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IMS User Manual

1. 2014 09 23 AFIS IMS UserManual Draft Page 54 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS 2 1 6 Street You need to indicate the name of the street where the person is officially registered 2 1 7 Postcode You need to indicate the postal code of the address where the person is officially registered 2 1 8 City You need to indicate the name of the city or village where the person is officially registered Section Territorial unit where the person is registered This section contains information on the territory where the person officially is registered 2 1 9 Country You need to indicate the country where the person officially is registered IMS puts by default your country but it is editable which means that you can select any other country Example In the image on the left hand side page the following value has been indicated Netherlands 2 1 10 NUTS level 1 You need to select from the drop down list one of the offered values The values in the drop down list depend on the country selected in the previous field The drop down list contains all NUTS values used from 2003 onwards NUTS classification is a hierarchical system for dividing up the economic territory of the EU for the purpose of 1 The collection development and harmonisation of EU regional statistics 2 Socio economic analyses of the regions 3 Framing of EU regional policies The acronym NUTS comes from Nomenc
2. 1 14 Case can be closed 1 15 Case closed 1 16 Case closure date Communication validated successfully dd mm yyyy Figure 3 Validate and finalize 2014 09 23 AFIS IMS UserManual Draft Page 102 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS After you have saved the communication you must finalize it When you finalize a communication the manager can submit it For more information on the lifecycle of a communication and the required actions on the part of the creator the manager and OLAF You can only finalize a communication when tt is valid i e no mandatory fields should be left blank and all entered information must follow the business rules To validate a communication At the bottom of the communication page Click the validate button OD The communication will be validated If you want to validate a communication and directly send it if it is valid click the Finalize button and the communication will automatically be checked before it is finalized If there are any errors in the communication the following icons and warnings are displayed O aie apai When there are errors on one of the pages a red icon is displayed in the tab When mandatory fields are left empty an orang icon is displayed next to the field When the information entered in a mandatory field is incorrect according to the business rules a red icon Is displayed next to the field
3. AFIS IMS NIMS Initial communication i Identification 2 Personal data 10 OLAF Specific Control 5 1 Date of discovery PACA 5 2 Reason for performing a control why 53 Type and or method of control how 5 4 Control carried out before after payment 55 Competent authority OLAF investigation 5 6 OLAF investigation 57 OLAF number Walidate Rilczco 7ERDF BESeecRAl 20la yi 0001s 1 Finalize Send EUR EURO EUROPE 3 Operation 4 Irregularity 5 Detection 6 Amounts 05 01 2005 dd mm yyyy Information published in the media D001 Information published in the media Control of documents DS002 Control of accounts Control on the premises of the company Control of documents After payment Committee for Inquiry and Audit 2014 0001 Export as XML Export as Excel Print 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 7 Recovery Cancel B Sanctions Page 82 of 193 9 Comments IMS AFIS IMS 3 6 Tab page 5 Detection Tab page Detection provides information on how the irregularity was detected Section Control This section contains information on the controls performed by the competent authorities 5 1 Date of discovery PACA You need to indicate the date on which the irregularity was discovered The acronym PACA stands for the French description Premier Acte de Constat Administratif You will find the d
4. Be aware that the applied rate can differ from the official rate Nevertheless you need to indicate the official rate The official rate can be found in SFC2007 or SFC2014 The acronym SFC stands for System for Fund management in the European Community SFC s function is the electronic exchange of information concerning shared fund management between Member States and the European Commission as described in the applicable regulations 6 2 Amount of expenditure You need to indicate the total amount of the expenditure split up into EU share national share and private share The public contribution is EU share and national share together The total expenditure is EU share national share and private share together 6 3 Amount of irregularity You need to indicate the irregular amount split up into EU share and national share i 3 Be aware that it is not relevant if the amount has been paid You need to provide information on the actual financial impact amount paid out and the potential financial impact amount not paid out thanks to early discovery 7 i Be also aware that in case repayment takes place in instalments the amounts indicated in fields 6 3 6 3 1 and 6 3 2 remain the same Repayment itself has no impact on the amount of the irregularity only the outstanding amount is reduced which information can be processed on tab page 7 Recovery 6 3 1 whereof not paid You need to indicate the amount that was not paid
5. Pie chart legend options ccccccsssessseeeeeeceeaeesseeeeeeeeeeeeuseeceeecessaaeaeeeeeeeessaeaaseeeeeeeesnaaaaaaes 185 Figuro 59 ZOOM OPON S rosessi rnrn a r ira ea E EEE EEE NET Ea 185 FOUG DO Bar CNA Srevnccammesaensemeecacatcesosnaantececuonvedecndansaenetneasieamennncustenuedema deta neceteeemeraenteecumuannecnnuneeoeteeenene 186 US og WO aspect arrestee cance E E E A EE E E A EA E R 187 Figure 58 SPIT WIC W isan ccttaeracnweatyaeruncenenansiiaacmtatyoentants nettradesnawnnwecabensacadentsaennteasavenaptiacmbanaunantntetnayne 188 ICIS 99 OM EEEE a E E E A E A E E E ET E T 188 2014 09 23 AFIS IMS UserManual Draft Page 7 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Figure 60 Collapse a COLUMN cccccssssssssssseeeceeeeeeeeeeeeeeaaaaaeusseeeeeceeeeeeeeeeeeesaaaaaaaaseeeeeeeeeeeeeeeeesenanaaas 189 Figure 61 Expand a colUMn Receem rene Cent mene ne ete mmnn eer ete meena meen Tt Pneene ee ne mane a ene ae rere mere 189 Figure 62 Sections in the reports ViOW cccccsesseseceeeccceesesseeeeeeeeeeeeuseeeeeeeeseaasseeeeeeeeseaeaaseeeeeeessnaaaaaees 190 Figure 63 Fiter COMMU AOI sssini niner ERE AERES taste tal anaa TEAN EAER EAA AE ER AEAEE NR EErEE 190 Figure 64 Filter list behaviour Options ccccseeeeeeceeeeeeeeeeeeeeeeeeeeeaaeeaeeeeeseesaaeasaeeeeseeseaaeaeeeeeeseessaaaaes 191 PICUINE OS OEIC UO aee E EA EEE 192 Figure 66 Roload DUON scactecontasttsantecteceutainanethet
6. VJES W Fl FR V GR HR X a A Fe W F W oll Ja Be le je e je ja je ls fe inate ae Share Remember my changes Y rad RA Figure 45 Table 19 6 4 Split charts A split chart combines two types of charts for example a map at the top and a bar chart at the bottom In the example below Figure 46 Split view two sets of information are displayed simultaneously the map displays irregularities country by country while the bar chart displays budget classification 2014 09 23 AFIS IMS UserManual Draft Page 187 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS ll COMMON Reports 1848 Reports 1846 Irregularities count by country and budget classification map chat 184 egularities count by budget gt Reporting Year All a 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 EF annan IRQ Classification m SISSSSSSSSS8S8 V All V Not specified V Irregularity a am 7 Suspected fraud A ull E 719 F Established fraud 1991 38 _ Selected Country Code 1992 91 Fan a 1993 252 WIAT F 1994 f 329 VIBE a 1995 fj 626 V BG i 1996 812 acy 2 CZ 1997 E 1 332 5 DE 1998 I 1 904 7 DK 1999 B 2 372 JEE OK 5K 10K 15K 20K 25K 30K oe Fe Distinct count of Irregularities IW FI Share Remember my changes md Figure 46 Split view 19 6 5 Sorting bar ch
7. 07 19 02 2014 gq aiarar ust 03 02 2014 09 52 28 19 02 2014 gq a lat 03 02 2014 09 52 19 03 02 2014 09 52 28 05 03 2014 pees oe bee oe el gt gt gt State Finalize Page 130 of 193 IMS AFIS IMS You can list all communications that are part of an open case s sz Communications that are part of a closed case cannot be listed You can find them by doing a search For more information about the search function see chapter 16 Error Reference source not found To display the list of communications On the homepage click List communications The communications are listed in a table The following columns are available Reference Number Communication Type National Reference Fund Quarter Drafting Date Registration Date State See chapter 11 2 s Q Click the headers of the columns to sort communications by that column in ascending or descending order 2014 09 23 AFIS IMS UserManual Draft Page 131 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 10 1States of Communications Communication Drafting Registratio Reference Number Type National Reference Fund Quarter date date F 2 hi j i2 i F R498 E5 a134567892 2014 10255 1 Initial a13456789012345678901234567890123 EFF ae 4 29 01 2014 ghee Ler pyn Be ig ALAARA Fourth Quarter 4 lt 04 03 201 R1631 ES 12345 2013 60464 1 Initial dandandan CF 2012 26 02 2014 15 48 21 i F 4 3 02 R1681 ES RepAut 20
8. 1 2 gt o E Select all Print Export as XML Export as Excel Send Delete Finalize O NIMS Initial communication Beem isa e EE ANE E TRY Turkish Lira Turkey ua Bieta WATE EE iecely 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions 9 Comments 10 OLAF Identification of the communication O14 Reference number OLAF FR 1831 Cohesion Fund ES 12345 2013 60459 1 1 2 Reference number national 39345678901234567890123456789012345678901234567897 Drafting information 1 3 Reporting authority 300 1 4 Communication language Bulgarian 1 5 Currency TRY Turkish Lira Turkey 1 6 Quarter of communication initial Fourth Quarter 2013 1 7 Quarter of communication update 1 8 Drafting date 26 02 2014 dd mm yyyy Special communication 1 9 New modus operandi 1 10 Necessity to inform other countries 1 11 Case irrecoverable Status 1 12 Proceedings status Proceedings closed 1 13 Financial status Amount to be calculated Case closure 1 14 Case can be closed 1 15 Case closed 1 126 Case closure date fdd mm yyyy Copy Export as XML Export as Excel Print Figure 14 View a communication 2014 09 23 AFIS IMS UserManual Draft Page 138 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS You can view any communication according to your role and user rights At the same time the ability to view communication
9. 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 11 2View old communication NIMS Update communication pili ma ieee HUF Forint Hungary View history 1 Identification Personal data 3 Operation 4 Irregularity 5 Detection 10 OLAF 1681 Article 5 Bs eure ere View history View new communication O View old communication 6 Amofnts 7 Recovery 8 Sancti 1 Identification 2 Operation 3 Detection 4 Irregularity 5 Other States Irr Period 6 Authorities Date 10 Recovery 11 Status 12 Procedures 13 Sanctions 14 Comments Identification Of The Communication 1 1 Reference number OLAF R 1681 HU 2007 O J Funds FD 1 2 Reference number MS ROP ERFA VATI 2006 007 1 081 3 Communication Language Hungarian 1 4 Communication date 19 05 2007 dd mm yyy y 1 5 Quarter First Quarter 27008 1 6 Regional body Regional body Additional information of 0 m FI 5 No records to view 1 7 National body National body Additional information of 0 amp FI 5 No records to view 1 8 Urgent Communication 1 9 Case closed Figure 16 View old communication 2014 09 23 AFIS IMS UserManual Draft Page 142 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS On the View old communications page you can see the communications in the previous IMS format This option is only available for those communications that wer
10. 22 04 2014 IMS AFIS IMS NIMS Initial communication sii Aaaa sia fiolt singe si EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions 9 Comments 10 OLAF Specific Identification of the communication 11 Reference number OLAF R 1828 European Regional Development Fund Ba BE 1828RA1 2014 10001 1 1 2 Reference number national Belgium file number reporting authority 123AB Drafting information 1 3 Reporting authority 1828RA1 Reporting Authority competent for R1828 1 4 Communication language English 15 Currency EUR EURO EUROPE 1 6 Quarter of communication Second Quarter Initial 7 Quarter of communication Update 1 8 Drafting date 10 04 2014 dd mm yyyy Special communication 1 10 Necessity to inform other countries 1 9 New Modus Operandi E i11 Case irrecoverable Status 1 12 Proceedings status Administrative proceedings 1 13 Financial status Recovery under way Case closure 1 14 Case can be closed 1 15 Case closed E 1 16 Case closure date dd mm yyyy Validate Finalize Send 2014 09 23 AFIS IMS UserManual Draft Page 46 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a Section Status This selection contains information on the proceedings and the financial status of the case AFIS IMS 1 12 Proceedings You need to select from the drop d
11. 7 1997 1998 1999 7 2000 7 2001 2002 2003 2004 2005 2006 2007 Wl 2008 IRQ Classification F All Not specified 4 Irregularity Suspected fraud Established fraud Filter the reports by IRQ classification Figure 50 Sections in the reports view Regulation fs V cAn V 498 Figure 51 Filter configuration When you move your mouse anywhere in the filter section several hidden options will become available to you 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 Page 190 of 193 IMS AFIS IMS fa When you click this button a search field appears Use it to search for any kind of filter Click this button to show more or fewer values Click this to display a dropdown field form which you can select the way the filter lists should behave Options include e Single you will only be able to select one item per filter group e Multiple you can select several items by filter group this is the default setting e Inclusive every filter that you select will be included in the report this is the default setting e Exclusive every filter that you select will be excluded from the report Regulation Y V All 498 Single Multiple inclusive Exclusive Figure 52 Filter list behaviour options 2014 09 23 AFIS IMS UserManual Draft Page 191 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS
12. At the bottom of the page the field that is invalid and the nature of the error are displayed When you click on the error field you are automatically directed to the field that the error refers to When the communication is valid and ready to be finalized this message is displayed Click the Finalize button to finalize the communication 2014 09 23 AFIS IMS UserManual Draft Page 103 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 5 Drafts Case closure i114 Case can be closed 1 15 Case closed 1 16 Case closure date dd mm yyyy Save Validate Finalize Cancel Case closure 1 14 Case canbe closed 1 15 Case closed 1 16 Case closure date dd mm yyyy Communication saved successfully Export as XML Export as Excel Print Cancel Validate Finalize Copy Delete Figure 4 Save a communication as a draft 2014 09 23 AFIS IMS UserManual Draft Page 104 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 5 1 Save a Communication as a Draft You can save a communication as a draft You can then edit and finalize the communication later on To save your communication as a draft click the Save button at the bottom of the create communication page O A message is displayed to confirm that the communication is saved as a draft wy ci A communication does not have to be valid in order to be saved as a draft For more information about va
13. Attachments You can attach additional documents or files by clicking on o browse After you have clicked on o you can browse on your computer or network to select a document file image or whatsoever and attach it to the communication It works in the same way as adding an attachment to an email You will also be put in the position to describe in 250 characters the attachment Click on the button and the file will be attached Once a file is attached you can view or remove it as long as the communication is still a draft You remove an attachment by selecting it and clicking on the button The format of the attachment is not relevant The maximum number of files to be attached is 10 with a maximum of 5 MB per file The title of the file should not have more than 50 characters Modules 1681 1831 and PAA N z Be aware that field 9 3 becomes mandatory in case you declare a case irrecoverable via the tick box of field 1 11 You need to attach the so called art 5 2 request as an attachment 2014 09 23 AFIS IMS UserManual Draft Page 99 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication EUR EURO EU zone 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts European Commission use only 10 1 Country requested the closure of the case 10 2 Date when the closure request was received 10 3 ARES number dd mm yyyy 10 4 OLAF
14. Export as XML Initial communication Zero notification Drafting Registration Quarter date date State First Quarter 1 15 04 2014 J q q 2014 ii 15 05 28 Export as Excel Print Cancel Initial communication Zero notification Drafting Registration O Quarter date date State First Quarter 1 15 04 2014 l f ae f 2014 07 03 2014 15 05 28 w Communication Reference Number Type National Reference Fund R498 ES CA 2014 20011 1 Initial AUS571 EFF History O Action Sender Receiver Date Comment Finalized CA_ES CA ES 15 04 2014 15 05 28 rejected 15 04 2014 16 56 35 O E Page a of i Figure 8 Edit a rejected communication 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 Page 124 of 193 IMS AFIS IMS If a communication that you have created is rejected you must edit it and finalize it To edit a rejected communication On the list communications page click the communication reference number link to open it The communication is opened Make the necessary changes Click the Finalize button to finalize the communication When a manager rejects a communication he she must give a reason for rejection To view the rejection reason O Click the status icon next to the rejected communication on the far right of the line The history of the communication is displayed A comment on why the communication is rejected is displayed in the c
15. IMS 19 8 Data Related Options There are 4 options available to you at the bottom of the page see Figure 53 Other features 24 Export you can export in the following formats Image a PNG image is generated Data a new window is opened with all the statistics as text Click the Download all rows as a textfile to download the generated report as a CSV file Crosstab an CSV file is generated PDF a PDF file is generated 25 Revert all when you select this option the Regulation Reporting year or IRQ classification fields are set to default i e all check boxes are ticked Any changes you made in these fields are undone 26 Pause automatic updates The system automatically updates the generated report Click this button of you want to stop automatic updates 27 Refresh data refreshes the page report to include the most current data from the IMS database It is possible that you may not see the latest submitted communications in the reports This is because the database is refreshed based on a frequency defined by the admin For example if a search results in 10 communications you may not see all 10 communications included in the report This is because some of the communications were created recently and are not included in the database yet Refresh data for this view Revert all Pause automatic updates Figure 53 Other features sA Q The reload button refreshes the
16. Preferred Language My notifications 5 Subscribe Unsubscribe COM_AMENDED_BY_OLAF C COM_REJECTED_BY_AUTHORITY C _TO_ al ED Loain gt BMy Profile Figure 33 Enable disable e mail notifications Depending on your rights you can receive notifications by e mail whenever the following actions are performed in IMS 2014 09 23 AFIS IMS UserManual Draft Page 172 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Notification Display in My Profile 1 When a communication is rejected by either a manager of the same authority or a manager of N1 an intermediate central authority a notification is Rejected communications sent to the creators managers of the appointed authority When a communication is finalized a notification ica GmiMeiea lene Saved tor N2 is sent to the managers of the appointed ie es authority submission finalized When a communication is submitted by an authority a notification is sent to the managers of New communications submitted for a the intermediate central authority which receives approval the communication When a communication is amended by OLAF a N4 notification is sent to the creators managers of Communications modified by OLAF the appointed authority When a communication is submitted to OLAF a N5 notification is sent to the creators managers of Communications submitted to OLAF the appointed authority When a communication about Inte
17. Public Private share Total contribution 1 250 000 00 6 2 Amount of expenditure 854 500 00 145 500 00 1 000 000 00 250 000 00 6 3 Amount of irregularity 427 250 00 72 750 00 500 000 00 6 3 4 Whereof amount not paid 341 800 00 58 200 00 400 000 00 6 3 2 Whereof amount paid 85 450 00 14 550 00 100 000 00 6 4 Amount to recover 85 450 00 14 550 00 100 000 00 6 5 Decertified 6 6 Comments MS Export as Excel Print 2014 09 23 AFIS IMS UserManual Draft Page 86 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 3 Tab page 6 Amounts Section Financial impact This section contains detailed information on the financial impact Expenditure and irregular amounts are indicated and split up into public contribution EU share and national share and private share IMS does not do any automatic calculations You need to indicate all amounts In case of calculation errors IMS will give a warning but will not block the reporting i 6 3 Amount of irregularity Public ccmtribution The Public contributia ghoeld be equal te the gum of the EU share god the Nations phere In other words you can indicate not matching calculations Be aware that the amounts should not include interests fines and penalties Example The amounts indicated are keyed in for illustration purposes see image on left hand side page 6 1 Co financing rate You need to indicate the officially agreed rate
18. Sequence number has been overridden with auto generated value 10021 gt 10027 NIMS exportl 29455213716697129 4F1S Operations ls 8 Invalid reference number Communication draft was saved successfully NIMS exportl 294552137 16697 129 4F1S Operations xls 9 Sequence number has been overridden with auto 10015 gt 10018 generated value Communication drat was sawed successfully NIMS exportl 29455213716697129 4F1S Operations xls 10 Sequence number has been overridden with auto generated value 20010 gt 20011 4 3 2 Prowisions Invalid value _ EU Number NIMS exportl 29455213716697129 4F1S Operations x ls 11 a Se ees A Invalid value 3 5 CCI number 2 Figure 25 Errors Warnings 2014 09 23 AFIS IMS UserManual Draft Page 107 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS When you import communications they are validated You cannot import an invalid file If the system finds errors in the file you must first correct them before importing Errors are displayed in the Errors warnings table O File Row the name of the file and the row that contains an error For Excel this is the row number For Zip this is the file number in the zip Description a textual description of the problem Type Error or warning Location field that caused the problem error or warning The field always refer to the field used in the interface or the Excel template For XML the user has
19. State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication paiya a sia fiolt singe si EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions 9 Comments 10 OLAF Specific Identification of the communication 11 Reference number OLAF R 1828 MJ European Regional Development Fund Ba BE 1828RA1 2014 10001 1 1 2 Reference number national Belgium file number reporting authority 123AB Drafting information 1 3 Reporting authority 1828RA1 Reporting Authority competent for R1828 1 4 Communication language English 15 Currency EUR EURO EUROPE 1 6 Quarter of communication Second Quarter Initial 7 Quarter of communication Update 1 8 Drafting date 10 04 2014 dd mm yyyy Special communication 1 10 Necessity to inform other countries 1 9 New Modus Operandi E i11 Case irrecoverable Status 1 12 Proceedings status Administrative proceedings 1 13 Financial status Recovery under way Case closure 1 14 Case can be closed 1 15 Case closed E 1 16 Case closure date dd mm yyyy Validate Finalize Send 2014 09 23 AFIS IMS UserManual Draft Page 42 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 1 6 Quarter of communication initial Irregularities have to be reported within 2 months after the quarter in which the irregularity was detect
20. State Draft Release date 22 04 2014 RI62Zcy ERDF RBE STEZERAL 4014 10001 1 4 Irregularity Export as XML EUR EURO EUROPE 5 Detection 6 Amounts dd mm yyyy E dd mm yyyy Type Imprisonment over 4 years oft gt mi 5 Page i dd mm yyyy Export as Excel Print Penal Imprisonment over 4 years Penal Imprisonment over 4 years T Recovery Sanctions Cancel Page 96 of 193 IMS AFIS IMS Section Sanctions This section contains detailed information on the sanctions imposed The section contains a multi value group which means that more than one value can be processed In other words more than one sanction can be indicated A multi value group has some additional buttons which need to be used to save edit or delete data You will find on top of the multi value group the following buttons t Add _ tokey in new information Edit to edit information already saved View _ to view information already saved _ Delete to delete information already saved As soon as you have added information in the multi value group you need to click the button Add in order to save the information You will find this button together with the button Cancel at the bottom of the multi value group Not clicking on one of these buttons means that you cannot proceed with your work 8 6 Sanctions You need to click on button to open the section and to key in inform
21. You are obliged to indicate the identity of legal and or natural persons involved in the irregularity However in certain specific cases you cannot provide the nominal data due to for instance an ongoing investigation In such case you must provide a justification for the non disclosure of nominal data Be aware that the justification should be more than a simple phrase as national data protection rules do not allow to forward nominal data You should provide a clear explanation why no nominal data was processed 2014 09 23 AFIS IMS UserManual Draft Page 57 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication EUR EURO EU zone 1 Identification 2 Personal data en a 4 Irregularity 5 Detection G amounts F Recovery Sanctions 9 Comments 10 OLAF Specific Description of operation ga Fund Type 3 2 Programming period 3 4 Objective 3 4 Interregional 3 5 CCI number 3 6 ARINCO No 37 EFRD ESF EAGGF FIFG number 3 8 Programme 3 9 Programme closure date 3 20 Priority 3 44 Theme 342 Project name 3 13 Project number s44 EC decision number 3 15 EC decision date Territorial unit where the operation is located or carried out 3 26 Country 317 NUTS level 1 318 NUTS level 2 3 19 NUTS level 3 320 Competent authority Agriculture q2 Budget line Budget year Budget ime Amount of inreguilarity EU share 28 Pag oo
22. You have chosen to open NIMS_export 6114698458123440930 AFIS_Operations xls which is Microsoft Excel 97 2003 Worksheet from http s olaf vprod265 7313 What should Firefox do with this file O Open with Microsoft Excel default x 9 ESE NIMS exportl1469844 123440930 AFH5_Operations xls Read Only Compatibility Mode Microsof E pz File Home Insert Fage Layout For 3 Data Review View Developer Quick tips g o E es E22 TO O A B C G H J K L 1 1 Reportin 1 2 g 1 1 Referenc 1 3 Appointe eee authority 1 1 e Reportin 7 d Approval Registrat e short Version number g Authority Path ion date Number hius Fund ae name 1 1 Year Number number national authority 31 E Figure 21 Export a communication as an Excel sheet 2014 09 23 AFIS IMS UserManual Draft Page 152 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS To export communications to an Excel sheet O Click the Export all as excel button O The Task info page is displayed It contains a information about the export When the status is set to Completed the exported file is ready for download ry Q The status isn t automatically updated You must click the Refresh button to check if the status is set to Completed If there are any errors in the export they are displayed in this table Click Download file to start the download Q Click OK to start the download Ev
23. are thus ignored during the import e g some amounts fields and some fields related to the CCI number etc are ignored during import a Q If you want to import several communications at the same time you must add all communications to a Z IP folder and import it 2014 09 23 AFIS IMS UserManual Draft Page 155 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 15 1 Rules for the Creation of an Excel File to Import Microsoft Excel 1828 _export xlsi 10 fie Edit View Insert Format Tools Data Window Help Type a question for help X Hea ree Az gt gt 4 A ETERON arial wE SSS Sy EE r Arii b You always have to specify if a F G H J K checkbox should appear as ticked or not when the case is imported FALSE not ticked TRUE ticked For the import these fields can be left empty They will be automatically created by the system Commun Member Article 29 Addition Appointe Reportin Sequenc ication Date of state urgent al Program d Approval Registrati Member g e Fund Version languag communi identifica communi Decertifi informati ming Objectiv Ir authority path on Date state Year authority number type number e cation Quarter Year tion cation ed on period e o ES 2011 0 40005 FD 2 EN a 2011 FALSE FALSE 2007 20131 Initial communication leave the field sequence number empty Zaleon on oar Update communication indicate the sequence number of the
24. bee EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 5 Detection 6 Amounts 8 Sanctions 9 Comments 10 OLAF Specific Information leading to suspicion of an irregularity 41 Date 07 02 2014 dd mm yyyy 4 2 Source article in the Gerald Tribune Provisions Infringed 4 3 Provisions EU EU legislation Year Article and paragraph Directives 1999 5 Sgresmert 2001 3 Decision 4 2001 45 Regulation f 2002 art 62 AG Page 1 oro m mi 5 k View 1 dofd 4 4 Provisions national National Law on Granting and Winding up EU subsidies art 132 2014 09 23 AFIS IMS UserManual Draft Page 72 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 4 3 Provisions EU Field 4 3 is the parent field of the multi value group By filling in the sub fields the parent field will be automatically filled You need to click on to enter the multi value group Provisions Infringed 4 3 Provisions EU EU legislation gt Number Year Article and paragraph P Poge t oro gt i S kma No records to view 4 4 Provisions national Add new row For illustration purposes 4 different types of provisions have been indicated as an example You will see that in the last image on the left hand side page 4 3 1 EU legislation You need to select from the drop down list one of the following options DEC decision DIR directive REG regulation AGR agreeme
25. case you are updating Figure 23 Sample Excel File to Import 1 8 Article 4 1 9 Case closed 2 1 Legal status 2 2 Name 2 3 Trade name First name FALSE TRUE Legal Entity Natural Person SA Hope Hinoot Galaxy Francoise FALSE TRUE Legal Entity Legal entity Sales NV Nachbar GmbH __ Agrarmarkt FALSE FALSE Natural Person Kaiser Jaan FALSE FALSE Legal Entity Delaware LLC Have faith FALSE TRUE Natural Person Natural Person Smith Jansen John Figure 24 character 2014 09 23 AFIS IMS UserManual Draft Page 156 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS ri Q The easiest way to get a valid excel file for import is to export one from IMS A valid excel file has a certain number of columns equal to the fields on the reports creation page Each line contains one communication You can have several communications included in one excel file ri Q In the columns corresponding to the fields which are part of a master detail list each value in a field should be separated by the pipe character In case information is not available the pipe character still needs to be used in order to make it possible for IMS to make the correct combination The combinations of the above shown example are SA Hope and Galaxy Hinoot and Francoise Nachbar GmbH and Agrarmarkt Smith and John sA Q Zero Notification communications cannot be imported Page 157 of 193 2014 09 23 AFIS IMS UserMan
26. cceeeeeeecceeeeeaeeeeeceeeeeessaeaeeeeeeeeessaaaaeees Error Bookmark not defined Figure 4 Communication form Identification tab cccccccceeeeeeeeeeeeee Error Bookmark not defined Figure 5 Communication form Personal data tab ccccccesseeeeeeeeee Error Bookmark not defined Figure 6 Figure 7 Communication form Operation tab ccccccscccceeeesseeeeeeeeeeees Communication form Detection tab Error Bookmark not defined Figure 8 Communication form AMOUNHS c ccccceeseeeeeceeseeeseeeeeeeeaees Error Bookmark not defined Figure 9 Communication form Recovery tab ccccecccessseeeeeeeeeeeeeeees Error Bookmark not defined Figure 10 Communication form sanctions tab cccccccseeeceseeeeeeeeeeee Error Bookmark not defined Figure 11 Communication form sanctions tab ccccccceeeeeeeeeeeeeeeeee Error Bookmark not defined Figure 12 Communication form Comments tab cccccsscceseseeeeeeeeee Error Bookmark not defined Figure 13 Communication form Comments tab attachements Error Bookmark not defined Figure 14 OLAF tab ccccccccecececeeceeeeceeeeeeeseceeeseeaeeeeeesaeaeeeeeseaseeeeesaaees Error Bookmark not defined Figure 15 Validate And finalize ccccccecccccsseeeeeceeeeeeaeeeeeeseeeeeeseaeeeesseeeeeeaaeeeessaueesssaueeessaeeesenaeeeensaes 102 Figure 16 Save a COMMUNICATION AS a draft ccccccccc
27. date 22 04 2014 IMS AFIS IMS for more information Edit the communication as necessary Click the Save button O 2014 09 23 AFIS IMS UserManual Draft Page 121 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 6 3 Delete a Draft Or R1681 ES RepAut 2013 20002 1 Initial R5 DE 1989 1993 1 IRQ2 CYP JP IMI o soe ia 4 10 01 2014 fae Ty E R1681 ES InterReg 2013 10548 1 Initial RS1 EN 2000 2006 INTERREG IRQ2 EUR ERDF Fourth iene 4 40 01 2014 peste E R1681 ES InterReg 2013 10550 1 Initial RS3 EN 2000 2006 INTERREG IRQ2 EUR ERDF FOUrt Quarter 4 soigy 9q1q 12 03 lt lt lt 1 2 gt gt gt Select all Print Export as XML Export as Excel Finalize Are you sure you want to delete the selected file O mi Figure 6 Delete a draft from list communications view Case closure 1 14 Case can be closed 1 15 Case closed 1 16 Case closure date dd mm yyyy Communication saved successfully Save Validate Finalize co Export as XML Export as Excel Print Cancel Are you sure you want to delete the selected file Figure 7 Delete a communication after opening it 2014 09 23 AFIS IMS UserManual Draft Page 122 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS You can only delete drafts To delete a draft from the List communications view Tick the checkbox to select the draft that you want to delete Click the Delet
28. e m s iowa No raconde to whew EU share National share Public contribution Private share Total 3 22 Total amount of expenditure 3 23 Total amount of irregularity Save Validate Finalize Send Cancel 2014 09 23 AFIS IMS UserManual Draft Page 58 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS 3 4 Tab page 3 Operation Tab page 3 Operation provides information on the operation or support measure itself Section Description of operation This section contains detailed information on the operation for which the subsidy is granted 3 1 Fund IMS indicates by default the fund that is indicated in field 1 1 Reference number OLAF This field is not editable You can change the fund type by going back to the tab page 1 Identification and selecting a new fund in field 1 1 Reference number OLAF Be aware that the reference number can only be edited as long as the initial communication has the status Draft 3 2 Programming period You need to select one of the programming periods as provided by the drop down list The available values depend on the selected module and fund 3 3 Objective You need to select from the drop down list the applicable objective The drop down lists is limited to those objectives that could be applicable for the module the fund and programming period selected 3 4 Interregional You need to select from the drop down list the corresponding Interregional progr
29. entire page see Figure 54 Reload button 2014 09 23 AFIS IMS UserManual Draft Page 192 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS li gt COMMON Reports Regulation Fan 7 498 v 1681 Wi 1828 v 1831 y 1648 F paa Reporting Year Al 7 199 1995 1996 1998 F 1929 F3 2000 amp button 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 Page 193 of 193
30. j 001 art 3 Decision 2001 art 45 Regulstion F rit brs art Sf 2G Page i oo s gt mi S aml View 1 4of4 4 4 Provisions national National Law on Granting and Winding up EU subsidies art 13 2 other states involved 4 5 Member State s Czech Republic Netherlands 4 6 Non Member State s COE Albania Angola Azerbaijan 2014 09 23 AFIS IMS UserManual Draft Page 74 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Section Other countries involved This section contains information on other countries involved This can be Member States but also non Member States Simple examples of other countries involved are for instance the destination country of export products or other countries involved in cross border programmes For many cases count that no other countries are involved In such case you can just skip this section and leave the field empty 4 5 Member States You need to indicate the other Member State s involved This field is a multiple selection field which means that you can select more than one option You need to apply the following steps 11 select a value from the drop down list by clicking on the value 12 click the button 13 the value is added to your reporting list 14 repeat this to add one or more other options Please do not forget to click the button otherwise the information will not be saved Example For illustration purposes t
31. of a communication starts with its creation You can create a communication and after adding all the necessary information finalize it For more information about finalisation see chapter 4 Validate and Finalize a Communication A finalized communication has been fully validated and can not be changed anymore You can also save your communication as a draft A communication in Draft status has not been validated it has just been saved for future use You can edit your draft until you finalize it You can also check if your draft is valid by clicking the Validate button See chapter 4 Validate and Finalize a Communication for more information 2014 09 23 AFIS IMS UserManual Draft Page 20 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2 2 The Manager Submits or Rejects the Communication Manager submits the finalized communication Manager rejects the finalized communication Rejected Diagram 3 The Manager submits or rejects the communication 2014 09 23 AFIS IMS UserManual Draft Page 21 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS After you finalize a communication a manager of your organisation can submit it to a parent organisation or to OLAF Q For more information about parent organisations and the reporting structure see chapter 2 6 Sending Communications to OLAF and the Communication workflow The manager can also reject the communicati
32. option Necessity to inform other countries enabled Case irrecoverable tick this checkbox to display only those communications in the search results that have the option Case irrecoverable enabled Fund search by the fund that the communication is created under The available values depend on the regulation selected Reporting authority short name search by the Reporting authority field which is part of the OLAF Reference Number Year search by the Year field which is part of the OLAF Reference Number Sequence number search by the Sequence number field which is part of the OLAF Reference Number Version number search by the Version field which is part of the OLAF Reference Number A z For users with commission observer rights the search might have an extra search field If you are a national observer you can only see those communications that are created in your organisation However if you are a commission observer you can see all communications Because of this users with commission observer rights have an extra option to search communications by country The following extra field is available for commission observers Fund hd Reporting authority short name Year Year Sequence Number Version number Figure 29 Search by Country fields for Commission observers only 2014 09 23 AFIS IMS UserManual Draft Page 114 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 6 2 3 Ot
33. tasks implied intend to improve the ease and efficiency of working with the application In its larger part the document contains minute presentations of the functionalities commands fields as well as the way in which users should work with irregularity cases and communications by using IMS For facility and usability purposes the user of this manual will be addressed throughout the corresponding sections as you In order to make the best use of this manual please note the following conventions 7 Indicates warnings preconditions or instructions that have to be strictly followed We If you see this icon make sure to read the information written next to it Sections or areas on pages are identified by a number in a circle Fields on screen options and buttons are shown in frames or braces Specific details of the application interface are highlighted with an arrow and sometimes explained in a rectangle lt Text 2014 09 23 AFIS IMS UserManual Draft Page 11 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2014 09 23 AFIS IMS UserManual Draft Page 12 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 1 How to Access IMS AFIS Portal ANTI FRAUD INFORMATION SERVICES Gi Welcome Manager E54 Last Login 06 12 2013 09 57 38 iib Es Environment Production Welcome to IMS Create Initial communication Create Zero Notification Welcom
34. the country OLAF staff need to indicate the amount charged to the country as decided in the Commission Decision The currency is the one selected on the Identification page 2014 09 23 AFIS IMS UserManual Draft Page 101 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 4 Validate and Finalize a Communication Case closure 1 14 Case can be closed 1 15 Case closed 1 16 Case closure date dd mm yy y y Save Validate Finalize Cancel Personal data 4 Irregularity 5 Detection 6 Amounts 7 ReEcovel 1 Identification 3 Operation Identification of the communication ES CA 20 nd a O O11 Reference number OLAF RF 1 2 Reference number national Drafting information 1 3 Reporting authority 1 4 Communication language 1 5 Currency 1 6 Quarter of communication initial 1 7 Quarter of communication update 1 6 Drafting date Special communication 1 9 New modus operandi 1 10 Necessity to inform other countries 1 11 Case irrecoverable Status 1 12 Proceedings status 1 13 Financial status Case closure 1 14 Case can be closed 1 15 Case closed 1 16 Case closure date i i Reference number OLAF Save Validate Finalize Case closure Cancel ed Bd 2014 English EUR EURO Second Quarter 01 04 2014 E dd mm yyvy A A dd mm yyyy You must have a regulation and a fund in order to generate a correct sequence number
35. tracking citizens or permanent and temporary residents for the purposes of work taxation government benefits health care and other governmentally related functions Sometimes the number will appear on an identity card issued by the country Example In the image on the left hand side page the following value has been indicated NL98745AAP 2 1 3 Company name Family name You should depending on the legal status legal or natural person indicate the company name or family name of the person involved This name should be the official name thus the name as registered in official registers Example In the image on the left hand side page the following value has been indicated Borrelaar 2 1 4 Trade name First name You should depending on the legal status legal or natural person indicate the trade name or the first name of the person involved A trade name is the name under which a business trades for commercial purposes also known as trading name or business name A trade name is not used for legal purposes but for visibility purposes towards its customers Be aware that a trade name implies that there is also a company name thus field 2 1 3 Company name should as well contain info Example In the image on the left hand side page the following value has been indicated Jan 2 1 5 Parent name Independent prefix You should depending on the legal status legal or natural person indicate the parent nam
36. zoom out functions To display these functions move your mouse over the map A grey box with several buttons will appear see Figure 43 Zoom options Zoom in Zoom out l Select area to zoom into Fit on screen Figure 43 Zoom options The available options are A Click this button to zoom in Click this button to zoom out Ce Click this button and drag the mouse across the map to select an area that you want to zoom into Click this button to fit the map in the window this resets the map to its initial size C7 You can also move a map 2014 09 23 AFIS IMS UserManual Draft Page 185 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 19 Hold the Shift key and left click the map Do not release the mouse 20 Move the mouse to drag the map 19 6 2 Bar Charts A bar chart uses horizontal bars to show comparisons among categories The bar chart below Figure 44 displays the irregularities count by budget For example in the second line you can see that there were 3 irregularities in budget year 1991 under budget post B01 10 article B1 10 42 iip COMMON Reports 1848 Reports lt Jlassification map chart 1846 Irregularities count by budget classification bar chart 1846 Irregularities cou gt Budget Year BudgetPost Budget Article Reporting Year Null Null Null Bris a an E j 2000 1991 B01 10 B01 10 42 3 a iv 2001 BO1 10I80 4 Count per budget year ce
37. 014 09 23 AFIS IMS UserManual Draft Page 66 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 3 21 4 Budget measure You need to select from the drop down list the applicable value The options are based on your choices in the previous fields 3 21 5 Budget line IMS generates on basis of the information provided by you in the previous fields the applicable budget line The field remains empty in case a value is missing in one or more of the previous fields 3 21 1 3 21 4 3 21 6 Product CN code You need to select from the drop down list the applicable value The list is based on the CN code Combined Nomenclature In case the support measure does not concern a specific product the code 0000 not applicable need to be indicated 2014 09 23 AFIS IMS UserManual Draft Page 67 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Agriculture 3 21 Budget line Budget year Budget line Amount of inegquiartty EU share BH Pag jaro m gt ea 5 iowa No meconds ta view EU share National share Public contribution Private share Total 3 22 Total amount of expenditure 3 23 Total amount of irregularity Save Validate Finalize Send Cancel Add Record x 3 2L1L Budget year 3 21 2 Budget post 3 21 3 Budget article 3 214 Budget measure 3 21 5 Budget line 3 21 6 Product Financial impact 3 2 7 Co financing rate Dy EU share Netional share
38. 13 10503 1 Initial RG EL 1989 1993 2 IRQ2 CZK PA IRR ERDF ahi 10 01 2014 ye bigs a met ete int ainens y Fourth Quarter 4 PEF 20 02 201 R1681 E Reg 2013 10563 1 Initial R62 FINALIZED 9 9 CCI ERDF Divas 10 01 2014 35 45 wt biic sia ar aa gh oe Fourth Quarter 4 ass 19 02 201 R1681 erReg 13 1 1 2 Update R61 SEND ARTS IRQO ERDF 2013 10 01 2014 15 33 44 a in 4 Ae EES ER I PET NESE i First Quarter 1 j 19 02 201 R1681 ES InterReg 2013 10561 1 Inbal R63 SEND ART5 IRQO ERDF sanh 11 01 2014 15 31 49 R1681 ES InterReg 2013 10555 1 Initial R5S4 FINALIZED 9 9 CCI ERDF eine oa 9 10 01 2014 ge riots fa 102 7 R1681 ES InterReg 2013 10559 2 Update RSB SEND ARTS GD ODA AEA F t4 o2 R1681 ES InterReg 2013 10559 1 Initial R58 SEND ARTS ERDF aa 4 10 01 2014 pipen 3 F R1681 ES InterReg 2013 10549 1 Initial R52 EN 2000 2006 INTERREG IRQ2 EUR ERDF PoE eg 9 10 01 2014 p heian nn e S Fourth Quarter 4 19 02 201 R168 InterReg 2013 10556 5 S d 7 01 1 E 1 Initial RS5S FINALIZED SEND CCI ERDF 2013 10 01 2014 5 17 07 vad De Nini n Fourth Quarter 4 03 02 201 F R1681 ES Repaut 2013 20002 1 DE 1 CYP JP F 01 2 ES RepAu Initial R5 DE 1989 1993 1 IRQ2 CYP JP IMI ES ep 10 01 2014 O9 c5 19 may paia F R1681 E5 InterReg 2013 10548 1 Initial R51 EN 2000 2006 INTERREG IRQ2 EUR ERDF eee 4 10 01 2014 a F sr 4 03 F R1681 ES InterReg 2013 10550 1 Initial R53 EN 2000 2006 INTERREG IRQ2 EUR ERDF FOU Qua
39. 16 02 2014 16 48 0 Third Quarter 3 2013 Iri tal 11 02 2014 11 02 2014 15 24 0 O 6 O 9 Figure 32 Search results 2014 09 23 AFIS IMS UserManual Draft Page 170 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The search results are displayed The following columns are available O Reference number OLAF the reference number of the communication Communication Type the communication can have on of the following communication types e Initial communication e Update e Zero communications Reference number national the national reference number of the communication O Fund Type the fund type that is selected for the communication Quarter quarter in which the communication was created Oo Communication Date the date on which the communication was created as indicated by the creator Registration Date the date when a communication was registered in the system State the state that the communication is in 2014 09 23 AFIS IMS UserManual Draft Page 171 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 17 E mail Notifications O My Profile Application Name Deris a ms S li My Application IMS Role Description Member State Irregularity 1828 Creator Click here to start editing your notifications gt Amy Profile Role Description Member State Irregularity 1828 Creator User Properties
40. 2014 IMS AFIS IMS 9 Cancel case 1 14 Case can be closed 1 15 Case closed 1 16 Case closure date dd mmjyyyy Copy Update communication Export as XML Export as Excel Print 1 Identification 2 Personal data 4 Operation 4 Irregularity 5 Detection 6 Am 4 1 Date dd mm yyyy 4 2 Source Provisions Infringed 4 3 Provisions EU Type Number Year Article D Page 1 ofO m gt FI OS 4 4 Provisions national other states involved 4 5 Member State s 4 6 Non Member State s Specific information on the irregularity 4 7 Irregularity committed on fom E dd mm yyyy _ until dd mm yyyy between 4 6 Type of irregularity Category 1 T Page 1 oof O gt m 5 A 4 9 Modus operandi 4 10 Statement of persons involved 4 1 Findings of the administration 4 12 Classification of the irregularity IRQO No irregularity IRQ2 Irregularity Save Validate Cancell pos Suspected fraud IRQS Established fraud Figure 10 Cancel a case 2014 09 23 AFIS IMS UserManual Draft Page 128 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS You can cancel a case by sending an update communication with the IRQO No irregularities qualification to OLAF On cancellation OLAF removes a set of information from every communication belonging to the case The case is set then to Cancelled status You can only cancel cases that have the Submitted to
41. 3 Operation 4 Irregularity 5 Detection 6 Amounts T Recovery Sanctions 10 OLAF Specific Comments 9 1 Comments reporting authority The procedures are progressing faster than expected in the attached documents more information can be found on the practices employed especially on role of the external consultant 9 2 Comments OLAF Attachments 9 3 Attachments 1T 0 attachments uploaded Filenare Description Actions 2013 06 18 NUTS code xlsx a Save Validate Finalize Send Copy Delete Export as XML Export as Excel Print Cancel 2014 09 23 AFIS IMS UserManual Draft Page 98 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 3 10 Tab page 9 Comments Section Comments This section contains information of the reporting country or OLAF which could not be processed in one of the previous tab pages 9 1 Comments reporting authority You can add additional information concerning the case You could for instance use this field to describe why you attached attachments to this communication 9 2 Comments OLAF OLAF can provide some comments or feedback on the communication via this field As an example can be mentioned the amending of the communication In case OLAF amends a communication the reason why an amendment was made is described in this field Section Attachments This section contains attachments that have been uploaded by the creator of the communication 9 3
42. 5 Case closed 1 16 Case closure date dd mm yyyy Figure 17 Actions available while viewing communications 2014 09 23 AFIS IMS UserManual Draft Page 144 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Depending on your profile the following buttons are available Copy Copy the communication You can use the copied communication as a template for a new communication See chapter 12 Copy a Communication Export as XML Export the communication as an XML file For more information see chapter 14 1 Export Communications as an XML File Export as Excel Export the communication as an Excel sheet For more information see chapter 14 2 Export Communications as an Excel Sheet Print The print version of the communication is opened and the print dialog box is displayed For more information see chapter 13 Print a communication 2014 09 23 AFIS IMS UserManual Draft Page 145 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 12 Copy a Communication O 1 14 Case can be closed 1 15 Case closed 1 16 Case closure date dd mm yyyvy L Export as Excel Print NIMS Initial communication ISK Islandic Krona Iceland View history 1 Identification Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts T Recovery 10 OLAF Identification of the communication Oia Reference number OLAF R 1848 id Common Agricultural Policy ES f ag99999
43. 5 Currency EUR EURO EUROPE 1 6 Quarter of communication Second Quarter Initial u 7 Quarter of communication Update 1 8 Drafting date 10 04 2014 dd mm yyyy Special communication 1 9 New Modus Operandi C 1 10 Necessity to inform other countries i1 Case irrecoverable Status 1 12 Proceedings status Administrative proceedings 1 13 Financial status Recovery under way Case closure 114 Case can be closed 1 15 Case closed E 1 16 Case closure date dd mm yyyy Validate Finalize Send 2014 09 23 AFIS IMS UserManual Draft Page 36 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS 3 2 Tab page 1 Identification Tab page 1 Identification provides general information on the communication itself such as the reference number the reporting authority the currency and so forth Section Identification of the communication This section contains information which makes it possible to identify the case 1 1 Reference number OLAF The Reference number OLAF is unique to a specific case and is used to identify a case The number consists of six 6 sub parts e RXXXX module e AA fund e CC country code e BDE reporting authority e YYYY reporting year e 000001 sequence number The number is attributed at the moment an initial communication is created The number becomes definitive as soon as the communication has been finalized In
44. 697129 4FIS_Operations xls Mon Apr 14 15 03 01 CEST 2014 RUNNING 10 0 oO Location Figure 22 Import a communication 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 Page 154 of 193 IMS AFIS IMS You can create Initial and Update communication by importing them in xml or excel format You can import communications that are in the draft or finalized states for both open and closed cases You cannot import Zero Notification communications or communications for cancelled cases The communications to import must be in a specific Excel template or the IMS XML standard format To import a communication O Click the Add a Select the file to import button to browse to the file that you want to upload Click the Import button O A screen is displayed with information on the file that is being imported The Running status indicated that the system is importing the communication When the status is chaged to Completed you can upload the file i The status isn t automatically updated You must click the Refresh button to check if the status is set to Completed a Q If you check the Dry Run checkbox the system only simulates the import of the communication s As a result the system confirms if an import can be done correctly or not N Q All the fields that are read only on the communication page are automatically entered by the system and
45. 91z 2014 1 2 Reference number national 123A8C Drafting information 1 3 Reporting authority 123A48C 24 Figure 18 Copy a communication 2014 09 23 AFIS IMS UserManual Draft Page 146 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS You can copy an existing communication initial or updated and then use it as a template for a new initial communication The attachments are also copied To copy a communication O Click the Copy button at the bottom of the page A copy of the communication is created It has a different reference number You can edit the communication and save it as a new initial communication You can also copy an update communication It will be copied as a new initial communication The system displays the copied irregularity form and you can change the information accordingly The following communications cannot be copied Communications with the modified by OLAF status Communications with the rejected status Communications with the anonymized status Communications that are part of a cancelled case Zero Notification 2014 09 23 AFIS IMS UserManual Draft Page 147 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 13 Print a communication O 1 14 Case can be closed 1 15 Case closed 1 16 Case closure date dd mm yyyy Copy Export as XML Export as Excel print ce s olaft vprod265 313 afis preims listsearch
46. Actions do Identification of the communication 1 1 Reference number R 498 European Fishery Fund ES 2014 20001 1 OLAF 1 2 Reference number aA34567690123456789012345676901234567890123456789z national Drafting information 1 3 Reporting authority 1 4 Communication Pt Polish language 1 5 Currency zu2 EUR EURO 1 6 Quarter of 4 Fourth Quarter 2013 communication initial 1 7 Quarter of communication update 1 8 Drafting date 30 01 2014 dd mm yyyy Special communication 1 9 New modus operandi 9 1 10 Necessity to inform W other countries 1 11 Case irrecoverable Name s olaf print sprt 1 3 Status Ready Type Lexmark E352dn MS Where J 30 M 37 Comment P J 30 01 37 LEX 158 166 176 483 E Print to file Frint range Copies Al Number of copies Pages from 1 Selection pAr 723 Collate Figure 19 Print a communication 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 AFIS Operations Page 148 of 193 mM IMS AFIS IMS To print a communication O Click the Print button O The print preview is displayed A dialog box is displayed Select the printing options and click OK 2014 09 23 AFIS IMS UserManual Draft Page 149 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 14 Export Communications You can export communications as an Excel sheet or an XML You can export commun
47. Case can be closed 1 15 Case closed 1 16 Case closure date dd mm yyyy Copy Reject Export as XML Export as Excel Print Figure 34 Re submit a communication 2014 09 23 AFIS IMS UserManual Draft Page 174 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS When you submit a finalized communication it gets the Submitted status and it is sent to the next reporting authority in the reporting structure When you resubmit a communication i e a communication that has been rejected and edited it gets the Resubmitted status ry Q For more information about submitting and rejecting communications as a part of the communication lifecycle see chapter 2 2 The Manager Submits or Rejects the Communication To re submit a finalized communication Open a finalized communication Click Send to re submit the communication 2014 09 23 AFIS IMS UserManual Draft Page 175 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 18 2 Reject Communication Case closure 1 14 Case can be closed 1 15 Case closed 1 16 Case closure date dd mm yyyy 2 Send Copy Export as XML Export as Excel Print Create rejection Comments Cancel Figure 35 Reject a communication 2014 09 23 AFIS IMS UserManual Draft Page 176 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS When a communication is rejected it gets the Rejected
48. Case status Reference number national Last update only Persons Involved National ID number Communication Programming period ne ad Objective B Status ad CCI Number Quarter Bd Year ARINCO No Registration date from E until Ed EFRD ESF EAGGF FIFG number With attachments Budget year Special Communication Budget post New modus operandi a 2 Classification IRQ a Necessity to inform other countries Sanctions applied Case irrecoverable etapa a Amount of irregularity EU share Reference number OLAF Fund hd Proceedings status Financial status hd Reporting authority short name Year Year Sequence Number Version number Export All as xml Export All as excel Reset Search O Figure 31 Run a search 2014 09 23 AFIS IMS UserManual Draft Page 117 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS To run a search O Go to the search page Set the criteria that you want to search by Click the Search button 2014 09 23 AFIS IMS UserManual Draft Page 118 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 6 2 Search Results Special Communication Budget post New modus operandi i Classification IRQ B Necessity to inform other countries Sanctions applied Case irrecoverable Amount of irregularity EU share Reference number OLAF Fund hd Proceedings status Financial status Reporting authority s
49. GGF FIFG number was developed on request of the Commission and provided information on the structural funding activities concerning programming periods before 2000 Identification numbers for the following funds are available EFRD European Fund for Regional Development ESF European Social Fund EAGGF European Agricultural Guidance and Guarantee Fund Guidance FIFG Financial Instrument for Fisheries Guidance 3 8 Programme IMS puts on basis of information provided by you in the previous fields automatically the name of the programme and the programme closure date The field is non editable In cases IMS provides wrong info please contact OLAF via your Liaison Officer LO 3 9 Programme closure date IMS puts on basis of information provided by you in the previous fields automatically the name of the programme and the programme closure date The field is non editable In cases IMS provides wrong info please contact OLAF via your Liaison Officer LO The field is only active for the programming periods after 2000 3 10 Priority You need to select from the drop down list the applicable priority The drop down list is based on the information provided concerning the fund 3 11 Theme You need to select from the drop down list the applicable theme The drop down list is based on the information provided concerning the fund and priority 3 12 Project name You need to provide the official and complete name of t
50. MS UserManual Draft Page 93 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication Palaa a a a a A EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts T Recovery Sanctions 10 OLAF Specific Procedures 8 1 Procedures initiated to impose Decision sanction imposed penalties 8 2 Type of procedure Penal 6 5 Start date of procedure g4 o7 2007 dd mm yyyy 6 4 Expected end date of procedure 31 12 2016 dd mm yyyy 6 5 Status of procedure Completed Sanctions Type Imprisonment cover 4 years 2 Page i oo s m 5 ir 3 7 End date of procedure 15 12 2013 dd mm yyyy Save Validate Copy Delete Export as XML Export as Excel Print Cancel 2014 09 23 AFIS IMS UserManual Draft Page 94 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS 3 9 Tab page 8 Sanctions Section Procedures This section contains information on the procedures initiated to impose penalties 8 1 Procedures initiated to impose penalties You need to indicate if procedures have been initiated to impose penalties by selecting one of values of the drop down list The available options are SP 1 no decision yet SP2 decision no sanction SP3 decision sanction will be imposed but awaiting type of sanction s SP4 decision sanction imposed A This field should always be used 8 2 Ty
51. OLAF EUROPEAN ANTI FRAUD OFFICE EUROPEAN ANTI FRAUD OFFICE Anti Fraud Information System AFIS ca User Manual IMS User Manual Version State 0 1 Draft Release Date 22 04 2014 Document Reference AFIS IMS UserManual Draft docx Document Owner OLAF D4 IMS eM a AFIS IMS Document Identification Taamesrunson oe Ste Written by Marije Dijksman 22 04 2014 Checked by Updated by Approved by IMS is the application that allows the preparation and submission of irregularity reports to the European Anti Fraud Office OLAF Irregularity Management The different modules are now integrated into one clear harmonised System IMS user friendly system This manual is meant to describe the features of IMS Number of pages Number of lines Host system 193 3934 PC Windows XP Word 2003 SP2 Document History 22 04 2014 Document creation C D I R All i Action C Create D Delete Insert R Replace 2014 09 23 AFIS IMS UserManual Draft Page 2 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS Reference Documents How to connect to AFIS Portal l i How to connect to AFIS Portal using RD1 using Secure Internet Secure Internet connection paf 3 0 07 07 2014 connection How to connect to AFIS Portal How to connect to AFIS Portal using RD2 using CCN CCN paf 2 0 07 07 2014 RD3 AFIS Po
52. OLAF t or Modified by OLAF e status To cancel a case you must create an update communication O Open the latest communication of the case that you want to cancel Click Update communication at the bottom of the page Under the irregularities tab in the 4 12 Classification of irregularity fields select IRQO No irregularity Click Finalize or if you have manager rights click Send 2014 09 23 AFIS IMS UserManual Draft Page 129 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS 10 List communications D D D D D Fa D D D D D D lt lt ii gt E List communications IMS Welcome to IMS Create Initial communication Create Zero Notification Search communications IMS Reports Import communications Communication Reference Number Type F R498 ES a13456789z 2014 10255 1 Initial E R1831 ES 12345 2013 60464 1 Initial F R1681 ES RepAut 2013 10503 1 Initial E R1681 ES InterReg 2013 10563 1 Initial E R1681 ES InterReg 2013 10561 2 Update F R1681 ES InterReg 2013 10561 1 Initial E R1681 ES InterReg 2013 10555 1 Initial E R1681 ES InterReg 2013 10559 2 Update E R1681 ES InterReg 2013 10559 1 Initial E R1681 ES InterReg 2013 10549 1 Initial F R1681 ES InterReg 2013 10556 1 Initial E R1681 ES RepAut 2013 20002 1 Initial E R1681 ES InterReg 2013 10548 1 Initial E R1681 ES InterReg 2013 10550 1 Initial lt C Select all National Ref
53. Persons Involved 2 1 Legal person natural person National ID number Company name Family name AILSA Saar Borelsar BE12345 Brewery Badk Sheep Geer 54 7 p Page i o0 s gt m 5 ior 2 2 Justification for non disclosure Finalize Send Copy Delete Export as XML Export as Excel Print NIMS Initial communication Pabedan da bee sie sl EUR EURO EUROPE 1 Identification 3 Operation 4 Irregularity 5 Detection 6 Amounts T Recovery B Sanctions Identification Of Persons Involved 2 1 Legal person natural person ai i 5i Add Record 2 LL Legal status Natural person hd 9 1 3 National ID number NL9S74544P 2 2 Justification for non disclosure 2 13 Company name Family name Borrelaar 2 14 Trade name First name Jan Validate Finalize 2 1 5 Parent name Independent prefix van den 3 16 Street Hoofdstraat i 2 17 Postcode 7600 AA 7 1 0 City Almelo Territorial unit where the person is registered 2 19 Country Netherlands 2 1 10 NUTS level 1 OOST NEDERLAND 2 1 11 NUTS level 23 Overijssel 2 1 19 NUTS level 3 Twente Flagged 9 113 On basis of Reg 1469 95 E 9 1 14 On basis of Reg 1605 2002 art 95 2014 09 23 AFIS IMS UserManual Draft Page 52 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2 1 2 National ID number You should indicate the national identification number In many countries a national identification number is used as a means of
54. Public contribution Private share Total 3 21 8 Amount of expenditure 3 21 9 Amount of irregularity MAdd X Cancel 2014 09 23 AFIS IMS UserManual Draft Page 68 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Section Agriculture financial impact This sub section contains detailed information on the financial impact of the irregularity To have a correct relation between the expenditure and the irregular amount the financial impact needs to be indicated per support measure A IMS does not do any automatic calculations You need to indicate all amounts manually In case of calculation errors IMS will give a warning but will not block the reporting In other words you can indicate non matching calculations 3 21 7 Amount of expenditure You need to indicate the total amount of the expenditure distributed over EU share national share and private share The EU share and national share form together the public contribution The EU share national share and private share form together the total 3 21 8 Amount of irregularity You need to indicate the irregular amount relating to the expenditure as indicated in the previous field The EU share and national share form together the public contribution and the total A Be aware that this amount should not include interests fines and penalties 3 22 Total amount of expenditure IMS generates the amounts on basis of the information provided
55. Reg 1469 95 E 9 1 14 On basis of Reg 1605 2002 art 95 2014 09 23 AFIS IMS UserManual Draft Page 50 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 3 3 Tab page 2 Personal data Tab page 2 Personal data provides all information concerning the persons involved Persons involved could be anybody who played a substantial role in the irregularity which includes persons such as the beneficiary the person who initiated the irregularity boss manager consultant adviser etcetera the person who actually committed the irregularity and so forth Section Identification of persons involved Tab page 2 contains a multi value group which means that more than one value can be processed In other words more than one person can be indicated A multi value group has additional buttons which need to be used to save edit or delete data You will find on top of the multi value group the following buttons p Add key in new information Edit edit the details of information on a person already keyed in View view the details of information on a person already keyed in _Delete remove a person As soon as you have added information in the multi value group you need to click the button Add in order to save the information You will find this button together with the button Cancel at the bottom of the multi value group The button Cancel can be used to cancel the information th
56. Regulation Reference number national Case status Last update only Communication National ID number Programming period Type Objective Status CCI Number Quarter Bd Year ARINCO No Registration date ro until EFRD ESF EAGGF FIFG number With attachments Budget year Special Communication Budget post New modus andi an Classification IRQ gu Necessity to inform other countries Sanctions applied Case irrecoverable Amount of irregularity EU share Reference number OLAF Fund Proceedings status gt Financial status f7 Reporting authority short name Year Year Sequence Number Version number Export All as xmi Export All as exce t Reset Search Special Communication New modus operandi Necessity to inform other countries Case irrecoverable Reference number OLAF Fund Reporting authority short name Year Sequence Number Version number Figure 28 Available fields Special Communication and Reference Number OLAF sections 2014 09 23 AFIS IMS UserManual Draft Page 113 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The following search criteria are available New modus operandi tick this checkbox to display only those communications in the search results that have the option New Modus Operandi enabled Necessity to inform other countries tick this checkbox to display only those communications in the search results that have the
57. Release date 22 04 2014 IMS SM a AFIS IMS 3 14 EC decision number IMS generates on basis of the information provided in field 3 5 CCl number automatically the information concerning the EC decision number and EC decision date The information is derived from data bases such as SFC2007 and SFC2014 3 15 EC decision date IMS generates on basis of the information provided in field 3 5 CCl number automatically the information concerning the EC decision number and EC decision date The information is derived from data bases such as SFC2007 and SFC2014 Section Territorial unit where the operation takes place This section contains information where the operation takes place 3 16 Country You need to indicate the country where the operation takes place IMS puts by default your country However it is an editable field which implies that you can change the country 3 17 NUTS level 1 You need to select from the drop down list one of the offered values The values in the drop down list depend on the country selected in the previous field The drop down list contains all NUTS values from 2003 onwards NUTS classification is a hierarchical system for dividing up the economic territory of the EU for the purpose of 1 The collection development and harmonisation of EU regional statistics 2 Socio economic analyses of the regions 3 Framing of EU regional policies The acronym NUTS comes from Nomenclature des Unites Terr
58. UserManual Draft Page 162 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The following search criteria are available Regulation search by module Select a module from the drop down list Case status search by case status by selecting a status from the drop down list Last update only tick the click box to search by the last communication of a case Type search by type of communication Status search by the status that the communication is in Quarter search by the quarter during which the initial communication was created or updated Year search by the year during which the initial communication was created or updated Registration date search by the date when a communication was registered in the system With attachments tick this checkbox to search only for communications that have attachments 2014 09 23 AFIS IMS UserManual Draft Page 163 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 16 2 2 Special Communication and Reference Number OLAF Sections NIMS Search Communications Regulation Reference number national Case status Last update only Communication National ID number Programming period Type Objective Status CCI Number Quarter Bd Year ARINCO No Registration date ro until EFRD ESF EAGGF FIFG number With attachments Budget year Special Communication Budget post New modus andi an Classification IRQ gu Necessity to inform
59. a Anonymized Anoamized anonymized all its communications are y automatically anonymized The anonymized case and communications are accessible through the Search page Table 2 States of Communications 2014 09 23 AFIS IMS UserManual Draft Page 134 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2014 09 23 AFIS IMS UserManual Draft Page 135 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 10 2 Options Available While Listing Communications H R1681 ES RepAut 2013 20002 1 Initial R5 DE 1989 1993 1 IRQ2 CYP JP IMI ESF a 4 40 01 2014 pote H GJR1681 ES InterReg 2013 10548 1 Initial R51 EN 2000 2006 INTERREG IRQ2 EUR ERDF E 4 10 01 2014 pik R1681 ES InterReg 2013 10550 1 Initial R53 EN 2000 2006 INTERREG IRQ2 EUR ERDF FOUrth Quarter 4 10 01 2014 gt gt 05 03 1 2 Print Export as XML Export as Excel Send Delete Finalize Print Export as XML Export as Excel Send Delete Finalize Figure 13 List communications options 2014 09 23 AFIS IMS UserManual Draft Page 136 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS At the bottom of the list communications field several buttons are displayed You must first select one or more communications to use the buttons O Tick one of the click boxes to select a communication O Or tick the Select all click box to select all communications Depending on you
60. a aE 130 11 1 States Of COMMUNICATIONS 0 0 eee cccccccccsseeseeeeeeeeeesaeeeseeeeeeeesseaaeaeeeeeeeeeseaeaaeses 132 11 2 Options Available While Listing Communications cccceeeeeeeeeeeeeeeeaaeees 136 12 View a communication cessctnccrcsceccenes ceceutieecnesecaae ek tesserwcaucarswanssevavosseneneGtassessantenaearseeacsars 138 12 1 View hiStory woe cece cscs cscecesesesesecececececececececscececeesesesescetevevevevevevevevevavavacavaceneeeees 140 12 2 View old COMMUNICATION cccccccsseeeeceeeceeeeeceeeceeeseceeseueaeeeeessaeeeessssaeeeeeseeas 142 12 3 Actions available while viewing COMMUNICATIONS ccccceseceeeeeeeeeeeeeeeeeeeeees 144 13 CODY ACO mC AU OW asco sca sess cee aoaaa aaa 146 14 ENE eC OTANI CAEN OI sss 148 15 Export COMMUNICATION S sasesciccnecdececnsetscecsecasensseeserecvnceseenesccueneceesscusasetesexveseucewocessseccsasseuans 150 15 1 Export Communications as an XML Fil ccccseeeeeeeeeeeeeeeeeeeeeeeeeeeeeaaaas 150 15 2 Export Communications as an Excel Sheet cccccccccessseeeeeseeeeeeeeeesseeseeeeeeas 152 16 Import COMMUNICATIONS ccceeeeeeeeeeeseeeeeeeeeeeeeeeeeeeeeeeeeeeeoeeeeeseeeeeeeeeeeeeesseeeeoonoeeeeesnnness 154 16 1 Rules for the Creation of an Excel File to IMport ccccccccceeeseeeeeeeeeeeaeeeeees 156 10 2 TERROR SOG seieren re actu E EEA OA EEE EE EERE 158 17 Search Communications acces cascade tes certo ca ntuceest ti ordeanteat etn eedcev
61. ade by the person involved Ad IRQ2 irregularity in sense of Reg 2988 95 You should classify the case as irregularity if it was committed unintentionally If there was any intent the case should most likely be classified as IRQ3 Ad IRQ3 suspected fraud You should classify the case as suspected fraud if the irregularity was committed intentionally wilfully or on purpose Simple examples of suspected fraud are all types of irregularity in which the word false or falsified are used such as for instance false or falsified documents Ad IRQ5 established fraud You should classify the case as established fraud when the fraud it has been proven in Court In other words there must be a Court decision Suspected fraud is a sub set of the collection irregularities Established fraud is a sub set of the collection suspect fraud Q All frauds are irregularities but not all irregularities are fraud When you update an initial communication an additional classification becomes available IRQO Ad IRQO no irregularity You can use the code IRQO for cases in which it became that there was no irregularity Updating an initial communication with IRQO selected means that you cancel the case which implies that IMS will delete almost all data Only the reference data on tab page 1 will stay 2014 09 23 AFIS IMS UserManual Draft Page 81 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS
62. amme reference to which the project affected by the irregularity was related The drop down lists is limited to those objectives that could be applicable for the module fund programming period and objective selected 3 5 CCl number You need to select from the drop down list the corresponding CCl number The drop down lists is limited to those numbers that could be applicable for the module fund programming period and objective selected The field is active for programming periods after the year 2000 with exception of module 1831 for which the field is also active for programming periods before the year 2000 The acronym CCI stands for Code Commun d ldentification The English description is Common Identification Code The CCl number consists out of 6 sub parts Year Start Year of the Programme Object CC Country or Geographical Region DG Numerical code of the DG chef de file FF Character code for the Fund s covered by the Programme Object TP Type of Object SEQ Sequence The drop down list is based on SFC2007 and SFC2014 SFC2007 System for Fund management in the European Community 2007 2013 SFC2014 System for Fund management in the European Community 2014 2020 2014 09 23 AFIS IMS UserManual Draft Page 59 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication EUR EURO EU zone 1 Identification 2 Personal data en a 4 Irregularity 5 Detection 6 amo
63. anager Submit to OLAF Level 1 Submitted reporting to OLAF Reject Manager Amend Finalised Olaf manager Deleted by user Creator or or automatic Manager deletion by system Modified by Rejected OLAF Resubmit to OLAF Level 1 reporting Reject authority manager Manager Automatic metas DY Resubmit y Manager End Resubmit _ _ gt Resubmitted Manager Diagram 1 Complete communication life cycle 2014 09 23 AFIS IMS UserManual Draft i i ssti lt i lt OW Bagge 17 Of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The diagram on the left describes the different states a communication can be in from its creation until it is amended by OLAF Follow the arrows to walk through the life cycle In the following sub chapters we will explain the different steps separately 2014 09 23 AFIS IMS UserManual Draft Page 18 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2 1 A Creator or Manager Creates a Communication The Creator Manager creates a new communication Start Save as draft Finalize The communication V can be edited as long as it is a draft Finalize Draft Deleted by user or automatically deleted by system Diagram 2 The Creator Manager creates a new communication 2014 09 23 AFIS IMS UserManual Draft Page 19 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The life cycle
64. analyses and to visualise them The reports are created automatically by the system without any interference by OLAF staff Therefore it is important that the data you provide is of good quality In other words data quality and data reliability become even more crucial The number of analyses and the number of reports are still limited but will increase over the years The following data is included in the reports e Count of irregularity cases Total Expenditure amount EU share in EUR Total Irregular amount EU share in EUR Ratio Irregular amount Expenditure amount EU share Available filters Regulation 1848 1828 Reporting Country Year of the case Irregularity Classification IRQ2 IRQ3 IRQ5 Cancelled cases IRQO are not taken in account when generating reports iy Q All amounts are reported in Euros Other currencies are converted to euro based using the official conversion rates at the time the communication was created 2014 09 23 AFIS IMS UserManual Draft Page 180 of 193 Version 0 1 State Draft Release date 22 04 2014 I MS AFIS IMS 19 2 Accessing Reports To access the reports see Figure 37 Reports view Click IMS Reports on the IMS homepage O The reporting page is displayed ll gt Welcome to IMS Regulation 1845 v Create Article 3 Create Zero Notification List Communications Search Communications IMS Reports Import Communications COMMON Reports 1848 Repor
65. and the case will become open T The communications belonging to a Closed case are accessible through the Search page A communication which requests to reopen a case Finalized is completed and ready to be sent The case k Ee Eae Case Closed Reopening remains closed until the communication is sent to eco Requested OLAF PA S When the communication is in the status Submitted to OLAF the case is open a Submitted to a Reopening The manager of the parent RA is expected to parent RA PASEO EE Requested process the communication send or reject it T Received by a Reopening _ A submitted communication as seen by the parent RA Gase Closed Requested manager of the parent RA o The manager of the parent RA is expected to ak ie a Case Closed ie aie process the communication send or if needed p q reject it again Resubmitted T and received Reopening A resubmitted communication as seen by the by a parent PASESER Requested manager of the parent RA RA A case expires when the following criteria are met a 19 creation date 5 years AND closure date 3 years Fi pp Gace Exored AND Programme Operation closure date 3 years Modified b p exception for module 1848 the Programme OLAF y Operation closure date does not exist Therefore only the first two criteria apply OLAF can anonymize communications belonging to an expired case E Gace When a communication of that expired case is
66. art 5 2 procedure can be done via an attachment to the communication in which the tick box of field 1 11 Case irrecoverable section Special communication is ticked The request can also be send via normal mail If such a request is missing the closure procedure cannot be started The concerned country should be informed 10 2 Date on which closure request was received Depending on the means that is used to send the request the date is e IMS registration date of the communication to which the request was attached e Email reception date e Mail postmark The registration date is automatically generated by IMS and indicates the date on which the communication was sent to OLAF 10 3 ARES number The ARES number of the art 5 2 request should be indicated in case the request was not sent via IMS 10 4 OLAF opinion OLAF staff need to select from the drop down list one of the pre defined OLAF opinions 10 5 OLAF opinion date OLAF staff need to indicate the formal date of the OLAF opinion 10 6 EC decision OLAF staff need to indicate the EC decision This field consists out of 2 parts e Number of the Commission Decision in which a decision was taken on the art 5 2 request e Date of this Commission Decision 10 7 Amount charged to EU budget OLAF staff need to indicate the amount charged to the EU budget as decided in the Commission Decision The currency is the one selected on tab page 1 Identification 10 8 Amount charged to
67. arts and table charts To sort the order of a bar chart 21 Move your mouse over any of the chart headers 22 An icon will appear 23 Click it to toggle between ascending and descending order Budget Year Budget Post Budget artti Click here to sort in Null Null Null Riis ascending or 1991 B01 10 BO1 10 42 3 descending order B01 10 60 1 Figure 47 Sort bar chart 19 6 6 Expanding and collapsing bar charts and tables You can expand and collapse each table column or bar chart column To collapse a column see Figure 48 Collapse a column e Move your mouse over any of the columns 2014 09 23 AFIS IMS UserManual Draft Page 188 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS e A button is displayed O e Click it to collapse the column F Budg oO BudgetPost Budget Article Null Null Null Bris 1991 B01 10 BOI 10 42 3 Budget Year Null J 719 1991 38 1992 91 Figure 48 Collapse a column To expand a column see Figure 49 Expand a column e Roll over any of the columns e A symbol will appear if any columns next to that column are collapsed 9 e Click it to expand the collapsed column Null Jj 719 1991 38 Budget Year BudgetPost Budget Article Null Null Null Bris 1991 B01 10 BO1 10 42 3 BO1 1 O60 1 BO1 10 62 1 Figure 49 Expand a column 19 7 Filters You have several filters available to you depending on your user right
68. at just has been put in Be aware that not clicking on one of these buttons means that you cannot proceed with your work 2 1 Legal person natural person Field 2 1 is the parent field of the multi value group By filling in the sub fields the parent field will be automatically filled You need to click on to enter the multi value group Identification Of Persons Involved 2 1 Legal person natural person Netional ID number Company name Family name P Page 1 of O p gt pi 5 Ho rescondis to wie 2 2 Justification for non disclosure Add new row 2 1 1 Legal status The law distinguishes between a natural and legal person You have to indicate the legal status of the person involved natural person legal person A natural person is any human being with legal capacity commencing from the time of birth A legal person is an artificial person which is recognized by law as having legal personality A legal person may be a private i e business entity or public i e government organization Example In the image on the left hand side page data concerning a natural person has been processed 2014 09 23 AFIS IMS UserManual Draft Page 51 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication sess esi ee EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery B Sanctions Identification Of
69. ate Zero Notification 2014 09 23 AFIS IMS UserManual Draft Page 178 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Users with manager rights can create a Zero notification which notifies OLAF that there are no irregularities to report in a certain reference period To create a Zero Notification O On the IMS Homepage click Create Zero Notification Provide the necessary details Glick Finalize If you have manager rights Click Send You must enter the following data Regulation Select the regulation under which the communication that you want to create a zero notification for was created Drafting date Enter the date on which the zero notification was finalized Quarter Irregularities have to be reported within 2 months after the quarter in which they were detected In this field you need to enter of which reporting quarter a communication is part Selecting the quarter from the drop down list and enter the year in four digits e g 2014 or 2015 IMS provides the running quarter This t Reporting Authority The name of the reporting authority that you as the creator of the zero notification is part of 2014 09 23 AFIS IMS UserManual Draft Page 179 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS MS a AFIS IMS 19 Reports 19 1 Reports visualisation of information From 2013 onwards you have the possibility through IMS to perform some standard
70. ation on the sanction imposed 8 6 1 Category You need to select from the drop down list one of the two following categories S1 administrative S5 penal after which you have to select the type of sanction in the next field yl o Be aware that it concerns a multi value group which implies that you can indicate more than one category and type 8 6 2 Type You need to select from the drop down list one of the values These values depend on the selected values in the previous field After you have selected the type of sanction you click the button Add in order to save the information In case you want to add more sanctions you repeat the above described process 8 6 3 Sanctions applied IMS generates automatically as result of the values entered in fields 8 6 1 Category and 8 6 2 Type the full description of the sanction applied 8 6 4 Fines applied You need to indicate the amount s of the fines imposed N Q Be aware that you indicated the currency already on tab page 1 You will find it on top of the page 8 7 End date of procedure You should indicate the end date of the procedure s N d Be aware that the end date should be equal to or after the start date of the procedure 2014 09 23 AFIS IMS UserManual Draft Page 97 of 193 Version 0 1 State Draft Release date 22 04 2014 4 IMS AFIS IMS NIMS Initial communication abea aaa a eines se EUR EURO EUROPE i Identification 2 Personal data
71. atueteedetoouscvetasturmedeadoeuass 160 Ee Sede pago enipe a AA Ep aiea 160 17 2 Available Search Criteria ccccccccccceccccasesseeceeeeessseeeseeeeeeeesssueeseeeeeeeseseseageses 162 17 2 1 General and COMMUNICATION SECTIONS ccccceecceeeeeeeeeeeeeeeseeeeeeeeeeeeeeeeeeeeaaaaes 162 17 2 2 Special Communication and Reference Number OLAF Sections 0008 164 17 2 3 Other search CritCria cccccccccccesseeeeeeeeeeceeeeeeeeeeeeeeeeeeeeeeeeeseseeeseeeeeeesseeaeeeeeeeeeeags 166 o RUNA SONON cecxccentarterarinetheaaeaeds E EE E EO 168 17 4 Search Results ccccccscsscccccsseeceeeceeeseceesceeeeeeeeeseeaeeceeseeeaeeeeeseseeeeeesseagseeeeeaas 170 18 E mail Notifications wiccacee ice sccesteccor eet cncenenectereeccacneseceseounec astecossatuvansenensssssneasastevascatwenecein 172 19 Communications functions for Managers scceseeeeesseessssseeeeeeseeeeenseeeeeeeseeeeeeees 174 19 1 Re SUOMI a COMMUNICATION iaxcscacccesicnnneacoriessessaimutetenddsanenpenctasecddeasesmaaccateolaness 174 192 Reject COMMMUNMICAUON ssia EES 176 19 3 Create a New Zero Notification ccceecececcceeeeeseeeeeeeeeeeeeseaeeeeeeeeeeessaeaeeees 178 20 REPOS Sar A E 180 20 1 Reports visualisation of information ss ssssssssnnnsessrnrrresrnnrresrrnrrnerrnnrnrsrnrnrenn 180 20 2 AcCcossing TACDOM S g cigeingrcnnecdeuainanindamnsnnenetmnmeunateaiacientnneaiuipunmenaiiaanatnsens 181 20 3 COMMON and Specific rep
72. cccccecccceeeeeeeeeeeeeeeaeeesseeeeeseeseaeaseeeeeeeessaaaaaeeeeeeeseeaaaaees 166 PIQUED FUN A SO ANGI e naaaeagatetbeiadbbaksiaasnadaenanucnaneiieagunsoaenactesteaeres 168 Figure 44 Search Tee SUG aceite Sadistic dsecesstnd cmneihene eect doed cd aber smacheagtaedsMelomaraid dee Sait alisiamasinidsiaeulSeleiaesicbendadiosionninctant 170 Figure 45 Enable disable e mail Notifications cccccsecsccceesseeseeeeceeeeceeeeaeeeseeeeesaaeeeeeessaaeeeeeessaaeeeess 172 Figure 46 RE SUDMIt a COMMUNICATION ccccceeeccecaeeeeeeneeececeeseeeceeeeeeeaeeeesaaueeeseaeeeessaeseessegseessaaes 174 Figure 47 Reject a COMMUNICATION cccccssecccceesceeceeseccccaueeecseuseeeceaseeecsaeeeeseseeeseaueeessageeeesenseesseaes 176 Figure 48 Create Zero NotifiCation cccccsssccccseseeccsesececceeseecseseeecsegeeecsaueeeeseseeeseaseeessagseessenseesseaes 178 Figure 49 Reports VIC W gi ccsnen teciceadi tecicccteatpan eneiecsasaetasiasata tetiacatnanehescieaaaucaniaesnentadotuachndoeeeudtmonarceideapectetasanas 181 Figure 50 SCIECIING TODOS eessen ERA A EENE Eeh ae EE aE AEREA FERRE 182 Figure 51 Selecting reports from the drop down list ccccccccceeeeseeeeeeeeeeaaeeceeeeeeeeeeaaaaeeeeeeeeeesaeaaees 183 Figure 52 Switch between common and specific reports cece ccecceeeeeceeeeeeeeeceeeeeaeeeceeeeeaeeeeeeessaaeeees 183 ICUS oF Me charn egen eniinn anian nara EAEN ERRERA ER ed ER ERE ri REN ERATA RAE ARERR 184 Figure 54
73. cccceseeceeceeeseeeeeeseaseeeeeeseasseeeenseaseeeeensaaseeeeensagseeesensansenees 140 Figure 28 View old COMMUNICATION cceccccccceeeeeceeecaeeeeceeeeeeeeeeeeeaaeeeeeseeeeeceeessaaeeeeeessaeseeeeessaeeeees 142 Figure 29 Actions available while viewing COMMUNICATIONS cccseeceeceeeeeeeceeeeeeeeeeeeesuaeeeeeseneeeensaes 144 Figure 30 Copy a COMMUNICATION inciecicnswiesiannececcendudeawainwinededaveniierecdaadanesioussdnnubadasssawareceu dsdenuentiasubats 146 Figure 31 Printa COMMUNICA OM Serscociusienstesccnatveaca wien aenieiai eKA KENN DANAA TEENAA ERRAR KERENOR EKSER 148 Figure 32 EXport a communication as ANIL a rscedicusices wasteccendmaeteustiandiondadescuniedieavenaatsurthoneuediwememedandias 150 Figure 33 Export a communication as an Excel sheet cccceeecccceeeeeeceeeeeeeeeeseeeseeeeeeaeseeeseeeeeneaes 152 Figure 34 Impor a communica NON ecirar ara niea e AAE EEA AEE 154 Figure 35 Sample Excel File to IMPOTAN 156 Ee E EEEE E A E AE E A E A E ATE 156 US ar EONS VV AIG a E A E 158 Foure o6 re ANG DAG ei aE 160 Figure 39 Available fields General and Communication sections cccseeeeeeeeeeeeeeeeeeeeeeeeeeeeeaeaeeees 162 Figure 40 Available fields Special Communication and Reference Number OLAF sections 164 Figure 41 Search by Country fields for COMMISSION observers ONLY seecceeeceeeseeeeceeeeeeeeeeaaeeeess 165 Figure 42 Available fields Other Criteria cccc
74. d to fulfil the conditions under which EU support can be obtained the Impression was given that the person existed See for more details the attachments I was advised to do so because everybody is doing it The support per beneficiary is relatively low which implies that no or almost no controls and checks are performed The sector is aware of that and makes use of it by applying en mass for support Suspected fraud Finalize Send Copy Delete Export as XML Export as Excel Specific information on the irregularity 4 7 Irregularity committed on 01 01 2003 dd mm yyyy 31 12 2003 dd mm yyyy between 4 4 Type of irregularity Add Record 4 8 1 Category Request 4 9 Modus operandi 4 8 2 Type False or falsified request for aid 2014 09 23 AFIS IMS UserManual Draft Page 78 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS Ue Me AFIS IMS 4 8 1 Category The types of irregularity have been grouped into the following main categories request beneficiary accounts and records documentary proof product species and or land non action movement bankruptcy ethics and integrity other within those categories you have to select a type of irregularity next field Example 2 categories have been selected request beneficiary 4 8 2 Type You have to select a value of the drop down list on basis of the selection made in field 4 8 1 Category Example The types that ha
75. e 10 04 2014 dd mm yyyy Special communication 1 10 Necessity to inform other countries 1 9 New Modus Operandi E i11 Case irrecoverable Status 1 12 Proceedings status Administrative proceedings 1 13 Financial status Recovery under way Case closure 1 14 Case can be closed 1 15 Case closed E 1 16 Case closure date dd mm yyyy Validate Finalize Send 2014 09 23 AFIS IMS UserManual Draft Page 40 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS eM a AFIS IS 1 2 Reference number national The reference number national is the number that was issued by your country Normally a national service or administration issues a file or record number That number can be indicated in this field in order to make it possible for you to find a case back by searching on your national file number Example In the image on the left hand side page you can see that as national reference number Belgium file number reporting authority 123AB is indicated Section Drafting information This section contains information about the drafting of the communication such as who drafted the communication which language and currency is used when was it drafted and so forth 1 3 Reporting authority IMS provides by default the name as provided by your Liaison Officer LO in the User Registration Tool URT You will see on the screen the URT short name as well as the URT long name of the organisati
76. e 39 Selecting reports from the drop down list 19 4 1 Switching between reports ii gt COMMON Reports 1848 Reports x Dashboard Irregularities counts ountry a egulai Irregularities counts by country and regulat Regulation E 428 E 1681 E 1823 iss 1343 pa Figure 40 Switch between common and specific reports You can switch between Common reports and report that are specific to a regulation see Figure 40 Switch between common and specific reports Click COMMON Reports O to view all reports that are common to all users Click the other button to view the reports that are specific to your regulation in this case 1848 Reports C7 Depending on your access rights you may have more buttons available for the other modules you have access to 19 5 Report Types The following types or reports are available e Map reports e Bar chart reports e Table reports e Split view We will explain the reports in more detail in the following chapters 2014 09 23 AFIS IMS UserManual Draft Page 183 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 19 6 Map charts Map reports consist of a map with pie charts The pie charts represent reporting data See Figure 37 Reports view for an example of a Map chart ii gt COMMON Reports 1848 Reports x Dashboard Irregularities counts country and regulatic Irregularities counts by country and regulation Regulation 498 E i681 E 1828 E i
77. e button A dialog box is display Click OK to confirm that you want to delete the communication The communication is deleted To delete a draft while viewing it In the opened draft click the Delete button at the bottom of the page A dialog box is display Click OK to confirm that you want to delete the communication The communication is deleted 2014 09 23 AFIS IMS UserManual Draft Page 123 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 7 Edit a Rejected Communication NIMS Communication Reference Number Type National Reference Fund Initial AUSS 1 EFF View history 6 Amounts AAEE EUR EURO EUROPE Fzoey EEE ronori n Identification of the communication 3 Operation 4 Irreguiarity 5 Detection 7 Recovery 8 Sanctions O11 Reference number OLAF R 498 BJ European Fishery Fund 12 Reference number national ThisisAUSS7 1DefectRetest Drafting information 13 Reporting authority 5 CA IMS Spanish 1 4 Communication language Engish 1 5 Curreacy EUR EURO BUROPE 1 6 Quarter of communication initial E 1 7 Quarter of communication update 1 8 Drafting date 07 03 201 Special communication 1 9 New modus operand 1 10 Necessity to inform other countries 11 Case irrecoverable Status Case dosure t 14 Case can be closed 1 15 Case closed 1 26 Case dosure date Save Validate Finalize Send Validate Finalize Send NIMS
78. e imported from the previous IMS system into the current IMS system To view the old communication O Click the View history button on the view page The old communication is displayed Click the View new communication button to view the communication in the new format 2014 09 23 AFIS IMS UserManual Draft Page 143 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 11 3 Actions available while viewing communications TRY Turkish Lira Turkey ae WU mele eel NIMS Initial communication een fea joey ieee Pits es pi 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions Q Comments 10 OLAF Identification of the communication Oia Reference number OLAF F 1831 Cohesion Fund ES 12345 2013 60459 1 1 2 Reference number national 4934567890123456789012345678901234567890123456789z Drafting information 1 3 Reporting authority 700 1 4 Communication language Bulgarian 1 5 Currency TRY Turkish Lira Turkey 1 6 Quarter of communication initial Fourth Quarter 2013 1 7 Quarter of communication update 1 8 Drafting date 26 02 2014 dd mm yyyy Special communication 1 9 New modus operandi 1 20 Necessity to inform other countries 1 11 Case irrecoverable Status 1 12 Proceedings status Proceedings closed 1 13 Financial status Amount to be calculated Case closure 1 14 Case can be closed 1 1
79. e or independent prefix of the person involved Parent company the firm that owns and controls other firms called subsidiaries which are legal persons in their own right Independent prefix is used in countries as Belgium the Netherlands and Germany A prefix is put between the first name and the family name Example Jan van den Borrelaar Example In the image on the left hand side page the following value has been indicated van den 2014 09 23 AFIS IMS UserManual Draft Page 53 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication sisal sie sl EUR EURO EUROPE 1 Identification Personal dat 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions Identification Of Persons Involved 2 1 Legal person natural person oe S Add Record 2 1 1 Legal status Natural person na 2 1 2 National ID number NLGSF4ASAAP 2 2 Justification for non disclosure 2 1 3 Company name Family name Borrelaar Boielote ie 2 14 Trade name First name Jan 2 1 5 Parent name Independent prefix van den 2 16 Street Hoofdstraat 1 2 17 Postcode 7600 AA 3 1 6 City Almelo Territorial unit where the person is registered 2 19 Country Netherlands 2 1 10 NUTS level 1 OOST NEDERLAND 2 1 11 NUTS level 2 Overijssel 2 1 12 NUTS level 3 Twente Flagged 9 1 13 On basis of Reg 1469 95 E 3 114 On basis of Reg 1605 2002 art Fz 95 Oo
80. e to IMS List communications peah comum ucalan Create Initial communication IMS Reports Import communications Create Zero Notification List communications Search communications IMS Reports Import communications Figure 1 IMS on AFIS Portal 2014 09 23 AFIS IMS UserManual Draft Page 13 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS eM a AFIS IMS IMS is a Web based application accessible through the AFIS Portal You will learn all the needed details about accessing the AFIS Portal from the following document How to connect to AFIS Portal RD1 chapter 7 Logging on to the Portal 1 1 IMS on AFIS Portal The screen that appears after you have logged in is user specific and depends on your role However all AFIS home screens have a number of common features The AFIS Portal User Manual RD describes all the constant elements that compose the AFIS Portal Homepage gt From the AFIS home screen O you will access the IMS Homepage by clicking the application tab 2014 09 23 AFIS IMS UserManual Draft Page 14 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 1 2 Actions Menu AFIS Portal i US UD 1 INFORMATION SERVICES re Welcome INS Manager E54 Last Login 06 12 2013 09 57 39 ilib Emarnnment Production 7 Home iii oes ms 4 1 1 IMS Reports meate Initial communica Create Zero Notification List communications Searc
81. ecial Communication Budget post New modus operandi Classification IRQ Sanctions applied Necessity to inform other countries Case irrecoverable Amount of irregularity EU share Reference number OLAF Fund Proceedings status Financial status Reporting authority short name Year Year Sequence Number Version number Export All as xmi Export All as exce t Reset Search Reference number national Persons Involved National ID number Programming period Objective CCI Number ARINCO No EFRD ESF EAGGF FIFG number Budget year Budget post Classification IRQ Sanctions applied Amount of irregularity EU share Proceedings status Financial status Figure 30 Available fields other criteria 2014 09 23 AFIS IMS UserManual Draft Page 166 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS Ue MS a AFIS IS The following search criteria are available Reference number national search by the Reference number national field Persons involved search by persons involved in the case The following fields are searched e Company name Family name e Trade name First name e Parent name Independent National ID number search by the national ID number Programming period search by the programming period Objective search by the Objective field The values in the list depend on the regulation and programming period selected CCI number search by the CCI numbe
82. ed You need to indicate in this field to which reporting quarter a communication belongs by selecting the quarter from the drop down list and indicating the year in four digits e g 2014 or 2015 IMS provides by default the running quarter but it is editable thus you can change tt For IPA and PAA counts that irregularities should be reported immediately which means that always the running quarter the default should be indicated Be aware that this field cannot be changed anymore at the moment the communication gets the status finalized The information of this field will always be displayed when you do an update As mentioned above the information cannot be changed Example In the image on the left hand side page as quarter of initial communication has been indicated Second Quarter 2014 1 7 Quarter of communication update You need to indicate to which reporting quarter a communication belongs by selecting the quarter from the drop down list and indicating the year in four digits e g 2014 or 2015 IMS provides by default the running quarter but it is editable thus you can change it Please be aware that this field can only be used in case of an update form version 2 and higher The field is disabled in case of an initial communication 1 8 Drafting date You can indicate the date on which you finalized the communication IMS puts by default the date on which you create the communication However it is an editable fie
83. ed successfully Validate Finalize Copy Delete Export as XML Export as Excel Print Cancel Figure 5 Edit a draft 2014 09 23 AFIS IMS UserManual Draft Page 106 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS You can edit your drafts any time as long as you don t finalise it To edit a draft 5 3 Open the draft from the list page see chapter 10 2 Options Available While Listing Communications or in the search results see 15 2 Error reporting Errors Warnings File Row Communication draft was saved successfully NIMS exportl 29455213716697129 4FIS Operations ls 2 Sequence number has been overridden with auto 10024 gt 10025 walue Communication draft was saved successfully NIMS exportl 29455213716697129 4F1S Operations x ls 3 Sequence number has been overridden with auto ony 10022 gt 10026 generated value Communication draft was saved successfully NIMS exportl 29455213716697129 4F1S Operations x ls 4 Sequence number has been overridden with auto generated value 10033 gt 10034 NIMS exportl 29455213716697129 4F1S Operations ls 5 Invalid reference number Communication draft was saved successfully Info NIMS exportl 29455213716697129 4F1S Operations x Is 6 co jen a E 25 505 number has been overridden with auto Warning 10016 gt 10017 generated value Communication draft was saved successfully Info NIMS exportl 294552137 16697 129 4FIS Operations xls 7
84. eeeeeeeeeeees Error Bookmark not defined 3 2 Tab Page 1 Identification cc eeeceeeeseeeeeeeeeeeeees Error Bookmark not defined 4 Tab Page 2 Personal data cccccssssecesssessseeeseeeesseeesseeesseees Error Bookmark not defined 4 1 Tab Page 3 Operation ccccccceseeeeeeeeeeeeeeeeeenaeees Error Bookmark not defined 4 2 Tab Page 4 Irregularity ccccsseeeeeeeeeeeeeeeeeeneeees Error Bookmark not defined 4 3 Tab Page 5 Detection cccccccccsseeeeeeeeeeeeeeeeeaeeees Error Bookmark not defined 4 4 Tab Page 6 Amounts cccccccsseeeeeeeeeaeeeeeeeeaaeees Error Bookmark not defined 4 5 Tab Page 7 Recovery ccccccecessseseeeeeseeeeeeeeeaeeees Error Bookmark not defined 4 6 Tab Page 8 Sanctions cccccccccsseeeeeeeeeeeeeeeeeeaaeees Error Bookmark not defined 4 7 Tab Page 9 Comments cccccsseeeeeeeeeeeeeeeeeeaaeees Error Bookmark not defined 4 8 Tab Page 10 OLAF cccceccceecseeeeeeeeeaeeeeeeeeeaaeees Error Bookmark not defined 5 Validate and Finalize a COMMUNICATION cccceeeeseeeeeeenseeeeeeeenneeeeeeeenseeeseeeenneeesees 102 6 D ATO ci care atic em E ceed A E eociouis ae eines paneeanseaeuieae en 104 6 1 Save a Communication as a Draft ccccccccccccsesecceeeceeseceeeeeeseeceeeseeeseceeetaaneeeees 105 oe Cre DAW chaste taieincatieegoatiantenatecssaanesinannmicdaneintcottssotedsagrataihintotedsspiatdcbieoesadieasatai
85. efinition in the applicable regulation PACA is the first written assessment of a competent authority either administrative or judicial concluding on the basis of actual facts that an irregularity has been committed without prejudice to the possibility that this conclusion may subsequently have to be adjusted or withdrawn as a result of developments in the course of the administrative or judicial procedure Example The Gerald Tribune was read on 7 December 2004 An audit was performed at the beginning of January 2005 The findings were put in an audit report on 5 January 2005 5 2 Reason for performing a control why You need to indicate the reason s for carrying out a control It is an answer on the question why a control was performed Was there a legal obligation or did a tip trigger the control The drop down list contains a summary of available options This could be for instance a tip off a routine check or a request from another country You can select more than 1 value Example The article in the Gerald Tribune was the reason to perform an audit thus information published in the media 5 3 Type and or method of control how You need to indicate the type of control and or the method used to perform the check It is an answer on the question how the control was performed The drop down list contains a number of options This could be an analysis of samples or an initial enquiry You can select more than 1 value Exa
86. egularity EU share Reference number OLAF Fund Proceedings status ie ae Financial status gt Year Yeor Sequence Number Search Communication Details Regulation Case status Last update only Communication Type Status Quarter Registration date With attachments Figure 27 Available fields General and Communication sections 2014 09 23 AFIS IMS UserManual Draft Page 111 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The following search criteria are available Regulation search by module Select a module from the drop down list Case status search by case status by selecting a status from the drop down list Last update only tick the click box to search by the last communication of a case Type search by type of communication Status search by the status that the communication is in Quarter search by the quarter during which the initial communication was created or updated Year search by the year during which the initial communication was created or updated Registration date search by the date when a communication was registered in the system With attachments tick this checkbox to search only for communications that have attachments 2014 09 23 AFIS IMS UserManual Draft Page 112 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 6 2 2 Special Communication and Reference Number OLAF Sections NIMS Search Communications
87. elease date 22 04 2014 T Recovery Article and paragraph No records to wiew Page 70 of 193 IMS AFIS IMS 3 5 Tab page 4 Irregularity Tab page 4 contains information on the irregularity itself The first part of the tab page contains more general information as the second part provides answers on questions as who what where why when Section Information leading to a suspicion of an irregularity This section contains information that led to the discovery of an irregularity Example On 7 February 2014 you read in the Gerald Tribune that EU subsidies were obtained by a person who was absolutely not eligible for support Official documents were modified in order to mislead civil servants 4 1 Date You need to indicate the date on which information was received that led to the suspicion that an irregularity had been committed Example The date on which you read the Gerald Tribune should be indicated 07 02 2014 4 2 Source You need to indicate the source of the information that led to the suspicion that an irregularity had been committed Example The source of your information is Gerald Tribune Section Provisions infringed This section contains a multi value group which means that more than one value can be processed In other words more than one provision can be indicated A multi value group has additional buttons which need to be used to save edit or delete data You will find on top of the multi
88. erence a13456789012345678901234567890123 dandandan R6 EL 1989 1993 2 IRQ2 CZK PA IRR R62 FINALIZED 9 9 CCI R61 SEND ART5 IRQO R63 SEND ART5 IRQO R54 FINALIZED 9 9 CCI RS8 SEND ARTS RS8 SEND ARTS R52 EN 2000 2006 INTERREG IRQ2 EUR RSS FINALIZED SEND CCI R5 DE 1989 1993 1 IRQ2 CYP JP IMI R51 EN 2000 2006 INTERREG IRQ2 EUR R53 EN 2000 2006 INTERREG IRQ2 EUR 1 2 Print Figure 11 List communications 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 Export as XML Fund EFF CF ERDF ERDF ERDF ERDF ERDF ERDF ERDF ERDF ERDF ESF ERDF ERDF Quarter Fourth Quarter 4 2013 Fourth Quarter 4 2013 Fourth Quarter 4 2013 Fourth Quarter 4 2013 Fourth Quarter 4 2013 First Quarter 1 2014 Fourth Quarter 4 2013 Fourth Quarter 4 2013 Fourth Quarter 4 2013 Fourth Quarter 4 2013 Fourth Quarter 4 2013 Fourth Quarter 4 2013 Fourth Quarter 4 2013 Fourth Quarter 4 wa i m La Export as Excel Send Drafting Registration date 29 01 2014 26 02 2014 10 01 2014 10 01 2014 10 01 2014 11 01 2014 10 01 2014 10 01 2014 10 01 2014 10 01 2014 10 01 2014 10 01 2014 10 01 2014 10 01 2014 Delete date 28 02 2014 14 17 44 04 03 2014 15 48 21 03 02 2014 09 52 20 20 02 2014 gy ae lal 19 02 2014 15 33 44 19 02 2014 15 31 49 19 02 2014 15 13 22 19 02 2014 15 30
89. ery line in the Excel file corresponds to an exported communication DB Every vertical column corresponds to a field in the communication form O For example column E 1 1 Fund corresponds to the fund selected in field 1 1 in the communication form 2014 09 23 AFIS IMS UserManual Draft Page 153 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 15 Import Communications iib ma Import Communications Select file or archive to upload Save communications as Dry Run O Draft G Finalize Import File Upload GOL t ims_export 5 Organize New folder UY Favorites ME Desktop ip Downloads Libraries E3 Local Document a Music E3 My Documents _ Pictures oal gt Name NIMS_exportl 29455213 716697129 AFIS Search ims_export Date modified Type 11 04 2014 11 08 Microsoft Excel 97 Th Filename NIMS _exportl729455213716697129 AFIS_O All Files had Import Communications Select fille or archive to upload Save communications as Dry Run E I O Task Report Id 3 Task Info Task id Data direction Media type File name Started at status Ended at Total communications Total processed so far Total errors warnings Refresh Errors Warnings File Row Description Draft NIMS_export1729455213716697129 AFIS_Operations xls_ l A Finalize O 3 Input ALS NIMS_export1729455213716
90. euniaenltdemipesadineaiiasonthedapatonttsumueaiadisunsiacedhataguttnent casuals 193 List of Tables Table 1 Reference Documents ccccccssessscceeeeceeeeeseeeeeeeeeeeneassseeeeeeesseeaasaeeeeeeesseaaaaeeeeeeeessuaasseeeeeeeenaaas 3 Table 2 States Of COMMUNICATIONS ccccccccccceseeeeeeceeeeeeeaeeeeeceeeeeeaeeaseeeeeeeesseaaeeeeeeeeessaaaeeeeeeeeeeesaas 134 2014 09 23 AFIS IMS UserManual Draft Page 8 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Terms Definition AFIS Directory Service Common service responsible for the provision of user information application information and reference data AFIS Framework A set of services and applications to support the development operation and use of AFIS business applications It takes care of security user application data users organisation structure application configuration and reference data It also offers a common look and feel to all applications APF and a portal home page presenting all applications a user can access APM The software component identified by the AFIS Framework as a Application deployable security unit Realises specific needs within OLAF overall business scope Attachment A file that may become part of a communication Case A set of communications Initial and Update representing a business case about an irregularity discovered Communication May be either Initial or Update and
91. h communications IMS Reports Import communications IMS Actions menu The options in the Actions Menu Selector are displayed according to your user rights iib Welcome to IMS tial communication Search Import PM Notification 1 0 Tasks ommunications k l e i Ti IMS Reports Import communications Figure 2 Actions Menu 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 Page 15 of 193 IMS AFIS IMS The Actions Menu is available from any page you may be viewing while working with the IMS application Roll your mouse over the white arrow available on the left of the screen This menu contains the list of modules to which you have access as well as the options Import and Search You also have the possibility to consult the Input Output page I O Tasks where you can view the status of the asynchronous import export tasks the system performed The Home link takes you to the IMS Homepage regardless of where you are in the application 2014 09 23 AFIS IMS UserManual Draft Page 16 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2 Communication Life Cycle Start Intermediate Save as draft reporting Creator or Submit authority manager Finalize Manager manager Creator or mane a Submit to OLAF Level 1 reporting Creator or authority manager manager or OLAF manager Submit Manager Reject M
92. he following countries have been indicated CZ Czech Republic NL Netherlands 4 6 Non Member State s You need to indicate the non Member State s involved This field is a multiple selection field which means that you can select more than one option You need to apply the following steps 15 select a value from the drop down list by clicking on the value 16 click the button 17 the value is added to your reporting list 18 repeat this to add one or more other options Please do not forget to click the button otherwise the information will not be saved Example For illustration purposes the following countries have been indicated e C008 Albania e C024 Angola e C031 Azerbaijan 2014 09 23 AFIS IMS UserManual Draft Page 75 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Specific information on the irregularity 4 7 Irregularity committed on 01 01 2003 dd mm yyyy 31 12 2003 dd mm yyyy between 4 4 Type of irregularity Category View 1 2of 2 4 9 Modus operandi 4 10 Statement of persons involved 4 1 Findings of the administration 4 12 Classification of the irregularity Suspected fraud Communication saved successfully Walidate Finalize Specific information on the irregularity 4 7 Irregularity committed on 01 01 2003 dd mm yyyy 31 12 2003 dd mm yyyy between 8 T of irregularit 4 ype of irregularity Add Record 4 8 1 Category Re
93. he project You can make it even more complete by providing a small to the point description of the project 3 13 Project number You need to provide the official number of the project as described in the previous field 2014 09 23 AFIS IMS UserManual Draft Page 61 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication EUR EURO EU zone 1 Identification 2 Personal data en a 4 Irregularity 5 Detection 6 amounts F Recovery Sanctions 9 Comments 10 OLAF Specific Description of operation 34 Fund Type 3 2 Programming period 3 3 Objective 3 4 Interregional 3 5 CCI number 3 6 ARINCO Nao 347 EFRD ESF E amp GGF FIFG number 3 4 Programme 3 9 Programme closure date 3 10 Priority 341 Theme 312 Project name 343 Project number 344 EC decision number 3 15 EC decision date Territorial unit where the operation is located or carried out 3 46 Country 417 NUTS level 1 3 18 NUTS level 2 3 419 NUTS level 3 320 Competent authority Agriculture 3i Budget line Budget pear Budget ime Amount of imegulartty EU share 7 A Page 1 ao Bi 5 gt No records ta wiew Ell share National share Public contribution Private share Total 3 22 Total amount of expenditure 3 23 Total amount of irregularity Save Validate Finalize Send Cancel 2014 09 23 AFIS IMS UserManual Draft Page 62 of 193 Version 0 1 State Draft
94. her search criteria NIMS Search Communications Search Communication Details Regulation uw Reference number national Case status Last update oniy Persons Involved National ID number Communication ed aed aa Type a Objective Status 4 CCI Number Quarter Ed Year ARINCO No Registration date fom 2j until EFRD ESF EAGGF FIFG number With attachments Budget year Special Communication Budget post New modus operandi Classification IRQ Sanctions applied Necessity to inform other countries Case irrecoverable Amount of irregularity EU share Reference number OLAF Fund Proceedings status Financial status Reporting authority short name Year Year Sequence Number Version number Export All as xmi Export All as exce t Reset Search Reference number national Persons Involved National ID number Programming period Objective CCI Number ARINCO No EFRD ESF EAGGF FIFG number Budget year Budget post Classification IRQ Sanctions applied Amount of irregularity EU share Proceedings status Financial status Figure 30 Available fields other criteria 2014 09 23 AFIS IMS UserManual Draft Page 115 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS Ue MS a AFIS IS The following search criteria are available Reference number national search by the Reference number national field Persons involved search by persons involved in the case The followi
95. hort name Year Year Sequence Number Version number Export All as xml Export All as excel Reset Search Reference Number ommunication Typel National Reference Quarter Communication date Registration date A ia TT ra RI6RL ES Th 2019 10554 1 Initial i guri ee un 19 02 2014 20 02 2014 11 53 2 cane a RIS31 ES ESb 2014 10027 initial change of RA m i one at 18 02 2014 16 02 2014 16 48 0 Third Quarter 3 2013 Iri tal 11 02 2014 11 02 2014 15 24 0 O 6 O 9 Figure 32 Search results 2014 09 23 AFIS IMS UserManual Draft Page 119 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The search results are displayed The following columns are available O Reference number OLAF the reference number of the communication Communication Type the communication can have on of the following communication types e Initial communication e Update e Zero communications Reference number national the national reference number of the communication O Fund Type the fund type that is selected for the communication Quarter quarter in which the communication was created Oo Communication Date the date on which the communication was created as indicated by the creator Registration Date the date when a communication was registered in the system State the state that the communication is in 2014 09 23 AFIS IMS UserManual Draft Page 120 of 193 Version 0 1 State Draft Release
96. iaison Officers LO e IMS provides some information automatically by default This does not mean that you have to accept it Most of these fields are editable which means that you can change the information provided e IMS applies always the same date format dd mm yyyy e IMS applies always the same year format yyyy Tab pages IMS contains ten 10 tab pages which follow the logic order of detection dealing and reporting of irregularities 1 Identification Personal data Operation Irregularity Detection 2 3 4 5 6 Amounts 7 Recovery 8 Sanctions 9 Comments j 0 OLAF On the following pages the different tab pages its sections and fields will be explained It is meant as guidance for the processing of information in IMS 2014 09 23 AFIS IMS UserManual Draft Page 35 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication l g EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions 9 Comments 10 OLAF Specific Identification of the communication O11 Reference number OLAF R 1828 Ba European Regional Development Fund Ba BE 1828RA1 2014 10001 1 1 2 Reference number national Belgium file number reporting authority 123AB Drafting information 1 3 Reporting authority 1828RA1 Reporting Authority competent for R1828 1 4 Communication language English 1
97. ication gt does not have the right to send the communication to OLAF gt has a parent RA to send the communication to RA1 RA2 Reporting Authority 2b gt is the originator of a communication gt does not have the right to send the communication to OLAF gt has a parent RA to send the communication to RA1 RA Reporting Authority 1 gt is the parent RA for RAza and RAzp gt is the receiver of the communications sent by RAza and RA gt can send these communications to OLAF which makes it a Level 1 RA gt does not have a parent RA 2014 09 23 AFIS IMS UserManual Draft Page 30 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS 2 The Communication in OLAF Re submitted to OLAF The OLAF manager Amends Modified by OLAF End Diagram 10 Communication lifecycle in OLAF 2014 09 23 AFIS IMS UserManual Draft Page 31 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS After the communication is submitted to OLAF by the highest level reporting authority OLAF can amend the communication After amending the communication is placed in the Modified by OLAF status The communication life cycle ends with its amendment and or anonymisation by OLAF 2014 09 23 AFIS IMS UserManual Draft Page 32 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS 3 Create a Communication Ho
98. ication IRQ a Necessity to inform other countries Sanctions applied Case irrecoverable etapa a Amount of irregularity EU share Reference number OLAF Fund hd Proceedings status Financial status hd Reporting authority short name Year Year Sequence Number Version number Export All as xml Export All as excel Reset Search O Figure 31 Run a search 2014 09 23 AFIS IMS UserManual Draft Page 168 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS To run a search O Go to the search page Set the criteria that you want to search by Click the Search button 2014 09 23 AFIS IMS UserManual Draft Page 169 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 16 4Search Results Special Communication Budget post New modus operandi i Classification IRQ B Necessity to inform other countries Sanctions applied Case irrecoverable Amount of irregularity EU share Reference number OLAF Fund hd Proceedings status Financial status Reporting authority short name Year Year Sequence Number Version number Export All as xml Export All as excel Reset Search Reference Number ommunication Typel National Reference Quarter Communication date Registration date A ia TT ra RI6RL ES Th 2019 10554 1 Initial i guri ee un 19 02 2014 20 02 2014 11 53 2 cane a RIS31 ES ESb 2014 10027 initial change of RA m i one at 18 02 2014
99. ications in your search results or communications from the List communications page 14 1 Export Communications as an XML File e All as excel Reset Search You hawe chosen to open NIMS_0_235918 AFIS_Operations xml which isa XML Document 6 4 kB from http s olaf vprod265 7313 What should Firefox do with this file m Save File C Do this automatically for files like this from now on lt messageNIMS xmins eu olaf afis ims regNIMS data xmltypes xmins xsi http www ws lt identification xmins gt lt referenceNumberOlaf country ES fund CF reportingAuthorityCode ES3 sequence 10028 reg lt referenceNumberMs gt lt commcCreationInfo gt lt reportingAuthority gt ES_ES3 IMS Spanish Test Organisation 3 lt reportingAuthority gt lt communicationLanguage gt EN lt communicationLangquage gt lt currency gt EUR lt currency gt lt article3CommunicationQuarter year 2014 quarter 1 gt lt quarter quarter year gt lt creationDate gt 2014 03 05 lt creationDate gt lt commcCreationinfo gt lt specialCommunication gt lt newModusOperandi gt false lt newModusOperandi gt lt informO therCountries gt false lt informOtherCountries gt lt caselrrecoverable gt false lt caselrrecoverable gt lt specialCommunication gt lt status gt lt proceedingStatus gt lt financialStatus gt lt status gt lt caseClosure gt lt caseCanBeClosed gt false lt caseCa
100. iiL Tiz 01 2a Paget oo s gt mi 5 iw View 1 2of 2 4 9 Modus operandi An imaginary natural person was indicated on the form to apply for EU subsidies By handing over modified documents such as for instance an identification card which was fine tuned to fulfil the conditions under which EU support can be obtained the Impression was given that the person existed See for more details the attachments 4 10 Statement of persons involved I was advised to do so because everybody is doing it 4 411 Findings of the administration The support per beneficiary is relatively low which implies that no or almost no controls and checks are performed The sector is aware of that and makes use of it by applying en mass for support 4 12 Classification of the irregularity Suspected fraud Validate Finalize Send Copy Delete Export as XML Export as Excel Print Cancel 4 12 Classification of the irregularity toz Irregularity i203 Suspected fraud 205 Established fraud 2014 09 23 AFIS IMS UserManual Draft Page 80 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS 4 12 Classification of the irregularity You need to classify the irregularity by selecting from the drop down list one of the following values IRQ2 irregularity IRQ3 suspected fraud IRQ5 established fraud Example The case has been classified as suspected fraud on basis of the applied modus operandi and the statement m
101. in field 3 21 7 Amount of expenditure If for instance 5 budget lines have been indicated the total expenditure concerning these 5 budget lines will be calculated by IMS The amounts are automatically transferred to tab page 6 Amounts 3 23 Total amount of irregularity IMS generates the amounts on basis of the information provided in field 3 21 8 Amount of irregularity If for instance 5 budget lines have been indicated the total irregular amount concerning these 5 budget lines will be calculated by IMS A The amounts are automatically transferred to tab page 6 Amounts You can edit the amounts on tab page 6 but be aware that the amounts will not be updated on this tab page 2014 09 23 AFIS IMS UserManual Draft Page 69 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication ptam pie ey eli EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 10 OLAF Specific Information leading to suspicion of an irregularity 41 Date 07 12 2004 E dd mm yyyy 4 2 S0urce article in the Gerald Tribune Provisions Infringed 4 3 Provisions EU EU legislation Year BPD Page 1 ojof 0 amp FiS 4 4 Provisions national Provisions Infringed Provisions EU ii Add Record 4 3 4 EU legislation 4 7 2 Number 4 3 3 Year 4 3 4 Artide and paragraph 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft R
102. ion Rejected Diagram 5 The manager can either resubmit or reject the communication 2014 09 23 AFIS IMS UserManual Draft Page 25 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Once the rejected communication is finalized the manager can resubmit the communication or reject it If s he rejects the communication again the editor must edit it and finalize it see 2 3 The Creator Edits and Finalizes the Communication 2014 09 23 AFIS IMS UserManual Draft Page 26 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2 5 Sending the Communication to OLAF The highest Manager submit to reporting authority OLAF submits to OLAF the next reporting authority One of the organisations or OLAF rejects the communication N hH Rejected The creator must then edit the communication and finalize it The manager must resubmit the communication Diagram 6 Sending the communication to OLAF 2014 09 23 AFIS IMS UserManual Draft Page 27 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS After the communication has been submitted it will pass through the reporting structure until it is submitted to OLAF Your manager will submit the document to the reporting authority that is up one level in the reporting structure That reporting authority will submit the communication to the next level reporting authority The reporting author
103. it is used to report an irregularity to OLAF The Initial communication is related to the creation of the report and the Update communication is related to the additional information that may be included in the report An Update communication may not be created without the existence of an Initial communication Country The entity holding one or more Reporting Authorities Customs Communications Network CCN A set of physical gateways located either in National Administrations or at the Commission premises These gateways are interconnected through their own communication services TCP IP network services and communicate with the Application Platforms CCN requires user authentication Irregularity An irregularity represents any infringement of a provision of the European law resulting from an act or omission by an economic operator which has or would have the effect of prejudicing the general budget of the European Union EU by charging an unjustified item of expenditure to the general budget Organisation The service responsible to report an irregularity case Organisations are subject to a hierarchical structure In the terms of the IMS application Organisations are called Reporting Authorities The legal document under which a case of irregularity is reported Regulation Regulations in the terms of the IMS application may be 498 1681 1828 1831 1848 PAA and IPA User Entities attached to Orga
104. itial communication paiya a sia fiolt singe si EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions 9 Comments 10 OLAF Specific Identification of the communication 11 Reference number OLAF R 1828 MJ European Regional Development Fund Ba BE 1828RA1 2014 10001 1 1 2 Reference number national Belgium file number reporting authority 123AB Drafting information 1 3 Reporting authority 1828RA1 Reporting Authority competent for R1828 1 4 Communication language English 15 Currency EUR EURO EUROPE 1 6 Quarter of communication Second Quarter Initial 7 Quarter of communication Update 1 8 Drafting date 10 04 2014 dd mm yyyy Special communication 1 10 Necessity to inform other countries 1 9 New Modus Operandi E i11 Case irrecoverable Status 1 12 Proceedings status Administrative proceedings 1 13 Financial status Recovery under way Case closure 1 14 Case can be closed 1 15 Case closed E 1 16 Case closure date dd mm yyyy Validate Finalize Send 2014 09 23 AFIS IMS UserManual Draft Page 48 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Section Case closure This section contains specific information on the closure of cases 1 14 Case can be closed This tick box is only active for modules 1681 1831 and PAA due to the specific rules on the closu
105. itoriales Statistiques The English description is nomenclature of territorial units for statistics 3 18 NUTS level 2 You need to select from the drop down list one of the offered values The values in the drop down list depend on the value selected in the previous field 3 19 NUTS level 3 You need to select from the drop down list one of the offered values The values in the drop down list depend on the value selected in the previous field 3 20 Competent authority The name of the competent authority which could be for instance a Managing Authority MA or a Paying Agency PA should be indicated It concerns the tab page operation thus the authority that granted the support measure should be indicated 2014 09 23 AFIS IMS UserManual Draft Page 63 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Agriculture 3 21 Budget line Budget year Budget line Amount of inegquiartty EU share BH Pag jaro m gt ea 5 iowa No meconds ta view EU share National share Public contribution Private share Total 3 22 Total amount of expenditure 3 23 Total amount of irregularity Save Validate Finalize Send Cancel Add Record x 3 2L1L Budget year 3 21 2 Budget post 3 21 3 Budget article 3 214 Budget measure 3 21 5 Budget line 3 21 6 Product Financial impact 3 2 7 Co financing rate Dy EU share Netional share Public contribution Private share Total 3 21 8 Amount of expend
106. iture 3 21 9 Amount of irregularity MAdd X Cancel 2014 09 23 AFIS IMS UserManual Draft Page 64 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Section Agriculture This section contains information concerning EAGF and EAFRD measures The section contains a multi value group which means that more than one value can be processed In other words more than one measure can be indicated A multi value group has additional buttons which need to be used to save edit or delete data You will find on top of the multi value group find the following buttons F Add key in new information Edit edit the details of information on a person already keyed in View _ view the details of information on a person already keyed in _Delete remove a person As soon as you have added information in the multi value group you need to click the button Add in order to save the information You will find this button together with the button Cancel at the bottom of the multi value group Add xX Cancel Not clicking on one of these buttons means that you cannot proceed with your work 3 21 Budget line Field 3 21 is the parent field of the multi value group By filling in the sub fields the parent field will be automatically filled You need to click on to enter the multi value group The budget lines are based on the DGAGRI nomenclature OLAF updates the drop down lists several
107. ity on the highest level in the reporting structure will submit the communication to OLAF If your organisation is the highest reporting authority in the cascade your manager will submit the communication directly to OLAF In the next chapter we will explain the process of submitting communications to OLAF in more detail When one of the reporting authorities that must submit your communication rejects it the communication is placed back in rejected status You must then edit and finalize the communication like before see chapter 2 3 The Creator Edits and Finalizes the Communication Your organisation s manager must then submit the communication again to the next reporting authority in the cascade The process of submitting to OLAF will be restarted 2014 09 23 AFIS IMS UserManual Draft Page 28 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2 6 Sending Communications to OLAF and the Communication workflow Scenario communication MS RA OLAF Diagram 7 Communication Workflow Example 1 Scenario Il communication communication MS RA OLAF Diagram 8 Communication Workflow Example 2 Scenario Ill communication com icati munication OLAF communication Diagram 9 Communication Workflow Example 3 2014 09 23 AFIS IMS UserManual Draft Page 29 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The IMS rep
108. lature des Unites Territoriales Statistiques The English description is nomenclature of territorial units for statistics Example In the image on the left hand side page the following value has been indicated OOST NEDERLAND 2 1 11 NUTS level 2 You need to select from the drop down list one of the offered values The values in the drop down list depend on the value selected in the previous field Example In the image on the left hand side page the following value has been indicated Overijssel 2 1 12 NUTS level 3 You need to select from the drop down list one of the offered values The values in the drop down list depend on the value selected in the previous field Example In the image on the left hand side page the following value has been indicated Twente 2014 09 23 AFIS IMS UserManual Draft Page 55 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication sisal sie sl EUR EURO EUROPE 1 Identification Personal dat 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions Identification Of Persons Involved 2 1 Legal person natural person oe S Add Record 2 1 1 Legal status Natural person na 2 1 2 National ID number NLGSF4ASAAP 2 2 Justification for non disclosure 2 1 3 Company name Family name Borrelaar Boielote ie 2 14 Trade name First name Jan 2 1 5 Parent name Independent prefix van den 2 16 Street Hoofdst
109. ld which implies that you can change it 4 This field has been created on request of countries who use this field to monitor the processing time from the moment a creator finalized a communication Example In the image on the left hand side page as drafting date has been indicated 10 04 2014 2014 09 23 AFIS IMS UserManual Draft Page 43 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication paiya a sia fiolt singe si EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions 9 Comments 10 OLAF Specific Identification of the communication 11 Reference number OLAF R 1828 MJ European Regional Development Fund Ba BE 1828RA1 2014 10001 1 1 2 Reference number national Belgium file number reporting authority 123AB Drafting information 1 3 Reporting authority 1828RA1 Reporting Authority competent for R1828 1 4 Communication language English 15 Currency EUR EURO EUROPE 1 6 Quarter of communication Second Quarter Initial 7 Quarter of communication Update 1 8 Drafting date 10 04 2014 dd mm yyyy Special communication 1 10 Necessity to inform other countries 1 9 New Modus Operandi E i11 Case irrecoverable Status 1 12 Proceedings status Administrative proceedings 1 13 Financial status Recovery under way Case closure 1 14 Case ca
110. lidating communications see chapter 4 Validate and Finalize a Communication wy Q Drafts are deleted by the system after a predefined period After you saved the draft additional buttons are displayed Save Save changes to the draft Validate Validate the validity of the draft See Finalize Finalize the draft See chapter 4 Validate and Finalize a Communication Copy Copy the draft You can use the copy as a template for a new communication See chapter 12 Copy a Communication Delete Delete the draft See chapter Error Reference source not found Error Reference source not und Export as XML Export the communication as an XML file For more information see chapter Export as Excel Export the communication as an Excel file For more information see chapter 14 2 Export Communications as an Excel Sheet Print The print version of the communication is opened and the print dialog box is displayed For more information see chapter 13 Print a communication Send if you have manager rights the Send button is displayed Click this button to submit an communication For more information about sending a communication see chapter 18 1 Re Submit a Communication 2014 09 23 AFIS IMS UserManual Draft Page 105 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 5 2 Edit a Draft Case closure 1 14 Case canbe closed 1 15 Case closed 1 16 Case closure date dd mm yyyy Communication sav
111. lled form version number The form version number is used to identify the different communications concerning the same case The first communication of a case the so called initial communication is always form version 1 Updates have a consecutive number beginning with 2 The first update is thus form version 2 the second update is form version 3 and so on The communication with the highest form version number reflects the state of a case Example In the image on the left hand side page you can see that number 1 has been indicated which implies that it concerns an initial communication 2014 09 23 AFIS IMS UserManual Draft Page 39 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication paiya a sia fiolt singe si EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions 9 Comments 10 OLAF Specific Identification of the communication 11 Reference number OLAF R 1828 MJ European Regional Development Fund Ba BE 1828RA1 2014 10001 1 1 2 Reference number national Belgium file number reporting authority 123AB Drafting information 1 3 Reporting authority 1828RA1 Reporting Authority competent for R1828 1 4 Communication language English 15 Currency EUR EURO EUROPE 1 6 Quarter of communication Second Quarter Initial 7 Quarter of communication Update 1 8 Drafting dat
112. manual for the reports that are specific for that module 19 4 Selecting Reports There are several reports available to you You can switch between reports in the following ways e Several tabs are displayed at the top of the reporting section See Figure 38 Selecting reports Click them to view the report 7 If there are more reports available than can be displayed click the arrows on the left and right to view the other reports Irregularities counts by country and regulation Regulation V All 7 498 Regulation 498 ics E 1228 4 E i231 A 1848 V 1848 P qi ipa NORWAY Reporting Year Click here to see more reports Figure 38 Selecting reports You can also use a drop down list to switch reports e Click the drop down list on the top left of the reporting section see Figure 39 Selecting reports from the drop down list O All the available reports are displayed in the list Select which report you want to see F 2014 09 23 AFIS IMS UserManual Draft Page 182 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Irregularities counts by cc Dashboard Irregularities counts by country and regulation irregularities counts by country and regulation Expenditure amounts of affected projects by country and regulation irregular amounts by country and regulation Ratio Irregquiar Financed amounts by country and regulation Figur
113. module via which the communication is reported and case status Communication search in a communication s metadata i e the data that was automatically added by the system when you created the communication such as the type and status quarter is not automatically added Special communication search if any of the options in the special communication section of the communication fields 1 9 1 11 were selected Reference number OLAF search the separate sections that compose the OLAF reference numbers such as the fund and the sequence year Other search fields select other search criteria from these fields to search by 6 Buttons these buttons enable you to search reset clear a search of all entered criteria and export search results to an Excel or an XML file 2014 09 23 AFIS IMS UserManual Draft Page 110 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 6 2 Available Search Criteria 6 2 1 General and Communication Sections NIMS Search Communications Reference number national Regulation Case status Last update only Persons Involved National ID number Communication Programming period a Objective g CCI Number ARINCO No EFRD ESF EAGGF FIFG number Budget year ad Special Communication Budget post New modus operandi DEI Classification IRQ a Necessity to inform other countries Case irrecoverable Sancions sopiline mount of irr
114. mple The accounts of the person involved and the documents which were used to apply for support were checked on the premises 5 4 Control carried out before after payment You need to indicate if the control was carried out before payment after payment before as well as after payment 2014 09 23 AFIS IMS UserManual Draft Page 83 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication sels pase isi sip ele sie eh EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery B Sanctions Q Comments 10 OLAF Specific Control 5i Date of discovery PACA 05 01 2005 E dd mm yyyy 5 2 Reason for performing a control Information published in the media why D001 Information published in the media 5 3 Type and or method of control Control of documents how D5001 Control of accounts DMI Control on the premises of the company 05202 Control of documents 5 4 Control carried out before after After payment ad payment 55 Competent authority Committee for Inquiry and Audit OLAF investigation 5 6 OLAF investigation 57 OLAF number 2014 0001 Export as XML Export as Excel Print Cancel 2014 09 23 AFIS IMS UserManual Draft Page 84 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 5 5 Competent authority You need to indicate the authority that was responsible for the detec
115. n be closed 1 15 Case closed E 1 16 Case closure date dd mm yyyy Validate Finalize Send 2014 09 23 AFIS IMS UserManual Draft Page 44 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Section Special communication This section contains information on so called special or urgent communications The different regulations oblige countries to submit a special or urgent communication in case a new modus operandi has been applied other countries need to be warned and or a case has become irrecoverable and the Commission need to take a formal decision on the closure of such case In the image on the left hand side page you can see that the tick box for a new modus operandi has been ticked 1 9 New modus operandi You need to tick the tick box in case a new modus operandi has been applied of which your colleagues in your own country or in any other country need to be warned In case you tick the tick box IMS informs OLAF staff that such a case has been reported OLAF staff will analyse and evaluate the information If necessary additional information will be requested via the Liaison Officer LO The results will be used to inform other countries Of course the latter will be done in close cooperation with the competent Liaison Officers 1 10 Necessity to inform other countries You need to tick the tick box in case other countries should be informed due to for instance the nationality of the pe
116. nBeClosed gt lt caseClosed gt false lt caseClosed gt lt caseClosureDate xsi nil true gt mM lt caseClosure gt lt appointedAuthority gt ES3 lt appointedAuthority gt lt identification gt file C Users dijksma AppData Local Temp NIMS_0_ 235918 jB Computer Protected Mode Off y 100 Figure 20 Export a communication as XML 2014 09 23 AFIS IMS UserManual Draft Page 150 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS To export communications to an XML file O Click the Export all as xml button A dialog box is opened Select if you want to open or save the file Click OK Depending on the previously selected option in the dialog box the XML file is saved or displayed 2014 09 23 AFIS IMS UserManual Draft Page 151 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 14 2 Export Communications as an Excel Sheet Export All Export All as excel Reset Search Task Info Task id 1 Data direction Output Media type XLS File name NIMS_export866206901689944079 AFIS_Operations xls Started at Tue Apr 22 10 31 37 CEST 2014 COMPLETED Tue Apr 22 10 31 39 CEST 2014 Status Ended at Total communications 1 Total processed so far 1 Total errors warnings 0 eerie aie O Errors Warnings O File Row Description Type Location Opening NIMS export 611469845812 340930 AFIS_Operations xl
117. ng fields are searched e Company name Family name e Trade name First name e Parent name Independent National ID number search by the national ID number Programming period search by the programming period Objective search by the Objective field The values in the list depend on the regulation and programming period selected CCI number search by the CCI number field ARINCO number search by the ARINCO number field EFRD ESF EAGGF FIFG number search by the EFRD ESF EAGGF FIFG number field Budget year search by the Budget year field Budget post search by the field Budget post Classification IRQ search by the Classification of the irregularity field Sanctions applied search by the Sanctions applied field Amount of irregularity EU share search by the Amount of irregularity EU share field Proceedings status search by the Proceedings status field Financial status search by the Financial status field gt Q You can used the wildcard This wildcard enables you to search using only part of a word For example day gt search results include Monday Tuesday and day day gt search results include daybreak daytime and day 2014 09 23 AFIS IMS UserManual Draft Page 116 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 6 1 Runa search NIMS Search Communications Search Communication Details O O Regulation
118. ng the communication such as when it was submitted and who submitted it The following fields are listed e Action what was done with the communication finalized submitted rejected e Sender who submitted re submitted rejected etc the communication The Organisation that the creator of the communication is part of e Receiver to whom the communication was submitted re submitted rejected etc The Organisation to which the initiating Organisation reports e Date when was the communication submitted re submitted rejected etc Date format DD MM YYYY hh mm ss e Comments if a communication was rejected the reason for rejection is displayed here Amended The amended tab contains information about all the changes made in the communication by OLAF and the date on which the changes were made The following fields are listed Amended field name the name of the field that was amended by the OLAF manager New value the new information added by the OLAF manager when amending Old value the old value before amendment Date The date on which the file was amended Date format DD MM YYYY hh mm ss Select an option from this dropdown list to sort the table by date or field rey For communications that are part of a cancelled case data that was recorded during the communication amendment by OLAF and the rejection reasons for rejected communications is not displayed 2014 09 23 AFIS IMS UserManual Draft Page 141 of
119. nia 106 6 3 Open the draft from the list page see chapter 11 2 Options Available While Listing Communications or in the search results see 16 2 Error reporting 107 7 Search Communications ccc eeeeeeeeeeeeeeeeeeeeeenseeeeeeeeneeees Error Bookmark not defined Vai 2 e 1G pae ae nee eee ec eee eee Error Bookmark not defined 7 2 Available Search Criteria ccccccccsseseeeeesseeeeeeeeees Error Bookmark not defined 7 2 1 General and Communication Sections 0008 Error Bookmark not defined 7 2 2 Special Communication and Reference Number OLAF SectionsError Bookmark not defined 7 2 3 Other search Criteria cccccceeeccccseceeeeseeeeeeeeesaeeees Error Bookmark not defined Tob Runa SeA Csee cus Error Bookmark not defined 7 2 Search Results ccccseeccccceseceeceseceeeeeeeeeseeeeeeeeeees Error Bookmark not defined fas Del a Or naa a E E E den eee tedseseuasete 122 2014 09 23 AFIS IMS UserManual Draft Page 4 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IRS Edit a Rejected COMMUNICATION ccceeeeeeeeceeseneeeeeeeeeeeesnnseeeeeeeeeeeenseeeeeeseeooensneeeeees 124 Update a Communication sc sseiSias ce swetenccvetecasncesees Saaceae se sxasense ss sstbecvecesabiactesdevwnncueseeccseneests 126 10 GANG Cl CASO seicina rcs cate ee cate cee nue eee weet ee nace utrennntveedeecunencans 128 Ti MEISE COMMUPICANONS smosso a aE
120. nisations and having different roles and rights Zero notification The form used to report the absence of an irregularity case 2014 09 23 AFIS IMS UserManual Draft Page 9 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS SM a Abbreviations and Acronyms AFIS Anti Fraud Information System APF AFIS Presentation Framework AFIS Framework APM AFIS Presentation Manager AFIS Framework CCl Code Commun d ldentification CCN Customs Communication Network EAFRD European Agricultural Fund for Rural Development EC European Commission EU European Union IMS Irregularity Management System IPA Instrument for Pre Accession Assistance MS Member State OLAF European Anti Fraud Office Office Europ en de Lutte Anti Fraude PAA Pre Accession Assistance RA Reporting Authority tod To be determined XLS Microsoft Excel file format XML Extensible Markup Language 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 Page 10 of 193 IMS AFIS IMS About this Manual This manual is meant to serve as an orientation tool for all the users of IMS lt gathers information users should be familiar with in order to be able to exploit the application The overall description of the features of IMS of the way in which users are organised as well as of the procedures sequences of steps and
121. nt 4 3 2 Number You need to indicate the number of the decision directive regulation or agreement concerned Example in case of an infringement of Reg 12 2002 you need to indicate 12 4 3 3 Year You need to indicate the year of the decision directive regulation or agreement concerned Example in case of an infringement of Reg 12 2002 you need to indicate 2002 4 3 4 Article and paragraph You need to indicate the article and paragraph of the provisions infringed Example for illustration purposes article 6 and paragraph 2 have been indicated art 6 2 4 4 Provisions national You need to indicate if applicable the national provisions infringed It concerns a text field which implies that it is form free Example for illustration purposes the following text has been indicated National law on Granting and Winding up EU subsidies art 13 2 2014 09 23 AFIS IMS UserManual Draft Page 73 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication abaa a A epee sh EU R EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery B Sanctions 10 OLAF Specific Information leading to suspicion of an irregularity 41 Date 07 12 2004 E dd mm yyyy 4 2 Source article in the Gerald Tribune Provisions Infringed 4 3 Provisions EU EU legislation Year Article and paragraph Directives 1559 art 5 Agreement
122. nto main categories Within those categories you have to select a type of irregularity The field is a multiple selection field which means that you can select more than one category and type You need to apply the following steps select a category from the drop down list by a simple click select a type from the drop down list by a simple click Click the button category and item are added to your reporting list repeat these steps to add one or more to your reporting list Please do not forget to click the button otherwise the information will not be saved ROM N Example The following 2 types of irregularity have been keyed in Request false of falsified request for aid Beneficiary non existent operator or beneficiary 2014 09 23 AFIS IMS UserManual Draft Page 77 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Specific information on the irregularity 4 7 Irregularity committed on between 4 4 Type of irregularity 4 9 Modus operandi 4 10 Statement of persons involved 4 1 Findings of the administration 4 12 Classification of the irregularity 01 01 2003 dd mm yyyy 31 12 2003 S dd mm yyyy Cabegary Type T1101 Ti 01 Ba Page jofO me Bil 5 View 1 2of 2 An imaginary natural person was indicated on the form to apply for EU subsidies By handing over modified documents such as for instance an identification card which was fine tune
123. of a case 2014 09 23 AFIS IMS UserManual Draft Page 49 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication 118 EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions Identification Of Persons Involved 2 1 Legal person natural person National ID number Company name Family name ALOR FA Saar Borelser BEL2345 Brewery Bak Sheep Geer 54 Ba Page i jofO s gt mi S im View 1 2of 2 2 2 Justification for non disclosure Validate Finalize Send Copy Delete Export as XML Export as Excel Print Cancel NIMS Initial communication ssi jaja bee sie al EUR EURO EUROPE 1 Identification 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions Identification Of Persons Involved 2 1 Legal person natural person Sei si Si Add Record 21 1 Legal status Natural person id 9 1 9 National ID number NL9S74544P 2 2 Justification for non disclosure 2 13 Company name Family name Borrelaar 2 14 Trade name First name Jan Validate Finalize 2 1 5 Parent name Independent prefix van den 2 16 Street Hoofdstraat 1 2 17 Postcode 7600 AA 9 1 0 City Almelo Territorial unit where the person is registered 2 L9 Country Netherlands 2 1 10 NUTS level 1 OOST NEDERLAND 2 111 NUTS level 23 Overijssel 2 112 NUTS level 3 Twente Flagged 9 113 On basis of
124. omment section z For more information on listing communications see chapter 10 List communications 2014 09 23 AFIS IMS UserManual Draft Page 125 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 8 Update a Communication 1 14 Case can be closed 1 15 Case closed 1 16 Case closure date dd mm yyy y Export as XML Export as Excel Print Figure 9 Update a communication 2014 09 23 AFIS IMS UserManual Draft Page 126 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS After a communication is sent to OLAF you can update it i e inform OLAF that additional information is available You can only update the latest communication that was submitted to OLAF Therefore an update cannot be created as long as the previous communication has not been submitted to OLAF This latest communication can be either an initial communication or an update of the communication and can only have one of the following states o Submitted to OLAF l o Modified by OLAF To update a communication Open it and add the information that you want to update Click the Update button rY Q lf an Update communication is created from an Initial communication that has files attached the attachments of the initial communication stay added You can remove them or add new ones 2014 09 23 AFIS IMS UserManual Draft Page 127 of 193 Version 0 1 State Draft Release date 22 04
125. on ci If you have manager rights you can directly submit the communications that you have created 2014 09 23 AFIS IMS UserManual Draft Page 22 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2 3 The Creator Edits and Finalizes the Communication Rejected Optional save the communication as a draft Vy Edit Edit draft gt aa Deleted by user or automatically deleted by system Diagram 4 The creator edits and finalizes the communication 2014 09 23 AFIS IMS UserManual Draft Page 23 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS If the manager of the organisation that you are part of rejected your communication you must edit the communication and finalize it again The manager will then resubmit tt To see which communications were rejected go to the List communications page All the rejected communications are indicated by the Rejected icon For more information see chapter 10 List communications You can save your rejected communication as a draft or edit it and directly finalize it See chapter 5 Edit a Rejected Communication for more information 2014 09 23 AFIS IMS UserManual Draft Page 24 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 2 4 The Manager Resubmits the communication Manager resubmits the finalized communication Resubmitted Manager rejects the finalized communicat
126. on to which you belong It concerns an editable field which implies that you can change the description However in such case you need to inform your CO that the information in URT should be updated Example In the image on the left hand side page you can see that as reporting authority has been indicated 1828RA1 Reporting Authority competent for R1828 1 4 Communication language You should indicate the language in which you provide the information IMS puts by default the language chosen in my profile The field is editable which implies that you can change it by selecting one of the languages as provided by the drop down list A In case you report an IPA or PAA case you are obliged to report in English IMS will not allow you to change the language Example In the image on the left hand side page you can see that as communication language has been indicated English 1 5 Currency You should indicate the currency that you will use to indicate the different amounts such as expenditure and irregular amount IMS puts by default EURO but it is editable which means that you can change it However for IMS modules 498 1828 and IPA counts that you are obliged to indicate the amount in EURO For these modules you cannot change the currency Example In the image on the left hand side page you can see that as currency has been indicated EUR EURO EUROPE 2014 09 23 AFIS IMS UserManual Draft Page 41 of 193 Version 0 1
127. onal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions 9 Comments 10 OLAF Specific Identification of the communication O11 Reference number OLAF R 1828 Ba European Regional Development Fund Ba BE 1828RA1 2014 10001 1 1 2 Reference number national Belgium file number reporting authority 123AB Drafting information 1 3 Reporting authority 1828RA1 Reporting Authority competent for R1828 1 4 Communication language English 15 Currency EUR EURO EUROPE 1 6 Quarter of communication Second Quarter Initial u 7 Quarter of communication Update 1 8 Drafting date 10 04 2014 dd mm yyyy Special communication 1 9 New Modus Operandi C 1 10 Necessity to inform other countries i1 Case irrecoverable Status 1 12 Proceedings status Administrative proceedings 1 13 Financial status Recovery under way Case closure 114 Case can be closed 1 15 Case closed E 1 16 Case closure date dd mm yyyy Validate Finalize Send 2014 09 23 AFIS IMS UserManual Draft Page 38 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS eM AFIS IS Ad fund You need to select from the drop down list one of the options The drop down list offers you a choice on basis of the module selected In case only one fund is applicable the name of the fund will be displayed immediately Example In the image on the left hand side page you can see that ERDF ha
128. opinion 10 5 OLAF opinion date dd mm yyyy 10 6 EC decision dd mm yyyy 10 7 Amount charged to the EU budget 10 8 Amount charged to the country Save Validate Finalize Send Cancel 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 7 Recovery 8 Sanctions 9 Comments 10 OLAF Specific Page 100 of 193 IMS SM a AFIS IMS 3 11 Tab page 10 OLAF IMS is developed for information and risk analyses purposes Nevertheless IMS is also used as accounting system for some funds concerning programming periods prior to 2007 This tab page supports this function and enables Commission staff to monitor the case closure process Only OLAF staff can have has manager creator and or observer rights All other users have observer rights However the idea is that only Commission staff will have access to tab page 10 Current software does not allow to make such a distinction but the software to be used for IMS 5 0 does foresee this feature IMS 5 0 is foreseen for 2015 European Commission use only This section can only be created and modified by OLAF staff 10 1 Country requested the closure of the case OLAF staff need to tick this tick box if a country requested the closure of an 1681 1831 or PAA case A country can request such a closure by e ticking the tick box of field 1 11 Case irrecoverable e submitting a request for a so called art 5 2 procedure A request for an
129. orting authority field which is part of the OLAF Reference Number Year search by the Year field which is part of the OLAF Reference Number Sequence number search by the Sequence number field which is part of the OLAF Reference Number Version number search by the Version field which is part of the OLAF Reference Number A z For users with commission observer rights the search might have an extra search field If you are a national observer you can only see those communications that are created in your organisation However if you are a commission observer you can see all communications Because of this users with commission observer rights have an extra option to search communications by country The following extra field is available for commission observers Fund hd Reporting authority short name Year Year Sequence Number Version number Figure 29 Search by Country fields for Commission observers only 2014 09 23 AFIS IMS UserManual Draft Page 165 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 16 2 3 Other search criteria NIMS Search Communications Search Communication Details Regulation uw Reference number national Case status Last update oniy Persons Involved National ID number Communication ed aed aa Type a Objective Status 4 CCI Number Quarter Ed Year ARINCO No Registration date fom 2j until EFRD ESF EAGGF FIFG number With attachments Budget year Sp
130. orting structure describes the route a communication follows from the creator s organisation until it is submitted to OLAF The creator s organisation submits the communication to the organisation that is one level higher in the reporting structure until an organisation on the highest level submits it to OLAF lf the communication is rejected by any organisation in the reporting structure its status is changed to rejected and the creator of the communication must edit it and finalize it see chapter 2 3 The Creator Edits and Finalizes the Communication A manager of the organisation that the creator is part of will then resubmit the communication The following scenarios are examples of common communication workflows Scenario RA Reporting Authority 1 gt is the originator of a communication has also the right to send the communication to OLAF which makes it a Level 1 RA gt does not have a parent RA Scenario Il RA2 Reporting Authority 2 gt is the originator of a communication gt does not have the right to send the communication to OLAF gt has a parent RA to send the communication to RA1 RA Reporting Authority 1 gt is the parent Reporting Authority for RAz gt is the receiver of the communication sent by RAz gt can send this communication to OLAF which makes it a Level 1 RA gt does not have a parent RA Scenario Ill RAza Reporting Authority 2a gt is the originator of a commun
131. orts cc ceeeeeececeeeceeeeeeeeeeeeeeeeseeeseeeeeeeeessaeeseeeeeeeeeesaas 182 20 4 Selecting REDOMS csc lt ccasecosoczsaesceeannadenetadeiacendincccutedacausaanddedeRedeiaddacincceueetbcestbendds 182 20 4 1 Switching between reports ccccecceeeeeeeeeeeeeeeeeeeeeeeeeeeaeseeeeeeeeeeeaaeeeeeeeessaaneeeeeess 183 ZO ROPO hh VOC S cxzect sb arpennstaetnaecbossenace E E 183 ZOO INIA CIMA eE REE IEE EE AE AEE ER 184 AUS Og Bae Da eee ee E E E EE O E EEE 186 24 OS PDE ae a ne ee E ee ee 187 CLAMS RCS Ea E e E E ee ee eee eee 187 2014 09 23 AFIS IMS UserManual Draft Page 5 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 20 6 5 Sorting bar charts and table Charts cseeseeeeeeeeeeeeeeeeeeeeaeesseeeeeeeeeeeeeeeeeeeaas 188 20 6 6 Expanding and collapsing bar charts and tables cccccsseeseeeeeeeeeeeeeeeeeeeeaaes 188 ZO FINO S anid ehiasadnoeshoaa A E E eE EE E 189 20 8 Data Related Options ccccccccccccsssseecceeeeeeeaaeeeeeeeeeeseeeeeeeeeeeeesessaeaeeeeeeeeeessaas 192 2014 09 23 AFIS IMS UserManual Draft Page 6 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS List of Figures Figure 1 IMS n AFIS Portal esrcctateniencatsnaensstwntestiiuanaesatensenanteuRaniatuntiesidbesnaatutessttetiiusduntateniestaltevnasautuntecadlun 13 Figure 2 Actions Men ssrenseereiiore ea a i a E an i EA a e EE a R 15 Figure 3 Communication form
132. other countries Sanctions applied Case irrecoverable Amount of irregularity EU share Reference number OLAF Fund Proceedings status gt Financial status f7 Reporting authority short name Year Year Sequence Number Version number Export All as xmi Export All as exce t Reset Search Special Communication New modus operandi Necessity to inform other countries Case irrecoverable Reference number OLAF Fund Reporting authority short name Year Sequence Number Version number Figure 28 Available fields Special Communication and Reference Number OLAF sections 2014 09 23 AFIS IMS UserManual Draft Page 164 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The following search criteria are available New modus operandi tick this checkbox to display only those communications in the search results that have the option New Modus Operandi enabled Necessity to inform other countries tick this checkbox to display only those communications in the search results that have the option Necessity to inform other countries enabled Case irrecoverable tick this checkbox to display only those communications in the search results that have the option Case irrecoverable enabled Fund search by the fund that the communication is created under The available values depend on the regulation selected Reporting authority short name search by the Rep
133. other words at the moment you push the button Finalize the reference number becomes definitive which implies that it cannot be changed anymore N 3 A manager can definalize a communication by rejecting it The communication will then be sent back to the creator and will get again the status draft A communication with the status draft can be modified Add module You need to select from the drop down list the applicable module The descriptions are based on the different regulations 498 _ fishery fund from programming period 2007 2013 onwards 1681 structural funds before programming period 2007 2013 1831 cohesion fund before programming period 2007 2013 1828 cohesion policy from programming period 2007 2013 onwards 1848 agriculture all programming periods PAA pre accession before programming period 2007 2013 IPA pre accession from programming period 2007 2013 onwards OLAF is currently working on IMS 5 0 The introduction of IMS 5 0 will most likely have as logic consequence that the number of modules will be reduced to four e Agriculture e Cohesion e Fisheries e Pre accession Example In the image on the left hand side page you can see that 1828 has been selected from the drop down list 2014 09 23 AFIS IMS UserManual Draft Page 37 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication l g EUR EURO EUROPE 1 Identification 2 Pers
134. out as a result of detection before payment The amount needs to be split up into EU share and national share 6 3 2 whereof paid You need to indicate the amount that was paid out thus needs to be recovered The amount needs to be split up into EU share and national share 2014 09 23 AFIS IMS UserManual Draft Page 87 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication hh Jassie sess pe sie EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 7 Recovery Sanctions 10 OLAF Specific Financial impact 6 1 Co financing rate 385 00 EU share National share Public Private share contribution 6 2 Amount of expenditure 854 500 00 145 500 00 1 000 000 00 250 000 00 6 3 Amount of irregularity 427 250 00 72 750 00 500 000 00 6 3 14 Whereof amount not paid 341 800 00 585 200 00 400 000 00 6 3 2 Whereof amount paid 85 450 00 14 550 00 100 000 00 6 4 Amount to recover 85 450 00 14 550 00 100 000 00 6 5 Decertified 6 6 Comments MS Export as Excel Print Cancel 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 9 Comments Total 1 250 000 00 Page 88 of 193 IMS AFIS IMS 6 4 Amount to recover You need to indicate the amount that needs to be recovered The amount needs to be split up into EU share and national share Normally this amount should be equal to
135. own list the type of proceedings initiated to follow up the irregularity IMS offers the following options e Administrative proceedings e Judicial proceedings e Penal proceedings Example In the image on the left hand side page as procedure has been indicated Administrative proceedings 1 13 Financial status You need to indicate the financial status of the case by selecting from the drop down list one of the following options e A NATR No amount to be recovered e B ATBC Amount to be calculated e C RIBS Recovery to be started e D RUNW Recovery under way e E ALRS Appeal lodged and recovery suspended e F ACRL Appeal completed and recovery launched e G FULR Full recovery e H EUSW EU share withdrawn expenditure fully charged to national budget e I NRW4 Amount not recovered within 4 years e J NRW8 Amount not recovered within 8 years e K AIRR Amount irrecoverable e L CCEU Clearance charged to EU budget e M CCNB Clearance charged to national budget e N CCBB _ Clearance charged to EU budget and national budget In order to have the options displayed in a logic order a letter has been added to the code which made it possible to sort the options in alphabetical order Example In the image on the left hand side page as financial status has been indicated recovery under way 2014 09 23 AFIS IMS UserManual Draft Page 47 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS In
136. pe of procedure You need to indicate the type of procedure that has been initiated The drop down list offers the following options ADM administrative PEN penal PXX administrative as well as penal 8 3 Start date of procedure You need to indicate the date when the procedure was initiated 8 4 Expected end date of procedure You need to indicate the expected end date of the procedure O b Be aware that the expected end date should be equal to or after the start date of the procedure 8 5 Status of procedure You need to indicate the status of the procedure by choosing one of the following options INIT Initiated COMP Completed ABAN Abandoned 2014 09 23 AFIS IMS UserManual Draft Page 95 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication 1 Identification 2 Personal data 3 Operation 10 OLAF Specific Procedures 8 1 Procedures initiated to impose Decision sanction imposed penalties 8 2 Type of procedure Penal 6 5 Start date of procedure 94 07 2007 6 4 Expected end date of procedure 31 12 2016 6 5 Status of procedure Completed Sanctions F 47 End date of procedure 15 12 2013 Save Validate Finalize Send Copy Delete Sanctions 8 6 Sanctions i Edit Record 8 6 1 Category 8 6 2 Type 4 7 End date of procedure 6 6 3 Sanctions applied 6 6 4 Fines applied 2014 09 23 AFIS IMS UserManual Draft Version 0 1
137. quest 4 8 2 Type False or falsified request for aid 4 9 Modus operandi Specific information on the irregularity 4 7 Irregularity committed on 01 01 2003 dd mm yyyy 31 12 2003 S dd mm yyyy between 8 T of irregularit TEE g 4 Add Record 4 8 1 Category Beneficiary 4 89 Type Non existent operator beneficiary 4 9 Modus operandi 2014 09 23 AFIS IMS UserManual Draft Page 76 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS Section Specific information on the irregularity This section contains more specific and detailed information on the irregularity itself Answers on typical questions such as what when why and how can be found here 4 7 Irregularity committed on between You need to indicate the date on which or the period in which the irregularity was committed In case the irregularity started and ended on the same day you only need to fill in the first field the field in which the word from appears if you move the mouse over it and not the second field lf the start day or end day is not exactly Known the first day or last day of the month may be indicated respectively O Be aware that you Cannot enter future dates Example An irregularity took place during the year 2003 As dates are indicated 01 01 2003 31 12 2003 4 8 Type of irregularity You need to indicate the type s of irregularity The types of irregularity have been grouped i
138. r field ARINCO number search by the ARINCO number field EFRD ESF EAGGF FIFG number search by the EFRD ESF EAGGF FIFG number field Budget year search by the Budget year field Budget post search by the field Budget post Classification IRQ search by the Classification of the irregularity field Sanctions applied search by the Sanctions applied field Amount of irregularity EU share search by the Amount of irregularity EU share field Proceedings status search by the Proceedings status field Financial status search by the Financial status field gt Q You can used the wildcard This wildcard enables you to search using only part of a word For example day gt search results include Monday Tuesday and day day gt search results include daybreak daytime and day 2014 09 23 AFIS IMS UserManual Draft Page 167 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 16 3 Run a search NIMS Search Communications Search Communication Details O O Regulation Case status Reference number national Last update only Persons Involved National ID number Communication Programming period ne ad Objective B Status ad CCI Number Quarter Bd Year ARINCO No Registration date from E until Ed EFRD ESF EAGGF FIFG number With attachments Budget year Special Communication Budget post New modus operandi a 2 Classif
139. r profile the following buttons are available e Print The print version of the communication is opened and the print dialog box is displayed For more information see chapter 13 Print a communication e Export as XML Export the communication as an XML file For more information see chapter 14 1 Export Communications as an XML File e Export as Excel Export the communication as an Excel sheet For more information see chapter 14 2 Export Communications as an Excel Sheet e Send the communication This option is only available to a user with manager rights Creators do not see this button Click this button to submit the communication For more information on submitting a communication see chapter 18 1 Re Submit a Communication Delete Delete the communication You can only delete drafts e Finalize Finalize the communication You can only finalize valid drafts For more information see chapter 4 Validate and Finalize a Communication 2014 09 23 AFIS IMS UserManual Draft Page 137 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 11 View a communication 1 R1681 ES RepAut 2013 20002 1 Initial R5S DE 1989 1993 1 IRQ2 CYP JP IMI ESF hala eel 4 10 01 2014 pA D H R1681 E5 InterReg 2013 10548 1f Initial R51 EN 2000 2006 INTERREG IRQ2 EUR ERDF e e 9 10 01 2014 pei E R1681 ES InterReg 2013 10550 1 Initial R53 EN 2000 2006 INTERREG IRQ2 EUR ERDF FOUrth Quarter 4 yogi 9914 02 034 lt lt g
140. raat 1 2 17 Postcode 7600 AA 3 1 6 City Almelo Territorial unit where the person is registered 2 19 Country Netherlands 2 1 10 NUTS level 1 OOST NEDERLAND 2 1 11 NUTS level 2 Overijssel 2 1 12 NUTS level 3 Twente Flagged 9 1 13 On basis of Reg 1469 95 E 3 114 On basis of Reg 1605 2002 art Fz 95 Oo 2014 09 23 AFIS IMS UserManual Draft Page 56 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS SM a AFIS IMS Section Flagged This section indicates if a person fulfils the criteria to be put on the black list or to be registered in the Central Exclusion Database In the image on the left hand side page the tick box concerning the Central Exclusion Database has been ticked 2 1 13 On basis of Reg 1469 1995 You need to tick the tick box in case the person should be black listed on basis of Council Regulation EC No 1469 95 of 22 June 1995 on measures to be taken with regard to certain beneficiaries of operations financed by the Guarantee Section of the EAGGF 2 1 14 On basis of Reg 966 2012 art 108 You need to tick the tick box in case the person should be registered in the Central Exclusion Database on basis of Regulation EU Euratom No 966 201 2 of the European Parliament and of the Council of 25 October 2012 on the financial rules applicable to the general budget of the Union and repealing Council Regulation EC Euratom No 1605 2002 2 2 Justification for non disclosure
141. re of cases For these modules count that only OLAF can close cases By ticking the tick box you inform the European Commission that all national procedures have been completed and that from a national perspective the case is closed The Commission will then have to take a decision on the case See also the explanation given concerning field 1 11 Case irrecoverable 1 15 Case closed This field is active for modules 498 1828 1848 and IPA which means that you need to provide the information For the other three modules counts that OLAF needs to provide the information You can indicate case closed by ticking the tick box A case remains open if the tick box is not ticked Be aware that you can always reopen a case by creating an update Just click on the button Update communication and update the case The last communication of a case will always be seen as the valid one 1 16 Case closure date This field is active for modules 498 1828 1848 and IPA which means that you need to provide the information For the other three modules counts that OLAF needs to provide the information IMS put by default the date on which the tick box of field 1 15 Case closed is ticked However it is an editable field which implies that you can change tt Be aware that the case closure date triggers the automatic anonymisation of cases All text fields will be deleted depending on the specific circumstances of a case n years after the closure
142. rent RA a The manager from your own organisation can also reject the communication again Resubmitted tm and received i A resubmitted communication as seen by the ist by a parent Sae peN manager of the parent RA RA EN zT i Case Open OLAF can amend the communication if needed a oy Case Open OLAF amended the communication A communication which requests the cancellation of Saved f a case is completed and ready to be sent The case g P AA Cancellation remains open until the communication is sent to i Requested OLAF finalized When the communication is in the status Submitted to OLAF the case is cancelled Al z Submitted toa Cancellation The manager of the parent RA is expected to g Case Open ae oS parent RA Requested process the communication send or reject it t Received bya Cancellation A submitted communication as seen by the Me Case Open parent RA Requested manager of the parent RA o l The manager of the parent RA is expected to ieee Case Open S process the communication send or if needed p q reject it again Resubmitted m and received Cancellation A resubmitted communication as seen by the bet by a parent ease pes Requested manager of the parent RA RA F Submitted to Case The communications belonging to the Cancelled 4 7 OLAF Cancelled case are accessible through the Search page A communication which requests the closure of a Saved for case Is completed and ready
143. rreg or Cross border programme is submitted to OLAF In nIMS an e mail notifications shall be sent New communications on N6 when a communication has one of the objectives _Interreg Cross border programmes Interreg for any Programming Period submitted to OLAF 3 EU Territorial cooperation only for Programming Period 2007 2013 You can enable disable notifications in the My profile section on the AFIS Portal By default there is no subscription to any notification ri z Since the IMS cases communications are not linked to users but to RAs the notifications are sent to all users of a RA who subscribed to the corresponding event To receive e mail notifications do the following Click My profile in the AFIS Portal The My profile section is displayed In the My profile section click Edit in the Details section next to the IMS application In the My notifications section click Edit The check boxes become active Tick the check boxes to select the notifications that you want to receive Which check boxes are available depends on your user rights Click Modify to save your changes 2014 09 23 AFIS IMS UserManual Draft Page 173 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS eM a AFIS IS 18 Communications functions for Managers The following actions can only be done by users with manager rights 18 1 Re Submit a Communication Case closure 1 14
144. rson s who committed the irregularity their place of registration or that the activity takes also place in those other countries In case you tick the tick box IMS informs OLAF staff that such a case has been reported OLAF staff will analyse and evaluate the information If necessary additional information will be requested via the Liaison Officer LO The results will be used to inform other countries Of course the latter will be done in close cooperation with the competent Liaison Officers 1 11 Case irrecoverable This field is only applicable for modules 1681 1831 and PAA due to the specific legislation on irrecoverable cases You need to tick the tick box in case unduly paid amounts cannot be recovered all national procedures have been completed and you want the Commission to take a decision on the still outstanding amounts A request as described in the specific regulation should be uploaded as attachment see tab page 9 Comments You should also not forget to check and or complete fields 1 12 1 14 Special communication ig New Modus Operandi Lio Necessity to inform other countries iii Case irrecoverable Status 112 Proceedings status Administrative proceedings 113 Financial status Amount irrecoverable Case closure Lig Case can be closed 115 Case closed Li Case closure date dd mm yyy y 2014 09 23 AFIS IMS UserManual Draft Page 45 of 193 Version 0 1 State Draft Release date
145. rtal User Manual AFIS APM UM_EN 1 1 21 04 2008 Table 1 Reference Documents 2014 09 23 AFIS IMS UserManual Draft Page 3 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Table of Contents IMS User AN a ccc ire teste E eat ano cam aE E ERRER AE 1 E AOW 1 FC COSS NS mona ccusacensouscuteceusecensueedsstcsteecenecueese 13 el IMO Ol APIS POM A eesse EEEE EERE EEE 14 Nee PA OMS NEU eoar 15 2 COMMUNICATION Life Cycle ig secs csnesiiecwccccrssventnteeucseedevewcideemcteuseiescndeawcuiiewewoddaswouuiuneuceoocs 17 2 1 A Creator or Manager Creates a COMMUNICATION ccecccccceeeceaeeeeeeeeeeeeeeaaeeeees 19 2 2 The Manager Submits or Rejects the COMMUNICATION ccccceeseeeeeeeeeeeeeeneeeeees 21 2 3 The Creator Edits and Finalizes the COMMUNICATION ccccceeeseeeeeeeeeeeeeeeeeeeees 23 2 4 The Manager Resubmits the COMMUNICATION cceeeceeeceeeeeeeeeeeeeeeeeeseaeeeeeeeeeas 25 2 5 Sending the Communication to OLAF cccccsceeecccceeeecseeseseceeeeeeeeeeeeeeeeeeessaaaeeses 27 2 6 Sending Communications to OLAF and the Communication workflow 29 2 7 The COMMUNICATION IN OLAF ccccccccsesecceeccseeceeeceeeeceeeceeeeceeeseeeeeeeeesaeeeeeeeeas 31 3 Create a Communication s osccsccssesutee ce deescentaevunncueudsnsseerniaededeuscdeyueaeeosuisadreereteesedeusetvunewueest 33 3 1 Communication FOM ccccccceeeeseceeeeeee
146. rter 4 10701 2014 05 03 201 lt lt lt 12 gt Select all Print Export as XML Export as Excel Send Delete tim Figure 12 Communications status field 2014 09 23 AFIS IMS UserManual Draft Page 132 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The communication can be is different states depending on where in the lifecycle the communication is For more information about the lifecycle see chapter 2 Communication Life Cycle The table below describes the icons used to illustrate the different states that a communication can have Communication Action Draft Case Open The communication is saved for further editing The communication is completed and ready to be Saved for sent The case covered by the communication is submission Case Open finalized O ne manager of your RA can reject the communication Es Submitted to a Case Open i The manager of the parent RA is expected to parent RA process the communication send or reject it x7 Received by a A submitted communication as seen by the wal Case Open 7 parent RA manager of the parent RA LT i Only the originator of the communication can edit fr Rejected Uae pall its content and resubmit it The manager of the parent RA is expected to process the communication send or if needed Resubmitted to ject it again Case Open fo aaa a pa
147. s They enable you to reduce the amount of information displayed on the central view Unchecking an element in the filters removes the information for this category on the central view The following filters are available to all reports e The regulation select which regulation should be taken into account in the report e The year of the case select which years you want to take into account in the report For example you can include only data from 2002 e The classification of the irregularity irregularity suspected fraud or established fraud 2014 09 23 AFIS IMS UserManual Draft Page 189 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 7 1848 Irregularities count by country and budget classification map chart t bud gt Reporting Year Vi Al 2000 W 2001 2002 2003 iV 2004 2005 jv 2006 KA 2007 i 2008 7 2009 IRQ Classification v All J Not specified F7 Irreguiartty N vJ Suspected fraud V Established fraud a Selected Country Code E VAI J AT V BE 25K 30K 15K 2 Distinct count of Irregularities ee Share temember my changes v Pad O Select the regulation s that you want to take into account when generating the report Select the year s that you want to take into account when generating the report Regulation All 498 1681 1828 1831 1848 PAA Reporting Year V7 All 1994 iv 1995 1996
148. s been selected from the drop down list Ad country code IMS puts by default the ISO code of the country to which you belong You cannot change that Example In the image on the left hand side page you can see that the country code BE has been indicated Ad Reporting authority IMS puts by default the URT short name of the reporting authority to which you belong You cannot change that The URT short name is based on the information provided by your Liaison Officer LO in User Registration Tool URT Example In the image on the left hand side page you can see that 1828RA1 has been indicated Ad reporting year IMS puts by default the running year However the field is editable which implies that you can change the year The field is editable till the moment you finalize the communication Example In the image on the left hand side page you can see that the year 2014 has been indicated Ad sequence number IMS generates automatically a number which cannot be edited You have to accept that number Please be aware that the Reference number OLAF is used to identify a case Updating a case means that you have to reuse the number Using a new number implies that you create a new case which is then a duplication of the already existing case Example In the image on the left hand side page you can see that number 10001 has been indicated Form version number IMS adds at the end of every Reference number OLAF a so ca
149. s depends on the reporting structure The communications may only be viewed when they are submitted by a lower level Reporting Authority to the current Reporting Authority The communication remains accessible view mode when it is submitted to a parent Reporting Authority You can view a communication by clicking on it O The communication is opened QO For more information on the reporting structure and the communication workflow see chapter 2 Communication Life Cycle 2014 09 23 AFIS IMS UserManual Draft Page 139 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 11 1 View history NIMS Initial communication Psie fea jae bes Pee feta fl View history View old communication 1 Identification 2 Personal data Q Comments 10 OLAF TRY Turkish Lira Turkey 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions Date Comment migration 04 03 2014 15 10 26 Migrated into NIMS by Admin submit A E 27 02 2014 15 46 24 5 Page ofi Group by Page 1 of O gt FI Figure 15 View communication history 2014 09 23 AFIS IMS UserManual Draft Page 140 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS To View the history of a communication O Click the View history button on the view page O The History page is loaded The page has 2 tabs Actions The actions tab contains information about all the actions concerni
150. seeeeeeeeeeeeeaeeeeeeeeeeeeeeaaeeseeeeeeeeeeaaaaseeeeeeeeesaaaaeees 104 Figure 17 Edit a draft 2 0 0 ccccccccccccsesssssseeeeeeeeeeeesseeeeeeeeesseasaeeeeeeeeseeaeaaeeeeeeesseeaaaaeeeeeeesseeagaeeeeeessnaaaaaaes 106 Figure 18 Delete a draft from list COMMUNICATIONS VIEW cccceeeccccseeeeecseeeeeeceseeeeseeeeessaeeesenaeeeesaaes 122 Figure 19 Delete a communication after opening It cccceecccccseeeeeceeeeeeeseeeeeeseeseeeeseeeeseeesesenaeeeeesaaes 122 Figure 20 Edit a rejected COMMUNICATION cccecccccecaeeeeeeeceaeeeeeeeeseeeeeeeeseaeeeceeeesaaeeeeeessaaeeeeeessaeeeess 124 Figure 21 Update a COMMUNICATION cccccccccceesceccseseccceeueeccceuseeecsaseeecsaueeesseuseesseaeeeessagseesseneeesseass 126 Figure 22 Cancel A CASE ccc cseeecccccceeseeceecceeueeceeccauuseceeesseueceesesuaeeeeessasaeeeeessaaaeceeessuageceeessageeeesessagseeess 128 Figure 23 LIST COMMMUMICATIONS sessies ansar Ennen EnEn KAE Aman aE ANE EERE AR AAE AE R AT AREER ENRERE NEE 130 Figure 24 Communications status FIEIC cc ccccceeeeeeceeeeeeceeeeeeeeseseeeeeeeeeeseaeeeeseaueeesseueeessaeeeesseeeeensaes 132 Figure 25 List COMMUNICATIONS options 4 vamissndasioaiiccdirnainncdinianesseanondenuiedulcniunddialnsnnsshioauinalinnugsdatcil iad demu 136 Figure 26 View a COMMUNICATION ccccccesseceeceeeeseceeceeaseeeeeseasseeeesseasseeeenseaseeeeensaaseeeeensaaseeeeeniansenees 138 Figure 27 View COMMUNICATION history cc
151. sos e post article F 2003 z B01 12 B01 12 10 T 2004 BO1 12 20 1 2005 2006 B01 15 BO1 15 03 1 naes B 16 B01 16 10 1 2008 B01 16 12 1 2009 A BO1 16 40 6 ere BO1 17 Bo1 17 10 a a BO1 18 B01 18 00 1 Hol specified BO1 24 BO1 21 20 irregularity a B01 22 2 4 SUSPeEcied trau BO1 22 B01 22 20 F Suspected fraud B01 22 90 1 Established fraud B01 40 BO1 40 80 1 Country Code BO1 50 B01 50 00 1 All B01 50 11 1 Sl BE L 1992 B01 10 B01 1000 3 ic F B01 10 40 1 cy BO1 10 41 11 CZ B01 10 42 3 DE B01 1051 4 Sai B01 1060_ _ 18 BE 0K 5K 10K 15K 20K 25K 30K Distinct count of Irregularities a Share Remember my changes i pate Figure 44 Bar chart 2014 09 23 AFIS IMS UserManual Draft Page 186 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 19 6 3 Tables Some reports are generated as tables See Figure 45 Table m y classification bar chart 1848 Irregularities count by budget classification table 1848 Irregula enditure amounts of affected projects E U share in EUF gt Reporting Year TAGU 7 2000 T 2001 W 2002 T 2003 W 2004 W 2005 T 2006 W 2007 W 2008 W 2009 2010 2011 MW 2012 IRQ Classification All Not specified Irregularity Suspected fraud Established fraud F Count per budget year post article m 4 Country Code T All W AT BE V BG cy cZ V DE V DK V EE
152. ss E 184 E Pa aa NENE NORWA porting Year All 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 Q Classification All Not specified Irregularity Suspected fraud Established fraud RUSSIA BELARUS UKRAINE SSIS SSSSSSSSS8S882 5 g i TURKME Sassi Remember my changes Y Regulation M493 E i681 E 1228 Wiss E 1343 MW Paa Figure 41 Pie chart legend 19 6 1 1 Using the Legend The colours in the pie charts correspond to the colours in the legend on the left For example in Figure 41 Pie chart legend the orange section of the pie chart corresponds to the 1681 regulation as indicated by the regulation section on the left The purple section of the pie chart corresponds to the 1848 regulation When you click one of the regulations in the legend see Figure 42 Pie chart legend options O some hidden options will become available to you e Keep only will show only the regulation that you selected in the pie carts 2014 09 23 AFIS IMS UserManual Draft Page 184 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS e Exclude will exclude the regulation from the pie chart X Exclude Figure 42 Pie chart legend options 19 6 1 2 Zoom in Zoom out or Move a Map The map reports also have zoom in and
153. stablished a set of funds to finance its policies across the Member States candidate countries and potential candidate countries The different regulations oblige countries to provide a wide range of information on irregularities detected The Irregularity Management System IMS serves as handy tool to provide all that information in electronic format IMS is built on tab pages to make it possible for you to provide access and digest information in an easy way Each tab page Is organised in logical sections in which you will find fields to enter relevant information Several manuals have been created to support you All these manuals have the focus on a specific topic This manual has its focus on the reporting itself It explains per tab page per section and per field what kind of information needs to be provided In other manuals you will find information on for instance the tool IMS reports the import and export in excel a description of all IT terms and so forth As mentioned this manual has its focus on how to complete a communication All documentation is published on ALIB and CIRCABC i Q General information in bullet points e all irregularities need to be reported unless a derogation is applicable e information on irregularity reporting such as regulations manuals questions and answers Q amp A s lists of Liaison Officers and so forth can be found on ALIB and CIRCABC e translations are based on the feedback received from the L
154. status From this status it can be amended by the creator or manager and saved as a draft to edited and finalized after which it can be submitted A communication that has been rejected stays visible to all organisations which could view it before rejection but it disappears when submitted edited again by the originator or when it is automatically deleted after 3 months To reject a finalized communication Open a finalized communication Click Reject to reject the communication The Create rejection page is displayed Enter a reason for rejection and click Submit N Q For more information about submitting and rejecting communications as a part of the communication lifecycle see chapter 2 2 The Manager Submits or Rejects the Communication You must give a reason for rejection 2 A communication sent to OLAF cannot be rejected 2014 09 23 AFIS IMS UserManual Draft Page 177 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 18 3 Create a New Zero Notification iib Welcome to IMS Create Initial communication Create Zero Notification List communications Search communications IMS Reports Import communications NIMS Zero notification Absence of Irregularities Regulation pR Drafting date 22 04 2014 dd mm yyyy Quarter 1 First Quarter m 2014 Reporting authority ES5_CA IMS Spanish Test Organisation CA Save Validate Figure 36 Cre
155. the amount indicated in the previous field 6 3 2 Whereof amount paid 6 5 Decertified This field is only applicable for modules 498 and 1828 You need to tick the tick box in case the irregular project has been excluded from EU support a i Be aware that the decision about the exclusion from expenditure certified to the EC can also happen once a country takes the entire risk of recovery on the national budget 6 6 Comments You need to provide an explanation about the decertification and its impact see field 6 5 2014 09 23 AFIS IMS UserManual Draft Page 89 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication ee ee el ee ee alee EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 10 OLAF Specific Recovery vi Start date of procedure j oafo7 2z007 dd mm yyyy 72 Expected end date of procedure 31 12 2017 dd mm yyyy EU share National share Public contribution 7 3 Amount to recover 65 450 00 14 550 00 100 000 00 7 4 Amount deducted during interim 0 00 0 00 0 00 or final payment 7 5 Amount recovered 68 360 00 11 640 00 50 000 00 7 6 Balance to recover 17 090 00 2 910 00 20 000 00 m7 Amount repaid to the EU budget 0 00 mo Amount retained by the country 0 00 79 Amount of interest charged 15 000 00 710 Measures already taken 4 July 2007 recovery order has been sent to person in
156. times per year but it can occur that the youngest version has not yet uploaded In case you miss a budget line please inform OLAF via your Liaison Officer LO 3 21 1 Budget year You need to select from the drop down list the budget year in which the expenditure was charged to the budget The agriculture year runs from 16 October year n until 15 October year n 1 3 21 2 Budget post You need to select from the drop down list the applicable value The options are based on your choices in the previous field 3 21 3 Budget article You need to select from the drop down list the applicable value The options are based on your choices in the previous fields 2014 09 23 AFIS IMS UserManual Draft Page 65 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Agriculture 32i Budget line Budget year Budget line Amount of inregquiarity EU share BH Page 2 jaro m es 5 iow No meconds ta view EU share National share Public contribution Private share Total 3 22 Total amount of expenditure 3 23 Total amount of irregularity Save Validate Finalize Send Cancel Add Record x 3 2L1L Budget year 3 21 2 Budget post 3 21 3 Budget article 3 214 Budget measure 3 21 5 Budget line 3 21 6 Product Financial impact 3 92 7 Co financing rate Dy EU share Netional share Public contribution Private share Total 3 21 8 Amount of expenditure 3 21 9 Amount of irregularity MAdd X Cancel 2
157. tion of the irregularity Example The CIA Committee for Inquiry and Audit performed the audit Section OLAF investigation This section contains basic information on the question if OLAF launched an investigation OLAF has the good practice to inform national authorities on investigations started You can skip this section in case no OLAF investigation was launched Example The tick box has been ticked for illustration purposes 5 6 OLAF investigation You need to tick the tick box in case OLAF launched an investigation on this case 5 7 OLAF number You need to indicate the number of the OLAF investigation The OLAF number consists out of 3 parts reference IMS indicates by default the code OF You cannot change this code year You need to indicate the year in the standard format yyyy sequence number you need to indicate in 4 four digits the unique sequence number of the case The value 0 is automatically put before the number if you use less than 4 digits for instance number 12 will be automatically changed into 0012 2014 09 23 AFIS IMS UserManual Draft Page 85 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication alaaa se ssa pe pie EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 7 Recovery Sanctions Q Comments 10 OLAF Specific Financial impact 6 1 Co financing rate 385 00 EU share National share
158. tion section of the communication fields 1 9 1 11 were selected Reference number OLAF search the separate sections that compose the OLAF reference numbers such as the fund and the sequence year Other search fields select other search criteria from these fields to search by 6 Buttons these buttons enable you to search reset clear a search of all entered criteria and export search results to an Excel or an XML file 2014 09 23 AFIS IMS UserManual Draft Page 161 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 16 2 Available Search Criteria 16 2 1 General and Communication Sections NIMS Search Communications Reference number national Regulation Case status Last update only Persons Involved National ID number Communication Programming period a Objective g CCI Number ARINCO No EFRD ESF EAGGF FIFG number Budget year ad Special Communication Budget post New modus operandi T Classification IRQ ad Necessity to inform other countries Case irrecoverable Sanctions applied mount of irregularity EU share Reference number OLAF Fund Proceedings status gt ie ae Financial status gt mires Yeer Search Communication Details Regulation Case status Last update only Communication Type Status Quarter Registration date With attachments Figure 27 Available fields General and Communication sections 2014 09 23 AFIS IMS
159. to be sent The case Mii submission Case Open eee remains open until it is sent to OLAF finalized q When the communication is in the state Submitted to OLAF the case is closed 58 Submitted to a Case neh Closure The manager of the parent RA is expected to parent RA p Requested process the communication send or reject it Received bya Case Open Closure A submitted communication as seen by the 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 Page 133 of 193 IMS SMS a AFIS IMS Communication Action a parent RA Requested manager of the parent RA F The manager of the parent RA is expected to mi iranu A Case Open eee q _ Process the communication send or if needed p q reject it again Resubmitted T and received Closure A resubmitted communication as seen by the b by a parent eae open Requested manager of the parent RA RA A communication which requests the closure of a case is sent to OLAF The case is closed when the communication is in the status Submitted to OLAF lf OLAF amends the communication its new status S bmitedio will be Modified by OLAF and the case will remain OLAF closed F Pi a or 7 Case Closed g If OLAF amends the communication and in the Modified by same time the situation of the case opens the OLAF case the new status of the communication will be Modified by OLAF
160. to check the corresponding XML tag You cannot import an invalid file If the system finds errors in the file you must first correct them before importing 2014 09 23 AFIS IMS UserManual Draft Page 108 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 6 Search Communications IMS search allows you to search for communications by specified criteria 6 1 Search page NIMS Search Communications Search Communication Details Regulation Reference number national Case status Last update only Persons Involved National ID number Communication Programming period Type Objective status CCI Number Quarter ARINCO No Registration date T T cig EFRD ESF EAGGF FIFG number With attachments Budget year Special Communication Budget post New modus operandi EEN Classification IRQ Necessity to inform other countries Sanctions applied Case irrecoverable a Amount of irregularity EU share Reference number OLAF Fund Proceedings status 5 er Financial status Reporting authority short name Year Sequence Number Version number Export All as xml Export All as excel Search 6 Figure 26 Search page 2014 09 23 AFIS IMS UserManual Draft Page 109 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The search page contains several sections in which search criteria can be selected General section search for general criteria such as the
161. ts x Dashboard Irregularities counts by country and regulation Irregularities counts by country and regulation Regulation E 408 E i681 E 1823 E i831 E i848 E pas RUSSIA BELARUS UKRAINE Remember my changes Y Reload Figure 37 Reports view 2014 09 23 AFIS IMS UserManual Draft Version 0 1 State Draft Release date 22 04 2014 Regulation All 493 1681 1828 1831 1343 PAA SSS8ssg porting Year All IS SSSSS8 8888888882 D Q Classification All Not specified Irregularity Suspected fraud Established fraud SS Sissi Page 181 of 193 IMS AFIS IMS 19 3Common and Specific reports Some reports are valid for all the regulations and accessible to all IMS users Other reports are specific to one regulation and are accessible to users having access to this regulation Common reports are displayed by default when you go to IMS reports The following reports are common for all modules e The number of irregularity cases per regulation e The expenditure foreseen for the operation EU share only per regulation e The amount affected by the irregularity EU share only per regulation e The ratio between the expenditure foreseen for the operation and the amount affected by the irregularity N Q Per regulation there are also specific reports available to you Which reports are available to you depends on your user rights Please refer to the module s user
162. ual Draft Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 15 2 Error reporting Errors Warnings File Row Communication draft was saved successfully Info NIMS exportl 29455213716697129 4F1S Operations xls 2 cenn e eee a Sequence number has been overridden with auto Warning 10024 gt 10025 walue Communication draft was saved successfully Info NIMS export 294552137 16697 129 4F1S Operations xls 3 f ceg a a oe _ xp _ p Sequence number has been overridden with auto 10022 gt 10025 generated walue Communication drat was saved successfully NIMS export 29455213716697129 4F1S Operations Is 4 Sequence number has been overridden with auto generated value 10033 gt 10034 NIMS exportl 29455213716697129 4F1S Operations x ls 5 Invalid reference number Communication draft was saved successfully NIMS exportl 29455213716697129 4F1S Operations ls 6 Sequence number has been overridden with auto a 10016 gt 10017 generated value Communication drat was saved successfully NIMS exportl 29455213716697129 4F1S Operations x ls 7 Sequence number has been overridden with auto generated value 10021 gt 10027 NIMS exportl 29455213716697129 4F1S Operations xls 8 Invalid reference number Communication draft was saved successfully NIMS_exporti 294552137 16697 129 AFIS_Operations xls 9 Sequence number has been overridden with auto 10015 gt 10018 generated value Comm
163. unication draft was saved successfully NIMS exportl 29455213716697129 4FIS Operations xls 10 Sequence number has been overridden with auto generated value 20010 gt 20011 4 5 2 Prowisions Invalid value L EU Number NIMS exportl 29455213716697129 4F1S Operations xls 11 Fok lick sce E Invalid value 3 5 CCI number 2 Figure 25 Errors Warnings 2014 09 23 AFIS IMS UserManual Draft Page 158 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS When you import communications they are validated You cannot import an invalid file If the system finds errors in the file you must first correct them before importing Errors are displayed in the Errors warnings table O File Row the name of the file and the row that contains an error For Excel this is the row number For Zip this is the file number in the zip Description a textual description of the problem Type Error or warning Location field that caused the problem error or warning The field always refer to the field used in the interface or the Excel template For XML the user has to check the corresponding XML tag You cannot import an invalid file If the system finds errors in the file you must first correct them before importing 2014 09 23 AFIS IMS UserManual Draft Page 159 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 16 Search Communications IMS search allows you to search for comm
164. unications by specified criteria 16 1 Search page NIMS Search Communications Search Communication Details Regulation Reference number national Case status Last update only Persons Involved National ID number Communication Programming period Type Objective status CCI Number Quarter ARINCO No Registration date T T cig EFRD ESF EAGGF FIFG number With attachments Budget year Special Communication Budget post New modus operandi EEN Classification IRQ Necessity to inform other countries Sanctions applied Case irrecoverable a Amount of irregularity EU share Reference number OLAF Fund Proceedings status 5 er Financial status Reporting authority short name Year Sequence Number Version number Export All as xml Export All as excel Search 6 Figure 26 Search page 2014 09 23 AFIS IMS UserManual Draft Page 160 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS The search page contains several sections in which search criteria can be selected General section search for general criteria such as the module via which the communication is reported and case status Communication search in a communication s metadata i e the data that was automatically added by the system when you created the communication such as the type and status quarter is not automatically added Special communication search if any of the options in the special communica
165. unts F Recovery Sanctions 9 Comments 10 OLAF Specific Description of operation 34 Fund Type 3 2 Programming period 3 3 Objective 3 4 Interregional 3 5 CCI number 3 6 ARINCO Nao 347 EFRD ESF E amp GGF FIFG number 3 4 Programme 3 9 Programme closure date 3 10 Priority 341 Theme 312 Project name 343 Project number 344 EC decision number 3 15 EC decision date Territorial unit where the operation is located or carried out 3 46 Country 417 NUTS level 1 3 18 NUTS level 2 3 419 NUTS level 3 320 Competent authority Agriculture 3i Budget line Budget pear Budget ime Amount of imegulartty EU share 7 A Page 1 ao Bi 5 gt No records ta wiew Ell share National share Public contribution Private share Total 3 22 Total amount of expenditure 3 23 Total amount of irregularity Save Validate Finalize Send Cancel 2014 09 23 AFIS IMS UserManual Draft Page 60 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS Ue MC a AFIS IS 3 6 ARINCO No You need if applicable to indicate the ARINCO number The ARINCO information system was developed on request of the Commission and provided information on the structural funding activities concerning programming periods before 2000 This field is only active for the modules 1681 and 1831 3 7 EFRD ESF EAGGF FIFG number You need if applicable to indicate the EFRD ESF EAGGF FIFG number The EFRD ESF EA
166. ution EU share National share 85 450 00 14 550 00 100 000 00 0 00 0 00 0 00 68 360 00 11 640 00 80 000 00 17 090 00 2 910 00 20 000 00 0 00 0 00 15 000 00 4 July 2007 recovery order has been sent to person involved 1 August 2007 bank guarantee was provided by the person involved dd mm yyyy Delete Export as XML Export as Excel Print Cancel Page 92 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 7 7 Amount repaid to the EU budget You need to indicate the amounts transferred back to the EU budget 7 8 Amount retained by the country You need to indicate the amounts retained by your country For some funds counts that a country can retain a percentage of the recovered amounts in case certain conditions are fulfilled 7 9 Amount of interest charged You need to indicate the interests charged 7 10 Recovery procedures already launched You need to indicate the procedures already launched in order to recover the unduly paid amounts Example Information on the data on which the recovery order was sent to the person involved was provided 7 11 Recovery measures already taken You need to indicate the measures taken to recover the unduly paid amounts such as for instance a bank guarantee Example Information on a bank guarantee was provided 7 12 End date of procedure You need to indicate the date on which the recovery procedures were completed 2014 09 23 AFIS I
167. value group the following buttons Add key in new information Edit edit the details of information on a person already keyed in View _ view the details of information on a person already keyed in Delete remove a person As soon as you have finished putting information in the multi value group you need to click the button Add in order to save the information You will find this button together with the button Cancel at the bottom of the multi value group The button Cancel can be used to cancel the information that just has been put in Be aware that not clicking on one of these buttons means that you cannot proceed with your work 2014 09 23 AFIS IMS UserManual Draft Page 71 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication Perea myi eee he EUR EURO EUROPE i Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 10 OLAF Specific Information leading to suspicion of an irregularity i Date 07 12 2004 S dd mm yyyy 4 2 S0urce article in the Gerald Tribune Provisions Infringed 4 3 Provisions EU EU legislation Year Article and paragraph Page i oro s gt mi 5 ima No reconds to view 4 4 Provisions national Provisions Infringed 1 Provisions EU bi Add Record 4 3 4 EU legislation 4 3 2 Number 4 73 Year 4 3 4 Artie and paragraph NIMS Initial communication Se ee
168. ve been selected are false or falsified request for aid non existent operator or beneficiary 4 8 3 Type of irregularity IMS shows the selected type s of irregularity These values are automatically generated on basis of the values entered in the fields category and type 4 9 Modus operandi You need to describe the practices employed in committing the irregularity the MO A more in depth description of the applied MO will improve the analyses performed by IMS itself IMS reports reporting tool as well as the analyses performed by analysts of OLAF Member States and candidate countries Example see image on the left hand side page 4 10 Statement of persons involved It is common practice that a person involved is asked to react on the findings of an authority principle that both sides should be heard You need to note such reactions in this field See the example in the image on the left hand side page 4 11 Findings of the administration The findings of the authority after having heard the person s involved see field 4 10 need to be noted in this field See the example in the image on the left hand side page 2014 09 23 AFIS IMS UserManual Draft Page 79 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS Specific information on the irregularity 4 7 Irregularity committed on 91 01 2003 S dd mm yyyy 31 12 2003 E dd mm yyyy between 4 4 Type of irregularity Category Type T
169. ver A This field is not editable In case you want to change the amounts indicated you need to modify the data on tab page 6 7 4 Amount deducted during interim or final payment You need to indicate the amounts that have been compensated during interim or final payments split up into EU share and national share 7 5 Amount recovered You need to indicate the amounts recovered split up into EU share and national share 7 6 Balance to recover You need to indicate the amounts that still needs to be recovered outstanding debt split up into EU share and national share 2014 09 23 AFIS IMS UserManual Draft Page 91 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication i Identification 10 OLAF Specific 2 Personal data Recovery vi Start date of procedure 72 Expected end date of procedure 7 3 Amount to recover T Amount deducted during interim or final payment 7 5 Amount recovered 7 6 Balance to recover 77 Amount repaid to the EU budget Zo Amount retained by the country 79 Amount of interest charged 7 10 Measures already taken vii Interim measures already taken 712 End date of procedure Validate 2014 09 23 AFIS IMS UserManual Draft Riltec ERDF BE leecRAl 2014 0001 1 Send EUR EURO EUROPE 3 Operation 4 Irregularity 4 Detection 6 Amounts T Recovery 04 07 2007 dd mm yyyy 31 12 2017 dd mm yyyy Public contrib
170. volved Fai Interim measures already taken 1 August 2007 bank guarantee was provided by the person involved 712 End date of procedure dd mm yyyy Validate Finalize Send Copy Delete Export as XML Export as Excel Print 2014 09 23 AFIS IMS UserManual Draft Page 90 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS 3 8 Tab page 7 Recovery Section Recovery This section contains detailed information on the recovery This tab page is used for all funds although for several funds count that there is no obligation to provide information on the recovery itself The reason to use this page for all funds is a simple one on request of countries which use IMS also for national purposes Be aware that the amounts should not include interests fines and penalties Interests can be indicated in field 7 8 as fines and penalties need to be indicated on tab page 8 Example The amounts indicated are keyed in for illustration purposes see image on left hand side page 7 1 Start date of procedure You need to indicate the date on which the recovery procedure started If the exact date is not Known you can indicate the first day of the month or year in which the procedure started 7 2 Expected end date of procedure You need to indicate the date by which the recovery procedure is expected to be completed 7 3 Amount to recover IMS transfers automatically the values indicated in field 6 4 Amount to reco
171. w to Complete a Report 2014 09 23 AFIS IMS UserManual Draft Page 33 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS AFIS IMS NIMS Initial communication sii Aaaa sia fiolt singe si EUR EURO EUROPE 1 Identification 2 Personal data 3 Operation 4 Irregularity 5 Detection 6 Amounts 7 Recovery 8 Sanctions 9 Comments 10 OLAF Specific Identification of the communication 11 Reference number OLAF R 1828 European Regional Development Fund Ba BE 1828RA1 2014 10001 1 1 2 Reference number national Belgium file number reporting authority 123AB Drafting information 1 3 Reporting authority 1828RA1 Reporting Authority competent for R1828 1 4 Communication language English 15 Currency EUR EURO EUROPE 1 6 Quarter of communication Second Quarter Initial 7 Quarter of communication Update 1 8 Drafting date 10 04 2014 dd mm yyyy Special communication 1 10 Necessity to inform other countries 1 9 New Modus Operandi E i11 Case irrecoverable Status 1 12 Proceedings status Administrative proceedings 1 13 Financial status Recovery under way Case closure 1 14 Case can be closed 1 15 Case closed E 1 16 Case closure date dd mm yyyy Validate Finalize Send 2014 09 23 AFIS IMS UserManual Draft Page 34 of 193 Version 0 1 State Draft Release date 22 04 2014 IMS MS a AFIS IMS 3 1 Introduction The European Union EU has e

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