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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 the context of examinations 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.

Legal situation in Germany

Several different 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. In addition, there is legislation that strictly requires tamper-proof documentation of POS transactions. If you operate a POS in Germany, we recommend that you contact your tax adviser to learn more about the current legislation

1.1. Documenting POS transactions for German tax authorities

In many countries, POS transactions must be documented in a read-only electronic format to comply with local tax laws. These records must be accessible electronically during the legally stipulated retention period. 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.

1.1.1. Exporting POS transactions to a PDF/CSV file

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.

Exporting POS transactions to a PDF file:

  1. Go to Orders » POS » Cash journal.

  2. Select the desired filters. Note Table 1.

  3. Click on Search.
    → The POS transactions that correspond to the search criteria entered are listed in the Cash journal tab.

  4. Click on PDF export.
    → A PDF file of the filtered POS transactions is generated. This may take several minutes depending on the number of records to be exported.
    → The PDF file opens in a separate browser window.

  5. Save the PDF file.

Exporting POS transactions to a CSV file:

  1. Go to Orders » POS » Cash journal.

  2. Select the desired filters. Note Table 1.

  3. Click on Search.
    → The POS transactions that correspond to the search criteria entered are listed in the Cash journal tab.

  4. Click on CSV export.

  5. Select and confirm a storage location for the CSV file.
    → 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 CSV file is saved.

Table 1. Menu Cash journal
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 in the Cash journal tab.

Reset

Resets the selected filter criteria.

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 gift cards like revenue?
Check mark = Sold gift cards contribute to the total revenue. The amounts are listed as “revenue (R)” in the cash journal. Sold gift cards contribute to the value displayed in the Amount column on the right. Gift cards 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.

1.1.2. Creating an IDEA export

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 icon to generate the export.
    → The export is generated over night.
    → Once data generation is complete, the status changes to Done.

  4. Click on the download icon in the Actions column.

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

2. Documenting POS transactions for Austrian tax authorities

By law, Austrian POS need to be equipped with a signature unit. These legal requirements mean that you need to use a POS slightly differently if you are based in Austria. These differences are described below.

2.1. Creating a Z2 receipt (Austria)

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.

Creating a Z2 receipt (Austria):

  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 Z2 receipt (AT).
    → The Z2 receipt is printed.
    → The Z2 receipt is imported to plentymarkets and saved in the Orders » Document archive menu.

2.2. Selling items with a faulty signature unit (Austria only)

The RKSV stipulates what you need to do if the POS’s signature unit fails temporarily or permanently.

  • Document the time the unit stops working.

  • If possible, move on to a POS with a functional signature unit.

  • If no other POS is available, you can use the POS with the defect signature unit. All receipts are marked Sicherheitseinrichtung ausgefallen (Security unit failed).

  • Once the signature unit is functional again, a collective receipt is created and printed in plentymarkets POS automatically.

These steps are recommendations that can help you comply with the RKSV. Check with your supervisor how to proceed if the signature unit fails.

2.3. Creating a Kontrollbeleg (control receipt) for tax authorities (Austria only)

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.

3. Operating plentyPOS in Austria

According to the Cash Register Directive (Registrierkassensicherheitsverordnung, RKSV) points of sale located in Austria must 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. Find out how to integrate and use a POS that is to be operated in Austria.

3.1. Overview: Implementing the POS

For POS located in Austria, the steps described in Table 2 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 2. Putting POS in operation in Austria
Order Step Explanation

1.

Get a signature card and a signature card reader

  • plentymarkets tests 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.

3.2. 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).

3.3. 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.

3.3.1. 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 February 2017\. [#1400]

3.3.2. Creating a Z2 receipt (Austria)

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.

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. Open the account of the user.

  3. Click on the Mobile tab.

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

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

3.4. SOS: The signature unit has failed. What do I need to do?

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.

3.5. 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 an app. All POS users can create such a control receipt on demand. No additional user rights are necessary to create the control receipt.

3.6. Decommissioning a POS (Austria)

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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