Unrecovered EUR Amount of irregular expenditure 0 00 0 00 0 00 0 00 ERDF Amount 0 00 0 00 0 00 0 00 Match Funding Amount 0 00 0 00 0 00 0 00 Public Match Funding Amount 0 00 0 00 0 00 0 00 Private Match Funding Amount 0 00 0 00 0 00 0 00 Actual monthly exchange rates used to pay claims have been used to convert from GBP to EUR Latest monthly EC exchange rate of 1 100000 has been used to convert from GBP to EUR for unrecovered amounts v The table shows the amounts of capital and revenue irregular expenditure associa
6. 40 of 72 Irregularities User Guide lf there are no paid claims overlapping the period of the irregularity MCIS will display a message to this effect Key Can irregularity be submitte wv it page in this state yY Yes No Page _ ls empty ls complete Contains errors or warnings Financial Consequences Capital Irregular GBP Capital Irregular EUR Revenue Irregular GBP Revenue Irregular EUR Total Irregular Expenditure GBP Total Irregular Expenditure EUR D Contains information only Total irregular Expenditure Not Paid 100 00 110 00 25 00 27 50 125 00 137 50 ERDF Amount 50 00 55 00 12 50 13 75 62 50 68 75 Match Funding Amount 50 00 55 00 12 50 13 75 62 50 68 75 Public Match Funding Amount 25 00 27 50 0 00 0 00 25 00 27 50 Private Match Funding Amount 25 00 27 50 12 50 13 75 37 50 41 25 Latest monthly EC exchange rate of 1 100000 has been used to convert from GBP to EUR Created 17 03 09 Page 41 of 72 Irregularities User Guide Version 1 Document Owner Anne Smith MCIS Project Team Irregularities User Guide Identification of Communication This page is split into two separate screens e Section A completed by Irregularities Manager e Section B completed by Irregularities Editor This part of the User Guide describes how the Irregularity Editor completes section B There is a separate section at the end of this guide to cover the role of the Irregularity Manager see Up
7. B Details of Irregularity Priority Axis P2 This is the agreed total level of funding for the project priority axis from the offer letter Revenue eu Expenditure GBP Intervention Rate Expenditure GBP 100 000 00 ERDF Amount Match Funding Amount Public Match Funding Amount Private Match Funding Amount Latest monthly EC exchange rate of 1 100000 has been used to convert from GBP to EUR Amount of the Irregularity Amount of irregularly Expenditure Capital 0 00 Revenue 150 00 Of the funding actually paid to the project this is the breakdown of the irregular amounts S e Capital Capital Irregular Revenue Revenue Irregular Total Irregular Total Irregular eared Paid Date Exchange Rate penditure GBP GBP Expenditure GBP GBP Expenditure GBP Expenditure EUR E 2 16 01 2009 1 100000 8 333 00 3 333 00 0 00 0 00 3 22 01 2009 1 100000 8 765 43 3 210 98 0 00 0 00 Capital Capital Revenue Revenue Total Irregular Total Irregular Irregular GBP Irregular EUR Irregular GBP Irregular EUR Expenditure GBP Expenditure EUR Total Irregular Expenditure Paid 0 00 0 00 0 00 0 00 0 00 0 00 ERDF Amount 0 00 0 00 0 00 0 00 0 00 0 00 Match Funding Amount 0 00 0 00 0 00 0 00 0 00 0 00 Public Match Funding Amount 0 00 0 00 0 00 0 00 0 00 0 00 Private Match Funding Amount 0 00 0 00 0 00 0 00 0 00 0 00 Actual monthly exchange rates used to pay claims have been used to conver
8. For each Priority Axis the irregularity spans the ERDF grant involved is calculated as Capital Irregular Expenditure X project s intervention rate for capital for that priority axis Revenue Irregular Expenditure X project s intervention rate for revenue for that priority axis lf the grand total across all priority axes gt 10 000 EUR this irregularity is a SFIR Refer to the section on Special processing for SFIRs Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 33 of 72 Irregularities User Guide Financial Aspects Priority Axis To display this screen Click either the Next Step button at the bottom of the Financial Aspects page or the Previous Step button on the Identification of Communication screen or the Financial Aspects link in the Steps navigation pane About this screen This screen e Breaks down the project s overall funding commitment by ERDF and match e Allows the Irregularity Editor to specify what Irregular Expenditure has been reimbursed via paid claims e Derives the amounts of ERDF and match funding that have and have not been reimbursed e Also shows progress to date in the recovery of any overpaid ERDF grant Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 34 of 72 Irregularities User Guide Steps Financial Aspects Priority Axis P2 to P3 D History
9. Irregularity Creator Raising irregularity ER Identification of Communication None 19 03 2009 Anne Test Irregularity Creator Created Irregularity Editor Irregularity Manager Previous Step Next Step D Comments D Clawbacks ER b Create an entry Conclude SFIR in the task list of all users with Irregularity Manager role Irregularities User Guide Version 1 Document Owner Anne Smith MCIS Project Team Created 17 03 09 Page 62 of 72 v Irregularities User Guide Updating an Unconcluded SFIR Irregularity Manager The Irregularity Manager is an MA role responsible for maintaining an overview of irregularities across the English regions This includes being aware of all SFIRs and reporting these to the EC via BERR When the Irregularity Editor forwards a SFIR is to the Irregularity Manager a task Conclude SFIR is created in the Irregularity Managers task list eg Testing Version 2 3 3 2449 tad ie The UK Government s eeng e ERDF site for England Logged in as Irregularity Manager for Managing Authority DCLG Home Reporting PageHelp Logout Tasks 3 Date Raised Reference Name Priority Axis Claim No Raised By Status Action 26 03 2009 Irregularity 040 9 191 Anne Irregs amp Clawbacks by Demand Note n a Anne Test For Acceptance Conclude SFIR 1 1 of 1 Filter Criteria Reference Status v Sort By Date Raised v Name i E eer Sequence
10. No None Not Known Termination Procedures Has the Commission of Administrative Or Oo Judicial Decisions Or the Main Points Thereof Concerning Y No Termination of Proceedings in Accordance with Article 5 1 SS Or Regulation 1681 94 Or with Regulation 1831 94 If Yes Date amp References immy Penalties imposed continued on next page Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 56 of 72 Irregularities User Guide If Article 28 5 of regulation 1823 2006 applies To Which of the Above Questions Does It Apply Has Authorisation of the Component Court Or Tribunal Been CH Applied Yes No Additional observations Enter Any Further Observations Special Report Date of Special Report in Accordance with Article 30 2 of dd mnyyyy Regulation 1828 2006 8 Previous Step Next Step Completing this screen The business content of the data to be entered on this screen maps to information required on the SFIR form see User Manual Chapter 5 Irregularities Annex A Full details of how to complete this form are given in Annex B The MCIS system requirements for completion of this screen are very straightforward e No information is mandatory Simply visiting the screen and then clicking Next Step Previous Step or Save is enough to earn the green tick e However if you answer yes to the question Has the Commissio
11. O Asc Desc Group Action Page Size 10 ize Owner Nj ge kd A v The Irregularity Manager must click on the task to accept it and go into the SFIR The History screen displays Project Status Live version 1 Irregularity Status SFIR Unconcluded version 1 Profile Offer Details Overview Irregularities Risk Visit 040 8 48 gt Irregularity 040 9 191 History P History Details of Irregularity wi History 7 lei SFIR Details D lei Financial Aspects Da Status Date Owner Role Comment Attachment Priority Axis P2 Gender Agen Unconcluded 26 03 2009 Anne Test Irregularity Editor Preparing to forward to irregularities manager Priority Axis P3 Raised 26 03 2009 Anne Test Irregularity Editor Moving to Unconcluded il Stage of Proceedings an y E Draft 19 03 2009 Anne Test Irregularity Creator Raising irregularity Identification of x Communication None 19 03 2009 Anne Test irregularity Creator Created Irregularity Editor Irregularity Manager 1 Comments x a Siop e geen EH Warninee Clickinn an ane nf SSES vi The step navigation pane shows that only two steps require action e Identification of Communication Irregularity Manager and e Comment screen where a comment must be entered before the SFIR can be sent back to the Irregularity Editor to conclude Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team
12. and runs a report containing details of the irregularity Note this report runs in real time i e will contain all data that has been entered on a screen and saved using Next Step Previous Step or Save whereas most Cognos reporting runs from a copy of MCIS data taken overnight i e the data may be up to 24 hrs behind the online system Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 46 of 72 Irregularities User Guide Progressing an Unconcluded irregularity Whilst an irregularity is Unconcluded a task remains in the Irregularity Editor s task list to Review Irregularity A Tasks Date Raised Reference Name Priority Axis Claim No Raised By Status Action 19 03 2009 Irregularity 040 9 193 Anne Irregs A Clawbacks by Demand Note n a Anne Test With Anne Test Review Irregularity 19 03 2009 Test006 Mark s Test Project 006 n a 1NE Clawback Editor With 1NE Clawback Editor View Clawback Offset 19 03 2009 Irregularity 040 9 191 Anne Irregs amp Clawbacks by Demand Note n a Anne Test With Anne Test Review Irreqularity 18 03 2009 040 8 93 Mark s Test Project 006 n a 1NE Visitor With 1NE Visitor View Visit 18 03 2009 040 8 92 Mark s Test Project 006 n a 1NE Visitor With 1NE Visitor View Visit Clicking on this task displays the irregularity in read only mode starting with the History page Project Reference ASP ICDN Irregularity Reference 040 9 193 Project Status L
13. display this screen Click either the Next Step button at the bottom of the Section B completed by Irregularity Editor page or the Previous Step button on the Comments page or the Irregularity Manager link under Identification of Communication in the Steps navigation pane Section A Irregularity Manager About this screen This screen captures the date the SFIR was notified to OLAF by BERR and the EC Case number allocated to it Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 64 of 72 Irregularities User Guide f Identification of Communication ih History Details of Irregularity Section A completed by Irregularities Manager SFIR Details De Financial Aspects Da Member State United Kingdom P ty Axis P2 P ty Axis P3 EC Case No Identification of x ga Beast tes Kee Communication re i dd mnvyyyy Comments x Administrative Department In Member State D Clawbacks j Regional x CLG Warning Clicking on one of these links may result in National unsaved changes being lost BERR Key Previous Step Step Next Step Step Can irregularity be submitted with page in this state v Yes Print Ma b Section A Irregularity Manager Completing this screen 1 EC Case No Enter the EC Case Number allocated by OLAF 2 Date sent to OLAF Enter date the SFIR was notified by BERR to the EC via OLAF Section
14. for a NIFF see Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 58 of 72 Irregularities User Guide Progressing an Unconcluded irregularity except that before it can be made Concluded it must be forwarded to the Irregularity Manager in the MA The additional processing for a SFIR is described below Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 59 of 72 Irregularities User Guide Forwarding an Unconcluded SFIR to the Irregularity Manager Comments page To display this screen Click either the Next Step button at the bottom of the Identification of Communication Irregularities Manager page or the Comments link in the Steps navigation pane This screen can also be reached from the Clawbacks page however that page is not in use until after the irregularity is concluded Testing Version 2 3 3 2449 Ze Ee e The UK Government s Communities eee and Local Goverernent Logged in as Anne Test for OneNorthEast Home Reporting PageHelp Logout Anne Irregs amp Clawbacks by Demand Note North East Regional Competitiveness and Employment Programme Codeworks Project Reference ASP ICDN Irregularity Reference 040 9 191 Project Status Live version 1 Irregularity Status Unconcluded version 1 Prone Overview Irregularities Risk Visits Categories Visit 040 8 48 gt Irregularity
15. in the Local File required field d Enter a title for the attachment in the Title field e Click on the Upload Attachment button Created 17 03 09 Page 48 of 72 Irregularities User Guide Version 1 Document Owner Anne Smith MCIS Project Team Irregularities User Guide f Click on the Abandon Upload button if you have chosen the wrong item to attach Select the correct item and then repeat steps g If you wish to add more than one attachment repeat the upload process 3 Click on the Next Step button The Clawbacks page displays but is blank and read only as Clawbacks processing is only applicable to concluded irregularities scroll down to reveal the action buttons in the bottom right of the screen Project Reference ASP ICDN Irregularity Reference 040 9 193 a Project Status Live version 1 Irregularity Status Unconcluded version 1 Profile Offer Details Overview Irregularities Risk Visits Categories Visit 040 8 45 gt Irregularity 040 9 193 Clawbacks Dn History Details of Irregularity Financial Aspects af P2 Business Growth and Enterprise Priority Axis P2 Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Priority Axis P3 Identification of vi T eae P3 Technical Assistance d Irregularity Editor Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Irregularity Manager Comments D B Clawback
16. jonty test 1258 North East Regional Competitiveness and Employment Programme Reference jonty test 1258 Status Live Overview Irregularities Risk Visits Categories Irregularities Reference Type Date Identified Irregular Expenditure Irregular Expenditure Paid Expenditure Not Paid Expenditure Recovered Status 040 9 171 NIFF 11 03 2009 1 000 00 1 100 00 1 000 00 1 100 00 0 00 0 00 0 00 0 00 Concluded In Recovery 040 9 169 Error 0 00 0 00 0 00 0 00 0 00 0 00 0 00 0 00 Draft Click on an underlined link to an Click Add Irregularity existing irregularity to create a new irregularity Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 16 of 72 Irregularities User Guide About this screen This screen lists all irregularities associated with a project The table below provides a description of each column item Reference Unique identifier generated by MCIS format XXX 9 nnn Where XXX is the Programme identifier from the data dictionary 9 is an internal MCIS code denoting irregularity nnn is a sequence number that increments for each new irregularity created for this Programme NIFF SFIR Error or Correction Date identified Date of first information leading to suspicion of irregularity Irregular The total of Capital Revenue irregular expenditure amounts Expenditure associated with this irregularity Irregular
17. sales or reduction including liquidation Delete Irregularity Type A If Error or Correction please specify Classification of the irregularity NIFF Previous Step E Completing this screen Refer to earlier section on Completing this screen under Initiate an Irregularity Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 31 of 72 Irregularities User Guide Financial Aspects To display this screen Click either the Next Step button at the bottom of the Details of Irregularity page or the Previous Step button on the Financial Aspects Priority Axis page or the Financial Aspects link in the Steps navigation pane About this screen This screen captures information about the nature of the irregular expenditure the irregular capital and revenue amounts by priority axis should the project soan more than one and the likelihood that overpaid grant can be recovered e Anne Irregs amp Clawbacks by Demand Note North East Regional Competitiveness and Employment Programme Codeworks Project Reference ASP ICDN Irregularity Reference 040 9 191 Project Status Live version 1 Irregularity Status Raised version 1 Visit 040 8 48 gt Irregularity 040 9 191 B History Financial Aspects E Details of Irregularity d Nature of the Irregularity _ Financial Aspects x Priority Axis P2 Nature of Irregular Expenditure Hospitality for the Mayor
18. the MCIS workflow this history will build This will include comments added by each person involved in processing the irregularity at each change of status The current status of the irregularity always appears at the top of the History list Anne Irregs amp Clawbacks by Demand Note North East Regional Competitiveness and Employment Programme Codeworks 5 Project Reference ASP ICDN Irregularity Reference 040 9 191 Project Status Live version 1 Irregularity Status Raised version 1 Visit 040 38 48 gt Irregularity 040 9 191 History History Details of Irregularity History Priority Axis P2 Status Date Owner Role Commen t Attachment Draft 19 03 2009 Anne Test irregularity Creator Raising irregularity D Identification of None 19 03 2009 Anne Test irregularity Creator Created i cae Previous Step Next Step Comments Clawbacks Print SES Ka Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 30 of 72 Irregularities User Guide Details of Irregularity To display this screen Click either the Next Step button at the bottom of the History page or the Previous Step button on the Financial Aspects screen or the Details of Irregularity link in the Steps navigation pane About this screen This screen holds basic non financial information about an irregularity It will already have been completed by the Irregularity Creator accordin
19. you wish to attach is stored c Select the file and click Open The file name will appear in the Local File required field Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 66 of 72 Irregularities User Guide d Enter a title for the attachment in the Title field e Click on the Upload Attachment button f Click on the Abandon Upload button if you have chosen the wrong item to attach Select the correct item and then repeat steps g If you wish to add more than one attachment repeat the upload process 3 Click on the Next Step button The Clawbacks page displays but is blank and read only as Clawbacks processing is only applicable to concluded irregularities scroll down to reveal the action buttons in the bottom right of the screen Project Status Live version 1 Irregularity Status SFIR Unconcluded version 1 Project Reference ASP ICDN Irregularity Reference 040 9 191 A Profile Offer Details Visit 040 8 48 gt Irregularity 040 9 191 Clawbacks M History E Details of Irregularity wi E SFIR Details af P2 Business Growth and Enterprise Financial Aspects De Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Priority Axis P2 Priority Axis P3 P3 Technical Assistance Stage of Proceedings 2 Identification of a Reference Type Status Date Raised Date Recovered Ineligib
20. 0 000 00 40 000 00 140 000 00 154 000 00 Irregularity Editor ERDF Amount 50 000 00 20 000 00 50 00 70 000 00 77 000 00 Irregularity Manager Match Funding Amount 50 000 00 50 00 20 000 00 50 00 70 000 00 77 000 00 Comments x Public Match Funding Amount 25 00 0 00 0 00 25 000 00 27 500 00 Clawbacks Private Match Funding Amount 25 00 20 000 00 50 00 45 000 00 49 500 00 Warning Clicking on one of these links may result in unsaved changes being lost Latest monthly EC exchange rate of 1 100000 has been used to ceffvert from GBP to EUR oi o o Capital intervention rate 50 match funding for capital is 50 public 50 private Revenue intervention rate 50 match funding for revenue is 0 public 100 private Assume this project has an irregularity defined as 900 capital and 100 revenue Assume there has been a recovery of 500 MCIS will treat this recovery as 450 capital and 50 revenue MCIS will breakdown the 450 capital as 225 00 ERDF 112 50 public match 112 50 private match Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 39 of 72 Irregularities User Guide MCIS will breakdown the 50 revenue as 25 00 ERDF 0 00 public match 25 00 private match This table will therefore show the recovered amounts as 250 00 ERDF 250 00 match 112 50 public match 137 50 private match As half of the irregular expenditur
21. 040 9 191 B History Comments E Details of Irregularity wv Comments SFIR Details De Financial Aspects e Priority Axis P2 Priority Axis P3 E Stage of Proceedings wv Attachments E Identification of Da Communication Irregularity Editor Se are currently no attachments to display Irregularity Manager Add New Attachment 1 Comments de E Clawbacks Select a person wo route this irregularity to Warning Clicking on one of 8 these links may result in _ Previous Step _ Step Next Step Step unsaved changes being lost Key Can irregularity be submitted with All previous steps must display green ticks before you are able to progress the irregularity About this screen This is the only screen to complete before the irregularity can be moved forward from the Unconcludea state Completing this screen 1 Click in the Comments field and enter a meaningful comment perhaps describing the status to which the irregularity is going to be moved 2 You may add an attachment with additional information if required To adda file click on the Add Attachment buiton Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 60 of 72 Irregularities User Guide a Click on the Browse button D Navigate to where the file you wish to attach is stored c Select the file and click Open The f
22. 34 Identification Of Communication 42 COMIMENES 0 cccccccccccceccceceeceecuueeueeueeueeueeeeueeueeueeuueueeaeeaeeauuauuauueuesausuueueeaeeeueeesaueass 44 PROGRESSING AN UNCONCLUDED IRREGULARITY ceccsscceccecececceccceccaceccccaceuaccuceeceusecacensecucenseeacenseees 47 ieiegleetel et 48 CLAWBACKS AND RECOVERY u ccsccssccescesccescceccnscesccnsceacensceacenscnseeaeenseensensenseansenssenseneansenaenasenees 51 SPECIAL PROCESSING FOR SFIRS 1 csccsscescescesccscceccscceccnccnccnscnscnccnccnscnscnsensensensensensensensensenseesees 51 SPECIAL PROCESSING FOR SFIRS 1ccsscsscescescnsccscssccscceccnscnscnsenscnscsscescnsensensensensensensensensensensensess 52 INITIATE A SHIR EE 52 UPDATE AND COMPLETE A GEI 52 THE STEPS NAVIGATION PANE SPECIAL VERSION FOR SFIRS aaalnananannnnnnnnnannnnnnnnnnnnnnnnnnrnnnnrnrnrnrnrrnrnne 52 SFIR DetalllS ooo cc cccccccccccccccccccccececcccsuececcsuececcaueceauaueegesueesusuecususuecnsusnectsusneatsnes 53 Stage Of Proceedings ccccccccceccccceececseeceeceeeecsueeeeseecessueeessaueessaeeessaeeesaneeesaaeees 55 PROGRESSING AN UNCONCLUDED SFIR Q c0cccccescescesccecceccecceccnscnccnscnccnscnscnscnsensensensensenseseess 58 FORWARDING AN UNCONCLUDED SFIR TO THE IRREGULARITY MANAGER COMMENTS PAGE nananana 60 UPDATING AN UNCONCLUDED SFIR IRREGULARITY MANAGER 63 UPDATING AN UNCONCLUDED SFIR IRREGULARITY MANAGER 63 Identification of COMMUNICATION 2 20 0 4 cccccccccececcccccccccace
23. B Irregularity Editor To display this screen Click either the Next Step button at the bottom of the Stage of Proceedings page or the Previous Step button on the Section A completed by Irregularity Manager page or the Irregularity Editor link under Identification of Communication in the Steps navigation pane Section B Irregularity Editor About this screen This screen is available to the Irregularity Manager but as read only Identification of Communication B History Details of Irregularity Section B completed by Irregularities Editor SFIR Details D Financial Aspect De Name of Reporting Officer P ity Axis P2 Spottedit Priority Axis P3 Stage of Proceedings d Position Within RDA identification of x Compliance Manager ommunica tion gaer demm Date Reported To CLG Irregularity Manager 25 3 2009 1 Comments x E Clawbacks Previous Step Next Step Section B Irregularity Editor Completing this screen This screen is completed by the Irregularities Editor before the irregularity can be forwarded to the Irregularity Manager see earlier Section B Irregularity Editor Completing this screen Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 65 of 72 Irregularities User Guide Comments To display this screen Click either the Next Step button at the bottom of the Identification of Communication Irregularities Manager page or
24. D and password prior to go live contact your Intermediate Body MCIS helpdesk e lf you want to change your password click on the Personal Details tab and select Change Password Logout Click on the Logout link in the top right navigation bar ERDF site for England ERDF Library ERDF Glossary Best Practice MA User Administrator Tester for Managing Authority D Home Reporting Logout Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 10 of 72 Irregularities User Guide Home Tasks To display this screen The Tasks screen is your home page and is always the first page that displays after you log in to MCIS To return to this page at any time during your MCIS session click on the Home link in the top right navigation bar About this screen Your Task List displays tasks relevant to the role or roles that you have been allocated For the purpose of this guide we will focus only on tasks relevant to the Irregularity Creator Irregularity Editor or Irregularity Manager Tasks in the list can be either open or locked Task Status Description Open Anyone with the appropriate MCIS role can take up and complete These tasks will display with a status of For acceptance To pick up an open task click on the link in the Action column Locked Only the named user can take up and complete The status will contain the name of the user who curren
25. Details of Irregularity page Stage of Proceedings To display this screen Click either the Next Step button at the bottom of the Financial Aspects Priority Axis n page or the Previous Step button on the identification of Communication Irregularity Editor page or the Stage of Proceedings link in the Steps navigation pane About this screen As for the SFIR Details page this screen again captures details that are required to be entered on the SFIR form in accordance with the regulations It is envisaged that MCIS may in a future release incorporate a Cognos Standard Report to generate the SFIR form using the information on this screen Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 55 of 72 Irregularities User Guide This Is Any Action Taken Under National Legislation to Safeguard the Recovery of Irregular Payments Action by Member State Refund of Irregular Funds Being Pursued Off setting Against Other Payments Case Forwarded to Other Authorities If fraud is suspected has the case been referred to CLG OB O Judicial Proceedings If the Case Has Become the Subject of Criminal Proceedings Then Give Details Here Abandonment of recovery proceedings Have Recovery Proceedings Been Abandoned O Yes No a SS 7 the Recovery Procedure Taken Yes No If Yes Date amp References jimmy Have Criminal Procedures Been Abandoned O O O Yes
26. Page 63 of 72 Irregularities User Guide All other pages of the SFIR are available for the Irregularity Manager to review but are presented for information only read only mode This includes the SFIR only pages SFIR Details and Stage of Proceedings for example Steps SFIR Details SS History Details of Irregularity SFIR Details 7 Practices employed in committing the irregularity Financial Aspects D Provide a Brief Description of the Practices Employed in Priority Axis P2 ploy Committing the Irregularity Priority Axis P3 Falsification of receipts Stage of Proceedings wv ee Are These Practices Considered New Identification of x Irregularity Manager If Yes Has Notification Been Sent Under Article 29 of EC Regulation 1828 2006 If Yes Date amp References Warning Clicking on one of these links may result in unsaved changes being lost Key Can irregularity be submitted with page in this state Is Fraud Suspected v Yes D I os Identification of Communication This page is split into two separate screens e Section A completed by Irregularities Manager e Section B completed by Irregularities Editor This part of the User Guide describes how the Irregularity Manager completes section A Follow the link Section B Irregularity Editor To display this screen to the earlier section covering updating of this screen by the Irregularity Editor Section A Irregularity Manager To
27. Project Reference ASP ICDN Project Status Live version 1 Offer Details Overview Irregularities Profile Risk Visits Categories Visit 040 8 48 Irregularity 040 9 191 History B History Details of Irregularity wi History E SFIR Details D E Financial Aspects D Status Date Owner Role Priority Axis P2 guten SFIR Unconcluded 26 03 2009 Irregularity Manager Irregularity Manager Priority Axis P3 Unconcluded 26 03 2009 Anne Test Irregularity Editor E Stage of Proceedings y BE Raised 26 03 2009 Anne Test Irregularity Editor E Identification of De Communication Draft 19 03 2009 Anne Test Irregularity Creator irregularity Editor None 19 03 2009 Anne Test Irregularity Creator Irregularity Manager i T Comments x M Clawbacks Processing from this point onwards is the HL Comment Attachment Returning to Irregularity Editor Preparing to forward to irregularities manager Moving to Unconcluded Raising irregularity Created same for SFIRs as for all other irregularities follow this link Progressing an Unconcluded irregularity to return to the main body of this User Guide Irregularities User Guide Version 1 Document Owner Anne Smith MCIS Project Team Created 17 03 09 Page 69 of 72 Route an irregularity Irregularities User Guide lf a user with any of the MCIS irregularity roles Irregularity Creator Irregularity Editor or Irregularity Man
28. The amount of the irregular expenditure that is on claims that have Expenditure Paid already been paid The EUR value has been calculated from the GBP value using the actual monthly exchange rates used to pay the relevant claims Expenditure Not The amount of the irregular expenditure that is not yet on a claim or Paid is on claims that have not yet been paid The EUR value has been calculated from the GBP value using the latest monthly exchange rate held in MCIS Expenditure For irregular expenditure that is on claims that have already been Recovered paid this is the amount for which the corresponding overpaid ERDF grant amount not shown has been clawed back The EUR value has been calculated from the GBP value using the actual monthly exchange rates used to pay the relevant claims Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 17 of 72 Irregularities User Guide Draft created by the Irregularity Creator Raised passed to the Irregularity Editor for addition of further details Unconcluded all screens have been completed for the current version but content is not considered finalised Under Amendment new version being created Concluded Suspended finalised project automatically suspended by MCIS no clawbacks have yet been raised Concluded In Recovery clawback processing has started Concluded Closed clawback processing has compl
29. View Irregularities jonty test project for 1208 amp 1210 n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8 View Irregularities Mark s Test Project 006 n a Mark Swan With Mark Swan View Irregyrities Mark s Test Project 006 n a Mark Swan With Mark Swan VievArrequiarities v Io amp 100 Lilt Task Listfor oo fet your allocated role s Click on the link to pick up the relevant task A range of filter criteria are provided to help you prioritise your Task List Filter Criteria Reference Hame Group Owner Raised By Irregularities User Guide Version 1 Document Owner Anne Smith MCIS Project Team 1 To filter tasks enter as many or as few criteria as you require and click on the Filter Tasks button To remove all selections and display all tasks click on the Remove Filter button Status Date Raised C asc JE Desc Page Size fio Fitter Tasks Remove Filter Sort By Locked Against Sequence Action Axis Filter Tasks button ho Created 17 03 09 Page 12 of 72 Irregularities User Guide Reference Enter the project reference to display only tasks relating to that project Enter the project name to display only tasks relating to that project Groups are categories set up by the Intermediate Body at programme level for workflow and reporting purposes Groups may be for example thematic e g urban regeneration or geographic e g sub regio
30. ager needs a colleague with the same role to take over the processing they should use the route function on MCIS 1 Click on the Comments link in the Steps navigation pane 2 Add a comment in the Comments box provided 3 Click in the Route field and select the appropriate person from the dropdown list presented Only people in the same organisation and with the relevant irregularities role are provided as options 4 Click on the Route button 5 A confirm prompt displays Click on OK 6 The homepage will display In the task list a notification will indicate that the claim has been routed Tasks Date Raised Reference Name Priority Axis Claim Ho 29 09 2008 Again of your choice Of your choice P1 2 29 09 2008 XO0S96PQ Orange Street Gateway P3i2 29 09 2008 x00034 Bowness Boats le 12 09 2008 1 23 Hannah s Big Boat Build P2 2 11 09 2008 Noo010101 Steve s massive project P1 2 Irregularities User Guide Version 1 Document Owner Anne Smith MCIS Project Team Raised By Status Action MARDA Claim Editor View Claim NARDA Claim Editor Amend Claim NARDA Claim Editor With NARDA Claim Editor Amend Claim lan Ruth With lan Ruth View Claim MARDA Claim Editor With NARDA Claim Editor Amend Claim Created 17 03 09 Page 70 of 72 Irregularities User Guide Unsuspending a project When the Irregularity Editor concludes an irregularity other than an Error with zero financial value MCIS automatically suspends t
31. anager Back to irreg Editor to make unconcluded Unconcluded 14 01 2009 Anne Test irregularity Editor Moving to unconcluded Raised 14 01 2009 Anne Test Irregularity Editor Raising Draft 14 01 2009 Anne Test irregularity Creator Raising irregularity None 14 01 2009 Anne Test irregularity Creator Created Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 19 of 72 Irregularities User Guide Details of Irregularity To display this screen Click either the Next Step button at the bottom of the History page or the Previous Step button on the Comments screen or the Details of irregularity link in the Steps navigation pane From the irregularities screen this is the screen displayed on the clicking the link to an existing irregularity About this screen This screen holds basic non financial information about an irregularity It captures all the information about the irregularity that can be added or maintained by the Irregularity Creator Project Reference ASP ICDN Irregularity Reference 040 9 191 4 Project Status Live version 1 Irregularity Status Draft version 1 Profile Offer Details Overview Irregularities Risk Visits Categories Details of Irregularity ER History Details of Irregularity Information leading to the suspicion of the irregularity lU Comments x Date of first information leading to suspicion of
32. ate a Cognos Standard Report to generate the SFIR form using the information on this screen a SFIR Details E History Details of Irregularity SFIR Details x Practices employed in committing the irregularity Financial Aspects De Priority Axis P2 Provide a Brief Description of the Practices Employed in deier Ane Committing the Irregularity Priority Axis P3 E Stage of Proceedings K Identification of x Communication Are These Practices Considered New CH Irregularity Editor Yes No Irregularity Manager Comments vi If Yes Has Notification Been Sent Under Article 29 of EC Regulation 1828 2006 D Clawbacks g Yes No Not Known Warning Clicking on one of these links may result in If Yes Date A References g dd mmyyyy unsaved changes being Key Can irregularity be submitted with page in this state v Yes v X No F Page Is Fraud Suspected O Is empty Yes No Is complete S CORRE EA T Are Other Member States Involved O 7 Contains information on y Yes No If Yes Has Notification Been Sent Under Article 29 of EC O Regulation 1828 2006 ge Ho ean itini If Yes Date amp References ddim Authorities amp Bodies Irregularities User Guide Version 1 Document Owner Anne Smith MCIS Project Team continued on next page Created 17 03 09 Page 53 of 72 Irregularities User Guide Authorities Or Bodies Which Drew Up the Official Report on OE the Irregularity DEEL Boies Res
33. ate of Concluded Suspended or Concluded In Recovery irregularities that are at an earlier stage of processing or that have reached Concluded closed status would not preclude an offer being re issued Created 17 03 09 Irregularities User Guide Version 1 Page 72 of 72 Document Owner Anne Smith MCIS Project Team
34. aved changes being lost Route Select a pXyson to route this irregularity to Y Previous Step Next Step Key All previous steps must display Can irregularity be submitted with g reen ticks befo re you are able page in this state to open the irregularity About this screen This is the final screen to complete before the irregularity can be opened with a complete set of details which places it into an Unconcluded state from which it can either be amended creating a further version or concluded finalised Completing this screen 1 Click in the Comments field and enter a meaningful comment perhaps indicating the next steps required to establish sufficient confidence in the details captured to enable a further transition to a Concluded status 2 You may add an attachment with additional information if required To adda file click on the Add Attachment buiton a Click on the Browse button b Navigate to where the file you wish to attach is stored Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 44 of 72 Irregularities User Guide c Select the file and click Open The file name will appear in the Local File required field d Enter a title for the attachment in the Title field e Click on the Upload Attachment button f Click on the Abandon Upload button if you have chosen the wrong item to attach Se
35. cccuceucueaeacecsceteueavavecsesnens 64 COMIMENIUS 0 0 0 ccccccceccccecccccccceccccccauececcauececceueeaueuecesueueatsuenesesueeausuecususuecesusneatenes 66 SFIR PROCESSING AFTER IRREGULARITY MANAGER S INPUT nanananannnnnnannanannnnnnnnnnnnnnnnrnannrnrnrnrnnrnrerne 69 ROUTE AN IRREGULARITY c0ccccceccescescesccsccscceccecceccnccncescceccasensensensensensensensensenseesecsenseeenseseess 70 UNSUSPENDING A PROJEC isisisisssiesttsntesenastecaesccesicennacensunctoaansunssussisnenanpeiunteentamunssancawenusieunbscentenetaas 71 Irregularities User Guide Introduction How to use this guide This user guide is designed to support you following your MCIS training The guide is broken down into clear sections so that you can pick out the functionality that you are interested in re visiting revising or reminding yourself about MCIS roles for irregularities processing Roles in MCIS determine users powers within the system by controlling the areas of functionality available to them and which parts of the workflow they can operate There are 4 MCIS roles involved in irregularities processing e Irregularity Creator this is an RDA role that allows a user to register the existence of an error correction or Suspected irregularity and to enter some basic non financial details e irregularity Editor this is an RDA role that role allows a user to capture all information relevant to an irregularity and to move it into a
36. dating an Unconcluded SFIR Irregularity Manager Section B Irregularity Editor To display this screen Click either the Next Step button at the bottom of the Financial Aspects Priority Axis page or the Previous Step button on the Section A completed by Irregularity Manager page or the Irregularity Editor link under Identification of Communication in the Steps navigation pane Section B Irregularity Editor About this screen This screen captures the Irregularity Editor s own details their name and their job title within the RDA and the date on which they informed CLG of the existence of this irregularity Visit 040 8 45 gt Irregularity 040 9 193 Steps Identification of Communication E History Details of Irregularity Section B completed by Irregularities Editor Priority Axis P3 Name of Reporting Officer Spottedit Identification of A Kee Position Within RDA irregularities and Compliance Manager Irregularity Edit Irregularity M g Date Reported To CLG 23 03 2009 save Comments De dd mnvyyyy B Clawback J Warning Clicking on one of e these links may result in Previous Step Next Step unsaved changes being lost Section B Irregularity Editor Completing this screen 4 Name of Reporting Officer Enter your name 5 Position within the RDA Enter your job title 6 Date Reported to CLG This date cannot be in the future and cannot be before the Date of
37. e claims could potentially include irregular expenditure relating to any of those irregularities In this situation a single paid claim could be subject to multiple clawbacks arising from different irregularities MCIS handles all of these scenarios Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 5 of 72 Irregularities User Guide MCIS Irregularities Workflow The MCIS workflow for irregularities is outlined in the flowchart below In each version the shaded boxes highlight the area of workflow controlled by each of the three roles covered by this guide View 1 Irregularity Creator 2 Irregularity Editor Fully investigates amp documents the findings 4 Irregularities Manager Reviews SFIR amp informs BERR 5 Irregularity Editor Concludes irregularity suspends project amp alerts the Clawback Editor to recover any overpaid grant Business Note MCIS allows a Raised irregularity to be returned from the Irregularity Editor to the Irregularity Creator However in MCIS r2 as implemented in February 2009 there are some known outstanding defects affecting that transition The use of this transition can be avoided as the Irregularity Editor can amend all of the fields the Irregularity Creator has populated In practice both roles will often be held by the same individual in which case this transition becomes unnecessary from a business pe
38. e failure to display the European Flag In this situation Error would be used Error is the only Irregularity Type that can have a zero financial value Capture of mistakes noticed and reported by the beneficiary themselves these may have a financial value but would not be reported to the EC and would not result in any penalty reduction of the project grant amount Correction of mistakes made in claims processing MCIS needs to provide some means of doing this By using these special irregularity types this can be done using the irregularities screens and workflow to capture details of the mistakes and by using the clawbacks screens and workflow to recover any associated overpayment of grant Refer to the ERDF User Manual for policy business rules around circumstances where Error and Correction may or should be used 16 Classification Depending on the Irregularity Type s selected MCIS will set this to NIFF Error or Correction At this stage no information about the financial value of the irregularity has been entered so MCIS cannot distinguish between NIFFs and SFIRs Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 22 of 72 Irregularities User Guide Comments To display this screen Click either the Next Step button at the bottom of the Details of Irregularity page or the Comments link in the Steps navigation pane Cs After you have complet
39. e has been recovered the unrecovered amounts will be the same Exchange rates For this table a mix of exchange rates is used to convert from GBP to EUR e For recovered amounts o MCIS adds up the total actually recovered to date across all clawbacks that have been raised for this irregularity o If this irregularity has been aggregated The GBP to EUR exchange rate used is that which applied when the irregularity was aggregated o Otherwise The GBP to EUR exchange rate used is that which applied when this irregularity moved into Concluded In Recovery e For unrecovered amouts o The GBP to EUR exchange rate used is the current month s Completing this screen In the Amount of the Irregularity section enter the amounts of the total irregular expenditure capital and revenue that appeared on each paid claim and click the Save button to update the tables on this screen Remember that some or all of the irregular expenditure may not be any paid claims the decision to apportion irregular expenditure against a paid claim should be based on a review of the claim s transaction listing As described above MCIS will not allow the total irregular expenditure capital or revenue entered against any paid claim including any entered against it on other irregularites to exceed the original expenditure on the claim Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page
40. earch Criteria Programme To perform a search you must first select the correct programme Click in the field to display a list of all programmes in your region and select the appropriate one To search against a specific Priority Axis enter the Priority Axis Priority Axis ID reference in this field e g P1 P2 Each project has a unique reference code assigned to it by the Intermediate Body Enter this reference here to search for a single project Project Name Enter the project name to search for a specific project Project Enter an applicant name to display all projects associated with that Organisation organisation Click in this field to display and select from a list of different statuses to search for all projects you are permitted to view at that status Group Groups are categories set up by the Intermediate Body at programme level for workflow and reporting purposes Groups may be for example thematic e g urban regeneration or geographic future e g sub regions Intermediate Body users may enter a group name functionality to display all projects in the programme allocated to that group Current Owner Intermediate Body users may enter the name of the current owner of the project to search for all projects that person is responsible for Sort By Project Ref Click in the field to display and select from a list of sort options to determine how your search results will display The default setting is Projec
41. eated 17 03 09 Document Owner Anne Smith MCIS Project Team Page 26 of 72 Irregularities User Guide Key Steps Key Can claim be submitted with page in A key below the Steps navigation pane explains what this state the page icons mean For example a blank page icon shows a page is empty while a grey page icon i ES e S Kg indicates that the page is read only xX No Page Is empty Is complete Contains errors or warnings Contains information onhy Saving your Work When you are editing an irregularity always save your work on a page by clicking on either the Save Next Step or Previous Step button If you click on a Steps link to move to a new section before pressing one of these buttons you will lose any unsaved changes Buttons A number of buttons are available to you as you edit your irregularity These are described in the table below This button enables you to route the claim to another user in your organisation with the Irregularity Editor role It is only available on the Comments screen You should use this function if for example you open an irregularity in error or if you require another Irregularity Editor to add data to the irregularity before it can be concluded Click in the Route field and you will be presented with a dropdown list of people in your organisation with the Irregularity Editor role Select the appropriate person and click on Route When you route an irregularity to another
42. ed the Details of Comments pz Irregularity screen you are required to DEEN enter a comment here before you can raise the irregularity which passes it to the Irregularity Editor Details of Irregularity Comments 1 Comments x Warning Clicking on one of these links may result in unsaved changes being lost Key achments Can irregularity be submitted with page in this state There ere currently no attachments to display v Yes Add New Attachment x No Page GE Select a person toXoute this irregularity to Route ls complete j 1 Contains errors or warnings All previous ste DS must d isplay Previous Step Next Step Contains infarmatinn aniv green ticks before you are able to raise the irregularity About this screen 17 This is the final screen to complete before the irregularity can be raised which passes control to the Irregularity Editor 18 Click in the Comments field and enter a meaningful comment for the Irregularity Editor 19 You may add an attachment with additional information if required To add a file click on the Add Attachment button e Click on the Browse button e Navigate to where the file you wish to attach is stored e Select the file and click Open The file name will appear in the Local File required field e Enter a title for the attachment in the Title field e Click on the Upload Attachment button e Click on the Abando
43. er I Comments x routes NextStep Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 68 of 72 Irregularities User Guide SFIR processing after Irregularity Manager e input After the Irregularity Manager returns a SFIR is to the Irregularity Editor a task Review Irregularity is created in the Irregularity Editor s task list ote Nee Testing Version 2 3 3 2449 ba d e eege ERDF site for England Logged in as Anne Test for OneNorthEast Home Reporting Page Help Logout Tasks Date Raised Reference Name Priority Axis Claim No Raised By Status Action 26 03 2009 Irregularity 040 9 191 Anne Irregs A Clawbacks by Demand Note n a Irregularity Manager With Anne Test E 26 03 2009 irregularity 040 9 202 jonty test 1228 n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8 View Irregularities 26 03 2009 040 38 95 jonty test 743 n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8 View Visit 25 03 2009 a new project to test excess income deduction 512 a new project to test excess income deduction 512 n a Anne Test With Anne Test Mark as Recovered 25 03 2009 a new project to test excess income deduction 512 a new project to test excess income deduction 512 n a System Transition For Acceptance View Project The Irregularity Manager must accept the task by clicking on it H pl z Di LD The History page displays showing the status is now Unconcludea a
44. er Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 28 of 72 Irregularities User Guide Z Atthe top of each irregularity screen a range of key information about the project and the irregularity is displayed fam venza A lregularity Header The UK Government s Logged in as Anne Test for OneNorthEast Home Reporting PageHelp Logout Regional Competitiveness and Employment Programme Codeworks Anne Irregs amp Clawbacks by Dextand Note North Eas Irregularity Reference 040 9 191 Irregularity Status Raised version 1 Project Reference ASP ICDN Project Status Live version 1 Profile Offer Details Overview Irregularities Risk Visits Categories Visit 040 8 48 Irregularity 040 9 191 History B History If the irregularity was linked to a visit on the Details of Irregularity screen a hotlink to this visit appears at toward the top left A range of project and irregularity specific information is presented on each screen in the irregularity header Project information shown at the top includes Name Programme Reference Status Version Irregularity information includes Reference Status Version Hotlink to parent Visit if applicable this is the reference of the Visit that gave rise to this irregularity being raised as entered on the Details of Irregularity screen The following
45. es between irregularities and clawbacks Irregularities are the accounting vehicle for settling irregular expenditure between RDA and CLG the EC e Operational Programmes OPs are reimbursed by CLG at Aggregate Claim Total Eligible Expenditure x Priority Axis Intervention Rate e Where there are irregularities against Projects in an OP that are Concluded finalised in recovery or fully recovered and these have not been included in an Aggregate Claim before the OP is instead reimbursed at Aggregate Claim Total Eligible Expenditure Total across Irregularities of Irregular Expenditure x Priority Axis Intervention Rate e and each project is also penalised by having its maximum ERDF grant payout reduced by the value of the irregularity using the calculation Project grant reduction penalty Irregular Expenditure x Overall Project Intervention Rate e Where the Overall Project Intervention Rate is the Intervention Rate shown on the Total line on the Yearly Funding Profile for the relevant Priority Axis if the project should span more than one Clawbacks are the RDA s mechanism for recovering overpaid grant from Beneficiaries e The process between RDA and CLG assumes this recovery either succeeds or is formally written off Clawbacks do not affect the Aggregate Claim Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 4 of 72 Irregulari
46. eted end of lifecycle Concluded Rejected investigation has found that there is no irregularity end of lifecycle 7 To open an irregularity click on any irregularity detail that is underlined this indicates that there is a hotlink into the irregularity 8 To create a new irregularity click Add Irregularity This button is only available to users with Irregularity Creator role Note the act of clicking the Add Irregularity button is sufficient to create a draft irregularity 9 The irregularity creation process in MCIS has three steps which must be completed before it can be passed to the Irregularity Editor These are illustrated below and the screens are described in the following pages J History 2 Details of lrrequiarity A F Comments x Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 18 of 72 Irregularities User Guide History To display this screen This screen can be reached using either the Next Step button at the bottom of the Comments screen or the Previous Step button on the Details of Irregularity screen or the History link in the Steps navigation pane About this screen The History page provides details of the irregularity s progress to date through the MCIS workflow A History entry is created automatically when the Add Irregularity button is clicked Although no details have been entered a Draft irregularity already exist
47. first information leading to suspicion of irregularity as entered on the Details of Irregularity page If no previous communication with CLG has taken place enter today s date as the information once in MCIS Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 42 of 72 Irregularities User Guide becomes available to MA CA and AA users to view Section A Irregularity Manager To display this screen Click either the Next Step button at the bottom of the Section B completed by Irregularity Editor page or the Previous Step button on Comments page or the Irregularity Manager link under Identification of Communication in the Steps navigation pane Section A Irregularity Manager About this screen This screen is available to the Irregularity Editor but as read only For SFIRs this screen captures the EC Case number and the date the SFIR details were sent by BERR to the EC via OLAF For all other types of irregularities it will always be blank Identification of Communication a History Details of Irregularity Section A completed by Irregularities Manager Priority Axis P2 Member State United Kingdom Identification of x EC Case No Irregularity Manager Date Sent to OLAF Commen t D Clawbacks Clicking on one of ae S o link EE Administrative Department In Member State unsaved changes being lost i Regional CLG Key National BERR Ca
48. gly there will already be a green tick against it in the Step Box The Irregularity Editor may review this screen and may opt to amend the contents gt Profile Offer Details Overview Irregularities Risk Visits Categories Visit 040 8 48 gt Irregularity 040 9 191 l Details of Irregularity B History Details of Irregularity Information leading to the suspicion of the irregularity _ Financial Aspects x Priority Axis P2 Date of first information leading to suspicion of irregularity 01 01 2009 Priority Axis P3 E Detection Source National ex post controls v _ Identification of x If Other please specify Communication E Irregularity Editor Irregularity Manager E Comments w Visit if applicable 040 8 48 1st Engagement Visit v Di Clawbacks If the irregularity was confirmed by different means from those leading to the initial i suspicion give brief details Warning Clicking on one of these links may result in unsaved changes being lost Key Can irregularity be submitted with Period of the irregularity A page in this state Le Dates between which the irregularity took place 02 01 2009 to 25 02 2009 Yes No Page Cis Type of the Irregularity select all that apply and click on add button Is complete Code Description Contains errors or warnings IB Contains information only 405 Irregular
49. he project As soon as a draft clawback is created by the Clawback Editor a task of Project ready for unsuspension is generated for the Project Deliverer Testing Version 2 3 3 2449 A The UK ERDF site for England Logged in as Anne Test for OneNorthEast Home Reporting PageHelp Logout Tasks Date Raised Reference Name Priority Axis Claim No Raised By Status 29 03 2009 ASP ICDN Anne Irregs amp Clawbacks by Demand Note n a System Transition For Acceptan E 29 03 2009 ASP ICDN Anne Irregs amp Clawbacks by Demand Note n a Anne Test With Anne Test Amend Clawback This task does not appear in the task list of all Project Deliverers only of the one named in the non contractual details part of the project profile overview screen REII cle Of IVU 2tatu gt OUDSpPrHuUuTU Prone ae Overvie iew Irregularities Risk Visits Categories Contractual Details NB The information in this section can only be amended in the Offer Details Applicant Codeworks Address There are currently no addresses to display Grant Acceptor Carri Cunliffe v a Contact Details 0191 2112594 carri cunliffe codeworks net E Purpose Testing Irregularities and Clawbacks by Demand Note Application Date 15 01 2007 Start Date 01 01 2007 Date Expenditure First Eligible 02 01 2007 Financial Completion Date 31 12 2007 Practical Completion Date 31 07 2008 Grant By Priority Axis Priority Axis Grant Eligible P2 Bu
50. ile name will appear in the Local File required field d Enter a title for the attachment in the Title field e Click on the Upload Attachment button f Click on the Abandon Upload button if you have chosen the wrong item to attach Select the correct item and then repeat steps g If you wish to add more than one attachment repeat the upload process 3 Click on the Next Step button The Clawbacks page displays but is blank and read only as Clawbacks processing is only applicable to concluded irregularities scroll down to reveal the action buttons in the bottom right of the screen Project Reference ASP ICDN Irregularity Reference 040 9 191 a Project Status Live version 1 Irregularity Status Unconcluded version 1 Overview Irregularities Risk Visits Categories Visit 040 8 48 gt Irregularity 040 9 191 Clawbacks E History Details of Irregularity SFIR Details of P2 Business Growth and Enterprise Financial Aspects D Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Priority Axis P2 Priority Axis P3 P3 Technical Assistance J Stage of Proceedings Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Identification of De we 8 P Communication Irregularity Editor Irregularity Manager Previous Step Next Step Comments De Clawbacks ih Forward SFIR v e o edit the current version of the irregula
51. irregularity Clicking on one of a o DS these links may result in E ict ein nant Detection Source v If Other please specify Key Can irregularity be submitted with page in this state Y Yes Visit if applicable yv No If the irregularity was confirmed by different means from those leading to the initial Page suspicion give brief details _ Is empty Is complete i i a 1 Contains errors or warnings oS P Contains information only Period of the irregularity Dates between which the irregularity took place to Type of the Irregularity select all that apply and click on add button Code Description Irregularity Type lt j lf Error or Correction please specify Classification of the irregularity Error Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 20 of 72 Irregularities User Guide Completing this screen 10 Date of first information leading to suspicion of irregularity Enter the earliest date at which the RDA was aware of the potential irregularity Must be in the past 11 Detection source Select from drop down list If you select Other source of irregularity to be indicated on the form you must enter explanatory text in the box provided Otherwise this box is left blank 12 Visit if applicable If the irregularity is being raised as a result of a visit select the relevant visit reference fro
52. ity Axis ECE send Aspects Priority axis P2 to P3 History Details of Irregularity Priority Axis P2 Financial Aspects De Priority Axis P2 This is the agreed total level of funding for the project priority axis from the offer letter Priority Axis P3 Capital EEN Revenue Revenue Total Eligible Total Eligible Expenditure GBP be Expenditure GBP Intervention Rate Expenditure GBP Expenditure EUR Identification of x Communica tion Total Eligible Expenditure 100 000 00 40 000 00 140 000 00 154 000 00 Irregularity Editor ERDF Amount 50 000 00 50 00 20 000 00 50 00 70 000 00 77 000 00 Irregularity Manager Match Funding Amount 50 000 00 50 00 20 000 00 50 00 70 000 00 77 000 00 Comments x Public Match Funding Amount 25 000 00 25 00 0 00 0 00 25 000 00 27 500 00 Clawbacks Private Match Funding Amount 25 000 00 25 00 20 000 00 50 00 45 000 00 49 500 00 Warning Clicking on one of these links may result in i changes being lost Latest monthly EC exchange rate of 1 100000 has been used to convert from GBP to EUR This section sets out the agreed total level of funding split by ERDF and match funding for the project priority axis from the offer letter These are the same as the values on the total line for the priority axis on the Yearly Funding Profile screen The Public match and Private match figures are calculated from those on the Yearly Funding Profile For Voluntary sector actual and in kind and for P
53. ive version 1 Irregularity Status Unconcluded version 1 Profile Offer Details Overview Irregularities Risk Visits Categories Visit 040 8 45 gt Irregularity 040 9 193 History P History E Details of Irregularity wv History E Financial Aspects De Priority Axis P2 Status Date Owner Role Comment Attachment Priority Axis P3 Raised 23 03 2009 Anne Test Irregularity Editor Requires detailed review within the RDA and with the beneficiary before this irregularity can be finalised Identification of Da Communication Draft 19 03 2009 Anne Test irregularity Creator Raising E Irregularity Editor None 19 03 2009 Anne Test Irregularity Creator Created Irregularity Manager Comments x E Clawbacks Previous Step Clicking on one of these links may result in changes lost The step pane shows that all steps have a green tick have already been completed with valid details except the Comments screen which needs to be completed before any change in status After an irregularity has been opened made Unconcluded by the Irregularity Editor the Irregularity Editor may e conclude finalise it as it is see next section or e reject it this is appropriate when and if the RDA is content that no irregularity has after all taken place and it ends the lifecycle of the irregularity with no further action or e return it to the raised state to allow further editing of the current version or e p
54. lace it under amendment which creates a new version Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 47 of 72 Irregularities User Guide Comments To display this screen Click either the Next Step button at the bottom of the Identification of Communication Irregularities Manager page or the Comments link in the Steps navigation pane This screen can also be reached from the Clawbacks page however that page is not in use until after the irregularity is concluded E History Comments Details of Irregularity wv Comments Communication Add New Attachment Can irregularity be submitted with page in this state v Yes No _Page Previous Step Next Step All previous steps must display green ticks before you are able to progress the irregularity About this screen This is the only screen to complete before the irregularity can be moved forward from the Unconcludeda state Completing this screen 1 Click in the Comments field and enter a meaningful comment perhaps describing the status to which the irregularity is going to be moved 2 You may add an attachment with additional information if required To adda file click on the Add Attachment buiton a Click on the Browse button b Navigate to where the file you wish to attach is stored c Select the file and click Open The file name will appear
55. lanned Income the following business rules are used to determine whether these count toward the Public or the Private match amount On the Funding profile totals for Voluntary and for Planned Income sg are added to public match funding if the Beneficiary organisation is of type s NDPB Local Authority or Public Corporation but are added to private match funding if the Beneficiary organisation is of type Private sector NPISH or Private sector company Non Profit Institution Serving Households These rules are needed because MCIS does not hold details of the actual organisations providing match funding MCIS does not know whether the sources of Voluntary or Planned Income for a project are actually public or private money The rules will not always guarantee an accurate result but have been deemed likely to be adequate for most projects This part of the screen is about the contracted value of the project For GBP to EUR conversion the latest monthly exchange rate is used to show the current EUR value Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 36 of 72 Irregularities User Guide Amount of the Irregularity A No Page Amount of the Irregularity is empty Amount of irregularly Expenditure Capital 0 00 Revenue 150 00 a Of the funding actually paid to the project this is the breakdown of the irregular amounts Con
56. le Expenditure Grant Recovered Communication Irregularity Editor Irregularity Manager Previous Step Next Step Comments De E v d Click on the SFIR Recorded button to return the SFIR to the Irregularity Editor in the RDA This will a Change the irregularity s status to Unconcluded b Create an entry Review Irregularity in the task list of all users with Irregularity Editor role Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 67 of 72 Irregularities User Guide Project Reference ASP ICDN Project Status Live version 1 Overview Irregularities Risk Visits Categories Offer Details Visit 040 8 48 Irregularity 040 9 191 History JD History E Details of Irregularity wi History E SFIR Details v E Financial Aspects Status Date Owner Role Comment Attachment p eane SFIR Unconcluded 26 03 2009 Irregularity Manager Irregularity Manager Returning to Irregularity Editor Priority Axis P3 Unconcluded 26 03 2009 Anne Test Irregularity Editor Preparing to forward to irregularities manager E Stage of Proceedings wv a Raised 26 03 2009 Anne Test Irregularity Editor Moving to Unconcluded E Identification of v Communication Draft 19 03 2009 Anne Test irregularity Creator Raising irregularity Irregularity Editor None 19 03 2009 Anne Test Irregularity Creator Created Irregularity Manag
57. lect the correct item and then repeat steps g If you wish to add more than one attachment repeat the upload process 3 Click on the Next Step button The Clawbacks page displays but is blank and read only as Clawbacks processing is only applicable to concluded irregularities scroll down to reveal the Open button in the bottom right of the screen Project Reference ASP ICDN Irregularity Reference 040 9 193 o Project Status Live version 1 Irregularity Status Raised version 1 Claims Profile Offer Details Overview Irregularities Risk Visits Categories Visit 040 8 45 gt Irregularity 040 9 193 Clawbacks M History Details of Irregularity Financial Aspects of P2 Business Growth and Enterprise Priority Axis P2 Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Priority Axis P3 Identification of De P3 Technical Assi re Technical Assistance E Irregularity Editor Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Irregularity Manager s B Ciawbacks Warning Clicking on one of these links may result in unsaved changes being lost Print Return K 4 To move the irregularity forward to the next Unconcluded status click on the Open button Alternatively e To edit the current version of the irregularity click on the Return button This will change its status back to Draft
58. linked to paid claims cannot progress beyond Concluded Suspended status This is because MCIS expects a Clawback to be raised before it will move the irregularity status forward to Concluded In Recovery and to be recovered before it will move it forward to Concluded Closed However if the irregular expenditure has not been claimed no clawback is valid Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 51 of 72 Irregularities User Guide Special processing for SFIRs Initiate a SFIR SFIRs are initiated in MCIS by the Irregularity Creator The processing to initiate a SFIR is exactly the same as previously described earlier in this Guide for a NIFF under Initiate an irregularity Update and complete a SFIR SFIRs are updated and completed in MCIS by the Irregularity Editor with input from the Irregularity Manager MA role It is not until the Irregularity Editor has completed the Financial Aspects screen that MCIS is able to differentiate between a SFIR irregularity involving gt 10 000 EUR of ERDF grant and a NIFF irregularity involving 10 000 EUR of ERDF grant or less Using this link to the earlier section Update and complete an irregularity follow the processing for a NIFF up to the point at which MCIS identifies the irregularity as a SFIR A further hotlink at that point will bring you back to this section The Steps naviga
59. m the drop down list Otherwise this field is left blank 13 Confirmation by different means If the suspicion of irregularity has been confirmed by some means independent from the original detection source describe this here free text 14 Period of Irregularity Enter the date range within which the irregular activity or expenditure took place If the project has paid claims whose claim periods overlap with this irregularity period the Irregularity Editor will be able to assign the relevant proportion of the irregular expenditure to each of these claims It is these claims and only these claims from which the Clawback Editor will be able to clawback overpaid grant 15 Irregularity Type Select from drop down list and click Add button Several Irregularity Types may be added to each Irregularity Note There are two special values of Irregularity Type Error and Correction lf either of these is selected e No other Irregularity Type can be added e Explanatory text must be entered in the box provided More information about these special Irregularities Types is given in the shaded box next page Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 21 of 72 Irregularities User Guide MCIS includes the Irregularity Types of Error and Correction for e Capture of irregularities i e actions that breach EC regulations where there is no irregular expenditure for exampl
60. mcis MCIS Irregularities User Guide Table of Contents INTRODUCTION ME 3 HOW TOUSE THIS GUIDE EE 3 VICIS ROLES ee e 3 TEAM LEADERS osc ccceccestaccdnscccwsis Eegeregie 3 IRREGULARITIES amp CLAWBACKS cccccccccecscecsceeceeeeeeueeuueeuueeuueeuuueuueeuaueuaueuaueuaueuusuausauueuuueaueeuuesueueuseenaes 4 THE IRREGULARITIES bBpocCEeemwMCl 5 MCIS IRREGULARITIES WORKFLOW nannannnnunannnnnnnnnnnnnnannnnannuraninrarnnrar annaran ranan naL AAPA L AREALER ERRA CARa Cannara nnan nnn 6 vew Ee HC e 6 View 2 Irregularity Editor 7 View 3 Irregularity Manager 8 LOGGING IN AND OUT OF MCIS 2 cccccccecceccescesccscceccsccecceccnscnscnscnscnsensensenseesenseeseesensensensensenseesees 9 Eaei EE 9 BC GO E 10 HOME TASKS EEN 11 aa e 12 INITIATE AN IRREGULARIT Y EE 14 wl E EE 19 DETAILS OF IopEGULApmTx enana nannan anan A LAELAE RAER EAA RALRERAREL ARRERA LAERERERE LAERE AERALA EKER Enne nnn 20 VIVIEN 23 UPDATE AND COMPLETE AN IRREGULARIT Y 0 ccsccsscceccesccescesccnscnsccnsenscousensenseensenseensenseensenes 25 IRREGULARITY UPDATE AND COMPLETION OVERVIEW ccceccecceccescceccecceccuccecceccuccaceuccuececcecsaceaseaseass 26 OPEN AN IRREGULARITY ccccceccecceccecceccecccceeccucceccuccucececaeceeceucuecuueuuucuecsecueeuceuesuecausausuesecsueeeusassaess 30 SEENEN 30 DAS EE 31 Financial Aspects 0 2 cece cece eecc cece eeeceeeseeeseecaeecaeesaeeseeeseeesueesueseeseeeseeeseessueseeeseeegs 32 FINANCIAl ASPEC F E
61. n Been Notified of Administrative Or Judicial Decisions Or the Main Points Thereof Concerning Termination of Proceedings in Accordance with Article 5 1 Or Regulation 1681 94 Or with Regulation 1831 94 o MCIS validation will insist that the corresponding date and reference are entered o The date cannot be before the Date of first information leading to suspicion of irregularity as entered on the Details of Irregularity page e Date of Special Report in Accordance with Article 30 2 of Regulation 1828 2006 cannot be before the Date of first information leading to suspicion of irregularity as entered on the Details of Irregularity page Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 57 of 72 Irregularities User Guide Progressing an Unconcluded SFIR After an irregularity has been opened made Unconcluded by the Irregularity Editor the Irregularity Editor may e conclude finalise it as it is or e reject it this is appropriate when and if the RDA is content that no irregularity has after all taken place and it ends the lifecycle of the irregularity with no further action or e return it to the Raised state to allow further editing of the current version or e place it under amendment which creates a new version The processing in MCIS for progressing a SFIR from Unconcluded status is exactly as has previously been described
62. n Overview The onwards development of a Raised irregularity in MCIS has five steps which must be completed before it can be put into a Concluded state finalised and recovery of any overpaid grant initiated These are illustrated below The Steps navigation pane Irregularity update and completion D History JI Details of Irregularity wi _ Financial Aspects Priority Axis P2 Priority Axis P3 Identification of Communication Irregularity Editor Irregularity Manager ll Comments E Clawbacks Notes x The Steps navigation pane provides an easy way for you to move from page to page quickly and easily and to access pages in your chosen order simply click on a step to display the page For an at a glance view of which pages are completed and which you still have left to do e A red cross indicates that the page is not complete and requires additional information e As pages are filled out and validated by the system the red crosses turn to green ticks a An irregularity cannot be progressed beyond Raised status until all pages display green ticks in the Steps navigation pane b The Clawbacks step does not appear for Errors unless a financial value is entered c The Identification of Communication step does not appear for either Errors or Corrections as neither are reported to the Commission Irregularities User Guide Version 1 Cr
63. n Upload button if you have chosen the wrong item to attach Select the correct item and then repeat steps e lf you wish to add more than one attachment repeat the upload process Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 23 of 72 Irregularities User Guide 20 Click on the Next Step button The History page displays Scroll down to reveal the Raise button in the bottom right of the screen gt Anne Irregs amp Clawbacks by Demand Note North East Regional Competitiveness and Employment Programme Codeworks Project Reference ASP ICDN Irregularity Reference 040 9 191 Project Status Live version 1 Irregularity Status Draft version 1 Profile Offer Details Overview Irregularities Risk Visits Categories Visit 040 8 48 gt Irregularity 040 9 191 History 4 History E Details of Irregularity History Comments Da SEET Status Date Owner Role Comment Attachment these links may result in ict t iosi None 19 03 2009 Anne Test irregularity Creator Created Key Nex St EE _Previous Step _ Next Step page in this state d Yes Save xX No d v 21 Click on the Raise button 22 he History screen redisplays The status of the irregularity has changed to Raised The irregularity will now appear in the Task list of users with the Irregularity Editor role the task is Review Irregularity Project Reference ASP ICDN Irreg
64. n irregularity be submitted with page in this state Yes Previous Step Next Step x No E Page Print Is empty v Section A Irregularity Manager Completing this screen This screen is completed by the Irregularities Manager for SFIRs only Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 43 of 72 Irregularities User Guide Comments To display this screen Click either the Next Step button at the bottom of the Identification of Communication Irregularities Manager page or the Comments link in the Steps navigation pane This screen can also be reached from the Clawbacks page however that page is not in use until after the irregularity is concluded Profile Offer Details Overview Irregularities Risk Visits Categories C ere M History After you have completed the Identification Details of Irregularity SZ Comments of Communication Irregularities Editor screen you are required to enter a comment here before you can open the irregularity which identifies it as having all details completed but not yet finalised Financial Aspects Da Priority Axis P2 Priority Axis P3 Identification of Communication Irregularity Editor Attachments I la I Mia a There are currently no attachments to display 1 Comments x Add New Attachment Clawbacks Warning Clicking on one of these links may result in uns
65. ner Anne Smith MCIS Project Team Page 32 of 72 Irregularities User Guide indicate whether these are known amounts or estimates 3 Possibility of Recovery i Has Further Payment Been Suspended MCIS will always suspend the project when an irregularity is concluded Select yes if you intend that it should remain suspended until further notice or no if you intend that the suspension will be lifted at the earliest opportunity i e once the clawback s have been raised and progressed to pending recovery for offsets or authorised for demand notes NB See Unsuspending a project for information about certain stages of processing when it would not be safe to lift the Suspension li If No Provide Further Details of Why Further Payment Has Not Been Suspended Enter text to justify why you intend to allow payment of claims to this project to continue ii Potential for Recovery of ERDF Funds Reported Select appropriate radio button to reflect your level of confidence in recovering any overpaid ERDF grant iv Reasoning Enter text to explain your view of the probability of recovery of overpaid grant Notes a For the special Irregularity Type of Error the Irregular Expenditure amounts can be zero All other fields must still be completed as described above b Corrections must have a financial value c If the irregularity involves gt 10 000 EUR of ERDF grant MCIS will now re classify it as a SFIR
66. ns Enter a group name to display only tasks associated with projects belonging to that group Each project on MCIS is owned by a Project Monitor within the Intermediate Body To filter tasks by an owner enter their name here This can be your own or another user s name Raised By If you wish only to view tasks raised by a specific person on MCIS enter their name here Click in this field to display different task statuses by which you can then filter your list Locked Against If you wish only to view tasks locked against a specific person on MCIS enter their name here This may be you or another user Click in the field to display a list of actions for example Certify Claim which you can then select from and filter by Priority Axis ID Enter a Priority Axis ID numeric to display only tasks relating to that Priority Axis Sort By Click in the field to display and select from a list of options to sort your tasks You may sort by any of the Task List column headings The default setting is Date Raised Sequence Results will display in descending order If you wish to view results in an ascending order click the Asc radio button Page Size Click in this field and enter the number of results you would like to appear on each page The default setting is 10 Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 13 of 72 Irregularities User G
67. pages of the guide describe each of the irregularity screens and how to complete them Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 29 of 72 Irregularities User Guide Open an Irregularity After an irregularity has been raised by the Irregularity Creator the Irregularity Editor updates it with additional details most of which are not enterable by the Irregularity Creator Only when the Irregularity Editor has completed all irregularity screens each step has a green tick can he or she click an Open button to move the irregularity into an Unconcluded status from which it can either be concluded finalised or amended which creates a new version Alternatively if the Irregularity Editor does not want to open the irregularity it can be rejected no irregularity has taken place or returned to the Irregularity Creator pushed back to Draft status History To display this screen This screen can be reached using either the Next Step button at the bottom of the Clawbacks screen or the Previous Step button on the Details of Irregularity screen or the History link in the Steps navigation pane From the Irregularities screen this is the screen displayed on clicking a link to an existing irregularity About this screen The History page provides details of the irregularity s progress to date through the MCIS workflow As the irregularity progresses through
68. ponse tor men Judicial Follow Up Name and address of natural and legal persons involved Person representing the organisation Organisation Name Organisation Address Contact Position Or Function Legal person representing the organisation Organisation Name Organisation Address Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 54 of 72 Irregularities User Guide Completing this screen The business content of the data to be entered on this screen maps to information required on the SFIR form see User Manual Chapter 5 Irregularities Annex A Full details of how to complete this form are given in Annex B The MCIS system requirements for completion of this screen are very straightforward e No information is mandatory Simply visiting the screen and then clicking Next Step Previous Step or Save is enough to earn the green tick e However if you answer yes to the question Has Notification Been Sent Under Article 29 of EC Regulation 1828 2006 either o because the practices employed in committing the irregularity are considered new or o because other member states are involved then MCIS validation will insist that the corresponding date and reference are entered e Date on Which Irregularity Report Was Drawn Up cannot be before the Date of first information leading to suspicion of irregularity as entered on the
69. port runs in real time i e will contain all data that has been entered on a screen and saved using Next Step Previous Step or Save whereas most Cognos reporting runs from a copy of MCIS data taken overnight i e the data may be up to 24 hrs behind the online system Clawbacks and recovery When the Irregularity Editor concludes an irregularity the Clawback Editor is alerted to initiate recovery via task in their task list Irregularity requires Clawback As soon as the Clawback Editor creates a draft clawback MCIS automatically changes the status of the irregularity from Concluded Suspended to Concluded In Recovery When all clawback processing is completed MCIS automatically changes the status of the irregularity from Concluded In Recovery to Concluded Closed bringing it to the end of the irregularity lifecycle These processes are described in detail in the Clawback Editor User Guide Note Irregularities with zero financial value which is only allowed for the special Irregularity Type of Error do not require clawbacks as there is no overpaid grant to recover When such Irregularities are concluded by the Irregularity Editor MCIS moves them straight to status Concluded Closed without Suspending the project Note There is a known issue in MCIS r2 as at 31st March 2009 where irregularities that have non zero financial value and where the irregular expenditure has not been
70. rity click on the Return button This will change its status back to Raised e To edit the irregularity and create a new version click on the Amend button This will change its status to under amendment Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 61 of 72 Irregularities User Guide e f after investigation you are satisfied that there has been no irregularity click on the Reject button This will bring it to the end of its lifecycle and change its status to Concluded Rejected e f after investigation you are satisfied that the irregularity has been proven and all details on MCIS are correct click on the Forward SFIR button to forward the SFIR to the Irregularity Manager in the MA This will a Change the irregularity s status to SFIR Unconcluded Project Reference ASP ICDN Project Status Live version 1 Profile Offer Details Overview Irregularities Risk Visits Categories Visit 040 8 48 gt Irregularity 040 9 191 History P History B Details of Irregularity History P SFIR Details M Financial Aspects Status Date Owner Role Comment Attachment Priority Axis P2 E gt Unconcluded 26 03 2009 Anne Test Irregularity Editor Preparing to forward to irregularities manager Priority Axis P3 Raised 26 03 2009 Anne Test Irregularity Editor Moving to Unconcluded P Stage of Proceedings mem Draft 19 03 2009 Anne Test
71. rs in the task list of all users in the RDA who have Irregularity Editor role with a status of For Acceptance To update and complete an irregularity you must first accept the task by clicking on the link in your task list Testing Version 2 322433 A e The UK Government s Communities Gage m and Local Goverement ERDF site for England Logged in as Anne Test for OneNorthEast Home Reporting PageHelp Logout Tasks Date Raised Reference Name Priority Axis Claim No Raised By Status Action 19 03 2009 Irregularity 040 9 191 Anne Irregs amp Clawbacks by Demand Note n a Anne Test For Acceptance Review Irregularity E 18 03 2009 040 8 93 Mark s Test Project 006 n a 1NE Visitor With 1NE Visitor 18 03 2009 040 38 92 Mark s Test Project 006 n a 1NE Visitor With 1NE Visitor View Visit 17 03 2009 Irregularity 040 9 190 jonty test 522 n a 1NE Irregularity Creator With 1NE Irregularity Creator View Irregularities 12 03 2009 Irregularity 040 9 179 jonty test multiple priority axes project n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8 View Irregularities 12 03 2009 n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8 View Project 11 03 2009 Irregularity 040 9 178 jonty test 1258 part 2 n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8 View Irregularities E Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 25 of 72 Irregularities User Guide Irregularity Update and Completio
72. rspective Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 6 of 72 Irregularities User Guide View 2 Irregularity Editor 1 Irregularity Creator Drafts and Raises 4 Irregularities Manager Reviews SFIR amp informs BERR 5 Irregularity Editor Concludes finalises irregularity Suspends project amp alerts the Clawback Editor to recover any overpaid grant Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 7 of 72 Irregularities User Guide View 3 Irregularity Manager 1 Irregularity 2 Irregularity Creator Drafts Editor Fully and Raises investigates amp documents the findings 5 Irregularity Editor Concludes finalises irregularity Suspends project amp alerts the Clawback Editor to recover any overpaid grant Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 8 of 72 Irregularities User Guide Logging in and out of MCIS Login To log in to MCIS go to the home page of the ERDF for England website www erdf communities gov uk and click on login Login Ener your usemame and password here i your begin detalis are not accepted please contact your local Support Helodesk Ueetgmer Pasovcortk Ca 1 Enter your Government Gateway Username and password Click on Login
73. s Testing Version 2 3 2 2433 a wffe The UK Governmen SR t s eng ERDF site for England Logged in as Anne Test for OneNorthEast Home Reporting PageHelp Logout Anne Irregs amp Clawbacks by Demand Note North East Regional Competitiveness and Employment Programme Codeworks Project Reference ASP ICDN Project Status Live version 1 Claims Profile Offer Details History Overview Irregularities Risk Visits Categories History P History Details of Irregularity History Comments x y pe of Status Date Owner Role Commen t Attachment these links may result in i iosi None 19 03 2009 Anne Test Irregularity Creator Created Key Previous Step Next Step Can irregularity be submitted with When you first create an irregularity the history will show the current date your user details and role The screen shows the irregularity status is draft version 1 As the irregularity progresses through the MCIS workflow this history will build This will include comments added by each person involved in processing the irregularity at each change of status The current status of the irregularity always appears at the top of the History list History History ENEA 14 01 2009 System Transition System ee ea a ae change to entity with reference ASP Unconcluded 14 01 2009 Anne Test Irregularity Editor Making unconcluded SFIR Unconcluded 14 01 2009 Irregularity Manager Irregularity M
74. s Previous Step Warning Clicking on one of these links may result in ei beer ES Return e e To edit the current version of the irregularity click on the Return button This will change its status back to Raised e To edit the irregularity and create a new version click on the Amend button This will change its status to under amendment e f after investigation you are satisfied that there has been no irregularity click on the Reject button This will bring it to the end of its lifecycle and change its status to Concluded Rejected e lf after investigation you are satisfied that the irregularity has been proven and all details on MCIS are correct For irregularities with non zero irregular expenditure click on the Conclude button This will a Change the irregularity s status to Concluded Suspended b Suspend the project Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 49 of 72 Irregularities User Guide c Create an entry Irregularity Requires Clawback in the task list of all users with Clawback Editor role d Cause the irregularity to be included in the next Aggregate Claim For irregularities with zero irregular expenditure only allowed for the special Irregularity Type of Error click on the Approve button which is displayed instead of a Conclude button This will a Change the irregularity s
75. sed on a review of the underlying transactions Notes i Some or all of the irregular expenditure may not yet have appeared on a paid claim ii MCIS will not allow the total irregular expenditure capital or revenue entered against a claim to exceed the amount of capital or revenue expenditure on the original claim This validation check takes into account any irregular expenditure already logged against that claim on other irregularities The table under the list of paid claims updates when the save buiton is clicked It shows the total capital and revenue irregular amounts that have appeared on paid claims in GBP and EUR and the corresponding amounts of ERDF grant and match funding The calculation of public and private match funding is as described above for the first Priority Axis section of this screen Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 37 of 72 Irregularities User Guide As described at the beginning of this User Guide irregularities are the vehicle for CLG to recover overpaid grant from RDAs e Where paid claims have been aggregated the GBP to EUR exchange rate used by this table is the rate that applied when the aggregate claim was paid e Where paid claims have not yet been aggregated the exchange rate used is the current monthly exchange rate RDAs in turn recover overpaid grant from beneficiaries using Clawbacks Financial Consequences
76. siness Growth and Enterprise 70 000 00 140 000 00 P3 Technical Assistance 1 400 00 7 000 00 TOTALS 71 400 00 147 000 00 Non Contractual Details Phone Email Telephone not specified anne mcisproject co uk Support Type Eligible Project Type Mi Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 71 of 72 Irregularities User Guide Although the task appears as soon as a draft clawback is created by the Clawback Editor the decision to unsuspend the project should only be taken after the Project Deliverer has consulted with the Irregularity Editor and Clawback Editor e For business reasons the Irregularity Editor may wish the project to remain suspended if he she thinks it is risky to allow further claims to be reimbursed for this project e For systems reasons it is unsafe to unsuspend the project until the Clawback Editor s work has advanced beyond a certain point A project should not be unsuspended unless the Project Deliverer has liaised with the Clawback Editor and has established that he she has raised all clawbacks required in respect of concluded irregularities for this project s all such clawbacks have reached or progressed beyond a status of Authorised for Demand Notes Pending Recovery for Offsets Also for systems reasons A project should not have its offer re issued if there are any outstanding irregularities in a st
77. status to Concluded Closed the end of its lifecycle b Keep the project in a Live status rather than suspending it Note SFIRs cannot be concluded unless they have first been forwarded to the Irregularity Manager in the MA This is done from the Unconcluded status where there is an extra action button Forward SFIR See separate section on Special processing for SFIRs 4 The Clawbacks screen redisplays showing the new status of the irregularity Puja See Live vernon Deeg N Profile Offer Details Overview Irregularities Risk Visits Categories Visit 040 8 45 gt Irregularity 040 9 193 Clawbacks M History E Details of Irregularity LR Financial Aspects af P2 Business Growth and Enterprise Priority Axis P2 Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Priority Axis P3 E Identification of D T R Gimana P3 Technical Assistance Irregularity Editor Reference Type Status Date Raised Date Recovered Ineligible Expenditure Grant Recovered Irregularity Manager H Comments x B Clawbacks Previous Step Next Step i i Ss 5 Note the Print button at the bottom right of the screen This opens Cognos in a new window and runs a report containing details of the irregularity Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 50 of 72 Irregularities User Guide Note this re
78. t Ref Results will display in an ascending order If you wish to view results in a descending order click the Desc radio button Page Size Click in this field and enter the number of results you would like to appear on each page The default setting is 10 3 Enter your chosen search criteria Sequence 4 Click on the Search button 5 The Profile Overview page displays Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 15 of 72 Irregularities User Guide Testing Version 2 3 22433 A The UK Government s taannan ERDF site for England Logged in as 1NE Irregularity Creator for OneNorthEast Home Reporting PageHelp Logout Anne Irregs amp Clawbacks by Demand Note North East Regional Competitiveness and Employment Programme Reference ASP ICDN Status Live DU prone eee Overview irregularities Risk Visits Categories Contractual Details NB The information in this section can only be amended in the Offer Details Your project PE Re profile displays Irregularities There are currently no addresses to display S u b tab From the Profile screen click on the Irregularities sub tab to view all irregularities created against this project 6 The Irregularities screen displays communities ERDF site for England WW Logged in as 1NE Irregularity Creator for OneNorthEast Home Reporting Page Help Logout
79. t from GBP to EUR Financial Consequences Capital Capital Revenue Revenue Total Irregular Total Irregular irregular GBP Irregular EUR Irregular GBP Irregular EUR Expenditure GBP Expenditure EUR Total Irregular Expenditure Not Paid 0 00 0 00 150 00 165 00 150 00 165 00 ERDF Amount 0 00 0 00 75 00 82 50 75 00 82 50 Match Funding Amount 0 00 0 00 75 00 82 50 75 00 8250 Public Match Funding Amount 0 00 0 00 0 00 0 00 0 00 0 00 Private Match Funding Amount 0 00 0 00 75 00 82 50 75 00 82 50 Latest monthly EC exchange rate of 1 100000 has been used to convert from GBP to EUR Amount of expenditure and grant recovered and unrecovered calculated using the project priority axis intervention rate Total Recovered GBP Total Recovered EUR Total Unrecovered GBP Total Unrecovered EUR Amount of irregular expenditure 0 00 0 00 0 00 0 00 ERDF Amount 0 00 0 00 0 00 0 00 Match Funding Amount 0 00 0 00 0 00 0 00 Public Match Funding Amount 0 00 0 00 0 00 0 00 Private Match Funding Amount 0 00 0 00 0 00 0 00 Actual monthly exchange rates used to pay claims have been used to convert from GBP to EUR Latest monthly EC exchange rate of 1 100000 has been used to convert from GBP to EUR for unrecovered amounts ve Pent o The contents of this screen is explained section by section on the following pages Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 35 of 72 Irregularities User Guide Prior
80. tains errors or warnings ete i s Capital Capital Irregular Revenue Revenue Irregular Total Irregular Total Irregular Contains information on y Camio _ NaS Expenditure GBP GBP Expenditure GBP GBP Expenditure GBP Expenditure EUR 2 16 01 2009 1 100000 8 333 00 p99 3 333 00 150 00 0 00 0 00 3 22 01 2009 1 100000 8 765 43 p00 B 3 210 98 0 00 0 00 0 00 Save Capital Capital Revenue Revenue Total Irregular Total Irregular Irregular GBP Irregular EUR Irregular GBP Irregular EUR Expenditure GBP Expenditure EUR Total Irregular Expenditure Paid 0 00 0 00 0 00 0 00 0 00 0 00 ERDF Amount 0 00 0 00 0 00 0 00 0 00 0 00 Match Funding Amount 0 00 0 00 0 00 0 00 0 00 0 00 Public Match Funding Amount 0 00 0 00 0 00 0 00 0 00 0 00 Private Match Funding Amount 0 00 0 00 0 00 0 00 0 00 0 00 Actual monthly exchange rates used to pay claims have been used to convert from GBP to EUR This section re displays the capital and revenue irregular expenditure amounts entered on the previous Financial Aspects page lt then displays all paid claims for the project where any part of the claim period overlaps with the period of this irregularity as entered on the Details of Irregularity screen Any of these claims could have included some or all of the irregular expenditure This screen allows the Irregularity Editor to enter the appropriate amounts of irregular expenditure against the relevant paid claims a decision that would be ba
81. ted with this irregularity that have not yet appeared on paid claims in GBP and EUR and the corresponding amounts of ERDF grant and match funding Again the calculation of public and private match funding is as described above for the first Priority Axis section of this screen In this case because the amounts have not been paid the GBP to EUR exchange rate used is the current month s Amount of expenditure and grant recovered and unrecovered calculated using the project priority axis intervention rate This part of the screen again displays a table that updates when the user clicks the save button to refresh the amounts of irregular expenditure that have been included on paid claims Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 38 of 72 Irregularities User Guide Amount of expenditure and grant recovered and unrecovered calculated using the project priority axis intervention rate Total Recovered GBP Total Recovered EUR Total Unrecovered GBP Total Unrecovered EUR Amount of irregular expenditure 0 00 0 00 0 00 0 00 ERDF Amount 0 00 0 00 0 00 0 00 Match Funding Amount 0 00 0 00 0 00 0 00 Public Match Funding Amount 0 00 0 00 0 00 0 00 Private Match Funding Amount 0 00 0 00 0 00 0 00 Actual monthly exchange rates used to pay claims have been used to convert from GBP to EUR Latest monthly EC exchange rate of 1 100000 has been used to convert from GBP to EUR for unreco
82. the Comments link in the Steps navigation pane This screen can also be reached from the Clawbacks page however that page is not in use until after the irregularity is concluded Irregularity Reference 040 9 191 5 Irregularity Status SFIR Unconcluded version 1 Project Reference ASP ICDN Project Status Live version 1 Profile Offer Details History Visit 040 8 48 gt Irregularity 040 9 191 Comments M History E Details of Irregularity v Comments SFIR Details T4 Financial Aspects De P ty Axis P2 P ty Axis P3 Stage of Proceedings E Attachments Identification of De Communication Irregularity Edit There are currently no attachments to display Irregularity Manager Add New Attachment Comment x E Clawbacks Select a person to route this irregularity to Warning Clicking on one of these links may result in Previous Step Next Step unsaved changes being lost Can irregularity be submitted with page in this state About this screen After a comment is entered on this screen the Irregularity Manager can return it to the Irregularity Editor who can then conclude it Completing this screen 1 Click in the Comments field and enter a meaningful comment for the Irregularity Editor 2 You may add an attachment with additional information if required To adda file click on the Add Attachment buiton a Click on the Browse button b Navigate to where the file
83. ties User Guide The Irregularities Process in MCIS Process summary Irregularity is DRAFTed by Irregularity Creator who RAISEs the irregularity which passes it on to the Irregularity Editor who fully investigates and documents it then OPENS it which puts it into a status of UNCONCLUDED and from Unconcluded either AMENDs creates new version or CONCLUDEs finalises o For SIFRs only details must be reviewed and BERR updated by the Irregularities Manager an MA role before the Irregularity Editor can CONCLUDE When an irregularity becomes CONCLUDED MCIS automatically o SUSPENDS the Project o Alerts the Clawback Editor o Will include that Irregularity next time there is an Aggregate Claim When a Clawback is raised MCIS marks the Irregularity as CONCLUDED IN RECOVERY When recovery is complete MCIS marks the Irregularity as CONCLUDED CLOSED Relationships in MCIS Irregularities belong to projects not claims An irregularity may be related to expenditure on 1 several or no claims the irregular expenditure may not yet have been claimed Clawbacks belong to irregularities not claims An irregularity may give rise to 1 several or no clawbacks if no ERDF grant has yet been paid out no recovery is necessary lf a project is affected by gt 1 irregularity that occurred over the same time period and there are paid claims relating to that period each of thos
84. tion pane special version for SFIRs P History D Details of Irregularity J SFIR Details d Financial Aspects Priority Axis P2 priority Axis P3 D Stage of Proceedings Identification of Communication 2 Irregularity Editor Irregularity Manager ER Comments fll Clawbacks Irregularities User Guide Version 1 Document Owner Anne Smith MCIS Project Team Once MCIS has classified an irregularity as a SFIR it re displays the Steps navigation pane with two additional steps that apply to SFIRs only e SFIR Details e Stage of Proceedings The Irregularity Editor must complete these additional steps i e must ensure they have green ticks before the irregularity can be opened into Unconcluded status The following pages describe these two extra steps Once you have completed these ensure all other steps are completed just as described earlier under Update and complete an irregularity Created 17 03 09 Page 52 of 72 SFIR Details To display this screen Irregularities User Guide Click either the Next Step button at the bottom of the Details of Irregularity page or the Previous Step button on the Financial Aspects page or the SFIR Details link in the Steps navigation pane About this screen This screen captures details that are required to be entered on the SFIR form in accordance with the regulations It is envisaged that MCIS may in a future release incorpor
85. tly owns the task If a task is routed to a new user then the status will display as Routed to x where x is the user s name until the user accepts the task Irregularity Creators do not initiate new irregularities from the task list To create a new irregularity you must navigate to the irregularities sub tab within the project profile tab as described in the next section Initiate an irregularity Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 11 of 72 Irregularities User Guide The UK Go vernmen t s Testing Version 2 3 2 2433 N ERDF site for England Logged in as 1NE Irregularity Creator for OneNorthEast Home Reporting Page Help Logout Tasks Date Raised 11 03 2009 11 03 2009 04 03 2009 28 01 2009 26 01 2009 21 01 2009 21 01 2009 Done Reference Irregularity 040 9 178 irregularity 040 9 172 Irregularity 040 9 169 Irregularity 040 9 155 irregularity 040 9 148 Irregularity 040 9 129 Irregularity 040 9 128 Filtering Name Priority Axis Claim No Raised By Status Action jonty test 1258 part 2 n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8 View Irregularities jonty test 522 n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8 View Irreqularities jonty test 1258 n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8 View Irregularities jonty test project for 1208 amp 1210 n a Jonty Testing 2 2 8 With Jonty Testing 2 2 8
86. uide Initiate an irregularity Irregularities can only be initiated in MCIS by individuals who have the Irregularity Creator role To create an irregularity you must first search for and open the project you wish to initiate an irregularity against 1 From your home Tasks page click on the Projects tab 2 The screen below displays Projects Programme Organisations Search For Projects Filter Criteria Programme North East Regional Competitiveness and Employment Programme D Projects V Project Organisation Aggregate Project IV Status DI Priority Axis Id Group Project Reference Current Owner Project Sort By Project Ref DI Sequence asc Desc Page Size H 0 About this screen This screen allows you to search for project s held on MCIS Intermediate Body users e g Irregularity Creator and Irregularity Editor can search all projects in their programme s Managing Authority users e g Irregularity Managers can search for projects associated with any programme A range of criteria can be applied to your search as detailed in the table below Note MCIS allows you to use a wildcard search e g if you want to find all projects which start with A type A in the Project Name field Wildcards can be used in any alphanumeric field Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 14 of 72 Irregularities User Guide S
87. ularity Reference 040 9 191 Project Status Live version 1 Irregularity 3 Profile Offer Details Overview Irregularities Risk Visits Categories Visit 040 8 48 Irregularity 040 9 191 History B History P Details of Irregularity History E Financial Aspects Priority Axis P2 Status Date Owner Role Comment Attachment Priority Axis P3 Draft 19 03 2009 Anne Test irregularity Creator Raising irregularity D identification of a 19 03 2009 Anne Test Irregularity Creator Created Communication a Irregularity Editor Irregularity Manager Previous Step M Comments Di Clawbacks Print ee 5 23 Note the Print button at the bottom right of the screen This opens Cognos in a new window and runs a report containing details of the irregularity Note this report runs in real time i e will contain all data that has been entered on a screen and saved using Next Step Previous Step or Save whereas most Cognos reporting runs from a copy of MCIS data taken overnight i e the data may be up to 24 hrs behind the online system Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 24 of 72 Irregularities User Guide Update and complete an irregularity Irregularities can only be progressed beyond Raised in MCIS by individuals who have the Irregularity Editor role When an irregularity is raised by an Irregularity Creator a task to Review irregularity appea
88. user a notification will appear in all Irregularity Editors Task lists The status of the notification will read routed to x where x is the person to who was selected Note that this action will not cause the irregularity to change status from draft as routing it has not moved the irregularity through the workflow Irregularities User Guide Version 1 Created 17 03 09 Document Owner Anne Smith MCIS Project Team Page 27 of 72 Irregularities User Guide Previous Page Moves to the previous page and if any changes have been made to the page saves the changes Next Page Moves to the next page and if any changes have been made to the page saves the changes Saves the data entered on the current screen Restore Clears any data entered on the current page which has not yet been saved If you have clicked on Next Step Previous Step or Save the restore function will not work This opens Cognos in a new window and runs a report containing details of the irregularity Note this report runs in real time i e will contain all data that has been entered on a screen and saved using Next Step Previous Step or Save whereas most Cognos reporting runs from a copy of MCIS data taken overnight i e the data may be up to 24 hrs behind the online system Additional buttons become available at particular points in the workflow to enable you to move irregularities through the various statuses of their lifecycle Irregularities Us
89. vered amounts For the amounts of capital and revenue irregular expenditure associated with this irregularity that have appeared on paid claims this table shows the amounts that have and the balances that have not been recovered via clawbacks The amounts are shown in GBP and EUR broken down into the corresponding ERDF grant and match funding Note that the calculation of match funding has an additional layer of complexity compared to the other tables on this screen This is because amounts recovered against clawbacks are not broken down in MCIS into separate capital and revenue amounts therefore MCIS assumes that the ratio of capital and revenue in the recovered amounts on a clawback is the same as the ratio defined on the parent irregularity MCIS then applies the calculation of public and private match funding recovered and unrecovered using the same approach as is as described above for other tables on this screen Example For the project shown in the screenshot below NE eet Aspects Priority Axis P2 to P3 History Details of Irregularity Priority Axis P2 Financial Aspects De This is the agreed total level of funding for the project priority axis from the offer letter Priority Axis P2 Priority Axis P3 Capital ii ea Revenue Revenue Total Eligible Total Eligible Expenditure GBP e DE Expenditure GBP Intervention Rate Expenditure GBP Expenditure EUR Identification of x Communication Total Eligible Expenditure 10

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