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Construction Industry Solutions
Subcontract DRAFT Certificate Processing
How-to Guide
Confidential Page 1 August 2005
Date: August 2005
Version no 1 FINAL
Prepared by: Philip Miller and Neil Duguid
Distribution to: Web-site
Availability (version of coins)
V10..
HOW TO … CONFIGURE AND RUN
Subcontract DRAFT Certificates Process
These notes are published as guidelines only.
This “How to…” Guide may contain recommendations about configuration changes. Your
configuration will almost certainly vary from the examples given in this document. Any
configuration changes should always be applied to a separate non-live environment first
and tested to prove that this features works as you require. Should you have any difficulties with this please contact either the coins communication centre or your account
manager to arrange for some specialist coins consultancy.
Please note that you should not expect the Applications Support team to conduct
configuration changes for you.
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How-to Guide
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CONTENTS
1 Purpose of this document ................................................................................. 3
1.1 Usage ...................................................................................................... 3 1.2 Impact on „Standard‟ COINS ....................................................................... 4
2 Setup ............................................................................................................. 5 2.1 Parameters .............................................................................................. 5 2.2 Authorisation levels (by user and contract) .................................................. 6
3 Operation ....................................................................................................... 9 3.1 Input Generally ......................................................................................... 9 3.2 Enter, Amend and Release for Authorisation ............................................... 11 3.3 Authorisation .......................................................................................... 16 3.4 Create Batch .......................................................................................... 18
4 Enquiries ...................................................................................................... 20 4.1 Draft Certificate Enquiry .......................................................................... 20 4.2 Usage .................................................................................................... 20
5 Reports ........................................................................................................ 20 5.1 Pending Certificate Report ........................................................................ 20 5.2 Usage .................................................................................................... 20
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How-to Guide
Confidential Page 3 August 2005
1 Purpose of this document
1.1 Usage
The subcontract draft certificate workbenches provide an authorisation process for
subcontract certificates prior to them being posted to the ledger.
It provides the facility to allow entry of certificates and control authorisation through
different levels of authority whilst maintaining visibility of expected payments.
It is mostly operated through “Workbenches” as follows:
1. Draft Certificate Entry
Where draft certificates are entered, amended and released for authorisation.
2. Draft Certificate Authorisation
Where draft certificates are authorised or rejected (if required)
3. Create Batch
Where approved draft certificates are batched and posted. i.e. become „standard‟
COINS certificates.
The standard menus are supplied like this:
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How-to Guide
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1.2 Impact on ‘Standard’ COINS
A dummy SC certificate batch number 999998 is used to hold draft certificates. This
batch is marked as cancelled.
Standard certificates can be entered for an order, but only if there are no draft
certificates currently associated with the same order. Certificates entered this way are
regarded as „adjustments‟ if the draft certification processing is running (i.e. it should be
done sparingly).
Certificates batched from draft certificates are given an auto-generated certificate
number (as an integer) as they are processed which should be contiguous (i.e. there
should be no gaps in the certificate number sequence). This certificate number should
not be amended. Adjustment certificates entered through the standard COINS
certificate input screen can have their certificate numbers updated. Adjustment
certificates must have at least one letter entered to distinguish them from draft
certificates.
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How-to Guide
Confidential Page 5 August 2005
2 Setup
2.1 Parameters
The set up is controlled by SC parameters found in the Configuration functions for
Subcontract Ledger under the heading “Multi-tiered Authorisation”.
TIERAUTH – Multi-tiered authorisation? (set to Y to enable draft certification)
NOTIERS - Number of authorisation tiers (see details below)
MAXTIERS - the maximum number of tiers per user (see details below)
LIMITCHK - User limit calculation (see F6-Authorise on page 21)
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2.2 Authorisation levels (by user and contract)
These 2 functions are alternate means of setting authorisation levels.
Determines which levels a user has access to:-
1 – can enter, amend, release
2 – can authorise at level 2
3 – can authorise at level 3
If SC parameter NOTIERS is set to 2 (instead of 3) then level 3 is not used.
A user can have the number of levels depending on SC parameter MAXTIERS. MAXTIERS
is usually set to 1 less than NOTIERS to prevent the same person from being able to
control all stages of a draft certificate.
A user cannot have level 1 and level 3 security set
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When setting up a user‟s access levels, COINS standard contract security applies to both
the user doing the setting up, and the user being set up. i.e. Both must be able to
access the record for it to be created.
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A „this period‟ limit can also be given for a user/contract. This means that the user
cannot authorise over that limit (see F6-Authorise on page 17 for more information).
A limit of 0 means no limit.
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How-to Guide
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3 Operation
3.1 Input Generally
3.1.1 Input Menu Options
There are three groups of input menus in Draft Certificate processing:
Draft Certificate Entry
Draft Certificate Authorisation, and
Create and Post Certificate Batch
The entry of certificates is controlled by up to four menu items. They are configured to
control which subcontracts are eligible for selection dependant on their billing method
i.e. Authenticated Receipt, Invoices, Self Billing and ALL Types.
In this way it is anticipated that a tighter control can be applied to the correct VAT
documentation being available for inspection when needed. However these controls can
only ever be as good as individual processes allow.
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3.1.2 Function Keys Overview
Within each menu option there are various function keys available to you. These are
shown or not depending on which of the Menu Options you are using, the number of
authorisation levels set during configuration and the levels you are authorised for.
Global Options: Enter Authorise1/2 Batch
Level-1 Level-2,3 Level-4
UP/DOWN √ √ √
F3-Reverse √ √ √
F5-Search √ √ √
F9-Add √ X X
CTRL-O-Filter √ √ X
CTRL-F-Refresh √ √ √
Global Options: Enter Authorise1/2 Batch
(with Certificate highlighted) Level-1 Level-2,3 Level-4
F7-Details √ √ √
F8-Comm Hold √ √ √ (with CTRL-O-Filter set to
include authorised) CTRL-R-Recall √ √ X
CTRL-N-Note √ √ √
Menu Specific Options Enter Authorise1/2 Batch
Level-1 Level-2,3 Level-4
RETURN-Amend √ X X
F6-Release √ X X
F10-Delete √ X X
F6-Authorise X √ X
F10-Reject X √ X
F6-Batch X X √
UP/DOWN, F3-Reverse and F5 Search are standard Coins functions and are not referred
to in this guide.
The remaining functions are explained in more detail in the relevant sections below.
Where a function is available in more than one section it is only described once in the
earliest documented section.
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3.2 Enter, Amend and Release for Authorisation
3.2.1 Usage
This workbench is used to enter and amend subcontractor draft certificates, and then to
release or re-release them for authorisation.
Both newly entered and rejected draft certificates are displayed in this workbench, and
can be revised and released in the same way.
Draft certificates are displayed based on the Ctrl-O filter options of Contract /
Subcontractor / Billing Type / Include Released [ ] :
In contract/order/transaction number order.
That are at:
o status 0 (attention required) or
o status 1 (released/awaiting level 2 authorisation).
That the user has contract level 1 security set.
A released draft certificate can be recalled, as long as it hasn‟t been further authorised
or rejected.
The scrolling (upper) area shows from left to right:-
Contract number
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Order Number
Transaction Number
Certificate Date
Subcontractor Name
Current Status
o 0-Attn Reqd (entered awaiting release)
o 1-To Auth 2 (awaiting level 2 authorisation)
o 2-To Auth 3 (awaiting level 3 authorisation)
o 3-Approved (awaiting batch creation)
Commercial Hold – H (shown if set)
The expand (lower) area shows for the highlighted draft certificate:-
Contract Name
Currency Code (highlighted if not base currency)
Subcontractor Account Number
Certificate Due Date
Order Value
Previous Action
Entered
Released
Authed 2
Authed 3
Rejected
Recalled
Note
Date/Time/User of previous action
Gross To Date
Comments
Gross This Period
3.2.2 Function keys
3.2.2.1 RETURN-Amend
Opens up the current selected record if the certificate is the latest one for the order. If
not then gives error.
On return re-displays amended details, and the selected certificate remains highlighted.
3.2.2.2 F6-Release
Releases the current selected record if the certificate is the earliest one for the order at
the „Attn Reqd‟ level, otherwise gives error.
A comments box is displayed (30 characters). If the user cancels from here (F4) then
the releasing does not proceed.
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How-to Guide
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3.2.2.3 F7-Details
Displays the standard certificate enquiry screen for the current selected record.
Selecting „Auth‟ on the menu bar, will display a list of actions that have occurred for the
selected draft certificate. This list is latest first, however pressing F3 will reverse the
order.
Returning by pressing F1, F4, or choosing „End‟ from the menu bar re-displays the draft
certificate entry screen as before selecting F7.
3.2.2.4 F8-Comm Hold
Opens up the standard commercial hold screen for the current selected record which
allows the flag and hold code to be amended.
On F1 or return displays an H next to the selected record if the certificate has been put
on hold. If hold is removed then this is blanked out. If you cancel (F4) from the hold
screen then no change is made.
3.2.2.5 F9-Add
Goes to the standard certificate entry screen to allow a new record to be entered.
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How-to Guide
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The following rules apply:-
1. Users can only add for contracts for which their level 1 security is set.
2. Cannot add new draft certificates for orders which have any unposted „actual‟ (as
opposed to draft) certificates assigned.
3. The next txn number for the order is assigned and can‟t be changed.
4. The valuation date defaults from the certificate date if it is blank.
5. The certificate number field is greyed out and is blank.
If you cancel (F4) out of the screen completely then the draft certificate is not created
(You can F4 back through the elements within the add process to change details and
then continue).
On return to the workbench the workbench screen is reset with the new record at the
top of the display. The expand box displays the „entry‟ previous action.
A newly entered draft certificate is always given the status of 0 (Attn Reqd). To make it
available for authorisation it must be F6-released.
3.2.2.6 F10-Delete
Completely removes a draft certificate record.
Only the latest draft certificate for an order can be deleted, and only if it has status 0
(Attn Reqd).
3.2.2.7 CTRL-O-Filter
Allows the screen display to be restricted to a single contract and/or subcontractor
and/or billing type and whether to include previously released and/or authorised
certificates.
3.2.2.8 CTRL-R-Recall
Is only available when CTRL-O-Filter is set to “Include Released”.
Recalls the draft certificate to the current status.
A comments box is displayed (30 characters). If the user cancels from here (F4) then
the recalling does not proceed.
The recalled certificate remains in view and the „previous action‟ details changed to
„recalled‟ in the expand box.
If there are any later draft certificates for the same order then these will be recalled
also. The user is prompted whether they wish to proceed if this is the case.
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How-to Guide
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3.2.2.9 CTRL-N-Note
Adds a „note‟ action against the selected draft certificate.
This note is purely for memo usage and makes no difference to the status of the draft
certificate.
A comments box is displayed (30 characters). If the user cancels from here (F4) then
the note is not added.
If added then the expand box of the highlighted draft certificate displays „note‟ as the
previous action.
Notes cannot be amended once added.
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How-to Guide
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3.3 Authorisation
3.3.1 Usage
Used to authorise or reject subcontractor draft certificates.
The user will see (and can authorise) draft certificates depending on whether they have
level 2 authority or level 3 authority for the associated contract. If they have level 2 and
level 3 authority then they can authorise straight from „To auth 2‟ to „Approved‟,
leapfrogging „To auth 3‟.
If the SC parameter NOTIERS is set to 2 then there is only one level of authorisation
necessary [level 2], and if it is set to 3 then there are two levels [level 2 and level 3].
The functionality is the same for both levels.
In level 2 authorisation, the draft certificates that have been „Released‟ in the entry
screen are shown (Their status is marked as „To auth 2‟). In level 3 authorisation, the
draft certificates that have been passed by level 2 authorisation are shown (Their status
is marked as „To auth 3‟). A certificate passed by level 3 authorisation is marked as
„Approved‟ and is ready to be batched and posted. These will not normally appear on the
authorisation screen, but the CTRL-O filter can be set to show them, so they can be
recalled to level 3, if necessary.
NB If NOTIERS is set to 2 then the level 3 authorisation is skipped, and a draft certificate
authorised at level 2 will go straight to „Approved‟ (i.e. awaiting batch creation‟). The
same thing happens if the user has both authority levels set.
Any draft certificates that are rejected will be marked as status „Attention required‟ and
will appear back on the entry/amend screen so they can be revised. They will disappear
from the authorisation workbench and can‟t be recalled.
An authorised draft certificate can be recalled to a particular level, as long as it hasn‟t
been further authorised or rejected.
A user can only authorise a certificate if it is within the limit set on the contract security
screen (see F6-Authorise for more details).
3.3.2 Authorisation Screen Display
Displays draft certificates:-
In contract/order/transaction number order.
That have status „To Auth 2‟ if the user has level 2 security and that have „To Auth 3‟
if the user has level 3 security.
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Based on the Ctrl-O filter options can also show authorised certificates that the user
can recall (certificates with status „To Auth 3‟ if the user has level 2 security and
certificates with status „Approved‟ if the user has level 3 security).
3.3.3 Function keys
3.3.3.1 F6-Authorise
(only display as option if draft certificate is „Awaiting level 2 authorisation‟)
Authorises the current selected record if the certificate is the earliest draft certificate for
the order at the „Awaiting level 2 authorisation‟ level, otherwise gives error.
A comments box is displayed (30 characters). If you cancel from here (F4) then the
authorisation does not proceed.
A check is made for whether the this period value on the draft certificate is within the
limit set for the contract for the user. What makes up the figure to check is held in the
SC parameter LIMITCHK. This contains a list of certificate configuration item ids (with a
leading „+‟ or „-‟). The associated „this period‟ values held against the listed item ids on
the draft certificate are added together to give a total to check against. If LIMITCHK is
blank then the total payment plus PAYE this period values are used as a default. If the
limit is breached then an error is given and the draft certificate can‟t be authorised.
3.3.3.2 F10-Reject
Rejects the draft certificate by changing the draft certificate status to 0 („Attention
Required‟).
A comments box is displayed (30 characters). If the user cancels from here (F4) then
the rejection does not proceed, otherwise the rejected certificate disappears from view.
If there are any later draft certificates for the same order then these will be rejected
also. The user is prompted whether they wish to proceed if this is the case.
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3.4 Create Batch
3.4.1 Usage
Used to create a batch of „actual‟ certificates from a set of approved draft certificates
(i.e. authorised at level 2 and level 3 [as required]). These batches can then be posted
to the ledgers in the standard COINS way.
Once a certificate has been batched it cannot be recalled or rejected as a draft
certificate.
The create certificate batch workbench uses standard COINS contract security and not
the draft certificate security levels.
3.4.2 Screen Display
Displays draft certificates:-
• In contract/order/transaction number order.
• That have status 3 („Awaiting batch creation‟)
• That the user has COINS standard contract security set.
• Based on the Ctrl-O filter options.
3.4.3 Function keys
3.4.3.1 F6-Create batch
Prompts the user for a cut-off date. This date is based on the certificate date. Any draft
certificates prior to (and including) this date will be batched (the batch number is auto-
generated).
The processing is in contract/order/transaction number order to ensure that the
certificates are not posted out of order.
Each draft certificate being processed is checked for whether an existing unposted
„actual‟ certificate already exists for the same order. If it does the user is informed of
order/txn/batch number, and the draft certificate is excluded from the batch.
A certificate number is auto-generated for each processed certificate, based on the last
certificate for the order where the certificate number contained an integer.
NB This means that any „adjustment‟ certificates entered via the „standard‟ certificate
entry route would have a user-entered certificate number containing at least one letter.
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Once all valid draft certificates have been processed, the standard certificate batch
posting screen is shown. The user can enter a transaction type, description and the
posting period. The totals for the batch are also displayed.
The user is prompted to post the batch. If they don‟t then the certificates on the batch
are now treated as unposted „standard‟ certificates (No new draft certificates will be
allowed to be added or posted for the related orders until they are posted).
Once the processing on this screen has ended the create batch workbench is re-
displayed without the processed draft certificates.
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4 Enquiries
4.1 Draft Certificate Enquiry
Displays all draft certificates in current system at the various authorisation levels
4.2 Usage
This is a screen enquiry which displays the current situation of all draft certificates at
each authorisation level and all billing types.
The F7-Details functions works as the input/authorisation/batch screens.
The CTRL-O-Filter is by Contract/Subcontractor only.
Certificates that have been batched will not appear.
5 Reports
5.1 Pending Certificate Report
Displays all draft certificates in current system at the various authorisation levels
5.2 Usage
This is a snapshot report which displays the current situation of draft certificates at each
authorisation level. Certificates that have been batched will not appear.
5.2.1 Options
The following report options are available:-
Group by contract or subcontractor.
Restrict to certificate date range
Standard COINS contract selection
Standard COINS subcontractor selection
Authorisation Levels to show:-Attention Reqd,Awaiting level 2,Awaiting level 3,Ready
to post
Display currency
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5.2.2 Order
Displays draft certificates in contract/order/transaction number order, grouped by
Contract or Subcontractor depending on option selected.
Draft certificate amount totals are displayed for each contract or subcontractor, and a
run total.
5.2.3 Report Line
Displays draft certificates:-
• Order Number
• Transaction number
• Cert Date
• Due Date
• Payment
• Current Status
• Last Action By
• Last Action Date
• Last Action Time
• Last Action Comments
• Released By
• Released Date
• Released Time
• Release comments
The release details are when F6-release was pressed in the draft certificate entry
workbench. If the draft certificate has not been released then this will be blank.
Last action does not include „Recalled‟ or „Note‟ events.
Payment amounts are in the currency selected.