1. ESIF Technical Compliance Requirements May 2015 WORKSHOP Helen Joicey

2. Introduction Overview of ESIF compliance and evidence requirements: Technical compliance: Procurement Publicity Cross-cutting themes Evidence: Finance Delivery Performance

3. Introduction 2 stage application process for Big Lottery ESF Opt In: All members of the partnership must be identified at stage 1 The lead organisation must demonstrate: A track record of partnership work Robust project and performance management processes At stage 2, a draft partnership agreement must be supplied setting out the responsibilities of each organisation. If successful each delivery partner must sign the agreement before delivery can start.

4. Introduction Project assessment: Key part of the assessment / selection criteria: Defined partnership roles and responsibilities Understanding and ability to comply with ESF regulations Ability of all partners to meet evidence requirements

5. Introduction Delivery stage: Lead organisation will be legally responsible for the effective delivery of the project including: Demonstrating delivery of a compliant project Providing evidence of eligible delivery Evidencing achievement of outputs and results

6. Introduction Delivery stage: Regular monitoring and performance management Audit Risk of grant withdrawal, or repayment if insufficient evidence to demonstrate compliance

7. Procurement

8. All goods and services purchased from a third party Must be procured by the lead partner Application stage: demonstrate how the lead organisation will comply Identify the main goods and services to be purchased The est. value of those goods and services Explain existing procurement procedures How sub-contractors / delivery partners will also comply

9. Procurement Delivery stage: Evidence requirements have been met: The process followed (OJEU, 3 quotes); Copies of the invitation to tender / quote; How the opportunity was advertised / promoted; Copies of all quotes received; The criteria against which quotes were assessed; Who was involved in the decision making process; How bidders were informed of the outcome.

10. Procurement New procurement regulations: Feb 2015 https://www.gov.uk/transposing-eu-procurement-directives DCLG: update procurement guidance note (https://www.gov.uk/government/publications/european- structural-and-investment-funds-project-requirements-and- publicity-materials)https://www.gov.uk/government/publications/european- structural-and-investment-funds-project-requirements-and- publicity-materials

11. Branding and publicity

12. Application stage: Describe how branding and publicity requirements will be met Applies equally to the lead organisation and the delivery partners

13. Publicity Delivery: Must acknowledge EU contribution Include the relevant logo on all electronic and hard copy documents including e.g.: Advertisements and job descriptions General paperwork: reports, attendance forms Social media tools: Facebook, twitter and SMS messages Websites

14. Publicity Delivery: All partners involved in delivery must display at least one poster with information about the project Must be displayed at a location readily visible to the public at their main delivery locations Inform participants about the support from ESF e.g.: At induction In all paperwork Internal newsletters Leaflets

15. Publicity

16. Cross-cutting themes

17. Partnerships will need to demonstrate how: Environmental sustainability: Any potential negative environmental impacts will be minimised or mitigated Any potential positive impacts will be maximised Equality and diversity: The project will not unfairly disadvantage or discriminate against any individual or group Will comply with equalities legislation

18. Cross-cutting themes Partnerships will need to demonstrate how: The cross cutting themes are embedded into project delivery e.g. Information included in staff / participant induction packs All partners have clear environmental and equalities policies Participants are asked to comply with policies

19. Evidence: Finance

20. Financial management Lead organisations must demonstrate they have the financial systems and ability to manage an EU funded project Describe existing financial management systems and structure Roles and responsibilities Record keeping / evidence Payment processes Preparation and submission of claims

21. Financial management Lead organisations must also demonstrate they have the financial capacity to manage a partnership and an EU funded project: Develop a detailed project cash flow Income (including EU grant and any match) Expenditure – identify key cost headings Provide details of annual income, turnover and reserves Explain how the expenditure profile for the project will be managed

22. Financial management Lead organisations must explain the process for payment of grant to delivery partners: Evidence requirements Eligibility of expenditure Expenditure (invoices, receipts, timesheets, payroll etc) Defrayal (bank statements) Timescale and regularity of payments (quarterly / monthly) How risk of financial loss will be managed i.e. if grant must be re-paid

23. Evidence: Delivery

24. Project delivery Partnerships must be able to demonstrate they have the systems in place to deliver an eligible project Establish common procedures, systems and paperwork Develop policies to share evidence requirements Have clear communication protocols Hold regular meetings to track progress and identify issues Maintain a data-base of all participants on the project including key eligibility information Produce regular performance and monitoring reports for each partner as well as for the overall project.

25. Evidence: Performance

26. Performance management Partnerships must demonstrate they have systems in place to: Monitor the achievement of outputs and results Evidence their achievement.

27. Performance management Outputs: Total number of participants, the number of which are Unemployed Inactive Women Aged between 16-24 Lone parents

28. Performance management Results: Number of participants: Progressing into sustainable employment Achieving a qualification Progressing towards the labour market

29. Performance management Evidence Keep an individual record for each participant including: Registration / enrolment form; Attendance register; Evidence of learning achievement; Self assessment to measure progress and impact (confidence, self-esteem) Confirmation of employment / enrolment into further learning

30. If in doubt, always seek advice

31. Any questions?