LEADER ICT System Technical Guidance for Local Authorities on Article 48 Checks

Transcription

1 LEADER ICT System Technical Guidance for Local Authorities on Article 48 Checks

2 Glossary Abbreviation CRM CRO DRCD EOI LAG LCDC LDC LDS LFP Promoter ROS RDP TCAN TRN Definition Customer Relationship Management Companies Registration Office Department of Rural and Community Development Expression of Interest Implementing Partner Local Action Group Local Community Development Committee Local Development Company Local Development Strategy Lead Financial Partner Promoter of a project Revenue Online Service Rural Development Programme Tax Clearance Access Number Tax Reference Number

3 Index (1) Introduction... 1 (2) LEADER ICT System: Getting Started for New s... 2 (3) Article 48 Checks... 7 Context... 7 Transition of Article 48 Checks to Local Authorities... 7 New Article 48 Functionality on the LEADER ICT System... 8 How does the Article 48 Process Work?... 9 Article 48 Check Example Article 48 Checklists Article 48 Flag Article 48 Views LAG Manager Approval Optional Stage for LFP Flagged Projects (4) Article 48 Checks on Projects Stage 08 Project First Article 48 Check Stage 09 Project First Article 48 Manager Verification Stage 13 Project Second Article 48 Check Stage 14 Project Second Article 48 Manager Verification (5) Article 48 Checks on Project Claims Stage 05 Claims Article 48 Check Stage 06 Claims Article 48 Manager Verification (6) Next Steps (7) Getting Started (8) Support Appendices Project Record Stages Project Claim Stages Project Pathways Document Library SharePoint Documents... 69

4 Introduction This technical guidance document (addendum) on the transition of certain Article 48 checks to Local Authorities (in LCDC LAG areas) has been specifically developed to assist Local Authorities who will be undertaking Article 48 checks on certain projects and claims in their role as the Lead Financial Partner (LFP). The addendum provides a useful resource for Local Authorities and sets out in a standalone document an overview of: how to get started on the ICT system for new users; the transition of the Article 48 Checks to Local Authorities; the new Article 48 functionality on the ICT system for Local Authorities; the relevant technical guidance for the Article 48 Check on the project and claim; next steps. The technical guidance presented in this document will be incorporated into the main LEADER ICT Guides (early January 2019). The main LEADER ICT Guides can be accessed via the links below and are also available on the Pobal website Project Record Guide Project Claim Guide 1

5 LEADER ICT System Introduction Getting Started for New s Overview The LEADER ICT System is an online system that supports the LEADER Programme. The system specification is developed by the Department of Rural and Community Development. Pobal is supporting the Department in the development and roll out of the ICT system, based on the specification. Section 2 of this document provides new users with a brief introduction on how to get started on the ICT system. For more detailed information please refer to the Introduction to the LEADER ICT System and the Guides (which are available on the Pobal website). Browser The system should be accessed using Internet Explorer versions 10 or 11. Logging In To log in please visit: Choose This is a private computer if working on your own personal computer. Input your login credentials here Notes: Remember to store your username and password in a secure location in the event that you are unable to locate either your login details or your password, please onlinesupport@pobal.ie Your account may be deactivated if you do not access the LEADER ICT system for a period of three months. In this scenario, please contact Pobal Online to reactivate your account by at onlinesupport@pobal.ie or by telephone on

6 Navigation The LEADER ICT System has two main areas, LAG Management and Project Management. Navigation Areas Description LAG Management Project Management LDS LAG Monthly Returns Projects Promoters Claims High level Local Development Strategy financials LAG and details Admin & Animation figures for each LDS Project applications inputted by each LAG and Promoters inputted by each LAG and Payment claims inputted by each LAG and 3

7 Setting Basic Options You can customise how the LEADER ICT System operates as follows: (1) Click on File and choose Options: (2) On the General tab select the desired options: Ensure this is unchecked. Set to Project Management if you would like CRM to always open with the Projects and Claims area. Set to Projects if you would like CRM to always open with the Projects area. Set to the number of records desired in a view. If in an area with slow internet choose a lower value. 4

8 (3) After setting the above options, the system would always open as follows: 5

9 System Views To assist in navigation and extraction of key information, every area of the system has a number of different views. There is always a default view showing all records in any area. In addition extra views that show a filtered selection of records. (1) The user clicks on the arrow beside the view name to see other possible views These views show projects at each stage (2) A user can easily set any view to be the default one that opens first. For example the LFP Article 48 Manager may like the system to always open with the view of projects at Stages 09 and 14 that they need to work on. Click View and Set to Default View. 6

10 (3) Article 48 Checks Context LEADER is a European Union (EU) rural development programme and is subject to EU regulations. In particular, LEADER is subject to Article 48 of the Implementing Regulation 809/2014 published on 17 th July 2014 as follows: Given the particular characteristics of those [rural development] measures, the administrative checks should verify compliance with Union or national law and with the applicable rural development programme and should cover all the eligibility criteria, commitments and other obligations that are possible to be verified by such checks. To verify the realisation of investment operations, the administrative checks should normally also include a visit to the operation supported or to the investment site. Under Article 48, Member States are required to carry out administrative checks on the following: all applications made for LEADER support (2) all payment claims submitted for LEADER funding. The purpose of the checks is to ensure that project applications and subsequent costs incurred on approved projects are compliant with and eligible under the Programme rules. In terms of project applications, the Article 48 administrative checks are undertaken on each project application prior to the project being approved for funding. With regard to claims, an Article 48 check is performed when payment claims are submitted for reimbursement of expenditure that has been incurred on an approved project. The individual Article 48 checklists and outcome of the checks are recorded on the LEADER ICT system. Transition of Article 48 Checks to Local Authorities An overview of the key roles and changes as well as the indicative timeframes for the transition of certain Article 48 Checks to Local Authorities is presented below: 2018: National Article 48 Checks by Pobal Up until the end of December 2018, Pobal will complete all Article 48 checks nationally on: monthly returns, project applications and payment claims & Going Forward Role of Local Authorities in Article 48 Checks From January and February 2019, the Local Authority (in each of the 25 LCDC-based LAG areas) will undertake the Article 48 checks on all projects and claims in their own LDS area, with the exception of in-house projects which will have the Article 48 check performed by Pobal. An In House project or claim, relates to a project where the Promoter is a LAG or i.e. the LAG or directly delivers the project. The Department of Rural and Community Development (DRCD) has confirmed the names of the 8 Local Authorities who will undertake the Article 48 checks from 2 nd January 2019 and it is intended that the remaining 17 Local Authorities will transition on 01 February Role of Pobal in Article 48 Checks From February 2019, Pobal will carry out Article 48 checks on the following: (1) all in-house projects and claims for the 25 x LCDC LAGs; (2) all projects/claims for the 4 x Local Development Company LAGs (where the LCDC is not the LAG); (3) the monthly administrative returns for all LAGs/associated s. 7

11 New Article 48 Functionality on the LEADER ICT System As previously noted, the key change from early 2019 is that for LCDC LAGs: all projects and claims, with the exception of In-House projects, will now have the Article 48 check completed by the Local Authority, in their role as the Lead Financial Partner (LFP). Pobal will continue to undertake the Article 48 checks for those in-house projects (i.e. projects delivered directly by the LAG/), in addition to the monthly administration returns for all LAGs. Additional functionality has been developed on the LEADER ICT system to support this new Article 48 role for Local Authorities in the LEADER Programme, which is summarised below. LFP or Pobal Flag An automatic flag is now generated on the project record and the project claim (as either LFP or Pobal ) to differentiate the projects and claims that need to have an Article 48 check completed by the Local Authority, as opposed to the checks that Pobal will complete. Creation of new LFP System Views To assist users in managing their workload a series of system views have been created to display the projects and claims that will have the Article 48 check performed by the Local Authority. Further details on this new functionality is provided in this guidance note. New Local Authority LFP Roles Two new user roles have been created on the LEADER ICT System, for Local Authorities to perform the Article 48 Checks, in their role as LFP. In order to provide the necessary segregation of duties (inputting and sign-off), which is a requirement from the Department, these are two separate user roles. These two new user roles are as follows: LFP Article 48 This is an Article 48 checking and inputting role that is responsible for checking each checklist question, choosing an appropriate response and adding a comment if required. This user may perform an Article 48 Check on any Project or Claim in their LDS Area, with the exception of in-house projects. LFP Article 48 Manager This is an Article 48 sign off role that is responsible for checking the work that has been completed by the LFP Article 48 and formal sign off on the Article 48 Check once satisfied. This user may sign off an Article 48 Check on any Project or Claim in their LDS Area, with the exception of in-house projects. Segregation of Duties For projects and claims with an LFP flag (ie Article 48 check is to be completed by the Local Authority), the LAG Manager stages (approval by the LAG Manager), are optional. These are Stages 06 & 12 on the Project and Stage 04 on the Claim. A decision must be made at a local level by the LAG as to whether they opt to retain the LAG Manager approval stages or skip these the decision must then be communicated by the LAG to all relevant personnel in the. In scenarios where the LAG Manager Approval stages are retained, it is important to note that the individual who does the LAG Manager approval (e.g.at Stage 06) cannot be the same individual who signs off the Article 48 Check at Stage 09. The LCDC LAG must maintain an offline tracking record to ensure that the necessary separation of duties is enforced. A signed Mandate must be submitted for each individual that requires an LFP Article 48 Manager or LFP Article 48 role, even if that user already has an existing user role on the LEADER ICT System. An updated version of the Policy must also be signed. The relevant documentation was previously circulated (November 2018) to the Chief Officer in each Local Authority in this regard. 8

12 How does the Article 48 Process Work? Initially, it is important to understand that each project and claim will transition through a number of different Stages on the LEADER ICT system as the project or claim progresses through the various processes (e.g. data input, review, approval, Article 48, final decision). Each of the system users on the ICT System (e.g. Implementing Partner, Local Action Group, Local Authority, Pobal and the Department) have a different role in transitioning the project or claim through these stages. Please refer to the Project Record Stages and Claim Record Stages for further information on what is completed at the each Stage and by whom. The Article 48 checks are premised on a series of checklist questions - details of the different checklists for the project and claim are provided in the next section of the guidance document. All Article 48 Checks follow the same high-level process, which is outlined below. The Article 48 check, which is conducted by the Local Authority or Pobal, is completed on the LEADER ICT system at a specific pre-defined stage on the project and claim. The relevant checklist is initially completed by the in the Implementing Partner and is then signed off by the Manager. Following this, the LAG Manager in the LAG, will review the responses provided by the and provide sign off by the LAG. The project or claim will then move to the Article 48 checking stage. The Article 48 will initially review and verify the checklist questions, following which the responses will be signed off by the Article 48 Manager. The process is described in more detail in the following section. answers Checklist questions Manager signs off Checklist questions LAG Manager approves Checklist questions Article 48 reviews, verifies and answers Checklist questions Article 48 Manager signs off Checklist questions 9

13 Article 48 Check Example Outlined below is an example of one Article 48 Checklist question that is currently asked on all projects and the various user roles who complete the checklist question on the LEADER ICT System. (1) Application Form - are the following documents on file? (a) A fully completed Standard Application Form, signed and dated by the applicant and (b) A fully completed Standard Application Form Checklist signed and dated by the LAG or? (1) Implementing Partner ( ) completes the checklist question For every checklist question, there are three possible answers for the to choose from: For every checklist question, there is also a comment box for any additional information that the may need to include e.g. the should include a comment if anything about the answer is unclear or requires clarification. (2) Implementing Partner Manager ( Manager) signs off the checklist question Next the Manager will review the completed checklist and sign off on the work of the. (3) LAG Manager approves the checklist question Following this, the LAG Manager will review the completed Article 48 checklist and provide LAG sign off. (4) Article 48 verifies checklist question (Local Authority or Pobal) The Article 48 check will be completed by the Local Authority or Pobal. The Article 48 will review the information and documentation and provide a response to each Checklist question. There are two possible responses for the Article 48 to choose from: Where the verification response is Incomplete, the Article 48 must also populate the comment box and provide detailed information to advise the what additional information needs to be provided. (5) Article 48 Manager signs off checklist question (Local Authority or Pobal) Once the Article 48 has completed the checklist and reviewed any additional information provided by the, the checklist is then reviewed and verified by the Article 48 Manager who signs off on the check as the final step. As part of the sign off, the Article 48 Manager has an Overall Response box with possible answers Complete, Complete with outstanding items and Incomplete. 10

14 Article 48 Checklists Overview The Article 48 related questions for projects and claims are presented on the ICT system in groups called checklists. An overview of the different checklists is provided below: Project Pathways The LEADER System supports eight possible Project Pathways. The specific Project Pathway is determined by the response that is provided by the to the following three questions on the ICT system at Stage 02. Project Sub-Type (N/A, LEADER Food Initiative, Co-operation Preparatory, Co-operation Full) Is Provisional Approval required for Procurement? (Yes/No) Is Provisional Approval required for Planning? (Yes/No) The specific checklist questions generated on the ICT system for a project are based on the particular Project Pathway. Please note that the coding on the ICT system will automatically generate the correct checklist questions as based on the particular Project Pathway. For more detailed information, please refer to the Project Pathways document which sets out the eight possible project pathway scenarios. 11

15 Project Article 48 Checklists Whilst there are three different checklist groups (#1, #2, #3) outlined in the table below, it is important to note that the majority of projects will only have one Article 48 check that will be completed by the Local Authority or Pobal. Only projects that are on a specific pathway will undergo a second Article 48 Check (e.g. provisional approval for procurement and/or planning): Checklist Group Project Checklist #1 Project Checklist #2 Project Checklist #3 Number Checklist Questions Notes The answers these questions at Stage 04 The Article 48 checks them at Stage 08 Project Checklist #1 will generally have 22 questions except as follows: LEADER Food and Co-operation projects have additional questions in Checklist #1. Original Pathway projects have 60 questions in Checklist #1. The number of questions in Checklist #1 is reduced if a project requires Provisional Approval, as the Procurement and Planning questions are instead included at Stage 11. The answers these questions at Stage 07 The Article 48 checks them at Stage 08 Project Checklist #2 will generally have 6 questions except as follows: Original Pathway projects have 7 questions in Checklist #2. Only projects on the pathway Provisional Approval and Original Pathway have a Project Checklist #3 and consequently a second Article 48 Check. The answers these questions at Stage 11 The Article 48 checks them at Stage 13 For projects with provisional approval, the number of checklist questions presented can be 1, 13 or 14 depending on whether provisional approval is needed for Procurement, Planning or both. Original Project Pathway projects always have Checklist #3 with 11 questions. Claim Article 48 Checklist Checklist Group Claim Checklist (First Claim) Claim Checklist (Second and Subsequent Claims) Notes Number Checklist Questions Notes The answers these questions at Stage 01 The Article 48 checks them at Stage 05 There is always 45 questions regardless of Project Pathway. In some instance the first 6 questions could already be prepopulated as Not Applicable - this is only for projects on the Original Project Pathway who have previously answered these questions in Project Checklist #3. The answers these questions at Stage 01 The Article 48 checks them at Stage 05 There is always 33 questions regardless of Project Pathway. s should be aware that as LEADER Programme has evolved there has been resultant changes to both the wording and number of checklist questions and therefore historical projects may have a different number and wording of checklist questions. 12

16 Article 48 Flag Each project and claim on the system carries an Article 48 Flag showing who performs the Article 48 check. This field is located near the top of the project and claim forms. It may have two values, LFP (Lead Financial Partner) or Pobal. The Article 48 Flag for Projects is shown below: The Article 48 Flag for Claims is shown below: 13

17 Article 48 Views A series of customised views for projects and claims have been created for the LFP Article 48 Manager and LFP Article 48. These views show relevant users what projects and claims are ready for Article 48 checking. Projects The LFP Article 48 has two views on projects as follows: LFP-Flagged Projects (Stages 08 & 13) A view showing the projects that are ready for the LFP Article 48 Check LFP & Pobal-Flagged Projects (Stages 08, 09, 13, 14) A catch all view showing all projects in the LDS Area that are at the Article 48 stages. The user clicks here to see the list of available views. The LFP Article 48 Manager has two views on projects as follows: LFP-Flagged Projects (Stages 09 & 14) A view showing the projects that are ready for the LFP Article 48 Manager Sign Off. LFP & Pobal-Flagged Projects (Stages 08, 09, 13, 14) A catch all view showing all projects in the LDS Area that are at the Article 48 stages. The user clicks here to see the list of available views. 14

18 Claims The LFP Article 48 has two views on claims as follows: LFP-Flagged Claims (Stage 05) A view showing the claims that are ready for the LFP Article 48 Check LFP & Pobal-Flagged Claims(Stages 05, 06) A catch all view showing all claims in the LDS Area that are at the Article 48 stages. The user clicks here to see the list of available views. The LFP Article 48 Manager has two views on claims as follows: LFP-Flagged Claims (Stage 06) A view showing the claims that are ready for the LFP Article 48 Manager Sign Off. LFP & Pobal-Flagged Claims (Stages 05, 06) A catch all view showing all claims in the LDS Area that are at the Article 48 stages. The user clicks here to see the list of available views. 15

19 LAG Manager Approval Optional Stages for LFP-Flagged Projects and Claims Overview For projects and claims with an LFP flag (i.e. Article 48 check is to be completed by the Local Authority), the LAG Manager stages (approval by the LAG Manager), are optional. These are Stages 06 & 12 on the Project and Stage 04 on the Claim. A decision must be made at a local level by the LAG as to whether they opt to retain the LAG Manager approval stages or skip these the decision must then be communicated by the LAG to all relevant personnel in the. Segregation of Duties In scenarios where the LAG Manager Approval stages are retained, it is important to note that the individual who does the LAG Manager approval (e.g.at Stage 06) cannot be the same individual who signs off the Article 48 Check at Stage 09. The LCDC LAG must maintain an offline tracking record to ensure that the necessary separation of duties is enforced. Note: For all Pobal-flagged projects and claims (i.e. In-House projects) there is not an option to skip the LAG Manager approval stages as the ICT System does not facilitate this. Please refer to the Project Record Stages and Claim Record Stages for further information on the different Stages presented in the diagrams below. For Projects, the options are: (1) Progress all projects for LAG Manager Approval i.e and 1112 on Projects. (2) Omit the LAG Manager Approval and instead transition the project from 0507 and Project Stages 01 EOI Submitted 02 EOI Eligible 03 Application Submitted 04 Project Record Checklist #1 05 Application Manager Sign Off 06 Application LAG Manager Approval 07 Project Record Checklist #2 08 Application Article 48 Check 09 Application Article 48 Manager Verification 10 Application Decision 11 Project Record Checklist #3 12 Final LAG Manager Approval 13 Final Article 48 Check 14 Final Article 48 Manager Verification 15 Final Project Approved 16 Withdrawn Other Funding Source 17 Project Rejected 18 EOI Ineligible or or 16

20 For Claims, the options are: (1) Progress all claims for LAG Manager Approval i.e (2) Omit the LAG Manager Approval and instead transition the claim from Claim Stages 01 Draft 02 LAG Check 03 Manager LAG Sign Off 04 LAG Manager Approval 05 Article 48 Check 06 Article 48 Manager Verification 07 Inspection 08 Department Review 09 Department Approval 10 Department Payment 11 Promoter Paid 12 Promoter Paid Claim Complete 13 Claim Withdrawn or 17

21 (4) Article 48 Checks on Projects This section of the guidance document provides an overview of the technical steps that will be completed on the ICT system by Local Authority staff who are undertaking the Article 48 checks. Article 48 checks are performed at certain stages on projects as follows: First Article 48 Check All projects receive a first Article 48 Check as follows: Stage 08 Article 48 performs first Article 48 Check Stage 09 Article 48 Manager signs off first Article 48 Check Second Article 48 Check Only certain projects on the following Project Pathways will undergo a second Article 48 Check: Original Project Pathway Projects where Provisional Approval is required for Procurement Projects where Provisional Approval is required for Planning Projects where Provisional Approval is required for Procurement and Planning The second Article 48 Check is completed at the following stages: Stage 13 Article 48 performs Second Article 48 Check Stage 14 Article 48 Manager signs off Second Article 48 Check Project Stages 01 EOI Submitted 02 EOI Eligible 03 Application Submitted 04 Project Record Checklist #1 05 Application Manager Sign Off 06 Application LAG Manager Approval 07 Project Record Checklist #2 08 Application Article 48 Check 09 Application Article 48 Manager Verification 10 Application Decision 11 Project Record Checklist #3 12 Final LAG Manager Approval 13 Final Article 48 Check 14 Final Article 48 Manager Verification 15 Final Project Approved 16 Withdrawn Other Funding Source 17 Project Rejected 18 EOI Ineligible 18

22 Stage 08 Project First Article 48 Check Overview Stage 08 Application Article 48 Check The Article 48 checks all responses to the first two checklists and progresses to 09. LFP Article 48 (Non In-House projects) Projects LFP Article 48 (Non In-House projects) Can Progress To Can Reverse To Stage 08 Application Article 48 Check involves the performing of the first Article 48 Check. Each project carries an Article 48 Flag field indicating who should perform the Article 48 Check: If the Article 48 Flag is set to LFP (Non In-House project), then the Article 48 Check is performed by the LFP Article 48 in the Local Authority. If the Article 48 Flag is set to Pobal (In-House project), then the Article 48 Check is performed by the Pobal Article 48. As the first action, the Article 48 examines the project to ensure the Article 48 Flag is correct. If it is a Non In- House project, then the Article 48 Flag should be LFP [Lead Financial Partner] and the Article 48 Check is performed by the Local Authority. If it is an In-House project (ie the Promoter is a LAG or ), then the Article 48 Flag should be Pobal and the Article 48 Check is performed by Pobal. Performing an Article 48 Check involves checking the uploaded documentation, reviewing the responses to the Project Record Checklist #1 and #2 questions together with completing the Article 48 questions. When complete, the project is progressed to Stage 09 Application Article 48 Manager Verification. Alternatively, the project is reversed to Stage 04 Project Record Checklist #1 for amending by the. For Non In-House projects, this stage is actioned by the LFP Article 48. For In-House projects, this stage is actioned by the Pobal Article 48. Notes: The LEADER ICT System will not allow the LFP Article 48 to perform an Article 48 check on a project with the Pobal Article 48 Flag (i.e. an In-House project). The LFP Article 48 has a custom view LFP-Flagged Projects (Stages 08 & 13) which they can use to view the projects ready for an LFP Article 48 Check. Note the process is the same for the LFP Article 48 as the Pobal Article

23 Process (1) The Article 48 refers to their custom view to identify the projects that are ready for the first Article 48 Check. The view for the LFP Article 48 is shown below. (2) The Article 48 opens the project which is at Stage 08 Application Article 48 Check. Click on the project name to open it 20

24 (3) The project opens. (4) The Article 48 first examines the project to ensure that it is not an In-House project (i.e. where the Promoter is the LAG or ). If the project is an In-House project, then the Article 48 Flag field should say Pobal. If the project is a Non In-House, then Article 48 Flag field should say LFP. If the Article 48 Flag is incorrect, the should be instructed to amend the Promoter Type on the Promoter Record. If in any doubt please contact the LEADER Administrator at leadersystem@pobal.ie. The user initially examines the Article 48 Flag field to ensure it is correct. If the field says Pobal, then the project must be an In-House project and the Article 48 Check must be performed by Pobal. If the field says LFP, then the project must be a Non In-House project and the Article 48 Check must be performed by the Local Authority 21

25 (5) The Article 48 navigates to Project Record Checklist #1. Click here to move to Project Checklist #1 (6) The Article 48 double clicks in the white space on the first checklist question line. 22

26 (7) The Article 48 reviews the response to the checklist question and any comment entered. The user also checks any relevant uploaded documentation in the SharePoint Document Library. The user clicks the Article 48 Response lookup icon. (8) The Article 48 chooses the appropriate response ( Complete or Incomplete ) and clicks OK. 23

27 (9) The Article 48 adds a comment if required and then clicks Save & Close. Notes: Where the response is Incomplete, the Article 48 Response Comments field must be completed by the Article 48 to provide details of the additional information that is outstanding. If the Article 48 has to request a significant amount of additional information from the, they can type this into a Word document and attach it to the Notes section at the foot of the Project form. 24

28 (10) The Article 48 Response and Article 48 Comment are now visible in the subgrid. Note that the name of the user who performed the Article 48 Check appears here. Note that the name of the organisation which performed the Article 48 Check appears here. (11) Repeat the process for the remaining questions in the Project Record Checklist #1 and Project Record Checklist #2. (12) The Project Checklist #1 and Project Checklist #2 subgrids should now look like this: 25

29 (13) When all checklist questions are checked and if the Article 48 is satisfied, the project is then progressed to Stage 09 Application Article 48 Manager Verification. The Article 48 clicks the Stage lookup icon. (14) Choose Stage 09 and click OK. 26

30 (15) Click Save to save the project at the new stage. (16) If not satisfied, the Article 48 reverses the project to Stage 04. The Article 48 then communicates with the in an offline process to address the issues. Once the issues are addressed, the progresses the project through the stages again to Stage 08 and the Article 48 Check continues. 27

31 Stage 09 Project First Article 48 Manager Verification Overview Stage 09 Application Article 48 Manager Verification The Article 48 Manager verifies the work of the Article 48 and then progresses to 10 Application Decision. LFP Article 48 (Non In-House projects) Projects LFP Article 48 (Non In-House projects) Can Progress To Can Reverse To Stage 09 Application Article 48 Manager Verification involves the signing off of the first Article 48 Check. Each project carries an Article 48 Flag field indicating who should sign off the Article 48 Check. If the Article 48 Flag is LFP (Non In-House projects), then the Article 48 Check is signed off by the LFP Article 48 Manager. If the Article 48 Flag is Pobal (In-House projects), then the Article 48 Check is signed off by the Pobal Article 48. Segregation of Duties For LFP-Flagged projects, where an individual in the Local Authority is both an LFP Article 48 Manager and a LAG Manager, that person may only sign off the Article 48 Check (as an LFP Article 48 Manager at Stage 09) if they have not performed the previous LAG Manager approval (as LAG Manager at Stage 06) for that particular project. Each LCDC LAG must maintain an offline record to monitor and ensure that the necessary segregation of duties is in place. Signing off the first Article 48 Check involves reviewing the Article 48 responses to the Project Record Checklist #1 and #2 questions in conjunction with the responses and the uploaded documentation. If satisfied, the project is progressed to Stage 10 Application Decision. Alternatively, the project is reversed to Stage 08 Application Article 48 Check for amending. For Non In-House projects, this stage is actioned by the LFP Article 48 Manager. For In-House projects, this stage is actioned by the Pobal Article 48 Manager. Notes: The LEADER ICT System will not allow the LFP Article 48 Manager to sign-off an Article 48 check on an In-House project which has the Pobal Article 48 Flag. The LFP Article 48 Manager has a custom view LFP-Flagged Projects (Stages 09 & 14) which they can use to view the projects ready for an LFP Article 48 Check. Note the process is the same for the LFP Article 48 Manager or Pobal Article 48 Manager. 28

32 Process (1) The Article 48 Manager refers to their custom view to identify projects ready for first Article 48 Manager Sign Off. The view for the LFP Article 48 Manager is shown below. (2) The Article 48 Manager opens the project which is at Stage 09 Application Article 48 Manager Verification. Click on the project name to open it 29

33 (3) The project opens. Note Segregation of Duties: For LFP-Flagged projects, where an individual in the Local Authority is both an LFP Article 48 Manager and a LAG Manager, that person may only sign off the Article 48 Check (as an LFP Article 48 Manager at Stage 09) if they have not performed the previous LAG Manager approval (as LAG Manager at Stage 06) for that particular project. Each LCDC LAG must maintain an offline record to monitor and ensure that the necessary segregation of duties is in place. 30

34 (4) The Article 48 Manager Project Record Checklist #1 and opens the first question. Click here to move to Project Checklist #1 (5) The Article 48 Manager checks the responses from the and Article 48 for each checklist question and any comments entered. The Article 48 Manager may also check any relevant uploaded documentation in the SharePoint Documents. (6) The Article 48 Manager repeats the process for the remaining questions in the Project Record Checklist #1 and Project Record Checklist #2. 31

35 (7) The Article 48 Manager then populates the Article 48 End of Project Application Overall Response and Article 48 End of Project Application Overall Response Comments. Field Article 48 End of Project Application Overall Response* Article 48 End of Project Application Overall Response Comments Options Choose: Complete Complete with outstanding items Incomplete An optional comment field for adding any comments. (8) If satisfied, the Article 48 Manager progresses the project to Stage 10 Application Decision. The Article 48 Manager clicks the Stage lookup icon. 32

36 (9) Choose Stage 10 and click OK. (10) Click Save to save the project at the new stage. (11) If not satisfied, the Article 48 Manager reverses the project to Stage 08 for amending. The Article 48 Manager then communicates with the Article 48 who in turn communicates with the in an offline process to address the issues. Once the issues are addressed, the progresses the project through the stages again to Stage 08 and the Article 48 Check continues. 33

37 Stage 13 Project Second Article 48 Check Overview Stage 13 Final Article 48 Check The Project Record Checklist #3 responses are checked by the Article 48. Progress to 14. LFP Article 48 (Non In-House projects) Projects LFP Article 48 (Non In-House projects) Can Progress To 14 Can Reverse To Stage 13 Final Article 48 Check involves the completion of the second Article 48 Check. Each project carries an Article 48 Flag field indicating who should perform the Article 48 Check. If the Article 48 Flag is LFP (Non In-House projects), then the Article 48 Check is performed by the LFP Article 48. If the Article 48 Flag is Pobal (In-House projects), then the Article 48 Check is performed by the Pobal Article 48. As the first action, the Article 48 examines the project to ensure the Article 48 Flag is correct. If it is a Non In- House project, then the Article 48 Flag should be LFP [Lead Financial Partner] and the Article 48 Check is performed by the Local Authority. If it is an In-House project (ie the Promoter is a LAG or ), then the Article 48 Flag should be Pobal and the Article 48 Check is performed by Pobal. Performing an Article 48 Check involves checking the uploaded documentation, reviewing the responses to the Project Record Checklist #3 questions together with completing the Article 48 questions. If the Article 48 is satisfied with the answers then the project is progressed to Stage 14 Final Article 48 Manager Verification. Alternatively, the project is reversed by the Article 48 for amending. Stage 13 is only applicable to the following Project Pathways: Original Project Pathway Projects where Provisional Approval is required for Procurement Projects where Provisional Approval is required for Planning Projects where Provisional Approval is required for Procurement and Planning For Non In-House projects, this stage is actioned by the LFP Article 48. For In-House projects, this stage is actioned by the Pobal Article 48. Notes: The LEADER ICT System will not allow the LFP Article 48 to perform an Article 48 check on a project that has the Pobal Article 48 Flag i.e. an In-House project. The LFP Article 48 has a custom view LFP-Flagged Projects (Stages 08 & 13) which they can use to view the projects ready for an LFP Article 48 Check. Note the process is the same for the LFP Article 48 or Pobal Article

38 Process (1) The Article 48 refers to their custom view to identify what projects are ready for the second Article 48 Check. The view for the LFP Article 48 is shown below. (2) The Article 48 opens the project which is at Stage 13 Final Article 48 Check. Click on the project name to open it 35

39 (3) The project opens. (4) The Article 48 first examines the project to ensure that it is not an In-House project (i.e. where the Promoter is the LAG or ). If the project is an In-House project, then the Article 48 Flag field should say Pobal. If the project is a Non In-House, then Article 48 Flag field should say LFP. If the Article 48 Flag is incorrect, the should be instructed to amend the Promoter Type on the Promoter Record. If in any doubt please contact the LEADER Administrator at leadersystem@pobal.ie. The user initially examines the Article 48 Flag field to ensure it is correct. If the field says Pobal, then the project must be an In-House project and the Article 48 Check must be performed by Pobal. If the field says LFP, then the project must be a Non In-House project and the Article 48 Check must be performed by the Local Authority 36

40 (5) The Article 48 reviews the Article 48 Overall Response for the first Article 48 Check (Checklist #1 & #2) and where the response was complete with outstanding items, any outstanding items must be followed up. Note that the Article 48 will not be able to amend the checklist responses in Project Checklist #1 and Project Checklist #2. (6) The Article 48 navigates to Project Record Checklist #3. Click here to move to Project Checklist #3 (7) Double click in the white space on the first checklist question line. 37

41 (8) The Article 48 checks the response to the checklist question and any comment entered. The user also checks any relevant uploaded documentation in the SharePoint Document Library. The user clicks the Article 48 Response lookup icon. (9) The Article 48 chooses the appropriate response ( Complete or Incomplete ) and clicks OK. 38

42 (10) The Article 48 adds a comment if required and then clicks Save & Close. Notes: Where the response is Incomplete, the Article 48 Response Comments field must be completed by the Article 48 to provide details of the additional information that is outstanding. If the Article 48 has to request a significant amount of additional information from the, they can type this into a Word document and attach it to the Notes section at the foot of the Project form. 39

43 (11) The Article 48 Response and Article 48 Comment are now visible in the subgrid. (12) Repeat the process for the remaining questions in the Project Record Checklist #3. (13) The Project Checklist #3 subgrid should now look like this: Note that the name of the user who performed the Article 48 Check appears here. Note that the name of the organisation which performed the Article 48 Check appears here. 40

44 (14) When all checklist questions are checked and if the Article 48 is satisfied, the project is then progressed to Stage 14 Final Article 48 Manager Verification. The Article 48 clicks the Stage lookup icon. (15) Choose Stage 14 and click OK. 41

45 (16) Click Save to save the project at the new stage. (17) If not satisfied, the Article 48 reverses the project to Stage 10 for amending. The Article 48 then communicates with the in an offline process to address the issues. Once the issues are addressed, the progresses the project through the stages again to Stage 13 and the Article 48 Check continues. 42

46 Stage 14 Project Second Article 48 Manager Verification Overview Stage 14 Final Article 48 Manager Verification The Project Record Checklist #3 responses are verified by the Article 48 Manager. Progress to 15. LFP Article 48 Manager (Non In-House projects) Projects LFP Article 48 Manager (Non In-House projects) Can Progress To Can Reverse To Stage 14 Final Article 48 Manager Verification involves the sign off of the second Article 48 Check. Each project carries an Article 48 Flag field indicating who should perform the Article 48 Check. If the Article 48 Flag is LFP (Non In-House projects), then the Article 48 Check is performed by the LFP Article 48. If the Article 48 Flag is Pobal (In-House projects), then the Article 48 Check is performed by the Pobal Article 48. Segregation of Duties For LFP-Flagged projects, where an individual in the Local Authority is both an LFP Article 48 Manager and a LAG Manager, that person may only sign off the Article 48 Check (as an LFP Article 48 Manager at Stage 14) if they have not performed the previous LAG Manager approval (as LAG Manager at Stage 12) for that particular project. Each LCDC LAG must maintain an offline record to monitor and ensure that the necessary segregation of duties is in place. Signing off the second Article 48 Check involves reviewing the Article 48 responses to Project Record Checklist #3 questions in conjunction with the responses and the uploaded documentation to the SharePoint Document Library. If satisfied, the project is progressed to Stage 15 Final Project Approved. Alternatively, the project is reversed for amending. Stage 14 is only applicable to the following Project Pathways: Original Project Pathway Projects where Provisional Approval is required for Procurement Projects where Provisional Approval is required for Planning Projects where Provisional Approval is required for Procurement and Planning For Non In-House projects, this stage is actioned by the LFP Article 48 Manager. For In-House projects, this stage is actioned by the Pobal Article 48 Manager. Notes: The LEADER ICT System will not allow the LFP Article 48 Manager to perform an Article 48 sign off on an In- House project which has the Pobal Article 48 Flag. The LFP Article 48 Manager has a custom view LFP-Flagged Projects (Stages 09 & 14) which they can use to view the projects ready for an LFP Article 48 Check. Note the process is the same for the LFP Article 48 Manager or Pobal Article 48 Manager. 43

47 Process (1) The Article 48 Manager refers to their custom view to identify what projects are ready for the first Article 48 Check. The view for the LFP Article 48 Manager is shown below. (2) The Article 48 Manager opens the project which is at Stage 14 Final Article 48 Manager Verification. Click on the project name to open it 44

48 (3) The project opens. Note Segregation of Duties: For LFP-Flagged projects, where an individual in the Local Authority is both an LFP Article 48 Manager and a LAG Manager, that person may only sign off the Article 48 Check (as an LFP Article 48 Manager at Stage 14) if they have not performed the previous LAG Manager approval (as LAG Manager at Stage 12) for that particular project. Each LCDC LAG must maintain an offline record to monitor and ensure that the necessary segregation of duties is in place. 45

49 (4) The Article 48 Manager navigates to Project Record Checklist #3 and opens the first question. Click here to move to Project Checklist #3 (5) The Article 48 Manager checks the responses from the and Article 48 to the checklist question and any comments entered. The Article 48 Manager may also check any relevant uploaded documentation in the SharePoint Documents. (6) The Article 48 Manager repeats the process for the remaining questions in the Project Record Checklist #3. 46

50 (7) The Article 48 Manager then populates the Article 48 End of Project Application Overall Response and Article 48 End of Project Application Overall Response Comments. Field Article 48 End of Project Application Overall Response* Article 48 End of Project Application Overall Response Comments Options Choose: Complete Complete with outstanding items Incomplete An optional comment field for adding any comments. (8) If satisfied, the Article 48 Manager progresses the project to Stage 15 Final Project Approved. (9) If not satisfied, the Article 48 Manager reverses the project to Stage 13 Final Article 48 Check for amending. The Article 48 Manager then communicates with the Article 48 who in turn communicates with the in an offline process to address the issues. Once the issues are addressed, the progresses the project through the stages again to Stage 13 and the Article 48 Check continues. 47

51 (5) Article 48 Checks on Project Claims This section of the guidance document provides an overview of the technical steps undertaken by the Local Authority on the ICT system in completing the Article 48 check on project claims. Article 48 checks are performed at certain stages of a claim as follows: All claims receive one Article 48 Check as follows: Stage 05 Article 48 performs Article 48 Check Stage 06 Article 48 Manager signs off Article 48 Check Claim Stages 01 Draft 02 LAG Check 03 Manager LAG Sign Off 04 LAG Manager Approval 05 Article 48 Check 06 Article 48 Manager Verification 07 Inspection 08 Department Review 09 Department Approval 10 Department Payment 11 Promoter Paid 12 Promoter Paid Claim Complete 13 Claim Withdrawn 48

52 Stage 05 Claims Article 48 Check Overview Stage Claims Can Progress To Can Reverse To 05 Article 48 Check The Pobal Article 48 checks the Claim Checklist questions. Progress to 06. LFP Article 48 (Non In-House claims) LFP Article 48 (Non In-House claims) Stage 05 Article 48 Check involves the performing of the Article 48 Check. Each claim carries an Article 48 Flag field indicating who should perform the Article 48 Check. If the Article 48 Flag is LFP (Non In-House claims), then the Article 48 Check is performed by the LFP Article 48. If the Article 48 Flag is Pobal (In-House claims), then the Article 48 Check is performed by the Pobal Article 48. As the first action, the user must examine the claim to verify that the Project Promoter has been categorised correctly. If it is an In-House claim, then Pobal must perform the Article 48 Check and if it is a Non In-House claim, then the Local Authority performs the Article 48 Check. Performing an Article 48 Check involves checking the uploaded documentation, reviewing the responses to the Claims Checklist questions, together with completing the Article 48 questions. When complete, the claim is progressed to Stage 06 Article 48 Manager Verification. Alternatively, the claim is reversed to Stage 04 LAG Manager Approval for amending. For Non In-House claims, this stage is actioned by the LFP Article 48. For In-House claims, this stage is actioned by the Pobal Article 48. Note: The LEADER ICT System will not allow the LFP Article 48 to perform an Article 48 check on a project with the Pobal Article 48 Flag (i.e. an In-House claim). The LFP Article 48 has a custom view LFP-Flagged Claims (Stages 05) which they can use to view the claims ready for a LFP Article 48 Check. Note the process is the same for the LFP Article 48 or Pobal Article

53 Process (1) The Article 48 refers to their custom view to identify what claims are ready for Article 48 Check. The view for the LFP Article 48 is shown below. (2) The Article 48 opens the claim that is at stage 05 Article 48 Check. Click on the Claim ID to open it 50

54 (3) The claim opens. (4) The Article 48 first examines the claim to ensure that the associated project is not an In-House project (i.e. where the Promoter is the LAG or ). If the project is an In-House project, then the Article 48 Flag field should say Pobal. If the project is a Non In-House, then Article 48 Flag field should say LFP. If the Article 48 Flag is incorrect, the must be instructed to amend the Promoter Type on the Promoter Record. If in any doubt please contact the LEADER Administrator at leadersystem@pobal.ie. The user initially examines the Article 48 Flag field to ensure it is correct. If the field says Pobal, then the claim must be an In-House claim and the Article 48 Check must be performed by Pobal. If the field says LFP, then the claim must be a Non In-House claim and the Article 48 Check must be performed by the Local Authority 51

55 (5) The Article 48 reviews the Article 48 Overall Response for the project and where the response was complete with outstanding items, any outstanding items from Project Checklists #1, #2 or #3 must be followed up. Note that the Article 48 will not be able to amend the checklist responses in Project Checklist #1, Project Checklist #2 and Project #3. (6) Article 48 navigates to the Claim Checklist and opens the first question. Click here to move to the Claim Checklist (7) The Article 48 checks the response to the checklist question and any comment entered. The user also checks any relevant uploaded documentation in the SharePoint Document Library. The user clicks the Article 48 Response lookup icon. 52

56 (8) The Article 48 chooses the appropriate response ( Complete or Incomplete ) and clicks OK. (9) The Article 48 adds a comment if required and clicks Save & Close. Notes: Where the response is Incomplete, the Article 48 Response Comments field must be completed by the Article 48 to provide details of the additional information that is outstanding. If the Article 48 has to request a significant amount of additional information from the, they can type this into a Word document and attach it to the Notes section at the foot of the Claim form. 53

57 (10) The Article 48 Response and Article 48 Comment are now visible in the subgrid. Note that the name of the user who performed the Article 48 Check appears here. Note that the LDS Area of the user who performed the Article 48 Check appears here. (11) Repeat the process for the remaining questions in the Claim Checklist. (12) The Claim Checklist should now look like this: 54

58 (13) The Article 48 now has a number of fields they populate as follows: Field Article 48 Ineligible Amount Article 48 Ineligible Amount Reason Article 48 Obvious Error* Article 48 False Declaration* Capital Site Visits Options Any ineligible amount identified by the Article 48. This amount will be subtracted from the value in the Paid Amount field. A comment field for the Article 48 to document the reason for the deduction. Choose Yes No Choose Yes No A comment box for entering details about site visits for capital projects. Please refer to Circular 05/2018 issued by the Department on 26 th April 2018 for further details of the Site Visit process. 55

59 (14) If satisfied, the Article 48 progresses the claim to Stage 06 Article 48 Manager Verification. The Article 48 clicks the Stage lookup icon. (15) Choose Stage 06 and click OK. 56

60 (16) Click Save to save the claim at the new stage. (17) If not satisfied, the Article 48 reverses the claim to Stage 04 (if the LAG Manager has progressed it from this stage) or to Stage 03 (if the has progressed it from this stage). The Article 48 then communicates with the in an offline process to address the issues. Note that if any changes are needed, the claim needs to be reversed to Stage 01. Once the issues are addressed, the progresses the claim through the stages again to Stage 05 and the Article 48 Check continues. 57

61 Stage 06 Claims Article 48 Manager Verification Overview Stage LAG/ Claims LAG Claims Can Progress To Can Reverse To 06 Article 48 Manager Verification The Pobal Article 48 Manager verifies the Claim Checklist. Progress to 07 Inspection. LFP Article 48 Manager (Non In-House claims) Pobal Article 48 Manager (In-House claims) Stage 06 Article 48 Manager Verification involves the sign off of the Article 48 Check. Each claim carries an Article 48 Flag field indicating who should sign off the Article 48 Check. If the Article 48 Flag is LFP (Non In-House claims), then the Article 48 Check is signed off by the LFP Article 48 Manager. If the Article 48 Flag is Pobal (In-House claims), then the Article 48 Check is signed off by the Pobal Article 48. An important point to note for LFP-flagged claims, is that the individual who does the LAG Manager approval at Stage 04 cannot be the same person who signs off the Article 48 Check at Stage 06. The LCDC LAG must maintain an offline tracking record to ensure this separation of duties is maintained. Signing off the Article 48 Check involves reviewing the Article 48 responses to Claims questions in conjunction with the responses and the uploaded documentation. If satisfied, the claim is progressed to Stage 07 Inspection. Alternatively, the claim is reversed to Stage 05 Article 48 Check for amending. For Non In-House claims, this stage is actioned by the LFP Article 48 Manager. For In-House claims, this stage is actioned by the Pobal Article 48 Manager. Note: The LEADER ICT System will not allow the LFP Article 48 Manager to perform an Article 48 sign off on an In- House claim which has the Pobal Article 48 Flag. The LFP Article 48 Manager has a custom view LFP-Flagged Claims (Stage 06) which they can use to view the claims ready for a LFP Article 48 Sign Off. Note the process is the same for the LFP Article 48 Manager or Pobal Article 48 Manager. 58

62 Process (1) The Article 48 Manager refers to their custom view to identify what claims are ready for Article 48 sign off. The view for the LFP Article 48 Manager is shown below. (2) The Article 48 Manager opens the claim which is at Stage 06 Article 48 Manager Verification. 59

63 (3) The Article 48 Manager navigates to the Claim Checklist and opens the first question. Click here to move to the Claim Checklist (4) The Article 48 Manager checks the responses from the and Article 48 to the checklist question and any comments entered. The Article 48 Manager may also check any relevant uploaded documentation in the SharePoint Documents. (5) The Article 48 Manager repeats the process for the remaining questions in the Claim Checklist. 60

64 (6) If satisfied, the Article 48 Manager progresses the claim to Stage 07 Inspection. (7) If not satisfied, the Article 48 Manager reverses the claim to Stage 05 Article 48 Check for amending. The Article 48 Manager then communicates with the Article 48 who in turn communicates with the in an offline process to address the issues. Once the issues are addressed, the progresses the claim through the stages again to Stage 05 and the Article 48 Check continues. 61

65 (6) Next Steps New s If you have not already done so, please send in your completed and signed Mandates for the LFP Article 48 and LFP Article 48 Manager to leadersystem@pobal.ie Log in Credentials On 2 nd January 2019, the login credentials will be issued to the new LFP Article 48 Managers and LFP Article 48 s in the 8 Local Authorities that are transitioning on that date. Credentials for the other 17 Local Authorities will be issued on 1 st February Article 48 Workload for each Local Authority (Projects and Claims) In the first instance, Pobal will liaise with each Local Authority during the handover period and will provide the Local Authority with a list of projects and claims that are ready for Article 48 checking by the Local Authority based on the below factors: In instances where Pobal has started an Article 48 Check, Pobal will conclude it. But any subsequent Article 48 Check on that same project will be completed by the Local Authority. For example, if Pobal is processing an Article 48 Check at Stages 08 or 09, then that Check will be concluded by Pobal. However, if the project has a second Article 48 Check, that second Check will be performed by the Local Authority. In instances where Pobal has already started an Article 48 Check on a project, it is important to recognise that the project may no longer be at the Article 48 Check stages, as it may have been reversed for the to amend. Guidance on this will be provided by Pobal during the handover period. The LFP Article 48 s should then log in and check the LFP-Flagged projects and claims views to see the projects and claims that are ready for an Article 48 Check by the Local Authority (as instructed by Pobal). Article 48 related Supports If the Local Authority has any Article 48 queries during the rollout period (January to March 2019), these should be directed to leader@pobal.ie If the Local Authority has any Article 48 queries after the rollout period (April 2019 and onwards), these should be directed to article48@drcd.gov.ie All LEADER ICT System queries should be directed to leadersystem@pobal.ie 62

66 (7) Getting Started Item Done Has the Local Authority completed the Mandates for 2 x LFP Article 48 Manager and 2 x LFP Article 48 and submitted these to leadersystem@pobal.ie? LFP Article 48 users have received their login credentials? NB s will receive these on 2 nd January 2019 (for the 8 Local Authorities who will commence Article 48 checks in Jan.) and on 1 st February 2019 (for the 17 Local Authorities who will commence Article 48 checks in Feb.) Each LFP Article 48 user has read this Addendum and is familiar with the basics of the Article 48 Check process on the LEADER ICT System? Yes Yes Yes No No No Each LFP Article 48 user is familiar with the new Article 48 Flag showing what projects and claims will receive an Article Check from the Local Authority? Yes No Each LFP Article 48 is familiar with the new Article 48 System Views showing LFP-flagged projects and claims ready for a Local Authority Article 48 Check? The LAG has liaised with their Implementing Partner(s) and has provided instruction on the actions required at the LAG Manager approval stages on the project record and claim (which may be skipped if a decision is taken locally by the LAG): Project Stage 06 LAG Manager Approval is instructed to either progress projects from Stage 0506 LAG Manager Approval or to progress projects from Stage 0507 and bypass LAG Manager approval Project Stage 12 LAG Manager Approval is instructed to either progress projects from Stage 1112 LAG Manager Approval or to progress projects from Stage 1113 and bypass LAG Manager approval Claim Stage 04 LAG Manager Approval is instructed to either progress claims from Stage 0304 LAG Manager Approval or to progress projects from Stage 0305 and bypass LAG Manager approval The Local Authority is aware that during the initial rollout, there may be some LFP-flagged projects where Pobal has already commenced the Article 48 Check. For these particular projects, the Local Authority must allow Pobal to conclude the Article 48 Check this will be communicated by Pobal to each Local Authority in advance of the roll out. The Local Authority is aware that during rollout, in instances where an LFP-flagged project has 2 Article 48 Checks and where at handover Pobal has commenced the first Article 48 Check, upon completion of the first Article 48 Check, the Local Authority shall conduct the second Article 48 Check. The Local Authority is aware of the Start Date for Article 48 Checking Cork Donegal Kerry Monaghan Offaly Westmeath 2 nd January 2019 All other Local Authorities 1 st February 2019 Note has been taken of the support for Article 48 queries during rollout: leader@pobal.ie? Yes Yes Yes Yes Yes Yes No No No No No No Note has been taken of the support for subsequent Article 48 queries: article48@drcd.gov.ie? Yes No 63

67 (8) Support Guides on Pobal website. For all LEADER ICT System technical queries please contact For all Article 48 queries during handover (up until 31 March 2019) please contact For all other Article 48-related queries (from 01 April 2019) please contact For all other LEADER queries please contact 64

68 Appendices 65

69 Project Record Stages Stage 01 EOI Submitted Enter basic details including Project Name, Description & Promoter. Save as 01 EOI Submitted. Progress to EOI Eligible Enter further details including Sector or Initiative, Project Type, Sub-Type, Financials and progress to Application Submitted Progress the project to the next stage which is 04 Project Record Checklist #1. 04 Project Record Checklist #1 Answer the Project Record Checklist #1 questions and progress to 05 Application Manager Sign Off. 05 Application Manager Sign Off The information and checklist responses are signed off by the Manager for projects. 06 Application LAG Manager Approval The project is approved by the LAG Manager and is progressed to 07 Project Record Checklist #2. 07 Project Record Checklist #2 The Project Checklist #2 questions are answered. Progress to 08 Application Article 48 Check. 08 Application Article 48 Check The Article 48 checks all responses to the first two checklists and progresses to Application Article 48 Manager Verification The Article 48 Manager verifies the work of the Article 48 and then progresses to 10 Application Decision. 10 Application Decision The application decision is made and LAG Approval Date is entered. Progress to 11 or 15 depending on pathway. 11 Project Record Checklist #3 The Project Record Checklist #3 is completed. Progress to 12 Final LAG Manager Approval 12 Final LAG Manager Approval The Project Record Checklist #3 responses are approved by the LAG Manager. Progress to Final Article 48 Check The Project Record Checklist #3 responses are checked by the Article 48. Progress to Final Article 48 Manager Verification The Project Record Checklist #3 responses are verified by the Article 48 Manager. Progress to Final Project Approved The project is now approved. The Letter of Offer and Contract dates are entered and claims may be added. 16 Withdrawn Other Funding Source A status for the Withdrawal of the Expression of Interest or the Project. 17 Project Rejected A status for the Rejection of the Application at Decision stage. 18 EOI Ineligible A status for Ineligible Expressions of Interest. Non In-House Projects (LFP Article 48 Check) Project Project Project Project Project Project Project Project Project Project Project Manager LAG Manager (optional) LFP Article 48 LFP Article 48 Manager LAG Manager (optional) LFP Article 48 LFP Article 48 Manager In-House Projects (Pobal Article 48 Check) Project Project Project Project Project Project Project Project Project Project Project Manager LAG Manager Pobal Article 48 Pobal Article 48 Manager LAG Manager Pobal Article 48 Pobal Article 48 Manager Can Progress To Can Reverse To

70 Project Claim Stages Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 01 Draft Enter expenditure and complete Claim Checklist and save as 01 Draft. Progress to 02. Project Project LAG Check The user checks the claim. Progress to 03 Manager or LAG Sign Off. Project Project Manager LAG Sign Off The Claim is signed off by the Manager or LAG. Progress to 04. Manager Manager LAG Manager Approval The Claim is approved by the LAG Manager. Progress to 05 Article 48 Check. LAG Manager (optional) LAG Manager Article 48 Check The Article 48 checks the Claim Checklist questions. Progress to 06. LFP Article 48 Pobal Article Article 48 Manager Verification The Article 48 Manager verifies the Claim Checklist questions. Progress to 07 Inspection. LFP Article 48 Manager Pobal Article 48 Manager Inspection The Claim may be inspected by the Inspectorate. Progress to 08 Department Review. Inspector Inspector Manager Inspector Inspector Manager Department Review The Department Checklist is completed by the Department. Progress to 09. Department Department Department Approval The claim is approved by the Department Manager. Progress to 10 Department Payment. Department Manager Department Manager Department Payment The Claim is paid by the Department to the Local Action Group. Department Department Promoter Paid The Promoter is paid. The user inputs payment information and progresses to 12. LAG LAG Manager LAG LAG Manager Promoter Paid Claim Complete A status for the Claim being fully complete. LAG LAG Manager LAG LAG Manager Claim Withdrawn A status for the LAG Manager to withdraw the Claim. LAG Manager LAG Manager

71 Project Pathways Project Pathways Original Project Path Provisional Procurement Required & Provisional Planning Required Provisional Procurement Not Required & Provisional Planning Required Provisional Procurement Required & Provisional Planning Not Required Provisional Procurement Not Required & Provisional Planning Not Required LEADER Food Initiative Co-operation Preparatory Project Co-operation Full Project 01 EOI Submitted 02 EOI Eligible 03 Application Submitted 04 Project Record Checklist #1 Standard & Procurement Standard Standard & Procurement Standard & Planning Standard & Procurement & Planning Standard & Procurement & Planning & Food Initiative Standard & Procurement & Planning & Co-op Prep Standard & Procurement & Planning & Co-op Full 05 Application Manager or LAG Sign Off 06 Application LAG Manager Approval 07 Project Record Checklist #2 Evaluation Evaluation Evaluation Evaluation Evaluation Evaluation Evaluation Evaluation 08 Application Article 48 Check 09 Application Article 48 Manager Verification 10 Application Decision 11 Project Record Checklist #3 Final Procurement & Planning Planning Procurement 12 Final LAG Manager Approval 13 Final Article 48 Check 14 Final Article 48 Manager Verification 15 Final Project Approved 16 Withdrawn or Other Funding 17 Project Rejected 18 EOI Ineligible 68

72 Document Library SharePoint Documents The LEADER ICT System has a documents section where the may upload relevant Article 48 documentation for both the LAG and Article 48 s to review. Each project has a secure document folder that only the appropriate users may access (other users in the same, LAG users in that LDS Area only, Pobal and Local Authority Article 48 users, Department and Inspectorate staff). Each document must be categorised when uploaded to make it easier to locate. Please see the following instructions on how to use the SharePoint document repository. (1) The user clicks on the Documents tab (2) The user is presented with the login screen. Click the Click here to Sign In button. 69

73 (3) The user enters their credentials. (4) The documents become visible. Note A full list of the available document categories is available here. 70

74 (5) The user may view the documents in SharePoint rather than CRM if desired. This allows the user to filter by the Content Type to more easily find the documents they are looking for. Click Open SharePoint. (6) The documents become visible in the SharePoint environment. 71

75 (7) The user may now filter by Content Type to more easily find the documents they are looking for. Open the drop-down menu for Content Type and choose one Content Type. (8) The list of documents is filtered. 72

76 (9) To upload a document (e.g. Site Visit Report), choose the Add button and follow the instructions. Note: If the user is using Chrome (not recommended), then the user must always upload documents from within SharePoint buy navigating to the Documents tab and choosing Upload Document. 73