European Structural Funds 2014-2020 Programmes: evidence required for verification checks - achievements and expenditure

Stage 1

Once support complete

• referral form – where appropriate
• registration form – signed/dated by the participant
• proof of participant eligibility e.g. legal right to live and work (where applicable) in the UK; employment status, date of birth, multiple barriers, details of benefits (where appropriate)

• personalised action plan – signed/dated by both the Participant and Delivery Staff

Barrier removal

Once support commences

• record of referral to other support within the pipeline (where appropriate)
• record of all activities undertaken e.g. file notes; signed attendance records; case worker notes; copies of all correspondence; evidence of progression through stages of the pipeline

Vocational activity

Once support complete

• record of referral to other support within the pipeline (where appropriate)
• record of all activities undertaken e.g. file notes; signed attendance records; case worker notes; copies of all correspondence; evidence of job searching; evidence of non-accredited training/qualifications; evidence of progression through stages of the pipeline

Accredited training

Once support complete

• record of all activities undertaken e.g. file notes; signed attendance records; case worker notes; qualification certificates

Stage 4 - work ready participant support

Once support complete

• record of all activities undertaken e.g. file notes; signed attendance records; case worker notes; evidence of job searching / job matching; copies of cv

Wage subsidy

Once wage subsidy complete

• referral form – where appropriate
• registration form – signed/dated by the participant
• proof of Participant Eligibility e.g. legal right to live and work in the UK; employment status, minimum working age, multiple barriers, details of benefits (where appropriate
• record of all activities undertaken e.g. file notes; case worker notes
• evidence of employment e.g. contract of employment

Please note this only relates to evidence required as part of the participant record check – additional documentation will be required to evidence financial compliance i.e. payslips, employer bank statements etc.

Stage 5 - In-work participant support

Once support complete

• record of all activities undertaken e.g. file notes; signed attendance records; case worker notes; qualification certificates

Local Authority

Engagement

N/A

• record of all activities undertaken e.g. file notes; case worker notes etc
• referral form (signed/dated) – where appropriate

Local Authority

Registration

Once support complete

• referral form – where appropriate
• registration form – signed/dated by the participant
• proof of Participant Eligibility e.g. legal right to live and work (where applicable) in the UK, evidence that the participant is within one of the key target groups - workless, lone parent or low income households etc.

Local Authority

Intensive barrier removal

Once support commences

• record of referral to other services (where appropriate)
• record of all activities undertaken e.g. file notes; signed attendance records; case worker notes; copies of all correspondence

Local Authority

Intensive financial inclusion activity

Once support complete

• record of all activities undertaken e.g., file notes; signed attendance records; caseworker notes copies of correspondence

Local Authority

Intensive fuel poverty activity

Once support complete

• record of all activities undertaken e.g., file notes; signed attendance records; caseworker notes; copies of correspondence

Local Authority

Vocational activity/training

Once support complete

• record of all activities undertaken e.g. file notes; signed attendance records; case worker notes; copies of all correspondence; evidence of job searching; evidence of non-accredited training/qualifications

Local Authority

Progression to pipeline

Once participant registers with the pipeline

• Employability pipeline registration form – signed/dated by the participant

Local Authority

New poverty/inclusion support services implemented

Once new service is launched and available

• record of all activities undertaken

Local Authority/Big Lottery Fund

Social Inclusion/Poverty Reduction Workshops delivered

Once workshop has been delivered

• record of all activities undertaken e.g. publicity materials, attendance records etc.

Scottish Government

Grant support

Once grant has been awarded and first payment has been made

• see full client file to show assessment and support provided
• registration form (including demonstrating eligibility, where appropriate, e.g. for SME, visit the European Commission guidance)
• appraisal form or similar showing eligible for support
• State Aid assessment if applicable
• record of support e.g. support provided, events attended, support procured on their behalf
• proof of any outcomes

Scottish Government

Community based or community led services supported

Once grant has been awarded and first payment has been made

• detail of new community based or led service supported and available (e.g. newspaper adverts, articles, photographs, website)

Scottish Government

Individuals receiving entrepreneurial-focused development support

Once new service is launched and available

• proof of current employment e.g. evidence from employer
• registration form – signed/dated by the participant
• completion form – signed/dated by the participant

Scottish Government

SMEs supported (including cooperative enterprises, enterprises of the social economy)

Once grant has been awarded and first payment has been made

• record of all activities undertaken

Registration

Once support complete

• referral form – where appropriate
• registration/enrolment form – signed and dated by the participant
• proof of Participant Eligibility e.g. legal right to live and work (where applicable) in the UK; employment status, date of birth; proof of qualifications on entry (where appropriate)
• Personalised Action Plan – signed/dated by both the Participant and Delivery Staff
• extended Learner Support documentation

Vocational activity/training

Once support complete

• record of referral – where appropriate
• record of all activities undertaken e.g. file notes; signed attendance records; case worker notes; copies of all correspondence; evidence of job searching; evidence of non-accredited training/qualifications

Accredited training

Once support complete

• records of participation e.g. enrolment form
• proof of achievement of units/modules from the awarding bodies e.g. SQA Navigator
• Learner Action Plan/Learner Agreements
• attendance records
• proof of engagement with learning and/or coursework

Participant allowance (Bursary) payments

Once support complete

• signed application form
• signed award acceptance form
• any correspondence relating to Bursary
• attendance record (please note: attendance rate has to meet the Bursary terms and conditions and Training Provider's rules for monitoring attendance)
• evidence of payments to Participant - BACS/Bank Statement

Student Support Payments

Once support complete

• signed application form, or student support award acceptance form
• attendance records (please note: attendance rate has to meet the Student Support Payments terms and conditions and Training Provider's rules for monitoring attendance)
• invoices from childcare providers
• calculation to support the amount being paid
• evidence of payments made - BACS/Bank Statement

Wage subsidy

Once wage subsidy complete

• referral form – where appropriate
• registration form – signed/dated by the participant
• proof of participant eligibility e.g. legal right to live and work (where applicable) in the UK; employment status, date of birth, details of benefits (where appropriate)
• record of all activities undertaken e.g. file notes; case worker notes
• evidence of employment i.e. contract of employment

Please note this only relates to evidence required as part of the participant record check – additional documentation will be required to evidence financial compliance i.e. payslips, employer bank statements etc.

Supported ERDF reipient (Non-Financial Support) ERDF priority 3

Once one full day’s support (minimum seven hours) complete

Evidence should include all of the following (see full client file to show assessment and support provided):

• registration form (including demonstrating eligibility, where appropriate, e.g. for SME status at time of requesting support). LPs can use the MA SME Template, available via our website (1). See European Commission guidance)
• appraisal form or similar showing eligible for support
• state aid assessment if applicable
• award letter from the lead partner/record of support e.g. support provided, events attended, support procured on their behalf
• certified documentary evidence that shows a breakdown of the seven hours from the advisor/contractor with a short description of activity (2)
• where support is in the form of a workshop/event, evidence can include: registration form, agenda (including length of time), completed sign in sheet & outcomes/feedback/evaluation forms required as evidence
• ERDF acknowledgement, logo
• proof of outcomes

(1) Sole traders or start-up businesses, who are not registered on Companies House are exempt from providing this information. As long as it is recorded somewhere in the supporting paperwork, this will suffice. Where a business has dissolved since they received a grant, the LP will not be expected to pay back the money. As long as the business used the money for the sole purpose stated in the grant offer. The LP should provide evidence that the business has dissolved. If a business or LP is unable to provide the information to support the SME template, then a discussion would need to take place whether or not to accept the claim. Please discuss this with the MA.

(2) LPs must provide this evidence for all non-financial support which has taken place after issue of the revised National Rules (V7, issued 1 March 2018). However, for activity which had already taken place prior to revision of the National Rules, it may be difficult for LPs to fulfil the certification requirement, particularly where a contractor has been used & there is no longer any contact with that contractor. In such cases, the LP must be able to evidence that reasonable attempts have been made to secure the necessary certification. However, where LPs are still unable to provide the certification, the MA will accept a statement (on headed paper) from the contractor or the enterprise provided that the support received is clearly detailed & equates to at least one day (seven hours). An invoice stating that one day of support has been provided is not sufficient.

Supported ERDF recipient (Non-Financial Support) ERDF priority 4 and 6

Once one full day’s support (minimum seven hours or equivalent) complete

Evidence should include all of the following:

• an achievement should be claimed/aligned to the output indicators “low carbon projects receiving non-financial support” and “organisations and enterprises receiving non-financial support”
• evidence is required to support an equivalent of one day’s support (7 hours) for this achievement and output to be claimed - (typically) in the form of a comprehensive report of recommendations or detailed business plan specific to the recipient or project

Supported ERDF recepient (Financial Support)

Once grant has been awarded and first payment has been made

Evidence should include all of the following (see full client file to show assessment and support provided):

• registration form (including demonstrating eligibility, where appropriate, e.g. for SME status at time of requesting support). LPs can use the MA SME Template, available via our website (1). See European Commission guidance)
• appraisal form or similar showing eligible for support
• State Aid assessment if applicable
• record of support e.g. grant application, assessment and award letter
• ERDF acknowledgement, logo
• recipient grant claim form
• invoice and bank statement SME paying company
• invoice from SME to project
• project paying grant

(1) Sole traders or start-up businesses, who are not registered on Companies House are exempt from providing this information. As long as it is recorded somewhere in the supporting paperwork, this will suffice. Where a business has dissolved since they received a grant, the LP will not be expected to pay back the money. As long as the business used the money for the sole purpose stated in the grant offer. The LP should provide evidence that the business has dissolved. If a business or LP is unable to provide the information to support the SME template, then a discussion would need to take place whether or not to accept the claim. Please discuss this with the MA.

Supported ERDF Recipient (Financial Support – Non Grants)

Once financial support has been awarded and first payment has been made

Evidence should include all of the following:

• registration form (including demonstrating eligibility, where appropriate, e.g. for SME status at time of requesting support). LPs can use the MA SME Template, available via our website (1). See European Commission guidance)

• appraisal form or similar showing eligible for support
• State Aid assessment if applicable
• record of support e.g. application, assessment and award, loan/grant agreement for the lead partner/delivery agents making the investments as well as evidence of investment defrayal by way of bank statements
• ERDF acknowledgement, logo
• proof of outcomes

(1) Sole traders or start-up businesses, who are not registered on Companies House are exempt from providing this information. As long as it is recorded somewhere in the supporting paperwork, this will suffice. Where a business has dissolved since they received a grant, the LP will not be expected to pay back the money. As long as the business used the money for the sole purpose stated in the grant offer. The LP should provide evidence that the business has dissolved. If a business or LP is unable to provide the information to support the SME template, then a discussion would need to take place whether or not to accept the claim. Please discuss this with the MA.

Where units/achievements are linked to non-recipient activity i.e. not directly related to a specific participant/recipient, the evidence will need to be discussed on a case-by-case basis with your Portfolio and Compliance Manager due to the wide range of activities that can be delivered. The activities are targeted at end users i.e. communities, general public, organisations, educational and/or research.

Evidence may include one or more of the following (list is not exhaustive):

• website
• screenshots
• any report indicating steps required to achieve outcomes as per application for support
• case studies
• leaflets
• URL links on Open Data Platforms
• copy of signed delivery contract between LP and DA
• copy of signed acceptance of delivery contract between LP and DA
• photographs (before and after where applicable)
• newspaper articles
• adverts
• feedback forms/questionnaires
• surveys
• impact studies/assessments
• event participation records/registration sheets
• existing data sources (before and after) e.g. Scotland’s Greenspace Map, Vacant and Derelict Land Register