Table of contents
Getting Started
Related pages
- Audits (
concerns only audited organisations) - Information for audit firms ( concerns only to audit firms)
- Audit roles ( concerns only to audited organisations)
- Audit firm roles ( concerns only to audit firms)
Description
A formal notification (FN) is the sending of a registered document. This process enables EU Auditors and Audit Contacts (AUCOs) of audited organisations or External Auditors of an Audit Firm to upload a document which will then be registered and sent to the other party.
This page covers the handling of Formal Notification within the context of the Audit Management System (AMS). For more generic information about the Formal Notifications section within the left-side navigation menu in the Portal, consult Formal Notifications .
Who can send formal notifications?
The Audit Contacts (AuCo) of an audited organisation can send a formal notification to the EU.
The EU can also send formal notifications both to the auditee and to the external audit firm.
External audit firms
Audit firms cannot send formal notifications, but can receive Formal notifications sent by the EU to them, see the following sections for further information:
See Information for audit firms for more information.
How to manage formal notifications
Log in to the Funding & Tenders Portal. Go to Formal Notifications under the left-side navigation menu. This page lists all the formal notifications that you have received for your projects, proposals and audits of your organisation. Typically, LEARs and Account Administrators are the ones receiving the Formal Notifications, but the audit contact of the audited organisation receive those linked to audits.
If a formal notification is addressed to you, you also acknowledge the receipt via this page.
Sending a formal notification to the EU
Only for audited organisations
Audited organisations can send Formal Notifications to the EU (only to the EU).
To initiate a new formal notification, the Audit Contacts (AuCos) access the Funding & Tenders Portal. Go to Audits centre and select Access Audit from the Actions drop down menu for an audit (to see an audit under Audits centre you and the audit need to be assigned to a team, see Audit Roles for more information). You will arrive to the Audit Management Services (AMS).
In AMS, the following steps need to be followed:
Launch new interaction with the EU
Click the Launch new interaction with the EU button. The button is available in the audit, process and task screens.
Then, click the Launch button to open the Formal Notification screen. If you previously saved a draft, you will see an Edit button instead of the Launch button. The Formal Notification will be automatically linked to the current audit as reference.
Prepare a Formal Notification
Provide a title for your FN, select the process reference and upload your document (click on upload). You may upload more than one document if needed.
Save or send your FN
Then click on Save if you want to keep a draft to update later, or click on the three dots and select Send to send it.
Be aware that the FN is linked to the user sending it. Therefore, if you save it as a draft, only you will be able to edit it afterwards and the other users will not be able to access it. Once the FN has been acknowledged by the EU, the sender will receive a message on the Portal (PNS, consult Content Centre for more information).
Check your FNs
To see the FN you sent, from the audit the audit screen, click on the three dots and select View Inbound Formal Notifications (this option is only available from the audit screen, on the process or task screens the option is not available).
If the FN has been acknowledged by the EU, you will see the 
icon next to it, whereas it is shown with icon 
while it has not been acknowledged:
Acknowledging a formal notification from the EU
Applicable to audited organisations and audit firms
EU services can send a formal notification to the auditee or to the audit firm. This procedure describes how to acknowledge such a notification. No further action is expected apart from the acknowledgement of the notification.
To acknowledge a formal notification from the EU, proceed as follows:
Access a Formal Notifications in the Portal
Click on Formal Notifications. Then click on the Formal Notification from the EU to access it.
Sign with your EU Login credentials
Enter your EU Login password to sign the acknowledgement.
The first of the recipients ('TO:') opening the formal notification needs to perform an EU Login first, before the download can take place.
After signing, the letter will open in a new tab. If it does not, click on the download icon to open it.
The non-recipients ('Cc:') that have access to the corresponding process document library in the Audit Management Services (AMS) (see more about it below) can download and view the document only after acknowledgement or expiry of the acknowledgement delay, whichever comes first.
Note: If the acknowledgement is overdue, the formal notification becomes 'expired' in the Funding & Tenders Portal, the process, when linked to one, will be automatically moved to the next step. The recipients have 15 days to acknowledge the notification.
The FN has been acknowledged
The EU Auditor can now see that you have acknowledged the document. Back on your list of Formal Notifications (Formal Notifications section) you will see that it appears as read.
Acknowledging a formal notification from the EU with observations
Applicable to audited organisations and audit firms
EU services can send a formal notifications to the auditee giving the possibility to provide observations on the content of the notification. This procedure describes how to acknowledge such a notification and submit your observations.
For specific information on how to provide the observations, see Audit Formal Notification - EU Services initiated
This is not applicable to audit firms.
This covers formal notifications which are NOT part from the in-house or outsource processes and that you have been requested to provide observations. Proceed as follows to acknowledge this kind of notification:
Access your Formal Notifications in the Portal
Click on Formal Notifications. Then click on the Formal Notification from the EU to accesses it.
Sign with your EU Login credentials
Enter your EU Login password to sign the acknowledgement.
The first of the recipients ('TO:') opening the formal notification needs to perform an EU Login first, before the download can take place.
After signing, the letter will open in a new tab. If it does not, click on the download icon to open it.
The non-recipients ('Cc:') that have access to the corresponding process document library in the Audit Management Services (AMS) (see more about it below) can download and view the document only after acknowledgement or expiration of the acknowledgement delay, whichever comes first.
Note: If the acknowledgement is overdue, the formal notification becomes 'expired' in the Funding & Tenders Portal, the process, when linked to one, will be automatically moved to the next step. The recipients have 15 days to acknowledge the notification.
Access the Process to provide observations
After acknowledging the formal notification, it will appear listed in the Audit process(es) screen.
For more information on the steps to follow from here, see Audit Formal Notification - EU Services initiated