LEADER ICT System User Guide Project Claim

Transcription

1 LEADER ICT System Guide Project Claim

2 Index Project Claim... 1 Overview... 1 Roles... 2 Claim Rules... 3 Claim Approval... 4 Claim Stages... 5 Stage 01 Create New Claim... 6 Stage 02 or Check Stage 03 Manager or Sign Off Stage 04 Manager Approval Stage 05 Article 48 Check Stage 06 Article 48 Manager Verification Stage 07 Inspection Stage 08 Department Review Stage 09 Department Approval Stage 10 Department Payment Stage 11 Promoter Payment Stage 12 Claim Complete - Promoter Paid Stage 13 Claim Withdrawn Documents Appendix 1 Roles Appendix 2 Entering Claim Expenditure Items Troubleshooting Resources Support... 81

3 Glossary Abbreviation CRM CRO EFT EOI LCDC LDC LDS Promoter RDP TCAN TRN Definition Customer Relationship Management Companies Registration Office Electronic Funds Transfer Expression of Interest Implementing Partner Local Action Group Local Community Development Committee Local Development Company Local Development Strategy Promoter of a project Rural Development Programme Tax Clearance Access Number Tax Reference Number

4 Project Claim Overview The LEADER ICT system is a custom-built web-based CRM solution that is designed to support the administration of the LEADER element of the Rural Development Programme (RDP) The development and roll-out of the ICT system is being undertaken on a phased basis: Phase 1 of the system which was developed in 2016 has facilitated the submission of Monthly Returns (administration and animation expenditure) and the input of Expression of Interest (EOI) data in respect of potential project promoters. Phase 2 of the system facilitates the creation and administration of projects including project-level expenditure. Phase 2a delivered enhancements to existing project and claim functionality. Phase 3 of the system will incorporate additional requirements of the LEADER Programme, including performance monitoring and reports, as well as providing an opportunity for system refinements. The specification for the LEADER ICT System has been developed by the Department of Rural and Community Development to meet the requirements for the management and administration of LEADER funding as part of the RDP The Department is the Programme Manager for LEADER. Pobal is supporting the Department in the development and roll out of the LEADER ICT system based on the Department s requirements. The LEADER ICT System is utilised by the following user groups: Local Action Groups (s) Implementing Partners (s) Pobal Staff Department Officials Inspectorate Officials

5 Roles The LEADER ICT system has a number of separate user roles that correspond to the different entities involved in the management and administration of LEADER funding. Each system user has a role that grants them different levels of access to the system depending on what they need to view and work on. Local Action Groups (s) Manager This user role signs off on monthly returns, projects and claims for their own and associated s (if any). This user role does the inputting for monthly returns, projects and claims for their own. Project This user role does the inputting for projects and claims for their own. They have no access to monthly returns. Implementing Partners (s) Manager This user role signs off on monthly returns, projects and claims for their own. This user role does the inputting for monthly returns, projects and claims for their own. Project This user role does the inputting for projects and claims for their own. They have no access to monthly returns. Department Department Manager This user has read-only access to all records and has a sign off role on monthly returns and claims. Department This user has read-only access to all records and has an inputting role on monthly returns and claims. Inspector Inspector Manager This user has read-only access to all records and has a management and inspection role on claims. Inspector This user has read-only access to all records and has an inspection role on claims. Pobal Article 48 Manager This user has a sign off role on monthly returns, projects and claims. Article 48 This user has a checking role on monthly returns, projects and claims. Pobal Read-only This user has read-only access to the system for monitoring purposes LEADER Administration This user has access to all records for system administration purposes For a detailed overview of each of the user roles, please refer to Appendix 1

6 Claim Rules Once a project reaches Stage 15, an associated claim may be entered. Each project may have one or many associated claims up to a maximum of five. Before a Claim can be entered, the following Project fields must be populated: Offer Sent Date Offer Accepted By Contract Effective Date Contract Completion Date In addition if a Contract Extension Date has been agreed, this also needs to be entered. Claims can only be entered for expenditure incurred during the Contract Effective Date, Contract Completion Date (or Contract Extension Date if relevant). Additional points to note include: A can enter between 1 and 5 Claims for each Project. The Final Claim field for a Claim must always be marked either Yes or No. Where a Claim is marked Final Claim, no more claims can be entered for this Project.

7 Claim Approval The Project Claim goes through a stage approval process as it progresses to approval and payment. Each of the system users in the Local Action Group, Implementing Partner, Pobal, the Inspectorate and Department have different roles in transitioning the Project Claim through the various stages. There are 12 stages for the Project Claim record. The table below provides a summary of each of these stages along with details of the specific user role who completes the stage and the next stage that a claim can progress to. A more detailed description is provided in the following sections. Claims for -created Projects: The Claim will be created by the Project or the, the Manager reviews and approves it and the Claim is approved by the Manager. Claims for -created Projects: The Claim will be created by the Project or, the reviews it and the Claim is approved by the Manager. Draft Stage 01 and Sign Off Stages Pobal Article 48 Checklist Stages Inspection Stage 07 Department Approval Stages Promoter Payment Stages 11-12

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

9 Stage 01 Create New Claim Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 01 Draft Enter expenditure and complete Claim Checklist. Save as 01 Draft. Progress to 02. Project ( Projects) ( Projects) Project ( Projects) ( Projects) This stage is where a user creates a Project Claim record for a Project, completes the Final Claim field, populates the Claim Record with expenditure and fills out the Claim Checklist. The Claim is saved at 01 Draft and is then progressed to 02 or Check. For -created projects, this stage is actioned by the Project or. For -created projects, this stage is actioned by the Project or the. Process (1) Open the project for which you wish to create a Claim:

10 (2) In the left navigation click Claims for this project. (3) Click Add New Claim.

11 (4) The New Claim form opens. (5) The user populates the Final Claim field. Field Date of Claim* Final Claim?* Options The date the claim is entered. Autopopulates. Choose: Yes No (6) Click Save. (7) The record should now look like this.

12 (8) Next complete the Payment Approach field and click Save & Close. Field Payment Approach?* Options Choose: Single (Full Payment) Phased (Max of 5 Payments) (9) The Project Claim record saves and is visible in the subgrid. Notes: The Claim is now at stage 01 Draft and a 10-digit Claim ID is generated For Projects, the Claim ID is the 5-digit ID followed by a sequential number For Projects, the Claim ID is the first two digits of ID and the first three letters of the relevant ID followed by a sequential number

13 (10) Next claim expenditure is added to the Claim. (11) Navigate to the Claim Expenditure tab. (12) Click inside the Claim Expenditure subgrid and click Add New Claim Expenditure.

14 (13) The New Claim Expenditure form opens: (14) Click the Supplier Legal Name lookup icon:

15 (15) The Project Supplier lookup view opens: If the Project Supplier exists select it and click OK and go to Point 18. If the Project Supplier does not already exist, click New to create a new record. Please be careful not to create duplicate Supplier records!

16 (16) Enter the Name of the new Project Supplier. (17) Click Save & Close.

17 (18) The record saves. Click OK. (19) The record now looks like this:

18 (20) Populate the remaining fields: Field Expenditure Date* Supplier Legal Name* Supplier VAT Number Invoice Number or Voluntary Labour Reference* Invoice Amount (Gross)* Invoice Amount Ex VAT (Net)* VAT Amount on Invoice* Total Invoice Amount Paid* Options The date that the expenditure was paid by the promoter The legal name of the supplier The VAT number of the supplier The Invoice Number or Voluntary Labour Reference NOTE: Contribution-in-Kind (CIK) can be Voluntary Labour/Land Donation etc. The Gross Invoice amount (Invoice Amount including VAT) The Net Invoice amount (Invoice Amount excluding VAT) The VAT amount. If no VAT applies to invoice please enter 0.00 The invoice amount paid by the Promoter This is the amount on the invoice that pertains to the LEADER Project. It will be either 1 or 2 below. LEADER Invoice Amount* LEADER Eligible Amount* (1) Where the total invoice applies to the LEADER Project the LEADER Invoice Amount will be: Invoice Amount (Gross) if Promoter not VAT Registered Invoice Amount (Net) if the Promoter is VAT Registered (2) Where some of the items on the invoice are not relevant to the LEADER project the LEADER Invoice Amount should not include these items. This is the amount of LEADER grant aid to be paid to the Promoter and will be: - Leader Invoice Amount * Actual Rate of Aid. - In all cases the LEADER Eligible Amount must not be greater than: LEADER Invoice Amount * Actual Rate of Aid for the project. Note Additional guidance on entering Project Claim expenditure items may be found in Appendix 2: Entering Claim Expenditure Items

19 (21) The screen should now look like this: (22) Click Save & Close.

20 (23) The Expenditure Item appears in the Expenditure subgrid. Note: Multiple Expenditure Items can be added in this screen and the Total Claim Amount will update. This is the sum of all LEADER Eligible Amounts on each claim. This value cannot exceed (1) LEADER Grant Amount Remaining on the Project Record and (2) LDS Remaining Project budget.

21 (24) Next the Article 48 Claim Checklist is answered by navigating to the Article 48 Claim Checklist section. (25) Double-click in the blank space on the first question line:

22 (26) Click the Response Type lookup icon: (27) The Response Type Lookup box opens with options Yes, No and Not Applicable. Choose the appropriate response and click OK. (28) Then click Save & Close.

23 (29) Repeat the process for all other checklist questions. (30) The screen should now look like this: (31) Upload documents to the claim documents folder that is created automatically in the Project documents folder (ie where the project documents are uploaded) The Documents link takes one to the folder for the Claim documents which is inside the Project documents folder.

24 (32) When all checklist questions have been answered, the claim can be progressed to Stage 02. (33) Click on the Stage field lookup icon. (34) Select Stage 02 or Check and click OK.

25 (35) Click Save to save the record.

26 Stage 02 or Check Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 02 or Check Progress to 03 Manager or Sign Off. Project ( Claims) ( Claims) Project ( Claims) ( Claims) At Stage 02, the user reviews the Claim to ensure the expenditure entry and the checklist responses are correct. The user progresses the Claim to the next Stage 03 Manager or Sign Off. Alternatively the project is reversed by the user to 01 Draft for amending. For -created projects, this stage is actioned by the Project or. For -created projects, this stage is actioned by the Project or the. Process (1) The user opens the claim which is at stage 02 or Check.

27 (2) The user reviews the claim and if satisfied progresses the stage to 03 Manager or Sign Off and clicks Save.

28 Stage 03 Manager or Sign Off Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 03 Manager or Sign Off The Claim is signed off by Manager ( Claim) or ( Claim). Progress to 04. ( Claims) ( Claims) At Stage 03 (for Projects), the Manager reviews Project claims, including claim checklist questions and if satisfied that the information is correct, progresses the claim to 04 Manager Approval. Alternatively (for Projects), the reviews Project claims including claim checklist questions and if satisfied that the information is correct, progresses the claim to 04 Manager Approval. If the relevant s are not happy at this stage, the claim is reversed by the Manager or, as appropriate, to 01 Draft for amending. For -created projects, this stage is actioned by the. For -created projects, this stage is actioned by the Manager. Process (1) The Manager or opens the claim which is at 03 Manager or Sign Off.

29 (2) The Manager or reviews the expenditure entered and Claim Checklist questions and if satisfied progresses the stage to 04 Manager Approval and clicks Save.

30 Stage 04 Manager Approval Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 04 Manager Approval All Claims are approved by the Manager. Progress to 05 Article 48 Check. (All Claims) At Stage 04 the Manager reviews the expenditure entered for all Claim Checklist questions. If satisfied the Manager progresses the claim to 05 Article 48 Check. Alternatively the claim is reversed to 03 Manager or Sign Off for amending. For -created projects, this stage is actioned by the Manager. For -created projects, this stage is actioned by the Manager. Process (1) The Manager opens the claim which is at 04 Manager Approval.

31 (2) The Manager reviews the expenditure entered and Claim Checklist questions and if satisfied progresses the stage to 05 Article 48 Check and clicks Save.

32 Stage 05 Article 48 Check Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 05 Article 48 Check The Pobal Article 48 checks the Claim Checklist questions. Progress to 06. Article 48 (All Claims) At Stage 05 the Pobal Article 48 performs the Article 48 checks. This involves reviewing all expenditure claimed, all supporting documentation and all responses to the Claim Checklist questions. If the user is satisfied, they progress the claim to 06 Article 48 Manager Verification. Alternatively the project is reversed by the user to 04 Manager Approval for amending. There is a possibility that Article 48 ineligible amounts may be applied at this stage, which could reduce the Claim amount. For -created projects, this stage is actioned by the Article 48. For -created projects, this stage is actioned by the Article 48. Process (1) The Article 48 opens the claim that is at stage 05 Article 48 Check.

33 (2) The user checks the Claim Checklist responses, associated documentation and populates these fields: Field Article 48 Ineligible Amount Article 48 Ineligible Amount Reason Article 48 Obvious Error* Article 48 False Declaration* Capital Site Visits Options The 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. (3) The Article 48 then progresses the claim to 06 Article 48 Manager Verification and clicks Save.

34 Stage 06 Article 48 Manager Verification Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 06 Article 48 Manager Verification The Pobal Article 48 Manager verifies the Claim Checklist. Progress to 07 Inspection. Article 48 (All Claims) At Stage 06 the Article 48 Manager verifies the responses to the Claim Checklist questions, including the responses and comments entered by the Article 48. If the Article 48 Manager is satisfied with the answers they progress the claim to 07 Inspection. Alternatively it is reversed to 05 Article 48 Check for amending. For -created projects, this stage is actioned by the Article 48 Manager. For -created projects, this stage is actioned by the Article 48 Manager. Process (1) The Article 48 Manager opens the claim that is at stage 06 Article 48 Manager Verification.

35 (2) The Article 48 Manager checks the Claim Checklist responses, associated documentation and Article 48 fields and if satisfied progresses the Claim to 07 Inspection and clicks Save.

36 Stage 07 Inspection Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 07 Inspection The Claim may be inspected by the Inspectorate. Progress to 08 Department Review. Inspect (All Claims) Inspect (All Claims) At Stage 07 the Inspector Manager selects claims for inspection. Note only about 5% of claims are inspected. The inspection of Claims is done by the Inspector who reviews all the claim information uploaded. The Inspector may impose deductions at this stage which will reduce the Paid Amount. When the Inspector is finished their inspection, they progress the Claim to 08 Department Review. Alternatively the Claim is reversed to 06 Article 48 Check for amending. For -created projects, this stage is actioned by the Inspector Manager and Inspector. For -created projects, this stage is actioned by the Inspector Manager and Inspector. Process (1) The Inspector Manager opens the claim which is at stage 07 Inspection. Note that the Date Moved 6-7 field is now populated. (2) If the Inspector Manager decides the Claim is not to be inspected, they progress it to stage 08 Department Review. The Inspector Manager may progress such claims either singly or in bulk.

37 (3) If the Inspector Manager decides the Claim is to be inspected, they populate the Selection Basis field: Field Selection Basis Options Choose: Random Risk (4) The Inspector now logs in and completes a variety of fields connected with the inspection process: Field Inspector Deduction* Inspector Deduction Reason* Inspection Date* Control Error* False Declaration* Inspector Control ID Penalty Amount Options The amount of deduction authorised by the Inspector. A comment field for the Inspector to fill in the reason for any deduction. The date of the Inspection. Choose: Yes No Choose: Yes No This is a specific alphanumeric ID identifying who did the inspection. Auto-populates. Auto-populates based on any Article 48 and Inspector deductions. (5) The screen should now look like this:

38 (6) The Inspector then progresses the Claim to 08 Department Review and clicks Save. (7) An automatic is sent to the Department advising that the Claim has been progressed to Stage 08 Department Review.

39 Stage 08 Department Review Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 08 Department Review The Department Checklist is completed by the Department. Progress to 09. Dept (All Claims) At Stage 08 the Department completes the Department Checklist. There is a possibility that Department Penalties may be imposed at this stage which could reduce the Claim Paid Amount. When this has been completed, the claim is progressed to 09 Department Approval. The Department may also reverse the stage to 06 Article 48 Manager Verification where any clarification or follow-up with the or is required to be done. For -created projects, this stage is actioned by the Department. For -created projects, this stage is actioned by the Department. Process (1) The Department opens the claim which is at 08 Department Review.

40 (8) The Department completes the Department Claim Checklist. (9) The screen should now look like this. (10) The Department progresses the claim to 09 Department Approval and clicks Save. (11) An automatic is sent to the Notification Addresses for the and advising that the Claim has been progressed to Stage 09 Department Approval.

41 Stage 09 Department Approval Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 09 Department Approval The claim is approved by the Department Manager. Progress to 10 Department Payment. Dept (All Claims) At Stage 09 the Department Manager reviews the Claim. If satisfied, the Department Manager populates the payment information and approves the Claim by progressing it to 10 Department Payment. Alternatively the Claim is reversed to 08 Department Review for amending. For -created projects, this stage is actioned by the Department Manager. For -created projects, this stage is actioned by the Department Manager. Process The Department Manager opens the claim which is at 09 Department Approval.

42 The Department Manager reviews the Department Claim checklist, associated documentation and if satisfied approves the claim by progressing it to 10 Department Payment and clicks Save. (12) An automatic is sent to the Notification Addresses for the and advising that the Claim has been progressed to Stage 10 Department Payment.

43 Stage 10 Department Payment Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Revert To 10 Department Payment The Claim is paid by the Department to the Local Action Group. Dept (All Projects At Stage 10 the Department pays the Claim to the. The system automatically deducts the Claim Paid Amount from remaining LDS Project Budget. The Claim Paid Amount is the Total Claim Amount minus any Article 48 Ineligible Amounts, Inspectorate Deductions and Department Penalties. Once the payment has been completed the Department progresses the stage to 11 Promoter Payment. The amount of the payment will be subtracted from the total LDC Projects Budget at this point. Alternatively the Department reverses the project to 09 Department Approval for amending. For -created projects, this stage is actioned by the Department. For -created projects, this stage is actioned by the Department. Process The Department opens the claim which is at 10 Department Payment.

44 (4) The Department navigates to the Payment Detail tab, populates the Paid Date and Oracle Payment ID and clicks Save. Field Paid Amount Payment Type Paid Date* Promoter Payment Due Date Oracle Payment ID* Options The sum of all claim expenditure items minus any deductions. Auto-populates Auto-populates based on the answer to the Final Claim field completed at Stage 01 The date the is paid by the Department The Paid Date plus 10 business days. Auto-populates. The Oracle ID for the payment from the Department s system (5) The screen should now look like this:

45 (6) The Department progresses the Claim to 11 Promoter Paid. (7) An automatic is sent to the Department and Promoter advising that the Claim has been paid by the Department to the.

46 Stage 11 Promoter Payment Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 11 Promoter Payment The Promoter is paid. The user inputs payment information. Project (All Claims) (All Claims) (All Claims) At Stage 11, the Local Action Group pays the Promoter. Payment should be made to the Promoter within 10 working days of receipt of funds by the Local Action Group. The Promoter Paid Date is entered. If the has not completed this stage and progressed to Stage 12 Claim Complete within the 10-day timeframe, the relevant Local Action Group will get an reminder. There is also an optional field for the to record any reasons for a delay in payment. For -created projects, this stage is actioned by the Project or. For -created projects, this stage is actioned by the Project or. Process (1) The Project or opens the Claim which is at 11 Promoter Payment. 11 Promoter Payment

47 (2) The Project or navigates to the Payment Detail Section. (3) The Project or populates the following: Field Promoter Paid Date* Promoter Payment Delay Reason Options The date the promoter is paid. A comment field for any reasons for a delay in paying the promoter. (4) An automatic is sent to the Department and Promoter advising that the Claim has been paid by the to the Promoter. (5) The screen should now look like this:

48 (6) If the Payment Type field is Final Payment then the Final Payment checkbox must be ticked. This field is only editable by the Manager. Field Final Payment Options Choose: Yes No (7) The then progresses the Claim to 12 Claim Complete - Promoter Paid.

49 Stage 12 Claim Complete - Promoter Paid Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 12 Claim Complete - Promoter Paid A status for the Claim being fully complete. Project (All Claims) (All Claims) - - This stage reflects the final step of a Claim. The Project or progresses a claim to 12 Promoter Paid when the payment has been sent to the Promoter. For -created projects, this stage is actioned by the Project or. For -created projects, this stage is actioned by the Project or.

50 Stage 13 Claim Withdrawn Overview Stage Project Project Article 48 Article 48 Inspect Inspect Dept Dept Can Move To Can Reverse To 13 Claim Withdrawn A status for the Manager to withdraw the Claim. (All Claims) - - This stage reflects the withdrawal of a Claim. The Claim can be withdrawn by the Manager at any stage up to 06 Article 48 Manager Verification by clicking on the Stage lookup icon and selecting 12 Claim Withdrawn. For -created projects, this stage is actioned by the Manager. For -created projects, this stage is actioned by the Manager.

51 Documents Overview As part of the project management function within the LEADER ICT System a SharePoint document folder is being made available for each project which will house all supporting documentation relating to the project. There is one unique folder for each project. Details of who can access the project folder are detailed in the Roles section of this guide which provides an overview of the security permissions associated with each user role. The table below details the type of documents that can be uploaded to the folder: Content Type 01 Application 02 Eligibility and Assessment Document Type 01 Application Form (Declaration & State Aid Declaration) 02 Acknowledgement Letter 03 Data Protection Consent Form 04 Initial Site Inspection Report including colour photos *** 99 New Document Type Required Business Documents (Please choose) 01 Signed CHY Letter 02 CRO Check 03 VAT Status Revenue Letter *** Financial Documents (Please choose) 01 Management accounts or 3 year most recent Audited Accounts (for an existing business) 02 Income and Expenditure Statements 03 Bank Statements 04 Business and Marketing Plan 05 Matched Funding documentation 06 Bridging Finance, Co-Funding and alternative sources of funding 07 Correspondence regarding alternative sources of funding sought *** Evaluation Documents (Please choose) 01 Local Enterprise Office Notification letter 02 Displacement documentation 03 Deadweight documentation 04 Micro Enterprise documentation 05 De Minimis Letters 06 Environmental Impact Assessment Report 07 Department Consent and Approval e.g. Arts or Heritage projects *** 99 New Document Type Required

52 03 Eligibility and Assessment (Additional for Construction Projects) 04 Public Procurement 05 Evaluation Committee 06 Approval 07 Letter of Offer 01 Evidence of Ownership 02 Evidence of Current Lease 03 Evidence of Agreement (in lieu of lease) 04 Associated Maps (Map in colour) 05 Title Deeds 06 Planning Permission and Exemption 07 Voluntary Labour Schedule 08 Independent Certificate of Valuation of Donation 09 Independent Certification of Valuation of Land Purchased *** 99 New Document Type Required 01 etender Audit Trail 02 Quotations 03 Quotation Schedule 04 Tender Report 05 Tenders (from all tendering parties) 06 Successful Tender Letter 07 Unsuccessful Tender Letters 08 Post Tendering Negotiations *** 99 New Document Type Required 01 Evaluation Committee Board Minute Extract 02 Completed Individual and Combined Scoring Records *** 99 New Document Type Needed Board Minutes Extract (Please choose) 01 Approving the Project 02 Confirming Representative Pillar and compliance with LEADER meeting quorum rules 03 Completed Individual and Combined Re-Evaluation Scoring Records *** 99 New Document Type Required 01 Completed Commencement Verification Declaration 02 Pre-Approval Site Inspection Report including colour photographs 03 Letter of Offer and Acceptance Confirmation 04 Signed Contract (LEADER Grant Agreement) *** 99 New Document Type Required

53 08 Claim Completed Grant Payment Claim Form and Associated Documentation (Please choose) 01 Completed Grant Payment Claim Form including Completed Declaration 02 Completed Grant Payment Calculation Form *** Transaction Documents (Please choose) 01 Original Paid Invoices 02 Payment Receipts 03 Original or Certified Copies Bank Statements showing dates and payments to Suppliers 04 Signed Contracts (Services and Supplies) *** Voluntary Labour (Please choose) 01 Certificates for Voluntary Labour 02 Timesheets *** Benefit in Kind 01 Benefit in Kind Document *** Capital Works - Qualified Professional Certificates and Final Reports (Please choose) 01 Qualified Architect or Engineers Certificates 02 Qualified Architect or Engineers Final Report *** Promoter Financial Details (Please choose) 01 Bank Details (Promoter Bank Account details) *** Business Documentation (Please choose) 01 VAT Status Revenue Letter 02 Tax Clearance Access Number (Contractor or Supplier) 03 Tax Clearance Access Number (Project Promoter) 04 CRO Printout for Promoter (where relevant) *** Training and Course details (Please choose) 01 Course Details (Signed Attendance sheet, details of provider, materials used, achievements of the course participants etc.) 02 Course materials showing Programme Publicity logos *** Insurance (Please choose) 01 Contractor and Subcontractor s Insurance 02 Promoter s Insurance *** Asset Register and Storage Agreement (Please choose) 01 Asset Register 02 Storage Agreement (applies to equipment) *** Performance Indicators: Inputs, Outcomes and Impacts reports (Please choose) 01 Updated Performance Indicators, a signed and dated Inputs, Outcomes and Impacts Report *** Monitoring 01 Site Inspection Report and colour photographs *** Publicity (Please choose) 01 Confirmation that the Promoter has complied with LEADER Publicity Requirements ***

54 09 Payment of Grant Stage 10 Appeal 11 Department Approval 12 Withdrawn- Ineligible-Rejection Approval for Project Amendments (Please choose) 01 Approval for Use of Alternative Suppliers (if applicable) 02 Project Extension - Promoter s Written Request for a Project Extension) 03 Project Extension - Project Contract Extension Approval Letter) 04 Reallocation of funds - Formal written request made to the ) 05 Reallocation of funds - Formal written request approved by the ) 06 Board Minutes Extract confirming Approval or Rejection of Changes or Contract Extensions *** Payment 01 Payment Acknowledgement *** 99 New Document Type Required 01 A copy of EFT details on file including related bank statement 02 A copy of the acknowledgement of grant payment on file 03 Promoter s Bank Statement to verify receipt of claim payment 04 Final and completed signed checklist (Interim solution) *** 99 New Document Type Required 01 Appeal Letter 02 Appeal Decision Letter **** 99 New Document Type Required Template 03 Supporting Document **** 99 New Document Type Required 01 Withdrawal Document 02 Ineligible Document 03 Rejection Document

55 Let s have a look at how this works: (1) Open the Project form for any project. Click on the Documents link. (2) You are presented with a login screen the first time you navigate to this folder:

56 (3) Under Pobal Personnel Sign In choose Click here to Sign In: Do not populate these fields! (4) The Windows Security screen opens: In the first field enter ADMDUB\ followed by your username In the second field enter your password Press OK.

57 (5) To add a new document within the document folder, click Add. (6) The Add Document box opens:

58 (7) Click Browse, locate the file to be uplaoded and click OK. Please do not change this setting as otherwise the document may be directed to a different folder. (8) The file uploads and you are presented with a screen where you are required to categorise the document. (9) Choose a Content Type from the list of options. Choose the Content Type from this list.

59 (10) Next choose the Document Type from the list of options. Choose the Document Type from this list. (11) The screen should now look like this.

60 (12) Click Check In. At this point you can also modify the name of the file if desired. (13) The file uploads.

61 Bulk Upload It is possible to upload several documents at once to the Document folder on Monthly Returns, Projects or Claims. When uploaded in bulk the documents will still appear as individual documents once the following steps are done: (1) Click Projects: (2) Open the project.

62 (3) Click on Documents (4) Click Add

63 (5) Click Upload multiple files (6) The Add Documents box appears:

64 (7) Open a window with the files to be uploaded (8) Drag across the files to be uploaded

65 (9) The screen should now look like this (10) Click OK

66 (11) The files upload Note that the files upload but remain checked out to the user who uploaded them. This means no one else can see them until they are checked in. (12) The files now appear in SharePoint but will remain checked out (ie invisible to other users) until the performs steps 13 to 18 (as outlined below).

67 (13) Put a tick beside the first file (14) Click Edit Properties

68 (15) The Edit Properties box opens (16) Fill in the fields to categorise the document and click Save

69 (17) Next put a tick beside the document and click Check In (18) Add a comment if desired and click OK

70 (19) The document is now checked in and visible to other users. Note that the green arrow indicating that the document is checked out is gone. (20) Repeat the process for the second document. Both documents are now checked in and visible to other users. Important Please remember that you must check in the documents after uploading them in bulk. If you omit this step the uploaded documents will not be visible to anyone else!

71 Notes If you upload a document in error and wish for it to be deleted, please the LEADER Administrator with details. To download a copy of the document, click on Actions and choose Download a Copy. As an Implementing Partner, all of the uploaded documents to your Projects Document Library can be accessed by: users within your own Implementing Partner ( Project, and Manager); specific staff in your associated Local Action Group ( and Manager); the Pobal Article 48 and Manager; the Inspectorate and Department users. Further information is provided in the Roles section of the Guide.

72 Appendix 1 Roles Local Action Group Roles Role Monthly Returns Phase 1 Security Role Description Projects & Project Claims - Phase 2 Security Role Description Manager A user within the who reviews and approves its own Monthly Return information on the system. Read-only access to own LDS and record and any associated record Has access rights to the LDS Document Library folder Can review and approve the completed Monthly Return ( expenditure, and where relevant expenditure) Can move the Stage on whereby the Monthly Return is submitted to Pobal for the Article 48 check, before it is forwarded to the DRCD Has access rights to the Monthly Return Document Library main folder which contains a subfolder of supporting documentation per associated (where relevant) as well as their own sub-folder of supporting documentation. A user within the who reviews and approves its own Project & Project Claim information on the system. Can review and approve the Project (on the system) and any associated Project, at the Application Stage Can view Project Promoters Can move a Project on to the Stage that the Project is submitted to Pobal for Article 48 checks Can review and approve the, and any associated, Project Claim Has access rights to the Project & Project Claim Document Library main folder which contains a subfolder of supporting documentation per associated (where relevant) as well as their own sub-folder of supporting documentation.

73 A user within the who enters its own Monthly Return data on the system but does not have approval rights. A user within the who enters its own Project & Project Claim data on the system. Project Read-only access to own LDS and record and any associated record Has access rights to the LDS Document Library folder Can record administration and animation expenditure on the Monthly Return Can complete the checklist relating to the expenditure Can review the completed administration and animation expenditure and checklist (where there are associated /s) Can move the Monthly Return on certain Stages Has access rights to the Monthly Return Document Library main folder which contains a subfolder of supporting documentation per associated (where relevant) as well as their own sub-folder of supporting documentation N/A no access to the following: record; LDS record; any associated record; Monthly Returns functionality; LDS and Monthly Return folder in the Document Library. Can input basic Expression of Interest (EOI) information for projects (Phase 1) Can record Projects & Promoters & move the Project on certain Stages Can create Project Claims on the Project record & move the Claim on certain Stages Has access rights to the Project & Project Claim Document Library main folder which contains a subfolder of supporting documentation for the associated (where relevant) as well as the subfolder of supporting documentation. A user within the who enters its own Project & Project Claim data on the system. Can input basic EOI information for projects (Phase 1) Can record Projects & Promoters & move the Project on certain Stages Can create Project Claims on the Project record & move the Claim on certain Stages Has access rights to the Project & Project Claim sub-folder within the Document Library, which contains the s supporting documentation (no access to the Document Libraries)

74 Implementing Partner Roles Role Manager Monthly Returns Phase 1 Security Role Description A user within the organisation who reviews and approves its own Monthly Return information on the system. Read-only access to own LDS record and record No access to the LDS Document Library folder Can review and approve its own Monthly Return expenditure and the supporting documentation uploaded, as well as the checklist responses input by the, before this is submitted to the Has access to the Monthly Return Document Library sub-folder within the main folder that relates to their respective (only), into which their own supporting documents will be uploaded. A user within the organisation who enters its own Monthly Return data on the system but does not have approval rights. Projects & Project Claims - Phase 2 Security Role Description A user within the organisation who reviews and approves its own Project & Project Claim information on the system. Can review and approve its own Projects & Project Claims and the supporting documentation uploaded, as well as the checklist responses input by the Can view Project Promoters Has access to the Project & Project Claim Document Library sub-folder within the main folder that relates to their respective (only), into which their supporting documents will be uploaded A user within the Implementing Partner () organisation who enters its own Project & Project Claim data on the system. Read-only access to own LDS record and record No access to the LDS Document Library folder Can record administration and animation expenditure on the Monthly Return Can upload documentation in support of the reported expenditure Can complete the checklist relating to the expenditure Has access to the Monthly Return Document Library sub-folder within the main folder that relates to their respective (only), into which their own supporting documents will be uploaded Project N/A no access to the following: record; LDS record; Monthly Returns functionality; LDS and Monthly Return folder in the Document Library. Can input basic EOI information for projects (in Phase 1) Can record Projects & Promoters & move the Project on certain Stages Can create Project Claims on the Projects & move the Claim on certain Stages Has access rights to the Project & Project Claim Document Library, which contains the s own supporting documentation. A new user role within the who enters its own Project & Project Claim data on the system. Can record Projects & Promoters & move the Project on certain Stages Can create Claims on the Projects & move the Claim on certain Stages Has access rights to the Project & Project Claim Document Library, which contains the s own supporting documentation

75 Department Roles Role Monthly Returns Phase 1 Security Role Description Projects & Project Claims - Phase 2 Security Role Description Department Manager Department Inspectorate Manager Inspectorate Department Manager with read-only access to Monthly Returns. Read-only access to all LDS, and records and the LDS Document Library Read-only access to Monthly Returns for all s and s, including the Monthly Return Document Library Department who is responsible for the processing and approval of all Monthly Returns. Read-only access to all LDS, and records and the LDS Document Library Read-only access to Monthly Returns for all s and s, including the Monthly Return Document Library Monthly Return: Completes a Department Checklist, approves & records payment details against each Monthly Return Inspectorate Manager with read-only access to Monthly Returns. Read-only access to all LDS, and records, and to Monthly Returns for all s and s, including the Monthly Return Document Library Inspectorate with read-only access to Monthly Returns. Department Manager who is responsible for ultimately approving all & Project Claims. Read-only access to Projects, Promoters and Project Claims for all s and s, including all supporting documentation uploaded to the Project & Project Claim Document Library Approves all Project Claims and moves onto the Payment stage Department who is responsible for the review of all & Project Claims and payment details. Read-only access to Projects, Promoters and Project Claims for all s and s Completes a Department Checklist, reviews & records payment details against each Project Claim Can view/contribute to the Project and Project Claim Document Library Inspectorate Manager who is responsible for reviewing selected & Project Claims. Read-only access to all Projects and Promoters Reviews Project Claims at the Optional Inspectorate Stage & can move a Project Claim Stage forward/back as per Stage Transition Can view/contribute to the Project and Project Claim Document Library Can move claims in bulk Inspectorate who is responsible for reviewing selected & Project Claims. Read-only access to all LDS, and records, and to Monthly Returns for all s and s, including the Monthly Return Document Library Read-only access to all Projects and Promoters Reviews Project Claims at the Optional Inspectorate Stage & can move a Project Claim Stage forward/back as per Stage Transition Can view/contribute to the Project and Project Claim Document Library

76 Pobal Roles Role Monthly Returns Phase 1 Security Role Description Projects & Project Claims - Phase 2 Security Role Description Article 48 Manager Article 48 Pobal staff member who is responsible for verifying all Monthly Return Article 48 checks. Read-only access to all LDS, and records Read-only access to Monthly Returns and expenditure details for all s and s, including all supporting documentation uploaded Has access to the LDS and Monthly Return Document Library for all s and s Verifies the Article 48 checklist on the system Moves the Monthly Return to the Article 48 Verified stage Pobal staff member who is responsible for executing all Monthly Return Article 48 checks. Pobal staff member who is responsible for verifying all Project & Project Claim Article 48 checks. Can view Projects, Promoters and Project Claims for all s and s, including all supporting documentation uploaded to the Project & Project Claim Document Library Verifies the Article 48 Checklist on the system Moves the Projects and Claims to 09 Article 48 Verified stage. Pobal staff member who is responsible for executing all Project & Project Claim Article 48 checks. Pobal Read-Only LEADER System Administrator Read-only access to the LDS, and records Read-only access to Monthly Returns and expenditure details for all s and s, including all supporting documentation uploaded Has access to the LDS and Monthly Return Document Library for all s and s Completes the Article 48 checklist on all Monthly Returns Moves all Monthly Returns from Stage 4 (Approved by Manager) to Stage 5 (Article 48 check in progress) Pobal staff member with Read-only access to all entities and attributes in the system. Read-only access to all LDS, and records Has access rights to all LDS Document Library folders Read-only access to Monthly Returns for all s and s No access to the Monthly Return Document Library for any or Can export results of filters/searches Pobal staff member fulfilling the LEADER System Administrator role. Full access to the system including Document Libraries, for the purpose of trouble-shooting, training and providing ongoing support to all users. Maintains Accounts (access and permissions), sets up the / and LDS record Creates Monthly Returns and document folders for all organisations Can edit all entity data and all static data Can view Projects, Promoters and Project Claims for all s and s, including all supporting documentation uploaded to the Project & Project Claim Document Library Completes the Article 48 checklist on all Projects and Project Claims Pobal staff member with Read-only access to all entities and attributes in the system. Ready-only access to all Promoters, Projects & Project Claims recorded on the system No access to the Project and Project Claim Document Library Can export results of filters/searches Pobal staff member fulfilling the Leader System Administrator role. Has full access to all Projects, Promoters and Project Claims records, including Document Libraries Can edit all entity data and all static data

77 Other Roles External Third Party Software Provider External System Administrator On request/approval by Pobal - Full access to all LDS// & Monthly Return data on the system to carry out necessary technical support and maintenance, including Document Libraries Access is secure and available only to those with authority when required External System Administrator On request/approval by Pobal - Full access to all / Project & Claim data on the system to carry out necessary technical support and maintenance, including Document Libraries Access is secure and available only to those with authority when required

78 Appendix 2 Entering Claim Expenditure Items Field Expenditure Date* Supplier Legal Name* Supplier VAT Number Invoice Number or Voluntary Labour Reference* Invoice Amount (Gross)* Invoice Amount Ex VAT (Net)* Options The date that the expenditure was paid by the promoter The legal name of the supplier The VAT number of the supplier The Invoice Number or Voluntary Labour Reference NOTE: Contribution-in-Kind (CIK) can be Voluntary Labour/Land Donation etc. The Gross Invoice amount (Invoice Amount including VAT) The Net Invoice amount (Invoice Amount excluding VAT) VAT Amount on Invoice* The VAT amount. If no VAT applies to invoice please enter 0.00 Total Invoice Amount Paid* The invoice amount paid by the Promoter This is the amount on the invoice that pertains to the LEADER Project. It will be either 1 or 2 below. LEADER Invoice Amount* (3) Where the total invoice applies to the LEADER Project the LEADER Invoice Amount will be: Invoice Amount (Gross) if Promoter not VAT Registered Invoice Amount (Net) if the Promoter is VAT Registered 2. Where some of the items on the invoice are not relevant to the LEADER project the LEADER Invoice Amount should not include these items LEADER Eligible Amount* This is the amount of LEADER grant aid to be paid to the Promoter and will be: - Leader Invoice Amount * Actual Rate of Aid. - In all cases the LEADER Eligible Amount must not be greater than: - LEADER Invoice Amount * Actual Rate of Aid for the project. Note Please refer to the Operating Rules and relevant circulars for any amendments or updates to the above points.

79 Example 1 Promoter is not VAT registered, Invoice includes VAT and Actual Rate of Aid is 75% Please note the LEADER Eligible Amount ( 750) is the LEADER grant amount to be paid to the Promoter described in detail in above table ( 1,000*75%). Example 2 Promoter is VAT registered, Invoice includes VAT, Actual Rate of Aid 75% In this example where the promoter is VAT registered, please note the LEADER Eligible Amount ( ) is calculated using the net amount ( *75%).

80 Example 3 Promoter not registered for VAT, Invoice has non-leader elements and Actual Rate of Aid is 50% Description Quantity Amount Total 10 x Laptops (5 LEADER 6,695 & 5 non-leader 6,695) 10 1, , x Table 1 1, , x Desk Station 1 7, , Subtotal 18, % 4, Total Invoice Paid 22, LEADER Invoice Amount 15, LEADER Eligible Amount ( 15,370*50%) 7,685.00

81 Troubleshooting Overview If you encounter any errors in using the LEADER ICT system, please take a screenshot of the error message and details of the issue along with the screenshot to onlinesupport@pobal.ie. Screen Shots To take a screenshot press the Print Screen button. This button is usually the third button in from the top right of a keyboard. This copies the active screen. Next go to your programme and paste the image by pressing Ctrl and V on the keyboard. Alternatively you can paste the image into a Microsoft Word document and forward that document with the query. Login Issues It is important that the correct login page is used. Please access the LEADER ICT system via this link only: If you cannot access the system despite using the correct link and username and password, please take a screenshot of any error message and report the issue to Online Support on or at onlinesupport@pobal.ie. Deactivation If you accidentally deactivate a project claim record please notify the LEADER Administrator:

82 SharePoint Document Libraries There are individual SharePoint document libraries that are connected with the LEADER ICT System, these individual folders include the Local Development Strategy, Monthly Returns and Projects entities. To access these SharePoint document libraries please select Documents on the left hand menu from within relevant entity. If you experience any difficulties accessing the document libraries please take a screenshot of any error message and report the issue to Online Support on or at onlinesupport@pobal.ie. SharePoint File Sizes It is recommended that all documents uploaded to the Document Library are less than 1MB in size. If you find that your file is too large to upload you can try the following to reduce file size: Change the file format e.g. change to PDF. If it is already a PDF document you can save it as a Reduced Size PDF. You can Z the file using appropriate software. If you need assistance please contact onlinesupport@pobal.ie SharePoint Missing Document Types During the process of uploading documents to the SharePoint libraries you are asked to categorise the documents by selecting from the list of available document types. If you can t find an appropriate document type you can request a new document type to be created. Refreshing Occasionally if you are not seeing the expected result on screen it may be a simple matter that the screen needs to be refreshed. Remember that both CRM and SharePoint are online systems so like any web page they may need to be refreshed in case this has not happened automatically. You refresh the screen by pressing F5 on the keyboard.

83 Resources Department of Rural and Community Development LEADER Operating Rules / Rural Development Programme Ireland All relevant circulars issued by the Department Website Pobal LEADER ICT System Guides Website

84 Support Query Description Telephone Programme Operating Rules Technical / ICT Adding and Modifying s Removing s For all programme-related queries on LEADER For all queries related to the LEADER Operating Rules For all technical queries on the LEADER CRM System For adding new users, or modifying existing users. A LEADER Mandate Form must be attached with each user request. For removing user accounts. A LEADER Mandate Form must be attached with each user request. - rdp1420@drcd.gov.ie - or1420@drcd.gov.ie onlinesupport@pobal.ie onlinesupport@pobal.ie onlinesupport@pobal.ie Important: Please note that at all times, Local Action Groups and Implementing Partners are fully responsible for their active login accounts to the LEADER CRM system. Given the sensitive nature of the information stored on the system it is very important that users have the correct level of access. It is particularly important that Pobal is informed when a or staff member changes roles or leaves in which case their account needs to be deactivated. s are also reminded that they must comply with the LEADER ICT System Policy.

85 BR1 5 Alerts (to be tested by Pobal) BR2 Project Reversal & Associated Alerts BR3 Project Desc. BR4 Stage rename (16) BR5 Board to Approval date BR6b Project Record Last Saved By and Last Saved Date. - closed BR7 - Dept recipient BR8 - New 'Control ID' field BR9 Claim Update & Stage 10 Rename (to be tested by Pobal) BR10 MR -new stage 8 BR11 Prevent change to promoter type BR12 Promoter Record Lockdown BR13 Obvious Error for Art48 and Inspect. BR14 Date Paid (prevent future date) BR15 Oracle ID Mandatory. BR23 PART A, Final Payment functionality BR24a & BR24b Final Claim warning BR30 Audit history BR35 Promoter Payment Due Date Correction BR38 False Declaration Drop-Down field BR41 (a) Capital site visit BR41b change will be put in next release BR44 defect/ ERROR creating new Promoter BR51 Issues on populating payment details at Stage 10 (Dept /Manager)

86 BR1 5 Alerts (to be tested by Pobal) BR2 Project Reversal & Associated Alerts BR3 Project Desc. BR4 Stage rename (16) BR5 Board to Approval date BR6b Project Record Last Saved By and Last Saved Date. - closed BR7 - Dept recipient BR8 - New 'Control ID' field BR9 Claim Update & Stage 10 Rename (to be tested by Pobal) BR10 MR -new stage 8 BR11 Prevent change to promoter type BR12 Promoter Record Lockdown BR13 Obvious Error for Art48 and Inspect. BR14 Date Paid (prevent future date) BR15 Oracle ID Mandatory. BR23 PART A, Final Payment functionality BR24a & BR24b Final Claim warning BR30 Audit history BR35 Promoter Payment Due Date Correction BR38 False Declaration Drop-Down field BR41 (a) Capital site visit BR41b change will be put in next release BR44 defect/ ERROR creating new Promoter BR51 Issues on populating payment details at Stage 10 (Dept /Manager)