ESF Evidencee Upload Guidance for FIPS

ESF Evidencee Upload Guidance for FIPS

Date Issue Status Author Changes 20/07/2017 1 Final Ann Keegan N/A 23/11/2017 2 Final Ann Keegan Audit evidence requirements (Appendix 1) updated to show mandatory evidence for all ESF tagged MA s 2

Background SDS is a Lead Partner in the Scottish Government 2014-2020 ESF Programme. As of April 2015, some payments made by SDS under the Modern Apprenticeship (MA) contracts will be part funded by ESF. The criteria for ESF is: Age Group: 16-24 SVQ Level: L3+ Frameworks: Focus on STEM related frameworks (Science, Technology, Engineering and Mathematics). However, SDS may also tag some additional frameworks. Some training providers may find that because they fit the ESF criteria, they could have new MA starts tagged every contract year. Requirements for ESF tagged MA s Scottish Government has rigorous audit checks in place, carried out on a regular basis. Therefore, it is important that SDS can easily access supporting evidence, to meet audit requirements and deadlines. For this reason, SDS requires training providers to upload supporting evidence for all expenditure claimed per ESF supported trainee. As stated in the MA programme rules, SDS requires you to make evidence available to us, (and/or our agents and auditors). The purpose of the evidence is to provide the necessary assurance that you have delivered your services in accordance with the terms of your contract. 3

ESF Evidence Upload in FIPS When the ESF team have identified MA s to be included in the ESF Programme, these individuals will be tagged in FIPS. Once the tagging is complete, FIPS will automatically send the following alert to the training provider per trainee: This assignment is being partly funded by the ESF and you are required to provide evidence for all claims associated with this assignment as detailed in the Programme Rules. Please go to any existing claims already made against this assignment and upload evidence for them. All future claims will require evidence of achievement uploaded. Failure to do so within 10 days of this notification will result in follow up from the SDS ESF team. Following receipt of an alert, the training provider should follow the process below to upload the evidence required for ESF. Please be aware that the FIPS alerts will only request initial evidence. However, for ESF supported trainees, SDS requires additional evidence in order to meet Scottish Government audit requirements. For ESF supported trainees, SDS requires the training provider to upload evidence detailed in Appendix 1. This process will need to be followed for each ESF participant individually. Please note: all ESF evidence will be reviewed by the ESF team. If the evidence is unacceptable, the ESF team will reject the information and an explanation will be provided. This should be reviewed and correct evidence resubmitted using the same upload process. Upload Process There is a CRM view called ESF evidence outstanding within the payments claim entity. This will list all payments which require evidence to be uploaded against them. Please ensure you refer to evidence requirements detailed in Appendix 1. To access the CRM view, follow the steps below: 1. Select the 3 vertical lines as indicated in the example below. 4

2. From the options menu (see below), you should select: a. Workplace, followed by b. Payment Claims 3. The window in the example below will appear. In order to see the outstanding evidence view, please click on the dropdown arrow as indicated below. 4. A list of system views will appear. You should select ESF Evidence Outstanding 5

5. This section will list all confirmed claims made against each ESF supported MA (see example below). For each confirmed claim, the relevant evidence will need to be uploaded. 6. To upload evidence, you should double click on the claimed expenditure item you wish to attach evidence against. For example, in the screenshot below, milestone 1 has been confirmed. Therefore, you would double click on the claim type milestone 1. Please be aware if you double click on any information with a blue hyperlink, you will be directed to another area. This will then prevent you from uploading. You should click on the white / dark written areas relevant to the claimed expenditure you wish to attach evidence against (examples of areas you can click are indicated below). Double Click Here Double Click Here 7. Double click on the claim type you wish to attach evidence against. In the example below, milestone 1 has been selected. 8. An evidence section will appear. Select the drop down arrow to expand the evidence section. 6

9. Under the evidence section, an Outstanding Evidence (Payment Claim) area will be visible. 10. A message beginning Please upload. will be noted under the Evidence Request Text column. You should double click on this message to access the upload facility. Please remember, as per example below, the FIPS alert will only request initial evidence. However, for ESF supported trainees, SDS requires additional evidence in order to meet Scottish Government audit requirements. Appendix 1 details the evidence requirements per claim type. 11. To attach the relevant evidence, you should click inside the box under the notes section. 12. The notes box will then expand and the option to attach a document will appear. 13. In the notes section, you should indicate the type of evidence you are uploading. You should name the documents in the notes section, with the same name used in Appendix 1. This will allow the ESF team to cross reference against the list of evidence requirements. Progress Review 14. Once you have noted the type of document you are uploading, click on the attach button to add evidence from a location on your PC. 7

15. Click on the choose file button to search for the evidence you wish to upload. 16. Once the link to the appropriate evidence is visible in the browse box, select done. (Please note - you can attach multiple documents where required, by repeating steps 11-16). 17. Details of all evidence you have attached against a claim type, will be listed below the notes box. This will allow you to check all evidence (as per Appendix 1), has been successfully uploaded. 18. Once all relevant evidence against a particular claim type has been uploaded, you should go back to the ESF evidence outstanding view. 19. For ease, you can access the ESF evidence outstanding view by clicking on the recently viewed items icon, indicated below. 20. A menu will appear with your recently viewed items listed. You should select ESF evidence outstanding. 8

Recently viewed items icon 21. You will see that milestone 1 is no longer on the outstanding evidence list. You should then repeat steps 6 16 to attach evidence to all other payments claimed against the same / new trainees. 9

Appendix 1 List of Audit Evidence Requirements Modern Apprenticeship (MA) Trainee Evidence Requirements: 1. Mandatory Evidence for all ESF MA s Signed training agreement A completed Individual Training Plan A completed copy of Appendix 5 of the Programme Rules - Participant and Provider Declaration Proof of address (one of the following documents):- a) Utility Bill b) Bank or Credit Card Statement c) Council Tax Bill d) Official correspondence e.g. DWP, NHS, HRMC e) NHS Medical Card f) Extract from SQA Navigator however, you should ensure that the SQA logo or URL is visible to verify authenticity. Proof of date of birth (one of the following documents):- a) Birth Certificate b) Driving License (Full or Provisional) c) UK (or other EU member State) Passport must be valid and unexpired d) National Insurance Number e.g. NI Card, correspondence from HMRC / DWP / Jobcentre Plus / Pension Service, contract of employment, wage slip e) National Identity Card f) Proof of Age Card that includes the PASS hologram or has been issued by a government agency/statutory body e.g. Young Scot Card, Citizens Card. g) Extract from SQA Navigator however, you should ensure that the SQA logo or URL is visible to verify authenticity. 2. Milestone Payment Evidence A copy of the trainees Norm Plan For every milestone claim - a signed (in advance of the claim by both the assessor & trainee) record of progress, summary of achievement record (SOAR), or quarterly progress review (whichever is appropriate) Evidence of registration with the Sector Skills Council and Evidence of registration with the Qualification Awarding Body 3. MA Outcome (All Levels) Evidence A copy of final certification or confirmation from the Awarding Body or Extract from SQA Navigator however, you should ensure that the SQA logo or URL is visible to verify authenticity. 4. Expenses Evidence Signed travel authorisation form Copy of travel receipts / invoice(s) Evidence of payment method used to re-imburse travel expenses to the trainee / directly to travel or lodgings supplier i.e. BACS transfer and Corresponding bank statement(s) confirming payment to the trainee / directly to travel or lodgings supplier from the training provider s bank account as per payment method used 10