Guidance

049/20 COVID-19 - Managing Authority response to support Grant Recipients

Updated 5 December 2024

Date Issued	29 April 2020
Review Date	28 April 2021

Who should read

This Action Note is to all Direct Bid ESF beneficiary organisations, including the Greater London Authority .

Purpose

To announce the Direct Bid Claims process changes being introduced to the European Social Fund programme as a result of easements to support Grant Recipients and reduce the impact of COVID-19.

Background

Easements to support Direct Bid Grant Recipients to reduce the impact of COVID-19 have been developed by the European Social Fund Managing Authority in conjunction with the European Commission.

This has resulted in a change to the way in which the ESF Managing Authority will undertake Claims processing for Direct Bid Projects.

Action

Grant Recipients of Direct Bid Projects are asked to note and adhere to the following Claims process changes until further notice:

Minimum Claim Submission Standards

The expectation is that wherever possible, claims will be submitted as normal with the usual supporting documentation. However where this is not possible due to COVID-19 work and travel related restrictions, the minimum standard required for a claim is a Transaction List, Progress report and the claim page from the Dual Forecast report.

If Grant Recipients are unable to meet minimum standards or are not available to provide the missing documentation, the claim will be rejected. If minimum standards are met the Managing Authority will accept the claim and progress to Desk Based Admin Checks.

Authorised signatories unavailable

If the current Authorised signatories are not available due to COVID-19 work and travel related restrictions, Grant Recipients may nominate an alternative individual to submit a claim after the following is provided:

An email from a senior official within the organisation that meets the following criteria:

• Must be from the organisation’s email address and not that of an individual e.g. jo.bloggs@dwp.org.uk
• Must confirm the position of the individual in the organisation
• Must state the individual is acting on behalf of the organisation, have the authority to appoint someone to submit a claim and that this is in line with the organisation’s scheme of delegation

• Must state they have ensured that the person submitting the claim:

  • Is fully aware of the roles and responsibilities and
  • Is fully aware of the requirement to have checked the claim to ensure it meets ESF eligibility rules

Desk Based Admin Check (DBAC)

The Managing Authority will undertake a Desk Based Admin Check and subject to normal ESF eligibility requirements being met, will approve and authorise the claim. If the Grant Recipient has provided incorrectly completed Claim documents, the actions the Managing Authority will take are set out below.

Transaction List

Where errors are identified within the Transaction List the Managing Authority will liaise with the Grant Recipient to agree the most appropriate action; this may result in the Managing Authority removing the lines in order to pay the claim.

For final claims, the Grant Recipient will have the opportunity to re-submit any costs which are removed from this claim using the ‘submit additional claim facility’ available through the claim schedule page on ECLAIMS.

Progress Report

If Procurement and State Aid are known to be present within the project, there is a requirement for this information to be completed by the Grant Recipient, for the claim to be progressed. Costs relating to any new procurements for which the Procurement Checklist has not been completed, will be removed from the transaction list.

If other elements of the Progress Report are not up to the required standard, the Managing Authority will ask the Grant Recipient to expand on these areas within the Progress Report of the first claim submitted outside of the easement period.

For final claims, the Grant Recipient will have the opportunity to re-submit any outstanding information required from this claim using the ‘submit additional claim facility’ available through the Claim Schedule page on ECLAIMS.

Dual Forecast & Submission Form (DFSF)

Claim Page – Grant Recipients must fully complete the DFSF claim page to enable the claim to be paid.

Procurement Page – Grant Recipients are required to complete the Procurement page of the Dual Forecast Form if there are any costs relating to new procurement. If Grant Recipients are unable to complete this form, any costs relating to new procurements for which the Procurement Checklist has not been completed, will be removed from the transaction list by the Managing Authority.

For final claims, Grant Recipients will have the opportunity to re-submit any costs which are removed from this claim using the ‘Submit additional claim facility’ available through the Claim Schedule page on ECLAIMS.

Participant Data Schema (PDS)

The Grant Recipient should submit a PDS as normal, however if this is not possible, the Grant Recipient will be expected to submit entries/corrections relating to this claim in the PDS submitted with the first claim submitted under Business As Usual.

For final claims this can be done using the ‘Submit additional claim facility’ available through the ‘Claim Schedule’ page on ECLAIMS.

Desk Based Evidence Checks (DBECs)

For Q1-20 claims the Managing Authority is adopting a post-payment checking of evidence process. Grant Recipients will receive a letter advising what evidence is required and how to submit it. The provision of evidence is to be completed using a different process for this claim so it is essential that you follow the process described in the letter, otherwise your evidence will not be accepted.

If the Managing Authority has scheduled an On The Spot Visit (OTSV) for the Q1-20 claim, the MA will conduct a DBAC (in line with the easements described) and pay the claim. DBECs will not be undertaken. The Managing Authority will advise the Grant Recipient that an OTSV will be conducted at a later date.

Certification of Desk Based Evidence must be confirmed by the project’s Authorised Signatories in line with the scheme of delegation of the Grant Recipient, or by a senior person within the organisation stating that they are acting on behalf of the organisation, have the authority to certify the evidence and that this is in line with the organisation’s scheme of delegation.

If at any point during the DBEC process, the Grant Recipient is unable to respond or advises they cannot provide the evidence due to Covid-19 related travel and work restrictions, the DBEC process will be paused and the Managing Authority will issue a letter to the Grant Recipient advising of the next actions to be undertaken by the Managing Authority

Contact

If you have any questions about this Action Note please contact: esf.2014-2020@dwp.gov.uk