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plentyPOS and legal compliance

When using plentyPOS, there are a few aspects that you should pay attention to in order to ensure legal compliance. These aspects mostly arise from tax and financial legislation. Some of these aspects are already relevant when integrating a POS in plentymarkets, others are important in case of inspections carried out by tax and financial authorities. This manual page describes all necessary steps to ensure that your workflows with plentyPOS are legally compliant. The following instructions differentiate between running a plentyPOS in Germany and Austria, since legal requirements differ in both countries.

1. Legal compliance in Germany

The following chapters describe the required steps to be followed to ensure legal compliance of plentyPOS with German legislation.

Several regulations apply for using point of sale systems operated in Germany. Among others, the GoBD (German guidelines for bookkeeping) are relevant for POS operated in Germany. Data concerning POS transactions generally have to be stored in machine-readable and tamper-proof formats. Contact your tax advisor for detailed information on current legislation and discuss which data has to be exported and archived.

1.1. Exporting POS transactions to PDF or CSV files

You can export the POS transactions shown in the cash journal to a PDF or CSV file. Only POS transactions that match the selected search criteria are exported. Proceed as described below to export POS transactions. Once you have started the export, you need to wait two minutes before you can start another cash journal export.

Activate menu visibility for back end users

For POS users that use plentymarkets as back end users, activate the menu visibility so that those users have access to the menu described below. To do so, go to Setup » Settings » User » Rights » Open user » Rights. In the Menu visibilities area, go to Orders » POS and activate the option Cash journal. Then, click on Save ().

Exporting POS transactions to PDF or CSV files:

  1. Go to Orders » POS » Cash journal.

  2. Select filters. Pay attention to the information given in Table 1.

  3. Click on Search ().
    → The customers that correspond to the search criteria entered are listed.

  4. Depending on the desired file format, click on PDF export or Cash journal export (CSV).
    → A CSV file of the filtered POS transactions is generated. This may take several minutes depending on the number of records to be exported.
    → The file opens in a separate browser window.

  5. Save ()the file.

Table 1. Options in the Cash journal menu
Setting Explanation

Tab: Filter

Search

Click on Search without selecting any filter settings. This displays all POS transactions.
Or: Limit the search results by using filters and click on Search. The POS transactions found are listed.

Reset

Resets the previously selected filter settings.

Receipt number: from;
Receipt number: to

Enter the receipt numbers of the first and last receipt to search for receipts of a specific receipt number range. To show a single receipt, enter the same receipt number in the field Receipt number: from and the field Receipt number: to.

Posting account

Enter a booking account to display the POS transactions for that booking account.

Include gift card sales

Do you want to treat sold coupons like revenue?
Check mark placed = Sold coupons contribute to the total revenue. The amounts are listed as “revenue (R)” in the cash journal. Sold coupons contribute to the value displayed in the Amount column on the right. Coupons are also treated like revenue in the PDF export and the CSV export.

Client (store)

Select a client (store) from the drop-down list to limit the results to POS transactions that were carried out for a specific client.

POS

Select a POS from the drop-down list to limit the results to POS transactions that were carried out with a specific POS.

User

Select a user from the drop-down list to limit the results to POS transactions that were carried out by a specific user.

Payment method

Select a payment method from the drop-down list to limit the results to POS transactions that were carried out using a specific payment method. Only active payment methods are listed.

Period

Select a period to limit the POS transactions shown to those that were created during this period.
To only show receipts of a custom period, select Date selection. Then select the starting date from the calendar in the from field and the ending date from the calendar in the to field.

Type

Select a type from the drop-down list to limit the results to POS transactions of this type.

Tab: Cash journal

Date

Date and time of the POS event

Event

Indicates if the POS transaction can be categorised as revenue (R) or as spending (S).

Amount

The value of the POS transaction

Receipt number

The number of the receipt created for the POS transaction. Click on the receipt number to open a PDF file of the receipt.

Type

The type of the POS transaction

Cash on hand

The cash on hand after the POS transaction was completed

Order ID

The ID of the order created in plentymarkets

VAT rate

The VAT rates that apply for the order.

VAT

The VAT amount of the order

Booking text

The booking text for the POS transaction. For deposits and withdrawals, the booking text is the reason entered for the cash movement.

1.2. Creating an IDEA export

IDEA export is GoBD certified

The IDEA export provides data that is fully compliant to the GoBD (German regulation). If you run your POS at a location in Germany, you can download the certificate for your tax advisor or the responsible tax authorities here.

German tax laws stipulate that you need to document all POS data and provide access to this data upon request. As a further requirement, the data must contain the meta information necessary for automated evaluation (see Grundsätze zur ordnungsmäßigen Führung und Aufbewahrung von Büchern, Aufzeichnungen und Unterlagen in elektronischer Form sowie zum Datenzugriff, GoBD for details). As such, plentymarkets provides a GoBD compliant export of the POS transactions. The export files allow tax auditors comprehensive and efficient analyses of your POS data. Proceed as described below to create an IDEA export.

Exporting the IDEA files:

  1. Go to Orders » POS » IDEA export.

  2. Select the calendar year for which you want to export the data.

  3. Click on the gear wheel () to create the export.
    → The export is generated over night.
    → Once data generation is complete, the status changes to Done.

  4. Click on Download () in the Actions column.

  5. Select a storage location and confirm your selection.
    → The IDEA files are exported and saved as a ZIP file.

Activate menu visibility for back end users

For POS users that use plentymarkets as back end users, activate the menu visibility so that those users have access to the menu described above. To do so, go to Setup » Settings » User » Rights » Open user » Rights. In the Menu visibilities area, go to Orders » POS and activate the option IDEA export. Then, click on Save ().

1.3. Dealing with German cash register regulations (Kassensicherungsverordnung)

For POS that are run in German locations, the German cash register regulations (Kassensicherungsverordnung) apply. Due to these regulations, cash registers must be equipped with a so-called technical security unit (German: TSE). The TSE adds a signature to all receipts created by the POS and saves data on POS transactions in a tamper-proof file format. Ideally, you should create a TSE export once a day. In case German tax authorities carry out an inspection of your records, you are also obliged to provide an export file containing all available TSE data.

Latest information on German cash register regulations (Kassensicherungsverordnung)

The official registration process for TSE units has not yet been finalised by German tax authorities. Thus, you are currently still allowed to run POS systems that are not registered yet (Last updated in April 2020). Further information is available here 

1.3.1. Setting up a TSE unit

To link your POS to a TSE unit and thus run it in accordance with German cash register regulations, note the information in Table 2.

Use one TSE unit per POS

We recommend to use a separate TSE unit for each POS. Linking one TSE unit with several POS at the same time leads to waiting times and delays when ringing up customers.

Use one TSE unit per client

If you have booked several clients for your plentymarkets system and run POS with more than one client, do not link POS from different clients with the same TSE unit. For instance, if have booked 2 clients and run POS for both of them, you require 2 separate TSE units.

Table 2. Setting up a TSE unit
Order Step Explanation

1.

Buying hardware

Hardware bought after 1st January2020 should either be compliant with German cash register regulations or be adjustable to comply with the regulations. We recommend that you contact your hardware provider to buy new receipt printers with an integrated TSE unit. Or: Clarify with your hardware provider if the hardware you are currently using can be adjusted or not.

2.

Linking a TSE unit

Link your hardware to your cash register system. The receipt printer automatically prints a test receipt after the TSE has been linked.
Open the plentymarkets app and click on Settings in the menu. Enter the IP address of the TSE unit that is printed on the test receipt. Tap Link TSE unit.
In the Basic settings*tab of the *Setup » Client » Select client » POS menu, the TSE serial number and the Public key of the TSE unit are automatically entered and saved in the Fiscalisation (Germany) area. If needed, you can view and check the data there. If you want to set up a receipt printer manufactured by Epson, pay attention to our tips.

3.

Registering the TSE unit with tax authorities

Register your TSE unit including the Serial number (see previous step) with your responsible tax authority. More information on the registration process will be added here as soon as it becomes available.

Write down the IP address of the TSE unit

We recommend to write down the IP address of the TSE unit separately. Also, attach a label with the corresponding IP address to the respective receipt printer after you have successfully linked the TSE unit. This way, you can easily see the IP address of the linked TSE unit in case of connection problems and thus avoid linking the wrong TSE unit.

1.3.2. Tips for linking the TSE unit

Are you using a receipt printer manufactured by Epson? If so, pay attention to the following tips before starting the process of linking the technical security unit to avoid setup errors.

  • Make sure that you are using the latest version of the Epson firmware. To update the firmware, use the Epson TM Utility App from App Store for iOS devices or from Google Play Store for Android devices.

  • Activate the option ePOS-Device in the receipt printer configuration. To do so, enter the IP address of the receipt printer in your browser’s address bar. The login credentials for this page consist of the user name epson and the serial number of your receipt printer as password by default. Under the menu point Configuration, click on ePOS-Device and select the option Enable.

  • Only link one device at most to your receipt printer, e.g. the display of the receipt printer itself. If you wish to add further devices, link them using a USB hub with its own separate power supply. This way, you avoid malfunctions of the TSE that might occur due to low power supply.

1.3.3. Ringing up customers in case of TSE unit failure

If the TSE unit fails for some reason, you can continue to ring up customers at the POS. Each receipt created after the failure itself will automatically include a note on the failure.
However, following some additional steps is mandatory:

  • Document the time the TSE unit stopped working.

  • If possible, move on to a POS with a functioning TSE unit.

  • If no other POS is available, you can continue using the POS with the unavailable TSE unit. All receipts are then signed with a note accordingly. This note says that the TSE unit was not working at the time the receipt was printed.

  • Contact the supplier of your TSE unit or your hardware suppliere immediately to arrange for either a new TSE unit or for repair of the existing one.

Provide training to POS users

Train POS users carefully using the instructions provided above so that POS users know how to react to and document a possible failure of the TSE unit.

1.3.4. Creating TSE exports in the plentymarkets app

We recommend that you create a TSE export once a day directly after having created the z report. TSE exports are created via the plentymarkets app. After creation of the export, the export file is automatically uploaded and is available for downloading in the plentymarkets back end.

Activate rights for the plentymarkets app

For POS users without admin access to the plentymarkets app, activate the app right TSE unit so that those users can create TSE exports. Refer to this manual page for further information.

Proceed as described below to create a TSE export.

Creating a TSE export:

  1. Open the plentymarkets app.

  2. Tap the menu symbol at the top left of the screen.
    → The menu opens.

  3. Tap TSE unit.

  4. In the Export area, click on Create and upload.
    → Confirm your decision. The export is created and the export file is uploaded to the plentymarkets back end. Note: It can take several minutes for this process to finish.

1.3.5. Downloading TSE export files

After creating TSE exports in the plentymarkets app, all created TSE export files are available to you in the plentymarkets back end. In case of an inspection carried out by tax authorities, go to Orders » POS » TSE export to access the export files and download them in a standard format.

Provide training to POS users

In case of an inspection carried out by tax authorities, every POS user must be able to create a TSE export and electronically hand over the export files. Train POS users carefully using the following instructions!

Proceed as described below to download TSE export files.

Download TSE exports:

  1. Go to Orders » POS » TSE export.

  2. Select the serial number of the TSE unit from the drop-down list.

  3. Optional: Use the filter to select a start and end date for the period of time for which you want to download the export files.

  4. Click on Search ().
    → A list of available export files is displayed.

  5. Click on Download all exports to download all export files displayed on the page.
    __Or: Select individual export files in the list and click on Download selected exports.
    → The export files are downloaded.

Activate menu visibility for back end users

For POS users that use plentymarkets as back end users, activate the menu visibility so that those users have access to the menu described above. To do so, go to Setup » Settings » User » Rights » Open user » Rights. In the Menu visibilities area, go to Orders » POS and activate the option TSE export. Then, click on Save ().

1.3.6. View TSE unit information in the plentymarkets app

In addition to creating and downloading TSE export files, the plentymarkets app offers you insight into the current status of your TSE unit.

Activate rights for the plentymarkets app

For POS users without admin access to the plentymarkets app, activate the app right TSE unit so that those users can view information on the TSE unit. Refer to this manual page for further information.

Proceed as described below to view information on the TSE unit in the plentymarkets app.

Viewing TSE unit information in the plentymarkets app:

  1. Open the plentymarkets app.

  2. Tap the menu symbol at the top left of the screen.
    → The menu opens.

  3. Tap TSE unit.
    → The available information on the TSE unit is listed. Pay attention to the information provided in Table 3.

Table 3. TSE unit information in the app

Value

Explanation

Information area

Status

Shows the current status of the TSE unit.
As soon as the TSE unit has been linked successfully, the default status INITIALIZED is displayed.

Certificate valid to

Shows the validity date of the TSE certificate. After the displayed date, the TSE unit supplier has to be contacted to obtain a new certificate for the TSE unit. In case of expired validity, the POS can still be operated. However, the certificate has to be renewed as soon as possible.

Registered clients

Number of POS that are linked to the TSE unit. In the best case, each POS is linked to a separate TSE unit and the value 1 is displayed. It is possible to run several POS with the same TSE unit. However, in that case, delays with receipt printing may occur.

Initiated transactions

Shows the number of POS transactions that are currently executed and signed by the TSE unit.

Signatures area

Created

Shows the total number of signatures that have been created on the TSE unit that is currently in use. This number consists of all transactions carried out by the TSE unit in the background (signing in, changes of settings, time synchronisation) as well as every receipt signed by the TSE unit.

Remaining

Shows the number of remaining signatures for the TSE unit that is currently in use until the maximum number (see value Total) is reached.

Total

Shows the maximum number of signatures that can be created by the TSE unit that is currently in use. If this number has been reached, the TSE supplier has to be contacted so that the TSE unit can be exchanged.

Storage area

In use

Shows the storage currently in use on the TSE unit. The storage on the TSE unit is used by TSE export files and can be emptied by creating an export.

Total

Shows the maximum storage available on the TSE unit.

Export area

Last export

Shows the date on which the last TSE export has been created in the plentymarkets app and successfully uploaded.

Current export size

Shows the estimated file size of the next TSE export.

1.3.7. Creating a DSFinV-K export

The German data standards for cash register details (DSFinV-K) ensure that all POS transaction data is saved in a standard format.

DSFinV-K exports created in plentymarkets are GoBD compliant but also contain additional information. DSFinV-K exports may be requested by tax authorities for inspection purposes.

Provide training to POS users

In case of an inspection carried out by tax authorities, every POS user must be able to create a DSFinVK export and electronically hand over the export files. Train POS users carefully using the following instructions!

Creating a DSFinV-K export:

  1. Go to Orders » POS » DSFinV-K export.

  2. Click on Create export.
    → A new window opens.

  3. From the drop-down list, select the client for which the export should be created.

  4. Select a year for which the data should be included in the export.

  5. Click on Create export.
    → The export is scheduled for creation and is created over night.
    → As soon as the export has been created, it is displayed in the Orders » POS » DSFinV-K export menu with the status Finished.

  6. Click on Download.
    → The export file is downloaded.

Activate menu visibility for back end users

For POS users that use plentymarkets as back end users, activate the menu visibility so that those users have access to the menu described above. To do so, go to Setup » Settings » User » Rights » Open user » Rights. In the Menu visibilities area, go to Orders » POS and activate the option DSFinV-K export. Then, click on Save ().

2. Legal compliance in Austria

According to the Cash Register Directive (Registrierkassensicherheitsverordnung, RKSV) points of sale located in Austria have to be equipped with a technical signature unit that ensures that POS transaction data is temper-proof, i.e. cannot be deleted or edited. The QR code on the POS receipts provides visual proof that the POS is tamper-proof. The following chapters explain how to set up and run POS systems in Austria according to official regulations.

2.1. Overview: Implementing the POS

For POS located in Austria, the steps described in Table 4 are necessary to activate the signature unit required by the RKSV. Check the website of the Austrian Federal Ministry of Finance for detailed information on these legal requirements. This page of the manual describes only those steps necessary to implement a plentyPOS located in Austria. This description does not form legal or fiscal advice.

Table 4. Putting POS in operation in Austria
Order Step Explanation

1.

Get a signature card and a signature card reader

  • plentyPOS is optimised for use with the Feitian smartcard reader bR301.

  • plentymarkets tests with the signature cards of the service provider PrimeSign.

2.

Initialise the tamper-proof POS

See Basic settings for POS

3.

Create the start receipt (Startbeleg)

See Creating the start receipt (Austria)

4

Register the signature card and POS at FinanzOnline

After creating the start receipt, register the signature card and POS at FinanzOnline. You need the following information to complete the registration process:

Signature card (documents relating to the signature card):

  • The signature certificate’s serial number

  • The name of the service provider (Vertrauensdiensteanbieter) you bought the certificate from

  • The signature certificate’s PIN

POS (System » Client » Standard » POS » Open POS » Tab: Basic settings):

  • The POS identification number of the plentyPOS. Go to System » Client » Standard » POS » Open POS » Tab: Basic settings to find the POS identification number.

  • Go to the System » Client » Standard » POS » Open POS » Tab: Basic settings to find the User key AES-256.

5.

Scan the start receipt with the BMF receipt validation app

After registering the POS at FinanzOnline, scan the QR code of the start receipt. The app checks if the signature on the POS receipts is valid.
*Tip:* You need to scan the start receipt within a week after registering the signature card and the POS at FinanzOnline.

Existing POS in Austria

Existing POS cannot be made tamper-proof. If you already operate a plentyPOS point of sale in Austria, you need to create a new POS and decommission the old POS.

2.2. Creating the start receipt (Austria)

Now create the start receipt (Startbeleg) to put the POS into operation. You need the PIN of the signature certificate to create the start receipt. You should have received this PIN from your certificate service provider (Vertrauensdiensteanbieter) together with your signature card. Go to the POS menu of the plentymarkets app to create the start receipt. After the start receipt is created, the location country of the POS cannot be changed.

Creating the start receipt (Startbeleg):

  1. Open the plentymarkets app.

  2. Go to plentymarkets App » Settings » POS.

  3. Enter the PIN of the signature certificate. You should have received this PIN from your certificate service provider (Vertrauensdiensteanbieter) together with your signature card.

  4. Tap Create start receipt.
    → The start receipt is printed.
    → The start receipt is saved in the cash journal and in the document archive.
    → You can start using the POS.
    → Receipts contain the electronic signature and the QR code.
    → Transactions are saved in the data export protocol (DEP).

2.3. Creating a Z2 receipt

A Z2 receipt is a monthly signed control receipt with an amount of zero (0.00 Euro). The RKSV requires you to create a Z2 receipt at the end of each month. The Z2 report for the month of December also serves as an end of year report. You need to print and archive this yearly receipt every year and scan the barcode with the BMF receipt validation app.

2.3.1. Assigning users the right to create Z2 receipts

Users with admin rights are able to create Z2 receipts by default. Backend users must be assigned this right.

Assigning users the right to create Z2 receipts:

  1. Go to Setup » Settings » User » Accounts.

  2. Tap on the desired user account.

  3. Click on the Mobile tab.

  4. In the POS functions section, activate the right Z2 receipt (AT).

  5. Save () the settings.
    → The POS user can create Z2 receipts in plentyPOS.

2.4. Creating a Kontrollbeleg (control receipt) for tax authorities

In the case of a POS inspection by Austrian tax authorities, you need to be able to generate a zero amount control receipt (Kontrollbeleg) on the spot. This control receipt allows tax inspectors to validate the signature on the POS receipts on site in your store using a special app. You do not need any additional user rights to create a control receipt.

Creating a Kontrollbeleg (control receipt) on demand:

  1. Log into the plentymarkets App.

  2. In the menu bar, tap the menu symbol.

  3. Tap POS.
    → The POS menu is displayed.

  4. Tap Control receipt.
    → Der control receipt is printed.
    → The control receipt is imported to plentymarkets and saved in the Orders » Document archive menu.
    Note: The investigators can keep the control receipt as evidence.

2.5. Selling items with a faulty signature unit

The RKSV stipulates how you need to proceed if the signature unit of the POS fails:

  • If the signature unit fails, you need to move on to a POS with a functioning signature unit.

  • If no other POS is available, you can temporarily use the one with the failed signature unit.

  • If the signature unit fails for more than 48 hours, you need to inform the tax authorities about the beginning and end of the failure via FinanzOnline within a week.

  • All unsigned receipts must be marked Signatureinrichtung ausgefallen (Signature unit failed).
    → In plentyPOS, receipts are marked with this text automatically if the signature unit fails.

  • As soon as the signature unit functions again, a collective receipt (Sammelbeleg) must be created. The signature of this receipt must contain all transactions that were generated with the POS while the signature unit was not in operation.
    → plentyPOS creates a collective receipt automatically once the signature unit functions again.

2.6. Documenting POS transactions for Austrian tax authorities

The Austrian Registrierkassensicherheitsverordnung (RKSV) stipulates that receipts must be electronically signed and furnished with a QR code. This QR code contains all relevant receipt data, an encrypted revenue counter and information on the previous receipt. This reference to the previous receipt ensures that preceding receipts cannot be manipulated or deleted. In addition, a data collection protocol (Datenerfassungsprotokoll, DEP) must be kept for each POS. You need to be able to export this DEP to a local storage medium at any time.

plentymarkets provides several export formats to allow you to comply with these legal requirements. These exports are designed to conform to German tax laws. Talk to your tax consultant to determine what data you need to export and archive to comply with local tax laws.

2.6.1. Creating a DEP export

According to §7 of the Austrian Registrierkassensicherheitsverordnung (RKSV), a data collection protocol (Datenerfassungsprotokoll, DEP) must be kept for every POS. At a minimum, the DEP must contain the signatures of any receipts resulting from cash sales and cash cancellations. The concatenation of the receipt signatures means that the DEP data is temper-proof. A separate DEP must be kept for each POS.

The DEP report is exported as a JSON file. It contains the following receipt data:

  • Receipt group (Beleg-Gruppe)

  • Signature certificate

  • Certification authorities (Zertifizierungsstellen)

  • Compact receipts (Belege-kompakt)

You must be able to export the DEP of a POS to an external disk and hand it over to tax inspectors at any time. Proceed as described below to create a DEP export.

Exporting the DEP files:

  1. Go to Orders » POS » DEP export.

  2. Select the client (store).

  3. Select the POS.

  4. Select the first date of the range you want to export.

  5. Select the last date of the range you want to export.

  6. Click on Download.
    → The file is saved in the default download folder set for the browser.
    Tip: The file name contains the export range, for example the file depExport9-1-2017-9-2-2017.json contains data from the 9th of January to the 9th of February2017.

Activate menu visibility for back end users

For POS users that use plentymarkets as back end users, activate the menu visibility so that those users have access to the menu described above. To do so, go to Setup » Settings » User » Rights » Open user » Rights. In the Menu visibilities area, go to Orders » POS and activate the option DEP export. Then, click on Save.

2.7. Decommissioning a POS

To permanently decommission a POS located in Austria, you need to create an end receipt. An end receipt is an electronically signed control receipt with an amount of zero (0.00). An end receipt can be created for POS for which a start receipt has already been created. Go to the POS menu of the plentymarkets app to create the end receipt. Once an end receipt is created, the POS can no longer be operated.

Creating an end receipt (Endbeleg):

  1. Open the plentymarkets app.

  2. Go to plentymarkets App » Settings » POS.

  3. Tap Create end receipt.
    → The end receipt is printed.
    → The end receipt is saved in the cash journal and in the document archive.
    → The POS can no longer be operated.

  4. Inform tax authorities that you decommissioned the POS.

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