Scrutiny Control Plan
PURPOSE
This document describes the actions related to the Scrutiny of Transactions – Control Plan (also known as ‘Ex-Post Scrutiny – Control Plan’ or ‘EPS Control Plan’ in this document of for technical purpose) for the programming period 2023-2027 in SFC2021.
The main purpose of the ‘EPS Control plan’ module in SFC2021 is to allow the Member States to submit to the Commission the Control plans they drew up for scrutiny of transactions.
The new module in SFC2021 will allow each Member States to submit yearly their EPS Control plan and its amendments as structured web forms/tables (One EPS Control plan per country, even for Belgium).
Each year, before the 15 April, Member States shall send to the Commission their Control plan (ie. EPS Control Plans for the Scrutiny period 2025-2026 submitted before 15/04/2025 cover the financial year 2024 from 16/10/2023 to 15/10/2024).
The control plans and their amendments drawn up by the Member States and sent to the Commission shall be implemented by the Member States if, within eight weeks, the Commission has not informed the Member States of its comments.
This new structured module replaces the submission of Word/Excel documents which is currently in place in SFC2021 (Menu ‘Audit’ > ‘Audit Communication’ > document type = ‘ACO.EPS Communication on ex-post scrutiny). MS Users are not able to submit the ‘Communication on ex-post scrutiny’ documents anymore. However existing documents will remain available for consultation from the ‘Audit Communication’ menu.
REGULATIONS
The lagel basis forthe Scrutiny Control Plan is the Title IV, Chapter III of Regulation (EU) 2021/2116.
ROLES
Roles involved in the Scrutiny Control Plan are:
MS Paying Agency (MSPA) MS Coordination Body (MSCB) | Record Scrutiny Control Plan Consult Scrutiny Control Plan Upload Scrutiny Control Plan Documents Delete Scrutiny Control Plan Validate Scrutiny Control Plan Prepare Scrutiny Control Plan for send to EC Send Scrutiny Control Plan Sign Scrutiny Control Plan Request for Revised Scrutiny Control Plan by MS Cancel Scrutiny Control Plan Create New Version of Scrutiny Control Plan |
MS Certification Authority (MSCT) MS Certification Authority responsible for Coordination (MSCC) |
FUNDS
EAGF |
Workflow
This section shows the lifecycle to create and manage Scrutiny Control Plan.
Click here to see the Scrutiny Control Plan workflow diagram in high resolution.
Create Scrutiny Control Plan
Remark | The User is an identified User and has the role of MS Paying Agency or MS Coordination Body with Update rights (MSPAu/MSCBu), for the EAGF fund. If an MS has several Paying Agencies and therefore has nominated an MS Coordination Body, then this action should be performed by the MS Coordination Body. When creating a new EPS Control Plan, all existing versions (last working version) for the same Country must be Sent to the Commission or Cancelled. The CSP is adopted and managed on the User's Node. Only one EPS Control Plan per Country and Financial period can be created, but several versions (=work_version) can be created if the previous version has been requested for revision by EC or has been Cancelled. The first version of an EPS Control plan can only be created during the Declaration period which is defined as the first day (16/10/YYYY) after the end of Financial period until the 15th of April of next Year (15/04/YYYY+1). For instance, for Financial period 2024, the Financial period is from 16/10/2023 to 15/10/2024 and the EPS Control plan Declaration period is from 16/10/2024 to 15/04/2025. The related EPS Report will be submitted 2 years later that is to say during the EPS Report Declaration period which is from 16/10/2026 to 15/04/2027. The end of Declaration period is indicative, the MS can still submit their EPS Control plan after this date. The first structured EPS Control plan expected in SFC2021 is the EPS Control plan for FY 2024 (Declaration period = 16/10/2024 to 15/04/2025). |
To create the Scrutiny Control Plan, go to the Audit menu and select the Scrutiny Control Plan option:
In the search screen click on the Create button to create a new Scrutiny Control Plan:
You are redirected to the Scrutiny Control Plan Creation Wizard:
Enter or select the following information:
(1) Select the Financial period.
Financial Period and Declaration periods are defined for all MS identically. The Encoding period can be changed on Business unit request however it's not possible to advance or postpone this Encoding period for only one MS or for a set of MS. Therefore, any modifications of an Encoding period will impact all MS.
The version and Financial Period are automatically prefilled by the system at the creation of a new EPS Control Plan, depending on the opened Declaration period and on the already created EPS Control Plan.
(2) Enter a National reference if applicable.
(3) Enter Comments if necessary.
(4) Select the Source language.
(5) Click on Create.
The status of the Scrutiny Control Plan is Open.
Remark | On Create, when the preconditions are met, the initial Scrutiny Control Plan structure is created and a Table of Content (ToC)/Navigation Tree is presented, so the User can continue to populate the structured data of the Scrutiny Control Plan. |
Record/Edit the Scrutiny Control Plan
Remark | The User is an identified User and has the role of MS Paying Agency or MS Coordination Body with Update rights (MSPAu/MSCBu), for the EAGF fund. When editing a version of an EPS Control Plan, its status is Open, Validated, Ready to send or Sent at the level of the Member State or Revision requested by MS and currently resides on the User's Node. |
General
Version Information
Note | The Version Information contains information on the identification and status of the EPS Control Plan Version like the Country, the Fund(s), the Version Number, the Financial Period, the Status, the Node where it currently resides and also the National references, comments and source language. If available, a link to the related Ex-Post Scrutiny Report version (last version sent to EC for the same financial year) will be also available. Only the National reference, the Source language and the Comments can be updated. For a given Financial period, Comments are copied from the previous version. |
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 Scrutiny Control Plan. 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 Scrutiny Control Plan since it was created, for example:
Documents
Note | The Documents list shows all documents uploaded against this Scrutiny Control Plan version 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. Only unsent documents can be deleted. Once a document has been sent to the Commission it cannot be deleted. |
The following documents will be foreseen:
Description | Internal Code | Non-Integral (1) | Integral (2) | System (3) | Required (4) |
Other Member State Document | EPSP.OM | X |
|
|
|
Snapshot of data before send | SNP.EPSCPSNT |
| X | X | X |
(1) Document can be sent at any time
(2) Document will be automatically sent when the Object is sent
(3) Document automatically created by the system
(4) Document required in the system before a next action can be executed
Uploading & Sending Documents
Note | Only unsent documents can be deleted. Once a document has been sent to the Commission it cannot be deleted. |
Multiple documents can be uploaded in the Transmission of Data .
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 Transmission of Data is sent to the EC. Referential/non-integral Documents (ie. 'Other Member State Document') can be sent at any time independently of the status of the Transmission of Data . The 'Other Member State 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) Enter a Document Title for your Document.
(2) Select a Document Type.
(3) Enter a Document Date.
The system automatically fills the field with todays date, but this can be modified.
(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.
Remark | Integral document types will only display the Save button and will be sent when the Transmission of Data is sent to the Commission. Non-integral document types (such as ‘Other Member State Documents’) will display the Save button and a Save & Send button, and must be sent independently of the Transmission of Data . |
Sending an unsent non-integral document
Note | Only unsent documents can be deleted. Once a document has been sent to the Commission it cannot be deleted. |
Once the document and attachment(s) have been uploaded click on the Edit icon in the row containing the unsent document:
Click on Confirm to send the document to the Commission. For completing this action, the User will be redirected to the EU Login signature page:
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
Note | Only unsent documents can be deleted. Once a document has been sent to the Commission it cannot 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 Scrutiny Control Plan. It can be used as a type of 'chat' between the Member State and Commission. All Users who have Read permission on the Scrutiny Control Plan will be able to read all observations in the conversation. All Users who have Update permission on the Scrutiny Control Plan will be able to send an observation and participate in the conversation. All observations are kept against the specific version of the Scrutiny Control Plan. 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 Add to save the information.
Annex VI – Control plan for scrutiny as referred to in Article 80(1)
Part 1. Procedures and risk analysis
Click on the Edit button to enter the text in the text box:
The Edit details pop-up window appears:
Enter the following information:
(1) Enter the text in the text box provided.
It is possible to design tables within the textbox and copy/paste text and tables from Excel. Limited formatting options (bold,italic, list, etc.) are possible.
(2) Click on Save to save the information.
Part 2. Control plan
2.1. Overview of the selection
Click on the Edit button to enter the values in the fields:
The Edit details pop-up window appears:
Enter the following information:
(1) Enter the values in all the fields.
All fields are mandatory. All the numbers have to be entered without decimals.
(2) Click on Save to save the information.
2.2. Selection of undertakings proposed for scrutiny
2.2.1. Selection of undertakings proposed for scrutiny
Click on the Edit button to enter the values in the fields or on the Add button to add a new line by selecting a valid EAGF budget item outside CAP plan:
The Edit details pop-up window appears:
Enter the following information:
(1) Enter the values in all the fields.
All fields should be filled, amount with 2 decimals, Number (of undertaking) without decimals.
If not applicable, ‘0,00’ (Amount) or ‘0’(Number) should be entered.
(2) Click on Save to save the information.
2.2.2. Confirmation in case the exceptional measures and the emergency measures are not included in the Control Plan (due to implementation under ICAS)
Click on the Edit button to enter the text in the text box:
The Edit details pop-up window appears:
Enter the following information:
(1) Enter the text in the text box provided.
The field is mandatory if values have been entered for EAGF budget item 08 02 01 00 in section 2.2.1.
(2) Click on Save to save the information.
2.2.3. Comments
Click on the Edit button to enter the text in the text box:
The Edit details pop-up window appears:
Enter the following information:
(1) Enter the text in the text box provided.
(2) Click on Save to save the information.
Validate the Scrutiny Control Plan
Remark | The Scrutiny Control Plan can be validated at any time, when the current version is in status Open and resides at the User’s Node. The User must have the role of MS Paying Agency or MS Coordination Body with Update or Send rights (MSPAu/s or MSCBu/s), for the EAGF fund. If an MS has several Paying Agency and therefore has nominated an MS Coordination Body, then this action should be performed by the MS Coordination Body. |
Click on the Validate button to validate the Scrutiny Control Plan:
Remark | An Error will block you from sending the Scrutiny Control Plan. The error(s) should be resolved and the Scrutiny Control Plan must be revalidated. Note that a Warning does not block you from sending the Scrutiny Control Plan. |
The system validates the following information:
Code | Severity | Validation Rule |
010 | Warning | Validate that at least one official in charge of the Member State exists. |
020 | Error | Validate that all integral documents have at least one attachment with a length > 0. |
100 | Error | Validate that ‘Part 1’ is filled |
210 | Error | Validate that section “2.1. Overview of the selection” is filled |
211 | Error | Validate, in section “2.1. Overview of the selection” that (C) = (D) + (E) +(F) |
212 | Error | Validate, in section “2.1. Overview of the selection” that (G) >= (B) |
214 | Error | Validate, in section “2.1. Overview of the selection” that (G) = (I) +(J)+ (K) |
216 | Error | Validate, in section “2.1. Overview of the selection” that (G) >= (H) |
220 | Error | Validate, in section “2.2.1. Selection of undertakings proposed for scrutiny” that all data are filled |
222 | Error | Validate, in section “2.2.1. Selection of undertakings proposed for scrutiny” that budget item EAGF outside CAP plan are valid for this MS |
224 | Error | Validate, that Totals in section 2.2.1 are correct |
230 | Error | Validate that section “2.2.2 Confirmation in case the exceptional measures and the emergency measures are not included in the Control Plan” is filled, if row ’08 02 01 00 Agricultural reserve’ is filled in section “2.2.1” |
An example of a validation window:
You can check the list of validation results at any time throughout the Scrutiny Control Plan:
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 Scrutiny Control Plan becomes Validated.
Prepare Scrutiny Control Plan for send to EC
Remark | The Prepare for Send can occur when a User on the highest MS Node wants to indicate that the Scrutiny Control Plan version can be prepared for sending to the Commission, once the Validation Errors have been removed and the status is Validated or Sent (from a lower Node). The User must have the role of MS Paying Agency or MS Coordination Body with Update or Send rights (MSPAu/s or MSCBu/s), for the EAGF fund. If the MS has several Paying Agency and therefore has nominated an MS Coordination Body, then this action should be performed by the MS Coordination Body. |
Click on the Prepare for send to EC button to prepare to send the Scrutiny Control Plan to the Commission:
The system will ask you to confirm the send action:
Click on Confirm to confirm.
The status of the Scrutiny Control Plan is set to Preparing for send to EC.
Send the Scrutiny Control Plan
Remark | The Send can occur when a User wants to send its recorded data on Scrutiny Control Plan version to the Commission or to an upper Node. The Scrutiny Control Plan can only be sent once the Validation Errors have been removed and the status is Ready To Send or Sent (from a lower node). The "4 eyes principle" must be respected. Therefore, the User sending must be different from the User who last validated. The User must have the role of MS Paying Agency or MS Coordination Body with Send rights (MSPAs/MSCBs), for the EAGF fund. If an MS has several Paying Agency and therefore has nominated an MS Coordination Body, then this action should be performed by the MS Coordination Body. |
Click on the Send button to send the Scrutiny Control Plan to the Commission or to an upper Node:
The system will ask you to confirm the send action:
Click on Confirm to confirm. For completing this action, the User will be redirected to the EU Login signature page.
On success, the Scrutiny Control Plan version has been sent to the Commission or to an 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:
|
Request for Revised Scrutiny Control Plan by MS
Remark | The Scrutiny Control Plan can only be revised by MS when a lower Node exists and the status is Sent (to a higher MS node), Open, Validated, Ready to Send or Revision requested by MS. This action can be used when a User wants to request a revision for the Scrutiny Control Plan version sent by the Member State/Region because it is incomplete or incorrect. The User must have the role of MS Paying Agency or MS Coordination Body with Update rights (MSPAu/MSCBu), for the EAGF fund. If an MS has several Paying Agency and therefore has nominated an MS Coordination Body, then this action should be performed by the MS Coordination Body. |
Follow the steps to request for revised Scrutiny Control Plan by MS:
Select the following:
(1) Select the icon with 3 vertical dots.
(2) Click on the Request revision button to request revision from the lower Node.
The system will ask you to confirm the request for revision:
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 Scrutiny Control Plan will be changed to Revision requested by MS and the sender is notified of the action and its reason.
Delete the Scrutiny Control Plan
Remark | The Scrutiny Control Plan can only be deleted when:
The User must have the role of MS Paying Agency or MS Coordination Body with Update rights (MSPAu/MSCBu), for the EAGF fund. If an MS has several Paying Agency and therefore has nominated an MS Coordination Body, then this action should be performed by the MS Coordination Body. The delete is a physical delete and cannot be recovered! |
Follow the steps to remove the Scrutiny Control Plan from the system:
Select the following:
(1) Select the icon with 3 vertical dots.
(2) Click on the Delete button to remove the Scrutiny Control Plan 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 Scrutiny Control Plan.
Cancel the Scrutiny Control Plan
Remark | The Scrutiny Control Plan can only be cancelled when Scrutiny Control Plan version with documents was sent to the Commission and without any previous work version in status Revision requested by EC. The notification utility will be called to notify the Commission of the cancel of the version. The Scrutiny Control Plan version must currently reside on the User's Node and its status is Open, Validated, Ready to send or Revision requested by MS and contains a sent Document and has no previous working version of the same major version in status Revision requested by EC. The User must have the role of MS Paying Agency or MS Coordination Body with Update rights (MSPAu/MSCBu), for the EAGF fund. If an MS has several Paying Agency and therefore has nominated an MS Coordination Body, then this action should be performed by the MS Coordination Body. |
Follow the steps to cancel the Scrutiny Control Plan from the system:
Select the following:
(1) Select the icon with 3 vertical dots.
(2) Click on the Cancel button to cancel the Scrutiny Control Plan 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 Scrutiny Control Plan.
On success, the status of the Scrutiny Control Plan will be changed to Cancelled.
Create New Version of the Scrutiny Control Plan
Remark | A new version of the Scrutiny Control Plan needs to be created when on the last version a revision was requested by the Commission, or can be created when the Member State feels the need to send a revised version. A new version of the Scrutiny Control Plan can only be created when the last working version for the submission period of the Scrutiny Control Plan is in status Revision requested by EC, Cancelled, Sent to the Commission or No Comment by EC. The User must have the role of MS Paying Agency or MS Coordination Body with Update rights (MSPAu/MSCBu), for the EAGF fund. If an MS has several Paying Agency and therefore has nominated an MS Coordination Body, then this action should be performed by the MS Coordination Body. |
Click on the Create button to create a new version of the Scrutiny Control Plan:
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 Scrutiny Control Plan.
On success, a new version of the Scrutiny Control Plan has been created as a copy of the last version, with a version number identical to the previous and a working version number incremented by one. Its status is set to Open.