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Published by ibanesi on 1 September 2017

Standalone & Referring Documents for EC

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    Standalone and Referring Documents for EC users


    PURPOSE

    This document describes the specifications and details related to the management of Standalone and Referring documents. Standalone documents exist by themselves and do not refer to any other object in the system. Referring documents also exist by themselves but refer to a CCI. Both documents never exist under any versioned object in the system, they are independent and therefore never integral.


    REGULATIONS

    More detail regarding the regulation of the Standalone or Referring Documents can be found in About SFC2014 section of this portal.


    Documents & ROLES

    Documents & Roles involved in the currently available Standalone and Referring Documents for EC users are listed below.

    Click here to see the Table documents in high resolution.



    Remark

    Certain documents for EAFRD/IPARD may require encryption and can only be consulted by specific users with the role of ECAPDR (EC Audit Personal Data Read). Click here to check these documents.


    FUNDS

    ERDF, CF

    IPA(e)

    ESF, YEI, FEAD

    EAFRD, IPARD

    EMFF

    AMIF, ISF


    PRE-CONDITIONS

    Each Document Type will have its own roles involved in order to be able to create, update and send the Standalone or Referring Documents.

    For all Standalone/Referential Documents a user only needs to have update access for the specific role in order to update and send the document(s).

    The user has the roles and belongs to the Fund allowing him to upload this type of Document.

    Updating and deleting is only allowed by the creator of the Document and only when the Document is not yet sent to the Member State.

    Member State Documents can be consulted by a Commission user only when sent. Commission Documents can be consulted by a Member State user only when sent.

    Commission users can consult Commission Documents even before they are sent.


    Create a Standalone or Referring Document


    Remark

    The procedure for these document types will be always the same, just the definition of the document type changes.

    Standalone documents exist by themselves and do not refer to any other object in the system.

    Referring documents also exist by themselves but refer to a CCI.

    Both documents never exist under any versioned object in the system, they are independent and therefore never integral.

    Each Document Type will have its own roles involved in order to be able to create, update and send the Standalone or Referring Documents.

    For all Standalone/Referential Documents a user only needs to have update access for the specific role in order to update and send the document(s).

    The user has the roles and belongs to the Fund allowing him to upload this type of Document.

    Updating and deleting is only allowed by the creator of the Document and only when the Document is not yet sent to the Member State.

    The user can at any time save the data and come back later to complete and send the Document.


    1. Click on the Create new Document link in the Search page.



    The system displays a form related to document details information:



    1. Select the type of the document: Depending on the type, additional fields are added by the system



    1. Complete the document information:

    (1) Select the Document type

    (2) Enter the Title

    (3) Enter the Document Date


    Commission Reference is only enabled for Commission Users, while Local Reference is enabled for both Member State and Commission Users.


    Adding attachments


    This can be done in two different ways:

    • Uploading files not registered in ARES

    • Uploading files using the ARES number (Commission Reference)


    Uploading files not registered in ARES


    1. Click on the Add button to add a new attached file

    • You can add multiple files by clicking on the Add button

    • You can remove unwanted attachments by selecting the attachment and clicking on the Remove button



    The attached files detail appears editable:



    1. Enter or select the following information:

    (1) Enter a Title for your attachment

    (2) Select the Language of the document

    (3) Select the file to upload


    The system notifies the user that errors where found during the upload or save action.


    Uploading files using the ARES number


    Note

    When a Commission user enters or updates an ARES Number in the Commission Reference field, the ARES number will immediately be validated and the attachments will automatically be imported from ARES.

    If you already uploaded attachments, they will be replaced by the ones from ARES. After the update action you will be able to hide any attachments that you don't want to show to the Member State.

    If an alert appears: "Invalid ARES number". This means the number cannot be found in ARES. In this case, ensure the ARES number has been entered correctly (without spaces in the following format: eg. Ares(2017)12345), and that the filing in ARES is correct.


    1. In the Documents Details pop-up window enter or update an ARES number in the Commission Reference field (1)



    Upon entering the ARES reference and clicking anywhere within the pop-up box, the system imports all attachments with this ARES reference directly from ARES.



    You can choose to hide any of the attachments before sending, so they will not be seen by the Member State


    1. Use the scroll bar to scroll to the end of the Attached files section:



    1. Select the attachments you wish to hide:



    Adding Links for Referring Documents


    Note

    The Links section will not exist for Standalone Documents, only for Referential Documents.

    Referring documents must be linked to a CCI.

    Referring document types refer to a specific Object Type in Document Type/Object Type like a Partnership Agreement (PAA), a Programme (PRG), a Major Project (MP), etc. Thus, the content of the CCI List in the Links section depends on the Object Type as defined in Document Type/Object Type. It contains the CCIs of Objects of that Object Type for which the user is allowed to read that Object.

    The CCI Title comes from the last version of the Object, not from the CCI Request.


    1. Click on the Add button to add a new link

    • You can add multiple links by clicking on the Add button

    • You can remove unwanted attachments by selecting the attachment and clicking on the Remove button

    • You can add multiple links records by clicking on the Multiple Links button



    The CCI links list appears:


    1. Click on the down arrow in the selection box (1) and select a CCI (2)


    Update an unsent Standalone or Referring Document


    Note

    The user can at any time save the data and come back later to complete and send the Document. A Standalone or a Referring document can be modified or deleted as long as it has not been sent.

    Clicking the Update button in the Documents modal update/edit window updates the data and closes the window to return to display mode.

    The Update & Send button will only be shown when at least one attachment was added and for referring Document Types when at least one link was added. Clicking Update & Send will update the data, set the Document as being sent and closes the window.

    Selected Document Types having a Template defined will show a Link to this Template next to the Document Type List.


    1. To send a Standalone/Referential document that is not yet sent, select the document row in the list:



    Note

    A Standalone or a Referring document is only sent when the Sent Date is visible.


    1. Click on the Edit button to modify and send the document



    The Document Detail pop-up window appears:



    1. If necessary, modify the Standalone/Referential document; you can add more files or links, or delete unwanted files.

    2. Click on the Update & Send button in order to send the document.


    Delete an unsent Standalone or Referring Document


    Remark

    A Standalone or a Referring Document can be deleted when has never been sent to the Commission before.


    1. Select the Standalone or Referring document you want to delete (1) and click on the Delete Document link (2) to delete the Standalone or the Referring Document.



    The system will ask you to confirm the delete action:



    1. Click on Yes to confirm or click on No to cancel the delete action.


    Send a Standalone or a Referring Document


    Remark

    The Update & Send button will only be shown when at least one attachment was added and for referring Document Types when at least one link was added.

    A Standalone or a Referring document is only sent when the Sent Date is visible.


    1. Click on the Update & Send button in order to send the document



    The system saves the data and the Sent Date for the document:



    Hiding the Attachment(s) of a Sent or Unsent Document


    Note

    Sent Documents can never be deleted or updated, but the sender can decide to hide the content of the attached files for the receivers in case of an erroneous and/or accidental upload.

    Unsent Documents can also be hidden, so that the receiver will not be able to view them. This is needed for Commission Documents imported from ARES. Only the creator can hide an attachment of an unsent Document.

    Links in Referring Documents cannot be deleted or hidden once the document has been sent.


    1. Click on the Edit button to access the ‘hide content’ information:



    1. Scroll right (1) and select the Hide Content option (2) and click on Update (3) to hide the attached file:



    Acknowledge Reception of a Document


    Certain standalone/referring document types require the acknowledgement of receipt once they have been sent.


    Remark

    The user has the roles has the roles and belongs to the Fund allowing him to acknowledge the reception of this type of Document.

    The reception of the Document is not yet acknowledged.

    Each Document Type requiring acknowledgement of receipt, will have its own set of Actors allowed to perform this action.


    1. Go to the sent standalone/referring document for which an acknowledgement of receipt is required:



    1. The system displays that the Reception is not yet acknowledged (1). Click on the Acknowledge reception link to acknowledge the receipt of this document (2):



    The system displays the user who sent the document, and the user who acknowledged receipt of the document, and the corresponding dates:



    The reception of the following document types will need to be acknowledged before read:


    Description

    Internal Code

    Acknowledged by

    EC audit report correspondence

    EAR.EAR

    MS Audit Authority

    MS Managing Authority

    MS Certifying Authority



    Reply to a Received Document


    Certain standalone/referring document types allow for a reply to a received document.


    Remark

    The user must be an identified user in the Commission (EC Operational Agent, EC Audit Agent or EC Publishing Officer).

    Each Document Type requiring acknowledgement of receipt, will have its own set of Actors allowed to perform this action.


    1. Go to the sent standalone/referring document for which you wish to send a reply:



    1. Click on the Reply link to reply to this document:



    The Document details popup window appears:



    1. Complete the document information:

    (1) Select the Document type

    (2) Enter the Title

    (3) Enter the Document Date

    (4) Enter a Local Reference (if applicable)

    (5) Select the Add button to add an attachment

    (6) Enter a Title for your attachment

    (7) Select the Language of the document

    (8) Select the file to upload

    (9) Click on Update & send to send the reply


    The following document types will reply to:


    Description

    Reply To

    Internal Code

    MS reply to EC audit report correspondence

    EC audit report correspondence

    EAR.EAR

    MS reply to Commission follow-up letter

    Commission follow-up letter

    SUS.FUL

    MS reply to pre-suspension letter

    Pre-suspension letter

    SUS.SUL



    Notifications


    Note

    There are no Officials in Charge defined against a Standalone and a Referring document, thus the sent notification is different from other objects in SFC2014.


    For Standalone Commission documents, the notification cannot directly be sent to someone in the Member State(s). Therefore, subscription to receive such kind of notification will have to be done via the notification self-registration. MS subscribers will receive a notification for each standalone Commission document sent to their Member State.

    For Standalone Member State documents, the notification cannot directly be sent to someone at the Commission. Therefore, subscription to receive such kind of notification will have to be done via the notification self-registration. EC subscribers will receive a notification for each standalone Member State document sent, possibly filtered by Member State.

    For Referring Commission documents, the notification will directly be sent to the Member State Officials in Charge of the objet(s) linked to the document. Additionally, via the self-registration, MS subscribers will receive a notification for each referring Commission document sent, filtered by Member State and possibly by Fund and/or Budget Source and/or Object Type.

    For Referring Member State documents, the notification will directly be sent to the Commission Officials in Charge of the objet(s) linked to the document. Additionally, via the self-registration, EC subscribers will receive a notification for each referring Member State document sent, possibly filtered by Member State and/or Fund and/or Budget Source and/or Object Type.


    Additional Functionality

    Encryption

    Certain documents may be required to have encryption and can only be consulted by specific users with the role of ECAPDR (Personal Data Read).

    A special action will be foreseen, allowing to decrypt encrypted file attachments. This action is needed to validate the content of an attachment.


    Currently the following roles have been defined for the following document types:


    Description

    Internal Code

    Action = Decrypt Document

    Annex II (Irregularities)

    DL.ANX2

    ECAPDR - EC Audit Personal Data Read – EAFRD

    AD-HOC data

    OI.HOC

    ECAPDR - EC Audit Personal Data Read – EAFRD

    IT report

    IT.ITRE

    ECAPDR - EC Audit Personal Data Read – EAFRD

    Explanatory notes

    FBP.EXNO

    ECAPDR - EC Audit Personal Data Read – EAFRD

    X-Table data

    FBP.XTAB

    ECAPDR - EC Audit Personal Data Read – EAFRD

    Ongoing conformity audits (Ad-hoc documents)

    ACO.OCA

    ECAPDR - EC Audit Personal Data Read – EAFRD

    ECAPDR - EC Audit Personal Data Read – IPARD

    Cost of control survey

    ACO.CCS

    ECAPDR - EC Audit Personal Data Read – EAFRD

    ECAPDR - EC Audit Personal Data Read – IPARD

    Continued compliance with the accreditation criteria

    ACO.CCC

    ECAPDR - EC Audit Personal Data Read – EAFRD

    ECAPDR - EC Audit Personal Data Read – IPARD



    ECAS Sign on Send

    Certain documents may require an ECAS signature upon send. Upon clicking on the Update & Send link in the document details screen the user will be redirected to ECAS to enter their SFC2014 username and password before sending is completed.


    Validate Content

    Certain attachments of specific Document Types may require the system to perform validations on the content of that attachment.

    The validation will return a success or failure message and generate one or two files: a user friendly output report with the results of the validation and the output log. These two documents will be displayed as Attachments under the same Document.

    The document may only be sent upon successful validation of all uploaded files.

    When validation failed because of a wrong content, the user must re-upload the file.


    Register Manifest Only

    A Document of a Document Type with the ‘Manifest Only’ attribute set to true will be registered in Ares without its Attachments, but with a system generated Manifest file. The Manifest file is a text file containing the list of the Attachments (Title and Filename).

    Manifest only will mainly be used for Document Types containing encrypted data, since actually SFC doesn’t register encrypted documents.

    Currently the following Document Types have been defined with Manifest Only:


    Description

    Internal Code

    Ongoing conformity audits (Ad-hoc documents)

    ACO.OCA

    Cost of control survey

    ACO.CCS

    Continued compliance with the accreditation criteria

    ACO.CCC



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