Claims Guidance for Grant Recipients V5 -Final · Annex 1: Progress Report ... 3.10 The Grant Recipient must notify the Managing Authority promptly if at any time it

European Social Fund Programme for England 2014-2020

Claims Process - Guidance for Grant Recipients

2 ESF Claims process – Guidance for Grant Recipients Version: 5.0 Published: 19 July 2018

Contents

1.0 Introduction .................................................................................................................. 3

2.0 Timing ........................................................................................................................... 4

3.0 Claim Process .............................................................................................................. 4

4.0 Financial Information ................................................................................................... 6

5.0 Transactions List ......................................................................................................... 6

6.0 Participant Data Schema ........................................................................................... 13

7.0 ESF Dual Forecast & Submission Form .................................................................. 14

8.0 Expenditure Forecast ................................................................................................ 15

9.0 Outputs Forecast and Results Forecast .................................................................. 15

10.0 Procurement ............................................................................................................. 16

11.0 ESF Progress Report ............................................................................................... 17

12.0 Desk-Based Evidence Check .................................................................................. 17

Annex 1: Progress Report ............................................................................................... 21

Annex 2 - Revenue Cost Categories Desk Based Checks – Evidence to be provided to the Managing Authority .............................................................................................. 24

Annex 3: Helpsheet for Invoice Transactions ............................................................... 27

Annex 4: Help sheet Template for Salary Transactions ............................................... 28

Annex 5: Glossary ........................................................................................................... 30

Annex 6: Common Claim Errors ..................................................................................... 31

Annex 7: Output and Results Scenarios ........................................................................ 32


1.0 Introduction 1.01 This guidance should be read in conjunction with the terms and conditions set out in

your ESIF Funding Agreement including the projects approved final full application for ESIF funding. These documents set out the eligible parameters, scope of activities and the key deliverables that are to be reported to the Managing Authority (Managing Authority)1.

1.02 In order for the Grant Recipient to report on delivery and draw down ESF Grant

Funding in line with the terms and conditions set out in the Funding Agreement, an application for reimbursement ‘Grant Claim’ must be made.

1.03 All Claims should be submitted via EClaims (Electronic Claims and Information

Management System). 1.04 Before any payments can be processed the Grant Recipient must have completed

and returned a fully accurate ‘Bank Details Form’ to the ESF Managing Authority. A blank form will be sent to the Grant Recipient with their new Funding Agreement and, once accurately completed and returned, this will allow the Managing Authority to enable actual payment.

1.05 A Project Inception Visit must also have taken place prior to submission of your first

claim and, following this visit, the ESF Managing Authority should have confirmed in writing, usually via email, that the Grant Recipient cleared to start submitting financial claims.

1.06 The Grant Recipient must ensure from the outset that robust and suitable systems

and processes are in place locally in order to maintain adequate audit trails and manage information effectively and efficiently. All project information must be retained and made available for verification or any audit throughout delivery and post completion under the retention of documentation requirements in accordance with the European Social Fund document retention guidance and section 18 of the European Social Fund programme guidance.

1.07 Unless agreed otherwise with the ESF Managing Authority, the first submitted claim

should include all spend/activity undertaken on the project up to and including the current Claim Instalment Period. The Grant Recipient must ensure that any expenditure included in the first claim meets the relevant defrayal rules set out in this guidance.

1.08 Your ESF Contract Manager will contact you regarding the Final Claim process up

to 6 months’ prior to any final Claim.

1 For European Social Fund (ESF) projects outside London the Managing Authority is the Department for Work and Pensions. In London, the Greater London Authority, as an Intermediate Body undertakes a number of Managing Authority functions’.

https://www.gov.uk/government/publications/european-structural-and-investment-funds-document-retention

https://www.gov.uk/government/publications/european-structural-and-investment-funds-programme-guidance



2.0 Timing 2.01 Claims must be submitted to the ESF Managing Authority in arrears, via EClaims,

reporting on a pre-defined period of actual activity. This is referred to as the ‘Claim Instalment Period’.

2.02 Claim Instalment Periods are confirmed within the project specific conditions

contained within the Funding Agreement, these are based on calendar quarters as detailed below:

Quarter 1 - 1 January - 31 March

Quarter 2 - 1 April - 30 June

Quarter 3 - 1 July - 30 September

Quarter 4 - 1 October – 31 December 2.03 Claims are determined by the Claims Schedule set for the project, and Claims

(including ‘Nil Claims’) must be started in chronological order - Grant Recipients cannot start a new Claim on EClaims until the Claim for the previous Claim Period has been started.

2.04 Claims must be submitted to the Managing Authority within 25 working days of the

end of each Claim Instalment Period. 2.05 The Managing Authority will aim to finalise payment into the Grant Recipient’s Bank

Account within 30 working days from the point at which all claim information is agreed by the ESF Managing Authority as correct and complete, including the conclusion of any desk-based evidence checks (i.e. there are no outstanding issues, actions or concerns that could potentially lead to an Irregularity).

3.0 Claim Process 3.01 The claim process is an integral part of the contract management and control

environment employed by the Managing Authority in managing the Programme. Although Claims are a mechanism for Grant Recipients to draw down their ESIF Grant it also provides key information on project progress and performance. The information provided enables the Managing Authority to obtain assurances and carry out Desk Based Verification on the validity of the activities currently undertaken and the on-going project delivery.

3.02 All claims should be submitted to the Managing Authority via EClaims. The following

documentation should be uploaded as supporting documentation:

ESF Participant Data Schema (not application to Investment Priority 2.2 and Priority Axis 3 outputs or results)

ESF Transaction List

ESF Dual Forecast and Submission Form (including the signed claim form)

3.03 Each project must also submit a narrative Progress Report with their quarterly claim. The Progress Report information should be recorded directly into the relevant


relevant screen(s) and fields in EClaims. By exception, subject to agreement with their Contract Manager, a project may be allowed to provide their report via a separate document which must then be uploaded into EClaims. Regardless of whether they choose direct input, or a separate document, the Grant Recipient must ensure all required Progress Report sections/topics as set out in the EClaims Progress Report screens are fully covered.

3.04 Projects who are delivering activities under Investment Priority 2.2 must report

progress against their Output and Result profiles in both the ESF Dual Forecast and Submission Form and their Progress Report as per Action Note 002/17 published here on GOV.UK. This should include numerical performance against profiles, as well as any specific narrative progress update. ESF Technical Assistance projects should also report progress against their specific ESF output and result indicators in each of their quarterly Progress Reports.

3.05 As part of the Project Inception Visit process, Grant Recipients should have already

identified staff to perform the ‘Claim Editor’ role in EClaims – bearing in mind that financial claims can only be generated and submitted in EClaims by individuals who have been assigned the ‘Claim Editor’ user role, including uploading of any supporting documents.

3.06 Grant Recipients must ensure that the final compiled claim is checked by a ‘Claim

Reviewer’ in their organisation prior to submission of the claim via EClaims. The ‘Claim Reviewer’ must be an individual who has been named as an ‘Authorised Signatory’ on the project’s Bank Details previously submitted to the Managing Authority and they must record their action in EClaims.

3.07 If a Grant Recipient submits a claim without ‘Claim Reviewer’ action recorded in

EClaims, or if the ‘Claim Reviewer’ is not a recognised ‘Authorised Signatory’ for the project, the claim will be rejected by the Managing Authority and returned to the Grant Recipient for remedial action.

3.08 Claims are to be submitted in arrears for each Instalment Period and only eligible

expenditure defrayed (incurred and ‘paid’, i.e. cleared bank account) by the end of that period can be included in the Claim for reimbursement. It is acceptable to include expenditure defrayed in previous periods in the Claim, as long as they have not already been included in another Claim and a statement has been included in the expenditure description field confirming this.

3.09 At the point each Claim is submitted to the Managing Authority on EClaims, the

Grant Recipient must notify their ESF Contract Manager via email, to ensure timely action can be completed to check the information provided, request desk-based evidence where applicable and authorise and approve the resulting payment.

3.10 The Grant Recipient must notify the Managing Authority promptly if at any time it

becomes aware that it is unable to make a Grant Claim in accordance with the outlined timescales or in accordance with the expenditure profile.

3.11 In the event that no expenditure has been defrayed during the Instalment Period a

‘Nil Claim’ must still be submitted. Once a Project has been cleared by the Managing Authority to make their first Claim, all Claims thereafter - including ‘Nil

https://www.gov.uk/government/publications/esf-action-notes-2014-to-2020-programme


Claims’ – must include a Progress Report. Progress Reports provide details of progress towards delivery and achievement of the project objectives/activities, expenditure forecast and Outputs and Results forecast.

3.12 If at any stage the Grant Recipient identifies any mistakes or omissions in any of its

Claims, whether paid or in the process of being paid, they should contact their Contract Manager as soon as possible.

3.13 Where clerical and/or technical errors are identified on Claims that have already

been paid, Grant Recipients will need to contact their Contract Manager.

4.0 Financial Information 4.01 This section is aimed to guide you through the key areas to check when collating

the detail for your Claim. 4.02 All expenditure which is to be claimed must:

Fall within the agreed scope of the project activities and within the agreed expenditure categories defined in the financial tables within the Funding Agreement.

Conform to all respects of the eligibility criteria as set out in the National eligibility rules for the 2014 to 2020 European Social Fund.

Be defrayed (i.e. paid and cleared the applicant’s bank account) by the end date of the Claim Instalment Period. The date paid is the date the payment appears on your bank statement. For large organisations the BACS defrayal date may be acceptable, this should be discussed with the Managing Authority.

Only include ‘Flat Rate’ costs of either 15% or 40% as outlined in your Funding Agreement; this will have been formally agreed during the appraisal process.

Only include Irrecoverable VAT if this has been agreed as an eligible cost with the Managing Authority during the Full Appraisal process.

Be able to be backed up by a full audit trail containing all original source documentation from receipted invoices to bank statements and accounting documents of equivalent verifiable value. These need to be maintained and made available for verification checks and audits. These documents must be retained in accordance with European Social Fund document retention guidance and section 18 of the European Social Fund programme guidance.

5.0 Transactions List 5.01 A transaction list, itemising each item of expenditure, must be uploaded directly into

EClaims to support each Claim. This Transaction List (Transaction List) must provide the Managing Authority, or any other audit body, with clear detail relating to all the costs being claimed. It is important that this information is entered accurately and provides a clear description of the costs to enable the reader to determine their eligibility. The use of acronyms and jargon should be avoided to aid clarity to the reader.

https://www.gov.uk/government/publications/european-structural-and-investment-funds-eligibility-documents







5.02 The Transaction List spread sheet contains three tabs entitled ‘Guidance’,

‘Transactions’ and ‘Summary’. The Transaction List is designed to enable upload to EClaims.

It is strongly recommended that the ‘Guidance’ tab is consulted before attempting to

populate the ‘Transactions’ tab. If at any time you are unsure of the level of detail required after checking with guidance, please check with your Contract Manager before uploading.

5.03 The details required when completing the Transaction List screen in EClaims are

explained below along with descriptions on whether these are mandatory fields, and what they are validated against.

Note: a) The fields labelled as mandatory below are those which will automatically be

validated by EClaims and if they are not completed accurately, the Claim will be rejected.

b) For data collection purposes all fields must be completed where possible regardless of whether they are labelled as mandatory or not.

c) All monetary figures must be to 2 decimal places; .005 and above, rounded to .01; .004 and below, rounded to .00

d) Dates should be added in with slashes (eg DD/MM/YYYY) as EClaims will not accept full-stops - and will automatically change to YYYY-MM-DD when the ‘Export’ button is pressed.

e) Once the Transaction List has been completed the ‘Export’ button will need to

be pressed prior to submission to EClaims. This button creates a spreadsheet which is in a format that EClaims can accept i.e without macros or any other formatting.

For instructions on uploading the Transaction List please refer to the “ESF EClaims External Users Guidance” published here on GOV.UK.

Cost Category

(Mandatory) Select the eligible cost as agreed and set out in your grant Funding Agreement. The headings you must select from are:

ESF - direct staff costs

ESF - other direct costs

YEI - direct staff costs

YEI - other direct costs

Note: Do not use ‘Match-direct staff costs’ or ‘Match-other direct costs’. ESF and associated Match costs must be entered as a total combined cost under ESF direct

https://www.gov.uk/government/publications/esf-claim-applications-and-self-declared-adjustments


staff costs or ESF other direct costs. The Managing Authority will calculate the percentage of Match based on the contribution rate – the payment will be based on the contribution rate within the project.

So for example:

for an ESF project, the Grant Recipient should complete one line which must include both the amount of ESF and Match claimed. The Managing Authority will pay Claims at the intervention rate applicable to your project as detailed in the financial annex within your Funding Agreement.

for a YEI project, the Grant Recipient should complete the Transaction List with two lines for each cost. Line one being YEI, then on line two enter the ESF and Match combined. The Managing Authority will split the amount claimed (on line two) based on the intervention rate applicable to your project as above and the YEI line will be paid at 100%, as detailed in the financial annex within your Funding Agreement.

The following cost categories do not apply to Direct Bid projects and must not be used:

ESF - CFO Admin

ESF - Contract Costs

Match - Contract Costs

Delivery Partner

(Mandatory) If your project has Delivery Partners, you must insert the ID number applicable to that Delivery Partner in column C of the Transaction List. You must record this value in Column C against all transaction lines relating to that partner. If your project has no delivery partners, please enter a ‘0’ into column C on each transaction line. You can find the correct ID number for each of your Delivery Partners in EClaims by visiting the `Full Application` option from the left hand menu on your project screen in EClaims and scrolling down to the Delivery Partner table. If you have an existing Delivery Partner and their information is not recorded in the Delivery Partner table in EClaims, you will need to add their information to the table before you can include them in your financial claim. If you have a new Delivery Partner, you must submit a Project Change Request to the Managing Authority first for approval, before including them in the Delivery Partner table and any Financial Claims.

Priority Axis (Mandatory) Select the applicable Priority Axis as agreed and specified in your grant Funding Agreement.


Investment Priority (Mandatory) Select the applicable Investment Priority as agreed and specified in your grant Funding Agreement. Note: For YEI Claims you must select Investment Priority 1.3a for the YEI portion of your expenditure for each financial transaction and Investment Priority 1.3b for the Match and/or ESF element, failing to do so will result in your payment being incorrect.

Procurement Contract ID (Mandatory) If a transaction line is as a result of Procurement undertaken by your project, you should record the relevant Procurement Record ID number in Column F in each case. The Procurement Record ID number can be found in the Procurement Register for your ESF project on EClaims. In order to be included in a claim, the procurement must have already been included in your Funding Agreement and/or a subsequent Funding Agreement Variation, as well as in the Procurement Register for your project in EClaims.

If this is a brand new procurement, not previously agreed with the ESF Managing Authority, you should contact your ESF Contract Manager prior to including any related costs in your claim, as a Project Change Request may be needed. If the procurement has been previously agreed, but is not listed in the Procurement Register in EClaims, you can add the procurement details to the register yourself. If the transaction line is not a result of procurement by your project, then please leave column F blank.

Supplier Name (Mandatory – in any format) Enter the name of supplier, creditor / payee or employee.

Supplier VAT number Enter the supplier VAT number.

Invoice Reference (Mandatory – in any format) Invoice / receipt or reference number. All documents should be given a separate unique reference number to clearly identify the item of expenditure for audit purposes.

Invoice Date (Mandatory) Date of the invoice or if a salary cost, the date posted on your accounting system. As stated above dates can be added in using slashes –as


EClaims will not accept full-stops - and will automatically change to YYYY-MM-DD when the ‘Export’ button is pressed.

Defrayal Date (Mandatory) Date the money was defrayed / paid (i.e. left your bank account – as appears on your bank statement). (For large organisations the BACS defrayal date maybe acceptable and should be discussed with the Managing Authority). Again, dates can be added in using slashes –as EClaims will not accept full-stops - and will automatically change to YYYY-MM-DD when the ‘Export’ button is pressed. If organisations pay their NI and pension contributions monthly, it can be automatically accepted that these will be paid and that the relevant defrayal date is the date the payroll is paid. This approach is used for Article 125 testing.

Defrayal Method (Mandatory – in any format) Select from the drop-down the method of payment, i.e. BACS, Cheque, and Credit Card

Defrayal Reference (Mandatory – in any format) Enter payment reference relevant to transaction.

Expenditure Description (Mandatory – in any format) Full description of the item of expenditure being claimed to ensure clarity for any reader of what is being included (see additional details below for more assistance). Connections between defrayal, invoice dates and salary paid dates should be explained, i.e. if they are the same date, etc. Additionally, if an employee works full-time on ESF, include this in the description. Note: If the expense relates to a participant, the unique participant identifier must be included within the expenditure description. This ensures that, if there are any issues with this participant on the PDS, it will be possible to identify and rectify any related expenditure where needed. The participant name must not be used.

Apportionment Details Indicate how the eligible value is derived from the original invoice / receipt value i.e. the method of apportionment, ineligible costs removed, etc. If a cost is apportioned between ESF, Match and/or YEI, more than one Category of Region and/or more than one Investment Priority, you must include details here of how the cost has been apportioned in each case.

Total Invoice Value (excluding VAT) (Mandatory – in any format) Indicate the total Net expenditure value of the invoice or receipt (total documented value excluding VAT).


If a cost is apportioned between ESF, Match and/or YEI, more than one Category of Region and/or more than one Investment Priority, the Total Invoice Value must still be completed with the actual, total overall amount of the invoice. The ‘Total Eligible Value’ field will then be the place where you will need to record the actual expenditure amount to be claimed after any apportionment has been taken into account.

Total Irrecoverable VAT State the Irrecoverable VAT value which cannot be recovered from another source (HMRC) of the invoice / receipt following any adjustments for apportionments or ineligible costs. Note: If you are VAT registered and are able to recover VAT but are choosing not to do so, these costs still cannot be included in your Claim. However, you must still provide details of these costs here.

Total Eligible Value (Mandatory – in any format) Enter the project eligible expenditure amount after any apportionment or adjustments have been applied and Irrecoverable VAT added in. This is the expenditure value minus adjustments against which ESF is being claimed.

Eligible for Flat Rate Indirect Costs (FRIC) (Mandatory) Select ‘Yes’ or ‘No’ from drop-down menu. This heading is used when using either the 15% or 40% Simplified Cost Option. FRIC costs are calculated at the relevant, agreed percentage based on the ESF Direct Staff Costs for your project but you do not need to calculate this yourself. The Transaction List template includes an automatic calculation of FRIC costs and this auto-calculation will be reflected in the ‘Summary’ tab. EClaims will also automatically calculate the FRIC costs from your uploaded Transaction List. As these costs are automatically calculated, you must not include FRIC costs as an expenditure line in your actual Transaction List. Once you have fully completed your Transaction List, you should refer to the Claim Total in the Summary tab and insert this value in the relevant fields in the accompanying ESF Dual Forecast & Submission Form.

Total Category of Region Expenditure (Mandatory – if Claim covers more than one CoR) – Categories of Region (CoR) applicable to the project will have been agreed at appraisal together with the Intervention Rate for each category. If you have only one Category of Region you do not need to enter data into cells T, U and V.


Note: If you have more than one Category of Region and your Funding Agreement was agreed prior to 09/03/2017, you will need to contact your Contract Manager to obtain this information.

5.04 Descriptions of Defrayed Expenditure

The item for which funding is being claimed must have a clear description. The description must be detailed enough to allow the Managing Authority to consider its validity without the need to see the actual evidence at this stage. The table below provides guidance on acceptable / unacceptable expenditure descriptions and level of detail required. Note: This is for illustrative purposes only and it is not an exhaustive list

Unacceptable Description

Acceptable Description

Room hire Room hired for [state purpose and with whom] on [date] at [place]

Catering Catering charge for [state purpose] on [date] at [place]

Salary Salary for [state at least one of name / post / payroll number] for period dd/mm/yy to dd/mm/yy. The description should also include whether the staff member is working all or part of their time on the project. If working part of their time, the description must include the number of hours worked and the hourly rate so the Managing Authority can see how the total amount being claimed for that individual has been determined.

Salaries Salaries for project management / delivery team for period dd/mm/yy to dd/mm/yy. (A complete breakdown of the evidence supporting each salary cost - identifying the post holders / employees claimed should be retained for Audit purposes)

Expenses Expenses for [name] covering period dd/mm/yy to dd/mm/yy [type of expense e.g. mileage, parking, subsistence, claim reference number if applicable]

Equipment / Materials

Purchase of [name / short description of item of equipment / materials] received on dd/mm/yy, as shown in the [Funding Agreement].

Mobile charges Mobile phone rental / call charges for [name of person] covering period dd/mm/yy to dd/mm/yy

Rent (only applicable if direct cost)

Rent charged for [identify premises charged] to cover period dd/mm/yy to dd/mm/yy


6.0 Participant Data Schema 6.01 Output and Result targets are key performance indicators for ESIF programmes.

Every project justifies the level of investment requested from ESIF by agreeing to achieve a number of programme defined outputs and result targets. These targets are scoped and referenced in the application for ESIF funding which is appraised by the Managing Authority and form an important part of the Funding Agreement.

6.02 Before submitting any output or results data to the ESF Managing Authority, the

Grant Recipient must ensure they have a full audit trail containing all original source documentation for each output and result being reported – in line with the ESF Data Evidence Requirements published on GOV.UK. This audit trail must be maintained and made available for verification checks and audits and must be retained in accordance with the European Social Fund document retention guidance and European Social Fund programme guidance.

6.03 With the exception of Investment Priority 2.2 deliverables, all outputs and results to

be claimed for during the respective Claim Period should be recorded and submitted to the ESF Managing Authority using the Participant Data Schema form. You should aim to submit a single Participant Data Schema with each claim – however, if you have a significant number of lines to report eg. 10,000 or over, you may discuss with your Contract Manager whether you can submit more than one PDS for a given claim period by exception. Investment Priority 2.2 projects must report on their progress per outputs and results profile in their Progress Report and ESF Dual Forecast & Submission Form.

6.03 As stated in the Participant Data Schema Guidance on GOV.UK, participant

identifiers are how we track participants and their progress. Each participant must have a unique and persistent identifier number. EU data protection regulations require that no unnecessary identifying/personal data is collected about the participant additionally the guidance on the Data Protection Act sets out that consideration should be given to not only the identifying potential of individual items of data but the impact of the total data collected. To this end participant IDs should not be based on any of the following:

Participant’s first names.

Participant’s surnames.

Participant’s full address Importantly as a beneficiary organisation you must be able to reconcile a Participant

ID to a single unique participant, for both audit purposes and participant survey selection. If a participant is selected for a follow up survey, the evaluation team will contact you to request the participant contact details which will be held and processed in a separate system with greater security.

The Participant ID should relate to the submitting organisation, for example

BLXXXXXXXXXX = Big Lottery Fund DWXXXXXXXXX = DWP SFXXXXXXXXXX = Skills Funding Agency








NOXXXXXXXXXX = NOMS DBXXXXXXXXXX = Direct Bid

A maximum number of characters, including the prefix signifier, should be 22 characters.

6.04 Prior to uploading the completed Participant Data Schema into EClaims as part of

the supporting documentation for a claim, the Grant Recipient must ensure that all fields are complete and in the correct format, this includes the following checks:-

Has the correct version of the PDS been used?

Has the correct Project Identifier been used?

Is the format of the Participant Identifier correct?

Is the Participant Identifier unique or is there duplication within the Participant Data Schema document?

Is the Participant postcode a valid UK postcode?

If records are marked as complete in the document, is this correct (please note: there may be incomplete records in the PDS for participants who have not left your project and that is absolutely valid)

6.05 If any of these aspects is not correct, then this may cause validation errors which

will prevent the document being uploaded into EClaims. The errors will then need to be resolved by the Grant Recipient before re-trying the uploading process.

6.06 Annex 7 of this guidance includes examples of a range of scenarios which may

occur in delivery of an ESF product and how these impact on the reporting of associated outputs and results. Grant Recipients should ensure they take account of these scenarios when completing their Participant Data Schema each quarter.

6.07 Once the Participant Data Schema has been completed and the Grant Recipient is

content that all data in the schema is correct, the ‘Create Export Sheet’ button must be pressed prior to uploading the document into EClaims. This creates a spreadsheet which is in a format that EClaims can accept i.e without macros. For instructions on uploading of the Participant Data Schema please see the ESF EClaims External User Guidance published on GOV.UK.

6.08 The most up-to-date version of the Participant Data Schema form, as well as full

guidance on how to complete the form can be found on GOV.UK

7.0 ESF Dual Forecast & Submission Form

7.01 An ESF Dual Forecast & Submission Form must be completed and submitted to the Managing Authority as a supporting document with each claim. The Form is made up of a number of tabs, as explained below.

7.02 The majority of the fields within the ‘Claim’ tab of the Dual Forecast & Submission

Form are self-explanatory such as the project details and the list of supporting documents confirmed as being submitted by the Grant Recipient as part of the overall claim.





7.03 Lines 27-28 on the ‘Claim’ tab of the Dual Forecast & Submission Form should be

completed as per the table below.

7.04 Line 29 of the ‘Claim’ tab relates to Income Generation which is not applicable to ESF projects. This line should therefore be left blank.

8.0 Expenditure Forecast 8.01 Information on actual expenditure for previous and current claim periods as well as

contracted expenditure profiles for remaining claim periods is required with every claim to support ESF Contract Managers in reviewing the performance of each project.

8.02 The ‘Expenditure Forecast’ tab of the Dual Forecast & Submission Form is to be

completed to capture this information. Expenditure must be broken down by:

Investment Priority

Category of Region 8.03 Variances from the contracted profiled forecast, ‘slippage’, must be fully explained

and justified within the Progress Report, submitted along with the claim. Any actual underspend variance greater than 15% from the contracted expenditure profiles may result in de-commitment or withdrawal of ESIF funding in line with the underperformance policy. Your Contract Manager will discuss this with you if applicable. Any anticipated variances should be discussed with your Contract Manager as soon as possible, who will consider whether a Project Change Request is required.

9.0 Outputs Forecast and Results Forecast 9.01 Information on actual performance against each individual Output and Result

category for your project previous and current claim periods, as well as contracted target levels for the remaining claim periods, is required with every claim to support ESF Contract Managers in reviewing the performance of each project.

Defrayed expenditure for which grant is now payable

Revenue

Total Cumulative Eligible expenditure defrayed prior to the claim period (£)

Eligible expenditure from all previous Claims submitted to Managing Authority.

Amount of Eligible Expenditure Defrayed within the claim period (£)

Eligible expenditure from the transaction sheet + 15/40% of flat rate costs where applicable.


9.02 The ‘Outputs Forecast’ tab and ‘Results Forecast’ tab in the Dual Forecast & Submission Form are both to be completed to capture this information. Figures must be broken down by Investment Priority and Category of Region.

9.03 Variances from the contracted profiles, ‘slippage’, must be fully explained and

justified within the Progress Report, submitted along with the claim. Any actual under performance with a variance greater than 15% from the contracted targets may result in de-commitment or withdrawal of ESIF funding in line with underperformance policy. Your Contract Manager will discuss this with you if applicable. Any anticipated variances should be discussed with your Contract Manager as soon as possible, who will consider whether a Project Change Request is required.

10.0 Procurement

10.01 All new procurement, already or to be, undertaken must be recorded on Annexes 2(e) and 2(f) (included as a separate tab within the ESF Dual Forecast & Submission Form) as appropriate. If there are no updates to provide, highlight this to your Contract Manager when submitting your Claim. Details of any procurement undertaken at the start of delivery must be included in the initial Claim.

10.02 In order to be included in a claim, the procurement must have already been included in your Funding Agreement and/or a subsequent Funding Agreement Variation, as well as in the Procurement Register for your project in EClaims. 10.03 If this is a brand new procurement, not previously agreed with the ESF Managing Authority, you should contact your ESF Contract Manager prior to including any

related costs in your claim, as a Project Change Request may be needed. 10.04 If the procurement has been previously agreed, but is not listed in the Procurement

Register in EClaims, you can add the procurement details to the register yourself. 10.05 Before including any costs relating to any new or existing procurement, you must

ensure that the procurement exercise was conducted wholly in line with the European Structural and Investment Funds national procurement requirements

published on GOV.UK and that you have retained a complete set of evidence for each procurement exercise – aligned to the specific documents set out in the published European Structural and Investment Funds procurement aide memoire for applicants and grant recipients.

Procured Contracts Complete and update Procurement Annex 2(e) with any updates or amendments on Procurements which have been awarded prior to the Claim.

Future Procurements Complete and update Annex 2(f) with any additional contracts which will not be awarded prior to approval of the Claim.

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/705925/ESIF-GN-1-001_ESIF_National_Procurement_Requirements_v5.pdf

https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/705926/ESIF-GN-1-007_Procurement_Aide_Memoire_for_Applicants_and_Grant_Recipients_v2.pdf



11.0 ESF Progress Report 11.01 A narrative Progress Report must be completed and submitted to the Managing

Authority with each quarterly claim. The Progress Report must be recorded directly into the relevant fields in EClaims unless the Grant Recipient has a prior agreement from the Contract Manager that they can submit their report as a separate document, uploaded into EClaims as part of the package of claims documentation.

11.02 Regardless of the completion method, the report must contain suitable commentary

on the performance and progress of the project to date and the planned activity going forward. This must provide sufficient detail to demonstrate successful delivery of the activities and deliverables and if there is any ‘slippage’ of performance, it must include the measures being put in place to bring the project back on track. The Claim may be rejected on e-claims if any of the information is incomplete or is considered insufficient or incorrect.

Note: See Annex 1 prior to completion of your Progress Report.

11.03 For the ‘Equal Opportunities’ section of the progress report, the Grant Recipient

should provide an update of progress in terms of promoting equality and equality performance. This should constitute a short, written narrative in the equal opportunities field of the report – the narrative should also cover progress against the ESF Project specific Equality & Diversity Implementation Plan, including any achievements against targets within the Implementation Plan.

11.04 As a minimum, for the Equal Opportunities element of their Progress Report, the

Grant Recipient should provide an update on the following within their narrative:-

Details of progress against the ESF Equality & Diversity Implementation Plan for the project, with details of any reviews undertaken and any further revisions made to the plan;

Some basic detail on performance against profile in terms of any equality targets;

Whether or not any under-performance has been identified, and, if so, the mitigating/corrective action that will be taken.

11.05 In addition to reporting on Equal Opportunities, you must also report on any

improvements, updates or amendments that you have made in terms of the governance of the Sustainable Development theme in your project – as well as any progress in achieving aims and objectives set out in your sustainable development policy / implementation plan during the claim instalment period.

12.0 Desk-Based Evidence Check 12.01 Before the claim is paid, the Managing Authority may select and request the source

documentation on a number of transaction items to test for evidence of defrayal.


12.02 The Managing Authority will identify the specific documentation to be sampled and request the information via the `Documentary Evidence Check` button on EClaims. You must upload the requested evidence into EClaims within 7 working days and notify your ESF Contract Manager via email when the upload has taken place. To minimise risks around the processing of personal data, please do not provide any evidence that is not specifically requested by the ESF Managing Authority.

Note: In order for your Claim to be paid, it is important that you provide responses to any queries as soon as is practically possible; if the information / supporting evidence is not received promptly, it will lead to delays in processing and paying the Claim.

The ‘ESF ECLAIMS External Users Guidance’ published here on GOV.UK explains how to view the Managing Authority request for evidence and how to upload your resulting documentation.

12.03 All evidence must be certified as a true copy of originals or supported by a covering

letter which confirms that all documents are true copies of originals. Certification must be confirmed by the project’s Authorised Signatories in line with scheme of delegation of the Grant Recipient.

12.04 If, on review of the evidence provided, the selected expenditure presents significant

issues, then the Managing Authority will extend the sample to check that the issues are not systemic. Where the Managing Authority chooses to extend the sample, they will raise a request through the `Queries` function in EClaims. You will then be able to respond to Managing Authority via the `Queries` section in EClaims and upload all the additional evidence that has been requested. This will ensure there is an in-system audit of all action taken.

12.05 The Checklist (below) lists examples of the types of questions the Managing

Authority will consider when looking at a submitted claim and the relevant supporting documents (Part 1) and when undertaking the Desk-Based Evidence Checks (Part 2).

12.06 Grant Recipients must ensure that information and supporting documents submitted as part of the claim itself, as well as any subsequent evidence/source documentation submitted to the Managing Authority in response to Desk-Based Evidence Checks, satisfy the checks listed below.

Checklist – Part 1 Q1 Do all of the defrayal dates fall after the invoice dates?

Defrayal should usually follow receipt of invoice. However, there may be circumstances where the invoice is received after defrayal. In these circumstances you should request an explanation from the Grant Recipient and provide comments in the comment box.



Q2 Does the expenditure detail / description provide sufficient information?

If no, sufficient evidence then claim should be returned to Grant Recipient to amend.

Q3 Does the treatment of VAT within the Transaction List follow the agreed approach?

The treatment of VAT will be outlined in the Full Application. If VAT has been included in the Claim that is different from the agreed approach then the Claim must be returned to Grant Recipient to amend.

Q4 Do you consider all of the expenditure, within the sample, to be both relevant and eligible, as detailed within the Funding Agreement?

If no, Claim should be returned or the Claim Approver should select the items of ineligible expenditure to be removed.

Q5 Is all the expenditure claimed under the appropriate cost heading?

If no, Claim should be returned or the Claim Approver should select the items of ineligible expenditure to be removed.

Q6 Do the apportionment methods used follow the agreed methodologies and are they still relevant?

If no, the Claim should be returned to the Grant Recipient in order for apportionment methodologies to be revised.

Q7 If applicable, have hourly rate methods been agreed and are they still relevant?

If no, the Claim should be returned to the Grant Recipient in order for hourly rates to be revised.

Q8 Has sample evidence verification check been undertaken on the Claim?

Desk based check should be undertaken on every Claim unless subject to an exception.

Checklist – Part 2: Documentary Evidence

Q9 Does the cumulative claimed expenditure within each cost heading fall below the contracted values?

If no, the Claim may still be able to be paid but Grant Certifier should approach the project and discuss the submission of a Project Change Request (PCR).

Q10 Has the project reached its retention limit prior to this Claim?

‘N/A’ to ESF at present


Q11 Hold for retention?


Q12 Will the project reach the retention limit with this Claim?


Checklist - Part 3: Progress Report

Q13 Has a detailed progress and monitoring report been completed and is this satisfactory?

Please refer to Annex 1 for information on what should be provided in the progress section.

Q14 Have all relevant procurements to the Claim Period been recorded and do they comply with EU thresholds?

Review procurement register and if it has not been updated where applicable, then raise a Query with the Grant Recipient to provide the information to enable the register to be completed. If procurement does not comply with EU requirements the Claim should be suspended until the issue is investigated and resolved. Please refer to ESIF national procurement requirements.

Deliverables

Q15 Are the outputs/results confirmed as eligible?

Review outputs / results evidence and provide explanation as to how they are eligible. If not eligible, then return to Grant Recipient to amend.

Checklist - Part 4: Claim Approval

Q16 During the checking of the Claim, have any potential Irregularities been identified that relate to this or any previous Claims?

This includes systemic errors that you may wish to raise and also flat-rate corrections.

Q17 Are there any outstanding actions which may impact on the payment of this Claim?

This could relate to PROJECT INCEPTION VISIT, Article 13 and Article 16 actions that are outstanding, consideration needs to be given if this would be something that would prevent payment.

12.07 Annex 2 provides some information on the evidence required for revenue expenditure items, Annex 3 provides a help sheet for invoice transactions, and Annex 4 provides a help sheet for salary transactions. These are broad guidelines only.


Annex 1: Progress Report

1. Progress

Expenditure Report on the performance of actual expenditure against the profiled values contained in the Funding Agreement. Comments must also include future forecast and whether the project is still on track and to budget. Any expenditure ‘slippage’ must be explained and justified with plans outlined on how this will be addressed. Any potential overspend in cost categories or request to re-profile expenditure should be flagged up here.

Outputs, Results and Additional Targets Report on the actual achievement of targets and future forecast compared to the profile outlined in the Funding Agreement, including identifying any specific issues encountered relating to measuring or evidencing the targets or take up of assistance from businesses. If there is any ‘slippage’, provide detail on remedial measures being put in place to bring things back on track.

Objectives and Project Specific Conditions Report progress on specific conditions in Funding Agreement.

Income – Excess & unexpected Not applicable to ESF – Input ‘N/A’

Equal Opportunities Report on what improvements / updates / amendments have been made to show how the Equality policies and implementation plans have progressed in the Claim Instalment Period.

As a minimum, the Grant Recipient should provide an update on the following within their narrative:-

Details of progress against the ESF Equality & Diversity Implementation Plan for the project, with details of any reviews undertaken and any further revisions made to the plan;

Some basic detail on performance against profile in terms of any equality targets;

Whether or not any under-performance has been identified, and, if so, the mitigating/corrective action that will be taken.


2. Match Funding Report on the funding received during the Claim Instalment Period as well as the cumulative values received to-date. Any potential changes to the funding package should also be referred to.

3. Milestones and Future Activity

Summary of planned activities for the preceding Claim Instalment Period An outline of the key activities planned for the next Claim Instalment Period including any key dates or events. If there is any future major activity planned beyond the next Instalment Period this should also be covered.

4. State Aid

State Aid measures applicable to the project will have been identified at appraisal and will automatically feed through to the claims profile. Provide update on State Aid received as a Grant Recipient and what State Aid has been dispersed to employer beneficiaries, including those relating to paid work placements and internships etc. Your progress report must include a narrative explaining what checks have been undertaken to ensure that the project is operating State Aid processes in line with your ESF Memorandum of Understanding and published European Social Fund 2014 to 2020 State Aid Guidance. Your narrative should also explain how you have ensured a complete set of State Aid evidence is being retained in line with the published ESF Document Retention guidance

5. Sustainability Monitoring

Report on how what improvements/updates/amendments have been made to show how the sustainable development governance, policies and implementation plans have progressed in the Claim Instalment Period.

6. Branding and Publicity

Report on any publicity activity that has taken place during the Claim Instalment Period. This may include publicity material, leaflets, banners or stationery and any press releases, newspaper articles or publicity events. Review any evidence uploaded referring to Branding and publicity requirements for the 2014 to 2020 European Regional Development Fund and European Social Fund.

7. Procurement

Ensure Procurement Annexes 2(e) and 2(f), if applicable, are fully completed and uploaded onto EClaims. For any claims which include procurement-related costs, your progress report must include a narrative explaining what checks have been undertaken to ensure that the

https://www.gov.uk/government/publications/european-structural-and-investment-funds-state-aid-documents

https://www.gov.uk/government/publications/european-structural-and-investment-funds-state-aid-documents





procurement exercise was conducted wholly in line with the European Structural and Investment Funds national procurement requirements as well as how you have ensured a complete set of evidence has been retained for each procurement exercise – aligned to the specific documents set out in the published European Structural and Investment Funds procurement aide memoire for applicants and grant recipients.







Annex 2 - Revenue Cost Categories Desk Based Checks – Evidence to be provided to the Managing Authority

Categories Description Evidence

Direct Staff Costs - Salaries

Personnel directly working on the project full-time or part-time.

Full-time staff – letter of appointment and job description that acknowledges post is funded by ESF from [date].

Part-time staff - letter of appointment and job description that acknowledges post is funded by ESF from [date], together with certified time sheet and the correct hourly calculation. For all ESF projects who responded to calls published on or after 17th March 2016, the 1720 hourly rate calculation must be used, as per the published ESF Programme Guidance. For staff costs declared on the basis of the 1720 hourly rate, the evidence must include evidence of the total, annual salary cost for the individual (eg annual payroll report) and the total number of working hours used for the calculation of the hourly rate.

Indirect Costs - Overheads

Flat Rate percentage– 15% or 40%; whichever is detailed in Funding Agreement.

Do not count towards the Desk Based Evidence Check sample.


Other Direct Costs – General

General administration costs associated with the direct delivery of the project that are not shared e.g. office equipment, stationary, consumables, expendable supplies, participant costs, equipment etc. This list is not exhaustive.

Invoices incurred solely for the ESF project, BACS and bank statements (all certified as true copies by Authorised Signatories in line with scheme of delegation of the applicant).

Other Direct Costs - Premises

Rent, rates, heat light and service charges that are exclusively for the direct delivery of the project that are not shared.

Invoices incurred solely for the ESF project, BACS and bank statements (all certified as true copies by Authorised Signatories in line with scheme of delegation of the applicant).

Other Direct Costs – Fees

Independent consultants/contractor, accounting audit costs, guarantees, bank transaction costs etc.

Invoices incurred solely for the ESF project, BACS and bank statements (all certified as true copies by Authorised Signatures in line with scheme of delegation of the applicant).

Other Direct Costs – Marketing

Marketing and publicity costs for the project.

Invoices, BACS and bank statements (all certified as true copies by Authorised Signatures in line with scheme of delegation of the applicant).


Other Direct Costs – Other Revenue

Sundry expenses, business travel, subsistence, direct staff expenses.

Invoices, BACS and bank statements (all certified as true copies by Authorised Signatures in line with scheme of delegation of the applicant) or credit card payments

Other Direct Costs – Procurement

Expenditure through procured goods/services

Written assurance that the procurement exercise was conducted wholly in line with the European Structural and Investment Funds national procurement requirements as well as written confirmation that a complete set of evidence has been retained for the related procurement – aligned to the specific documents set out in the published European Structural and Investment Funds procurement aide memoire for applicants and grant recipients. Grant Recipients must also be able to provide actual procurement documentation to support desk-based checks if requested by the Managing Authority







Annex 3: Help sheet for Invoice Transactions All submissions should be clearly understandable to a third party with no link to the

project and we suggest you test this internally before submitting evidence.

Transaction List Reference

E.g. A/B/C, Red/Green/Blue etc.

Date: The invoice should be dated within or close to the period

Period Covered. This may be different from the actual date of the invoice.

Project Name Items specifically purchased for the Project, to which the invoice is being charged, should be referenced on the invoice

Invoice No/Ref This reference should follow through all levels of related documentation to at least the point it is posted to the Purchase Ledger.

Purchase order ref

This reference can be an alternative or additional to, the Invoice number and, if used, on documentation to defrayal.

Name / Company providing Invoice

Additional info to identify invoice as appropriate.

Amount Claimed Ideally this will be 100% to the project. However if it is an apportionment, an invoice covering a number of projects or if the amounts do not match in any way, this should be clearly highlighted and an explanatory note and/or calculation included. Initialled and dated. The explanatory note and/or calculation must be initialled and dated.

Scheduled Payment

If the invoice is a part payment with a scheduled call-off agreed, the Purchase Order should also be provided as evidence the call-off payment is correct.

Purchase Ledger The invoice should be shown on the Purchase Ledger and shown as paid. A screen dump of the Purchase Ledger showing this should be provided and wherever possible this should link to the BACS payment

BACS Run E.g. The payment should be clearly shown within the BACS run with explanatory figures linking this to respective documents Wherever possible the amount claimed should be highlighted in a BACS build up.

Bank Statement E.g. defrayal of costs from the Bank Account. The figure being defrayed should match that of the BACS run. If the Bank Statement figures do not match BACS, an explanation of the difference should be included with backup documentation and calculations to demonstrate the Bank Statement figure.


Annex 4: Help sheet Template for Salary Transactions All submissions should be clearly understandable to a third party with no link to the project and we suggest you test this internally before submitting evidence.

Project Name E.g. ESF123

Claim Month

Month Year

Transaction Listing Item Reference

Eg A,B,C or Red, Green, Blue

Employee Name E.g. A.N. Other

Payroll no.

Gross Pay per Month

Amount claimed in Period

Project Cost Code used

Job Description E.g. Job Description for the role of Officer in relation to transaction item A attached for A.N. Other. Needs to name the project and make reference to being part funded by European Funding.

Time sheet (Only needed If the employee is being claimed on an hourly rate against the project)

E.g. 10 hours for A.N. Other employed on ESF123 E.g. 10 hours x £15 per hour = £150 (Total hours worked in the period on all projects ESF and non ESF should be recorded on all timesheets. If a Cost Code is used this should be clarified with the checking officer) Signed by the Employee and counter signed by their Line Manager.

Hourly Rates E.g. Shows actual calculation used to determine the hourly rate for A.N. Other, as well as the type of hourly rate methodology used. For all ESF projects who responded to calls published on or after 17th March 2016, the 1720 Hourly Rate calculation set out in Section 10 of the ESF Programme Guidance must be used for staff who work part time or part of their time on the ESF Project. Evidence to be retained for OTSV/audit purposes needs to include evidence of the total annual salary for the individual (eg annual payroll report), as well as the total number of working hours used for the calculation with supporting timesheet. For all staff (working part or all of their time on the project) retained evidence needs to include job description and letter of appointment.



Payroll Reports E.g. Payroll report detailing gross pay and all pay costs for A.N Other for [month] as highlighted. A narrative should be provided if it is not clearly possible to demonstrate the links between the documents for both full time and hourly charged employees. Where possible, provide a link between the BACS payment and the monies defrayed. If this link cannot be clearly made, an explanation should be provided as to why not. Screen dumps are acceptable as long as the accounting package is identified and certified as a true copy of the original.

Pay Advice Reports

E.g. a breakdown of pay costs, pay deductions and net pay due to the employee

BACS Run E.g. total Organisation payroll of [£X] with explanatory figures linking this to respective documents. As with payroll above, notes should be added to documents to demonstrate links between them. Supporting calculations where NI is paid on a different BACS run should be included and a note provided making the link. Wherever possible the amount claimed should be highlighted in a BACS build-up and included within the evidence.

Bank Statement E.g. defrayal of costs from the Bank Account. The figure being defrayed should match that of the BACS run. If the Bank Statement figures do not match BACS an explanation of the difference should be included with backup documentation and calculations to demonstrate the Bank Statement figure.

National Insurance

If organisations pay their NI and pension contributions monthly, it can be automatically accepted that these will be paid and that the relevant defrayal date is the date the payroll is paid. This approach is used for Article 125 testing.


Annex 5: Glossary Defrayal: Claims are to be submitted in arrears for each Instalment Period and

only eligible expenditure defrayed (incurred and ‘paid’ (cleared bank account) by the end of that period can be included in the Claim for reimbursement.

Claim: The Grant Recipient must notify the Managing Authority promptly if at

any time it becomes aware that it is unable to make a Grant Claim in accordance with the outlined timescales or in accordance with the expenditure profile.

Intervention: Grant payments are calculated as a percentage “Intervention Rate” Rate against expenditure reported within the Claim. Nil Claim: In the event where no expenditure has been defrayed during the

Instalment Period a Claim must still be submitted through EClaims, providing details of progress towards delivery and achievement of the project objectives / activities.

Payment: The Claim will only be processed for payment once the Managing

Authority is satisfied that all information is present, complete and complies with the terms and conditions of the Funding Agreement and National Eligibility Rules.

Errors: If at any stage the Grant Recipient identifies any mistakes or

omissions on any of its Claims, whether paid or in the process of being paid, they must contact the Managing Authority as soon as possible. Where errors, on data, are identified on Claims that have already been paid Grant Recipients will need to follow the Self-Declared Adjustment process detailed in the EClaims Process for Self-Declared Adjustments guidance on GOV.UK.

Issue: A transaction on EClaims where your Contract Manager asks you to

take additional action on the claim you have submitted i.e. amending or removing details on a transaction line.

Query: A transaction on EClaims where your Contract Manager has a

question regarding the claims information you have supplied and needs further details and/or clarification.

https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/698849/EClaims_applicant_guidance_SDA_process.pdf

https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/698849/EClaims_applicant_guidance_SDA_process.pdf


Annex 6: Common Claim Errors Based on the ESF Programme claims received to-date, the following are good practices recommended for all Grant Recipients to avoid queries and support the submission of admissible, ‘right first time’ claims. Transaction List

1. Descriptions of expenditure in Transaction Lists should be sufficiently detailed to enable the Managing Authority to immediately understand what exactly the expenditure is so that it can be readily checked and confirmed as eligible. Descriptions should not include abbreviations or jargon which the Managing Authority may not understand.

2. Where ‘Other Direct Costs’ are directly related to a specific participant (e.g childcare costs, travel costs), the Grant Recipient must include the participant unique identifier from the Participant Data Schema in the expenditure description in the Transaction List, to allow the Managing Authority to attribute the costs to a valid participant. Actual participant names must not be included in the Transaction List or Participant Data Schema.

3. Where applicable, a clear description of the apportionment between Categories of Regions, Investment Priorities, ESF & Match and (if applicable) YEI, should be noted in the Apportionment Details column, so the Managing Authority can understand how, from the total invoice value, the Grant Recipient has arrived at the total eligible amount.

4. The total invoice value must EXCLUDE VAT

5. The Flat Rate Indirect Cost indicator must only be set to ‘Y’ against applicable, eligible staff costs. The indicator must not be set to ‘Y’ for any costs which are ‘Other Direct Costs’.

Dual Forecast and Submission Form

1. Ensure you are using the correct, latest version as published on GOV.UK – as per the latest version, each project should be reporting ‘Actuals’ and ‘Contracted Amounts’ for expenditure, outputs and results.

Participant Data Schema

1. Ensure you are using the correct, latest version as published on GOV.UK 2. Once the participant data has been added via the relevant drop down boxes,

and the export sheet has been created, DO NOT overtype any of the information in the Participant Data Schema, before uploading it to EClaims – this will risk validation errors and/or may result in the wrong MI being reported for your project.

3. Report all participant-related ESF output and results in a single Participant Data Schema for each quarterly claim. This will support accurate sampling for desk-based checks, speeding the claims approval and payment process.




Annex 7: Output and Results Scenarios

Scenario 1 - Participant starts ESF intervention and all data is complete at point of starting. In this scenario, any appropriate Programme Specific and Common Output indicators are captured at the point the starting information is declared on the Participant Data Schema (PDS) to the Managing Authority (MA). See illustrated example below.

Guidance: Section 3.1.1 page 10 of the EU ESF Monitoring and Evaluation guidance refers: https://ec.europa.eu/sfc/en/system/files/ged/ESF%20monitoring%20and%20evaluation%20guidance.pdf In order to fulfil the data completeness requirement, data on participants shall be complete with regard to all common output indicators covering personal non-sensitive data: Gender, employment status, age, education level, and household situation.

Scenario 2 - Participant starts ESF intervention and all data is complete at point of starting, then participant leaves ESF intervention and all data is complete at point of leaving. In this scenario, any appropriate Programme Specific and Common Output indicators are captured at the point the starting information is declared on the PDS to the MA. Any appropriate Programme Specific and Common Result indicators are captured at the point the leaving information is declared on the PDS to the MA. See illustrated example below Guidance:

Section 3.4.1 page 18 EU ESF Monitoring and Evaluation guidance refers: (Data Recording and Storage);

The individual participants' data for all person-related indicators must be

recorded and stored in a way that allows a Member State to perform the tasks it is legally required to perform. Therefore all records should include, as a minimum: an identifier for the operation/project; a personal identifier that allows an individual to be traced and re-contacted; dates of starting and leaving an operation; and access to values for all variables needed for indicators.

https://ec.europa.eu/sfc/en/system/files/ged/ESF%20monitoring%20and%20evaluation%20guidance.pdf

https://ec.europa.eu/sfc/en/system/files/ged/ESF%20monitoring%20and%20evaluation%20guidance.pdf


Scenario 1 & 2 Example:

Scenario 3 – Participant starts ESF intervention and all data is complete at point of starting, then leaves intervention early and leaving data is complete. In this scenario, any appropriate Programme Specific and Common Output indicators are captured at the point the starting information is declared on the PDS to the MA. Any appropriate Programme Specific and Common Result indicators are captured at the point the leaving information is declared on the PDS to the MA. See illustrated example below

Guidance:

EU ESF Annex D – Practical Guidance on data collection and validation refers: https://ec.europa.eu/sfc/en/system/files/ged/Annex%20D%20-

https://ec.europa.eu/sfc/en/system/files/ged/Annex%20D%20-%20Practical%20guidance%20on%20data%20collection%20and%20validation.pdf


%20Practical%20guidance%20on%20data%20collection%20and%20validation.pdf

Scenario 4 – Participant starts ESF intervention and all data is complete at point of starting, then leaves intervention early and leaving data is incomplete. In this scenario, any appropriate Programme Specific and Common Output indicators are captured at the point the starting information is declared on the PDS to the MA. No Programme Specific or Common Result data can be captured as the leaving data is incomplete. Note: Incomplete leaving data could include date of leaving. It is important that projects have a policy in place to establish an appropriate leaving date, for participants who leave their intervention early. For example, a participant does not attend a planned intervention and the project is unable to contact them. The project has a policy that provides for 2 planned interventions to be missed without contact. If the participant fails to attend the second intervention, the project will record the participant as a leaver.

Scenario 5 - Participant starts ESF intervention and data is incomplete at point of starting. In this scenario, the participant will not count towards any Programme Specific or Common Output indicators. Note: Participants falling into this category must still be declared to the MA on the PDS. The MA is required to provide a count of incomplete records to the European Commission (EC). Guidance:

Section 3.1.1 page 10 of the EU ESF Monitoring and Evaluation guidance refers: There is no single common indicator in SFC capturing the grand total number of participants (including those for which the common output indicators covering personal non-sensitive data could not be collected). Nevertheless, this grand total number of participants shall be reported by the MA in the framework of the AIRs. Section 2.3.7 of EU ESF Annex D – Practical Guidance on data collection and validation refers: Grand total of participants; The “grand total of participants” covers all supported participants, including those for which the basic data (i.e. the common output indicators covering personal non-sensitive data) could not be collected or are incomplete. This




total should be reported in the last row of Table 4A of the AIR (see section 3.1.1 of the EC Guidance document on Monitoring and Evaluation).

Scenario 6 – Participant returns to an ESF operation, after previously participating in an intervention within the same operation.

In this scenario, any previous results relating to this participant are no longer valid. It is only possible to record the results relevant to the latest intervention. See illustrated example below

Guidance: EU ESF Annex D – Practical Guidance on data collection and validation refers: (Page 27)

Documents

Claims Guidance for Grant Recipients V5 -Final · Annex 1: Progress Report ... 3.10 The Grant Recipient must notify the Managing Authority promptly if at any time it