European Social Fund: participant guidance

Participant files

The following documentation should be retained (where appropriate) on each Participant File.

Referral form

A referral form can be used to evidence both mandatory information and other eligibility criteria (e.g. barriers to employment) where such information has come from a statutory public register (e.g. DWP, SEEMIS) and has been verified (e.g. employment status).  Therefore Referral Forms can be used as reliable evidence as long as:

• the definition of indicators in referrals comply with the definitions of the common indicators as set out in the European Commission 'ESF Monitoring and Evaluation Guidance' document
• they are certified (by the issuing institution) or sent via their dedicated mailbox
• the certifying institutions are public (national or local) authorities with access to the national registers containing relevant data on Participants

It should be noted that it is not mandatory to have a referral form in order to support a participant and there is no requirement for the referral form to be certified if it is not being used as evidence of eligibility. 

A referral form (that has not come from a statutory public register) is not evidence of eligibility unless the supporting evidence documentation has been obtained and verified.

The form should include the following information:

Referral agency details

Including:

• agency Name
• agency Worker Name
• agency Worker Job Role
• office Address
• office Phone Number
• mobile Phone Number
• email Address

Participant details

Including:

• name
• date of Birth
• national Insurance Number
• address (including postcode) – please note participants that (as per the National Rules on Eligibility of Expenditure) are employed (at the point of registration) can be eligible on the basis of the location of their employer/employment. The only exception to this is the Youth Employment Initiative where participants cannot be employed on entry
• home phone number
• mobile phone number
• email address

Employment status

Barriers/disadvantages

Details of genefits (where appropriate)

Including:

• benefits currently being claimed

Additional information (where appropriate)

Including:

• length of time since Participant last worked (in years and months)
• date identified for referral to Work Programme
• description of progress made with referring agency
• details of all other agencies / services involved with the participant
• justification outlining why the participant has been referred

A referral form can be used to evidence both mandatory information and other eligibility criteria (e.g. barriers to employment) where such information has come from a statutory public register (e.g. DWP, SEEMIS) and has been verified (e.g. employment status). Therefore Referral Forms can be used as reliable evidence as long as:

• the definition of indicators in referrals comply with the definitions of the common indicators as set out in the European Commission 'ESF Monitoring and Evaluation Guidance' document
• they are certified (by the issuing institution) or sent via their dedicated mailbox
• the certifying institutions are public (national or local) authorities with access to the national registers containing relevant data on participants

Registration form

Lead Partners should ensure that when delivery agents or delivery organisations are collecting participant information that appropriate documentary evidence is retained. Personal characteristics which are necessary to determine the eligibility of the participant (e.g. D.O.B; Legally able to reside and, if relevant to the operation, work), address (for YEI only) and Employment Status should be evidenced by supporting documents. All ESF registration forms should include information detailing a participant's address and postcode.

Self-declaration will be acceptable in certain limited circumstances (e.g. inactive individuals; individuals living in jobless households; no or limited work experience; etc.). Any clarification should be sought from the Managing Authority.

Participants must meet the appropriate eligibility criteria and should be either a legal resident of the UK or be eligible to take up paid employment in an EU state. If the participant is a refugee or asylum seeker, the appropriate guidance must be followed and documentation checked accordingly.

The form should include the following information:

Project details

Including:

• project Name
• project Reference Number
• date of Registration
• details of Referring Agency (where appropriate)
• work Programme Eligibility Check (where appropriate)
• start Date

Participant details

Including:

• name
• client Registration Number
• key/Project Worker
• date of Birth
• national Insurance Number
• current nationality
• place/country of birth
• address (including postcode)
• home phone number
• mobile phone number
• email address

Description of project expectations

For example:

• what is the single most important thing stopping you from getting the work you want?
• what do you hope to get out of working with the project?
• what are your long-term goals?

Employment status

I.e:

• unemployed
• long Term Unemployed
• economically Inactive
• inactive, not in education or training
• employed (including self-employed)

In addition, details should be provided outlining the timescales involved e.g.:

Unemployed	Inactive	Employed	In education/training
0-6 months
7-12 months
12-24 months
25-36 months

Please note that this should relate to an individual’s employment status at the point of registration.

In addition, a participant can only be counted within one of the following groups: employed, inactive or unemployed.

Barriers/disadvantages

(Any status or barrier with ** relae to the commin indicators, with those with *** being treated as "other disadvanted".)

• above 54 years of age **
• armed Forces Veteran  ***
• asylum seeker ***
• at risk of becoming NEET ***
• criminal convictions ***
• disability **
• from Employment Deprived Areas ***
• from Remote Rural Areas **
• from Rural Areas **
• homeless or affected by housing exclusion **
• living in a jobless household
• living in a jobless household with dependent children
• living in a single adult household with dependent children
• long-term physical illness/condition **
• long-term unemployed **
• looked after young person ***
• low income employed ***
• low income (social inclusion and poverty only) ***
• low skilled ***
• material Deprivation ***
• mental health issues ***
• migrants, people with a foreign background, minorities (including marginalised communities such as the Roma) **
• no or limited work experience ***
• primary carer of a child/children (under 18) or adult ***
• primary carer of older person ***
• refugee ***
• substance related conditions ***
• underemployed ***
• employed Status affected by Covid-19 ***
• young People aged <25 impacted by Covid-19 ***
• households where the youngest dependent is aged less than 1 ***
• households with 3 dependents or more ***

Details of benefits

For example:

• Job Seekers Allowance
• Education Maintenance Allowance
• Carers Allowance
• Income Support
• Incapacity Benefit/ESA
• Housing Benefit
• Working Tax Credit (WTC)
• Council Tax Benefit
• Disability Living Allowance/Personal Independence Payment
• Child Tax Credit
• Child Benefit
• childcare element of WTC
• Universal Credit
• other

Highest Level of the ISCED Qualification Levels (1 to 8) on Entry

Please note that EUMIS records an individual's highest level of qualification/education attainment at registration rather than their highest certificated qualification level (although often these equate to the same ISCED level). As recorded in the qualifications table within the ‘Scottish Qualifications and UNESCO ISCED Levels’ section, ISCED Level 1 is equivalent to completing primary school education – therefore most Participants will generally have a minimum of ISCED Level 1.

Additional information (where appropriate)

For example:

• length of time since Participant last worked (in years and months)
• whether the Participant is a ‘Workforce Returner’
• details of any other agencies/services that the Participant is engaged with
• description of Participants Skills and attributes
• does the Participant have an active ILA account?
• does the Participant have a valid driving licence and/or access to transport?

The form should also include an Equalities Monitoring section including:

Age

• below 25 Years of age
• above 54 years of age

Does the Participant consider themselves to have a disability?

Citizenship status

• citizenship status

• EU Citizen
• UK visa holder
• asylum Seeker
• refugee
• other

Gender

• male
• female

Ethnicity

• white - Scottish
• white – English
• white – Welsh
• white – Irish
• white – Gypsy/Traveller/Roma
• white – other
• Asian Pakistani
• Asian - Indian
• Asian – Bangladeshi
• Asian – Chinese
• Asian – other
• black – African
• black – Caribbean
• black – other
• multi-ethnic background
• other – Arab
• other ethnic background

Each form should be signed and dated by both the participant and a Project Worker.

In addition, the participant must be made aware that they are receiving ESF support and appropriate logos must be used.

Work/learning plan

This should be signed and dated by the participant and Project Worker.

Record of referral to other support

Including:

• Project Worker notes (e.g. meetings, telephone conversations etc.)
• copies of all correspondence

Record of all activities and support provided

Including:

• attendance records
• Project Worker notes (e.g.. meetings, telephone conversations etc)
• copies of all correspondence
• evidence of progression through stages of pipeline

Proof of any outcomes                                                                                                     

Including:

• job offer letters
• qualifications

Leavers form/exit Information

This should be signed by the Participant and Project Worker.

Record of all follow-up action

Including:

• 6 month follow-up
• extension of employment