Enabling conditions | SFC Support Portal

enabling-conditions.pdf

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Structured Art. 15(4)

PURPOSE

This document describes the actions related to the fulfilment of an Enabling condition after Programme approval as described in Article 15(4) of the CPR Regulation. The un-fulfilment of a previously fulfilled Enabling condition after Programme approval as described in Article 15(6) of the CPR Regulation will not be covered by this module.

REGULATIONS

More detail regarding the regulation of the Enabling conditions can be found in the "About SFC2021" section of the portal.

ROLES

Roles involved in the Enabling conditions are:

MS Authority (MSA)

MS Managing Authority (MSMA)

Record Enabling conditions

Upload Enabling conditions Documents

Consult Enabling conditions

Delete Enabling conditions

Validate Enabling conditions

Prepare Enabling conditions for send to EC

Send Enabling conditions

Return Enabling conditions by MS for modification

Cancel Enabling conditions

FUNDS

ERDF

ESF+

EMFAF

AMIF

ISF

BMVI

Workflow

This section shows the lifecycle to create and manage an Enabling condition.

Click here to see the Enabling conditions workflow diagram in high resolution.

Create an Enabling condition

Remark

The User is an identified User and has the role of MS Authority or MS Managing Authority with Update rights (MSAu or MSMAu).

Since a user must be able to include a reference to IJG, EMFAF, AMIF, ISF and BMVI Programmes which can reside on different owner nodes, and which contain different Funds, permission checking will only be done on the EC object actions and not on the covered Programmes and their Funds.

To create an Enabling condition, go to the Monitoring menu and select the Enabling conditions and then the Structured Art. 15(4) option:

In the search screen click on the Create button to create a new Enabling condition:

You are redirected to the Enabling condition Creation Wizard:

Enter or select the following information:

(1) Select the Enabling condition.

The list of Enabling Conditions contains all distinct unfulfilled Enabling Conditions from the last adopted IJG, EMFAF, AMIF, ISF and BMVI Programme versions for this Country.

(2) Select the Source language.

The Source language list contains all official languages of the Member State.

(3) Click on Create.

The status of the Enabling condition is Open.

Remark

On Create, when the preconditions are met, the initial Enabling condition structure is created and a Table of Content/Navigation Tree is presented, so the User can continue to populate the structured data of the Enabling condition.

Record/Edit the Enabling condition

Remark

The User is an identified User and has the role of MS Authority or MS Managing Authority with Update rights (MSAu or MSMAu).

When editing a version of the Enabling condition, its status is Open, Validated, Ready to send, Sent, Returned by MS for modification at the level of the Member State and currently resides on the User’s Node.

General

This section includes the header data to identify the main characteristics of the Enabling condition.

Version Information

Note

The Version Information contains information on the identification and status of the Enabling condition Version like the Title, the Version Number, the ID, the Source language, the Last modified date, the Status and the Node where it currently resides.

The ID is provided by the system to distinguish between multiple submissions of the same Country and Enabling Condition combination. Multiple submissions of the same Country and Enabling Condition are only allowed when they cover different Programmes

When the Status is Assessed by EC (Agreed) then a link to the EC Decision will be shown.

Click on the Edit button to edit the Version information if needed:

Officials in Charge

Note

Officials in Charge can be updated at any time, independent from the status of the Enabling condition.

Commission Officials (email domain "ec.europa.eu") can only be created/updated/deleted by Commission Users.

Click on the Add button to add a new official in charge.
Clicking on the Edit icon of a row will allow you to modify the information of this official.
Clicking on the Delete icon of a row will allow you to delete the official in charge selected.

Click on the Add button to add a new Official in Charge:

The Edit details pop-up window appears:

Enter or select the following information:

(1) Enter the Name.

(2) Enter the Email.

The format of the Email address will be validated by the system and should be unique.

(3) Enter the Phone number.

(4) Select the Language.

(5) Enter the Valid from and Valid until dates.

The Valid until date should be greater than the Valid from date.

(6) Click on Save to save the information.

History

This section shows all the actions that have been taken on the Enabling condition since it was created, for example:

Documents

Note

The Documents list shows all documents uploaded against this version of the Enabling condition by Member State and by Commission. Member State Users see all their own Documents and the sent Commission Documents. Commission Users see all their own Documents, unsent Integral Member State Documents and sent Member State Documents.

The following documents will be foreseen:

Description	Internal Code	Non-Integral (1)	Integral (2)	System (3)	Required (4)
MS justification letter to EC	EC.MS		X
Referenced document for fulfilment (5)	EC.RDF	X
MS observations to EC decision on non-fulfilment (6)	EC.MON		X
Snapshot of data before send	SNP.ECSNT		X	X	X
Other MS Document (7)	EC.OM	X
MS Request to withdraw Enabling Condition version (8)	EC.WIR	X

(1) Document can be sent at any time

(2) Document will be automatically sent when the Object is sent to the EC

(3) Document automatically created by the system

(4) Document required in the system before a next action can be executed

(5) Allow to create and send only when Enabling Condition covers at least one Programme.

(6) Can only be created when previous version was “Assessed by EC (Disagreed)”

(7) Allow to create and send only when Enabling Condition covers at least one Programme

(8) Allow to create and send only when Enabling Condition covers at least one Programme

Uploading & Sending Documents

Multiple documents can be uploaded in the Enabling condition.

Clicking on the Add button will open a pop-up window allowing you to add a new document type with attachments.
Selecting a document row and clicking on the View icon will allow you to view the document information.
Selecting a document row and clicking on the Edit icon will allow you to modify the document information. If a document of type 'Other Member State Document' must be sent, you can select the edit icon in order to send the document.
Selecting a document row and clicking on the Delete icon will allow you to delete the document and all attachements.

Remark

Integral Documents (Official Proposal etc) are only sent - together with the encoded data – once the Enabling condition is sent to the EC.

Referential/non-integral Documents (ie. 'Other MS Document') can be sent at any time independently of the status of the Enabling condition.

The 'Other MS Document' type demands a manual submission (they are NOT sent automatically when the object is sent to the EC).

A non-integral document is only visible to the Commission when the SENT DATE is visible.

Click on the Add button to add a new document:

The Edit document details pop-up window appears:

Enter or select the following information:

(1) Select a Document Type.

(2) Enter a Document Date.

The system automatically fills the field with todays date, but this can be modified.

(3) Enter a Document Title for your Document.

(4) Enter a Local reference.

(5) Click on the Add button to add a new attachment:

You can add multiple attachments by clicking on the Add button.
You can remove unwanted attachments by selecting the attachment and clicking on the Remove button.

The Attached files window becomes editable:

Enter or select the following information:

(1) Enter a Title for your attachment.

(2) Select the Type of the document.

It is possible to select from these 4 types: Annex, Cover Letter, Main or Translation.

(3) Select the Language of the document.

(4) Click on Browse to select the file that you want to add as an attachment.

(5) After the attachments are uploaded click on Save.

Remark

Integral document types will only display the Save button and will be sent when the Enabling condition is sent to the Commission. Non-integral document types (such as ‘Other MS Documents’) will display the Save button and a Save & Send button, and must be sent independently of the Enabling condition.

Sending an unsent non-integral document

Once the document and attachment(s) have been uploaded click on the Edit icon in the row containing the unsent document:

Click on Save & Send to send the document to the Commission:

Remark

The Save & Send button will only be shown for documents which are not integral part of the Object and after at least one attachment was added.

Deletion of an unsent document

Remark

Only unsent documents can be deleted.

In the row of a previously uploaded unsent document click on the Delete icont to delete the document and associated attachments:

A confirmation window appears:

Click on OK to confirm deletion. Click on Cancel to return to the document section.

Observations

Note

This section is used to provide any relevant information to the Enabling condition. It can be used as a type of 'chat' between the Member State and Commission.

All Users who have Read permission on the Enabling conditios will be able to read all Observations in the conversation.

All Users who have Update permission on the Enabling condition will be able to send an observation and participate in the conversation.

All observations are kept against the specific version of the Enabling condition.

The observation is added below the Observations box and includes the username, the date and time of the post.

Click on the Add button to add an observation:

The Add new observation screen appears:

Enter the following:

(1) Enter an observation.

(2) Click on Save to save the information.

Programmes covered

Click on the Edit button to select the Programmes covered by the Enabling condition:

The Programmes Covered edit screen appears:

Select the following:

(1) Select the Programmes covered.

The list of Programmes contains all IJG, EMFAF, AMIF, ISF and BMVI Programmes for this Country, having in their last adopted Programme version the selected unfulfilled Enabling Condition, and not yet used in another non-cancelled and non-withdrawn last Enabling Condition version for the same Country , Procedure and Enabling Condition (With a different ID). At least one Programme must be selected. This will be enforced by validation rule EC_003.

Multiple programmes can be selected:

Select the following:

(1) Click on the cross to remove a programme.

(2) Select another programme from the list if multiple programmes are covered.

(3) Click on Save to save the information.

Note

Each time the programmes covered is updated, we automatically update the Fulfilment Details (Reference, Justification) with the values from the covered programme with the most recent decision date, but only when the Reference/Justification in the current Enabling Condition was not yet updated by the user. This additional test will be done by comparing the REFERENCE and JUSTIFICATION values with the COPIED_REFERENCE and COPIED_JUSTIFICATION values which were filled in during the last automatic copy of the values from the covered programme with the most recent decision date.

Enabling condition criteria

Note

All Criteria will be set to fulfilled and cannot be modified. The user will need to complete the fulfilment details “Reference to relevant documents” and “Justification” on all Criteria.

In version 1.0, the fulfilment details of each Criterion will be initialised with their content from the covered Programme version with the most recent Decision Date but can be modified.

The Enabling Condition header will indicate how many Criteria have fulfilment details and how many have not .

Click on the Edit button to edit information in the table:

The Fulfillment details become editable:

Click on the edit details to open the edit fulfilment details screen:

Enter or select the following:

(1) Edit the Reference to relevant documents.

(2) Edit the Justification.

(3) Click on Save to save the information.

Validate the Enabling condition

Remark

The Enabling condition can be validated at any time, when the current version is in status Open and resides at the User’s Node.

To validate the Enabling condition, the User must have the role of MS Authority or MS Managing Authority with Update access (MSAu or MSMAu).

Click on the Validate button to validate the Enabling condition:

Remark

An Error will block you from sending the Enabling condition. The error(s) should be resolved and the Enabling condition must be revalidated. Note that a Warning does not block you from sending the Enabling condition.

The system validates the following information:

Code	Severity	Validation Rule
001	Warning	Validate that at least one official in charge of the Member State exists.
002	Error	Validate that the CCI codes of the adopted programmes match the following regular expression: For IJG (……16..PR…\| ……05..PR…) For EMFAF (……14MFPR…) For AMIF, ISF and BMVI (……65AMPR…\|……65ISPR…\|……65BVPR…) (Implicit in web).
003	Error	Validate that the Enabling Condition version covers at least one programme.
004	Error	Validate that all integral documents have at least one attachment with a length > 0.
005	Error	Validate that the programmes covered, only exist in one non-cancelled, non-withdrawn enabling condition of the same country and with the same enabling condition ID (Implicit in web).
006	Error	Validate that a justification exists for all criteria.
007	Error	Validate that a reference to relevant documents exists for all criteria.
008	Error	Validate when a document of type “MS observations to EC decision on non-fulfilment” exists, that the previous version is in status “Assessed by EC (Disagreed)”.
009	Error	Validate when a document of type “MS observations to EC decision on non-fulfilment” exists, that the Commission decision on the non-fulfilment was notified in SFC no more than 1 month ago.

An example of a validation window:

You can check the list of validation results at any time throughout the Enabling condition:

To see the last validation results:

(1) Click on one of the 4 categories: All results, Passed, Warning, Error.

(2) The list of latest validation results for the chosen category is displayed.

After all errors have been resolved the status of the Enabling condition becomes Validated.

Prepare Enabling condition for send to EC

Remark

The Prepare for Send can occur when a User on the highest MS Node wants to indicate that the Enabling condition version can be prepared for sending to the Commission, once the Validation Errors have been removed and the status is Validated or Sent.

To prepare the send of the Enabling condition, the User must have the role of MS Authority or MS Managing Authority with Send access (MSAs or MSMAs).

Click on the Prepare for send to EC button to prepare to send the Enabling condition to the Commission:

The system will ask you to confirm the send action:

Click on Confirm to confirm.

The status of the Enabling condition is set to Preparing for send to EC.

Send the Enabling condition

Remark

The Enabling condition can only be sent once the Validation Errors have been removed and the status is Ready To Send or Sent.

The "4 eye principle" must be respected. Therefore, the User sending must be different from the User who last validated.

To send the Enabling condition, the User must have the role of MS Authority or MS Managing Authority with Send access (MSAs or MSMAs).

Click on the Send button to send the Enabling condition to the Commission or to the upper Node:

The system will ask you to confirm the send action:

Click on Confirm to confirm.

If you are sending from the highest node to the Commision you will be requested to reenter your password in order to digitally sign the sending of the Enabling condition.

On success, the Enabling condition version has been sent to the Commission or to the upper Node. When sent, the status is set to Sent.

Remark

When on the highest MS node, different versions of the generated “Snapshot before send” document will be available so that the sender can first verify what will be sent to the Commission:

A version containing the untranslated content with the template in the Source language.
When the Source language is different from English, a version containing the untranslated content with the template in English.
When the Source language is different from English, a version containing a machine translation of the content in English with the template in English.

Return Enabling condition for modification by MS

Remark

The Enabling condition can only be returned by MS for modification when a lower Node exists and the status is Sent (to a higher MS node), Open, Validated, Ready to Send or Returned by MS for modification.

This action can be used when a User wants to return the Enabling condition version sent by the Member State/Region because it is incomplete or incorrect.

To request the return of an Enabling condition version, the User must have the role of MS Authority or MS Managing Authority with Update access (MSAu or MSMAu).

Follow the steps to return the Enabling condition for modification by MS:

Select the following:

(1) Select the icon with 3 vertical dots.

(2) Click on the Return for modification button to request revision from the lower Node.

The system will ask you to confirm the return:

Enter the following:

(1) Enter the Reason in the text box provided.

(2) Click on Confirm to save the information.

On success, the status of the Enabling condition will be changed to status Returned by MS for modification and the sender is notified of the action and its reason.

Delete the Enabling condition

Remark

The Enabling condition can only be deleted when:

it resides on the owner Node
the status is Open, Validated or Ready to Send or Returned by MS for modification
it has never been sent to the Commission before
it has no sent documents attached.

To delete the Enabling condition, the User must have the role of MS Authority or MS Managing Authority with Update access (MSAu or MSMAu).

The delete is a physical delete and cannot be recovered!

Follow the steps to remove the Enabling condition from the system:

Select the following:

(1) Select the icon with 3 vertical dots.

(2) Click on the Delete button to remove the Enabling condition from the system.

The system will ask you to confirm the delete action:

Click on Confirm to confirm or click on Cancel to return to the Enabling condition.

Cancel the Enabling condition

Remark

This use case occurs when a Member State user wants to cancel an Enabling condition. Once the Enabling condition or one of its non-integral documents have been sent to the Commission, it cannot be deleted anymore when returned by the Commission. For Member States who don't want to continue working on that Enabling Condition and who want to create one or more new ones, an action Cancel is foreseen. The notification utility will be called to notify the Commission of the cancel of the version.

The Enabling condition version must currently reside on the User's Node and its status is Open, Validated, Ready to send or Return by MS for modification and contains a sent Document.

To cancel the Enabling condition, the User must have the role of MS Authority or MS Managing Authority with Update rights (MSAu or MSMAu).

Follow the steps to cancel the Enabling condition from the system:

Select the following:

(1) Select the icon with 3 vertical dots.

(2) Click on the Cancel button to cancel the Enabling condition from the system.

The system will ask you to confirm the cancel action:

Click on Confirm to confirm or click on Cancel to return to the Enabling condition.

On success, the status of the Enabling condition will be changed to Cancelled.

Create a New Version of the Enabling condition

Remark

A new version of the Enabling condition can be created when the last version was returned by the Commission or can be created when the last version was assessed by the Commission and disagreed.

The Enabling condition must be in status Assessed by EC (Disagreed) or Returned by EC (’Technical clarifications) or Returned by EC (Additional information).

To create a new version, the User must have the role of MS Authority or MS Managing Authority with Update access (MSAu or MSMAu).

Click on the Create button to create a new version of the Enabling condition:

The system will ask you to confirm the creation of a new version:

Click on Confirm to confirm. Click on Cancel to return to the Enabling condition.

On success, a new version of the Enabling condition has been created as a copy of the last version. When the previous version was Assessed by EC (Disagreed), the new version number is incremented by one and the working version number is 0 (ex. 1.0 to 2.0). When the previous version was Returned by EC (Technical clarifications) or Returned by EC (Additional information), the new version number is identical to the previous and the working version number is incremented by one (ex. 1.0  1.1). Its status was set to Open.

Request to Withdraw the Enabling condition

Remark

The Member State must request to withdraw the Enabling condition by uploading a document called MS Request to withdraw Enabling condition version.

The Enabling condition version is in a status Sent, Returned by EC (’Technical clarifications) or Returned by EC (Additional information) at the level of the Commission, or in a status Open, Validated, Ready to send, Returned by MS for modification or Cancelled at the owner node of the Member State and has previously been sent to the Commission.

To request the withdrawal the Programme, the User must have the role of Member State Authority or Member State Managing Authority with Update and Send access (MSAu, MSAs or MSMAu, MSMAs).

Go to the Documents section and click on the Add button to add the MS Request to withdraw Enabling condition version document type:

The Member State must request to withdraw the Enabling condition by selecting the withdraw document and entering the mandatory information:

Enter or select the following information:

(1) Select the MS Request to withdraw Programme IJG version Document Type.

(2) Enter a Document Date.

The system automatically fills the field with todays date, but this can be modified.

(3) Enter a Document Title for your Document.

(4) Enter a Local reference.

(5) Click on the Add button to add a new attachment:

You can add multiple attachments by clicking on the Add button.
You can remove unwanted attachments by selecting the attachment and clicking on the Remove button.

The Attached files window becomes editable:

Enter or select the following information:

(1) Enter a Title for your attachment.

(2) Select the Type of the document.

It is possible to select from these 4 types: Annex, Cover Letter, Main or Translation

(3) Select the Language of the document.

(4) Click on Browse to select the file that you want to add as an attachment.

(5) After the attachments are uploaded click on Save & Send to save and send the document.

Remark

Withdrawals are subject to confirmation by the Commission. After the document is uploaded, it is up to the Commission User to perform the withdrawal action and stop the procedure. On success, the Enabling condition version status will be set to Withdrawn at the Request of the MS.