LEADER ICT System User Guide Project Claim

Transcription

1 LEADER ICT System Guide Project Claim

2 Glossary Abbreviation CRM CRO DRCD EFT EOI LCDC LDC LDS LFP Promoter RDP TCAN TRN Definition Customer Relationship Management Companies Registration Office Department of Rural and Community Development Electronic Funds Transfer 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 Rural Development Programme Tax Clearance Access Number Tax Reference Number Version Number Date 3 December November August 2016

3 Index (1) Overview... 1 (2) Roles... 2 (3) Claim Process... 3 Claim Stages ( Claims)... 5 Claim Stages (LDC Claims)... 6 Claim Stages (LCDC Claims)... 7 (4) Claim Stage by Stage Guide... 8 Stage 01 Draft... 8 Stage 02 Check Stage 03 Sign Off Stage 04 Approval Stage 05 Article 48 Check Stage 06 Article 48 Verification Stage 07 Inspection Stage 08 Department Review Stage 09 Department Approval Stage 10 Department Payment Stage 11 Promoter Paid Stage 12 Claim Complete - Promoter Paid Stage 13 Claim Withdrawn (5) Documents (6) Troubleshooting (7) Support (8) Appendices Appendix 1 Roles Appendix 2 Entering Claim Expenditure Items... 92

4 (1) 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 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 for LEADER. Pobal is supporting the Department in the development and roll out of the LEADER ICT system, as based on the Department s requirements. 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, as well as the streamlining of some aspects of the ICT system. Phase 3 of the system delivered additional requirements for the LEADER Programme, including functionality to enable Local Authorities to perform Article 48 Checks, in their role as Leader Financial Partner (LFP), as well as performance monitoring elements and other system refinements. The projects element of the LEADER ICT System was released in early 2017 and was subsequently refined in November 2017 bringing a host of improvements and new features to the system. Following the submission of an Expression of Interest by a project promoter, each project record can transition through a series of stages as it progresses through the decision-making process and on to the expenditure claim. Each of the system users in the Implementing Partner, Local Action Group, Pobal, Local Authority, Inspectorate and the Department have different roles in transitioning the claim through these various stages. In December 2018, additional functionality was incorporated into the ICT system to facilitate Local Authorities (in an LCDC area) to perform Article 48 Checks (from early 2019) on all projects and claims, with the exception of In- House projects. This included the introduction of new functionality which included the following: LFP or Pobal Flag: a new Article 48 Flag is automatically generated on every project and claim to signify who will carry out the Article 48 Check with options of LFP [Lead Financial Partner] or Pobal. 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. 1

5 The Project Claim Guide has the following sections: Claim Process The Claim Process section provides a high level view of the claim approval process. Claim Stages The Claim Stages section provides a graphic detailing each of the Claim stages and what user type actions or progresses each stage. Claim Stage by Stage Guide The Detailed Stage Guide examines each claim Stage in detail and shows every single action that a user has to complete to progress a claim from the beginning to the end of that particular stage. Documents A section detailing how to upload documents associated with claims Troubleshooting Guidance for some common issues 1

6 (2) Roles Overview 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) This user role signs off on monthly returns, projects and claims for their own and associated s (if any) This user does the inputting for monthly returns, projects and claims for their own. Project This user does the inputting for projects and claims for their own and has no access to monthly returns. Implementing Partners (s) This user signs off on monthly returns, projects and claims for their own. This user does the inputting for monthly returns, projects and claims for their own. Project This user does the inputting for projects and claims for their own and has no access to monthly returns. Local Authorities LFP Article 48 This user signs off Article 48 Checks on projects and claims in their LCDC LDS Area, with the exception of In-House projects delivered directly by the or. LFP Article 48 This user performs Article 48 Checks on projects and claims in their LCDC LDS Area, with the exception of In-House projects delivered directly by the or. Department Department 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 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 Pobal Article 48 This user has a sign off role on monthly returns and certain projects and claims. Pobal Article 48 This user has a checking role on monthly returns and certain 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 Please see a detailed overview of each user role in Appendix 1 2

7 (3) Claim Process Overview Once a project reaches Stage 15 on the Project record, an associated claim may be entered. Claim Rules 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 either Yes or No. Where the Final Claim field is Yes, no more claims can be entered for this Project. 3

8 Process 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, Local Authority, Pobal, Department and Inspectorate have different roles in transitioning the Project Claim through the various stages. There are 13 stages for the Project Claim. The diagram below shows the high level process and the following Stage Guides show the user who actions each particular stage as well as the next stage a claim may be progressed to: Claims recorded by s: The Claim is recorded by the Project or, the reviews it and the approves it before it goes for Article 48 Checks, Department approval and payment. Claims recorded by LDC s: The Claim is recorded by the Project or, the reviews it and the approves it before it goes for Article 48 Checks, Department approval and payment. Claims recorded by LCDC s: The Claim is recorded by the Project or, the reviews it and the approves it before it goes for Article 48 Checks, Department approval and payment. Draft Stage 01 and Sign Off Stages LFP or Pobal Article 48 Checklist Stages Inspection Stage 07 Department Approval Stages Promoter Payment Stages

9 Claim Stages ( Claims) 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 Check The user checks the claim. Progress to 03 or Sign Off. Project Project Sign Off The Claim is signed off by the or. Progress to Approval The Claim is approved by the. Progress to 05 Article 48 Check. (optional) Article 48 Check The Article 48 checks the Claim Checklist questions. Progress to 06. LFP Article 48 Pobal Article Article 48 Verification The Article 48 verifies the Claim Checklist questions. Progress to 07 Inspection. LFP Article 48 Pobal Article Inspection The Claim may be inspected by the Inspectorate. Progress to 08 Department Review. Inspector Inspector Inspector Inspector Department Review The Department Checklist is completed by the Department. Progress to 09. Department Department Department Approval The claim is approved by the Department. Progress to 10 Department Payment. Department Department 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 Promoter Paid Claim Complete A status for the Claim being fully complete Claim Withdrawn A status for the to withdraw the Claim

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

11 Claim Stages (LCDC Claims) Stage LCDC Non In-House Claims (LFP Article 48 Check) LCDC 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 Check The user checks the claim. Progress to 03 or Sign Off. Project Project Sign Off The Claim is signed off by the or. Progress to Approval The Claim is approved by the. Progress to 05 Article 48 Check. (optional) Article 48 Check The Article 48 checks the Claim Checklist questions. Progress to 06. LFP Article 48 Pobal Article Article 48 Verification The Article 48 verifies the Claim Checklist questions. Progress to 07 Inspection. LFP Article 48 Pobal Article Inspection The Claim may be inspected by the Inspectorate. Progress to 08 Department Review. Inspector Inspector Inspector Inspector Department Review The Department Checklist is completed by the Department. Progress to 09. Department Department Department Approval The claim is approved by the Department. Progress to 10 Department Payment. Department Department 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 Promoter Paid Claim Complete A status for the Claim being fully complete Claim Withdrawn A status for the to withdraw the Claim

12 (4) Claim Stage by Stage Guide The following pages show detailed instructions on how a claim progresses through the stages. Stage 01 Draft Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All 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 Project Stage 01 Draft is the first stage of making a claim for project expenditure incurred and reported. At this stage, the user creates a 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 Stage 01 Draft and is then progressed to Stage 02 Check. At this stage the system populates the Article 48 Flag field showing who will perform the Article 48 Check. This value may be either LFP (Lead Financial Partner) or Pobal and is automatically populated based on the Promoter Type of the associated Promoter record. LCDC Areas If the Article 48 Flag is LFP (Non In-House claims), then the Article 48 Check is performed by the Local Authority. If the Article 48 Flag is Pobal (In-House claims i.e. where the or is the Project Promoter), then the Article 48 Check is performed by Pobal. LDC Areas The Article 48 Flag is always Pobal and the Article 48 Check is performed by Pobal. For -recorded claims, this stage is actioned by the Project or. For -recorded claims, this stage is actioned by the Project or the. 8

13 Process (1) Open the project for which you wish to create a Claim: (2) In the left navigation click Claims. 9

14 (3) Click Add New Claim. (4) The New Claim form opens. 10

15 (5) The user populates the Final Claim field. Field Final Claim?* Options Choose: Yes No (6) For Final Claims only, there are extra questions as follows: Field Is this a manually calculated Claim?* Has the manual calculation been approved by the Department?* Options Choose: Yes No Choose: Yes No Notes Manual Claims are claims where the claim expenditure is allowed to exceed the Actual Rate of Aid % (which is auto-calculated from the LEADER Grant Amount divided by Total Project Cost). In this scenario, the amount will not be limited by the Actual Rate of Aid but will be limited by the LEADER Grant Amount Remaining. Manual Claims are to be used for exceptional cases in the event of project underspend (that have been signed off by the Department) in order to facilitate making the correct final payment amount. Manual Claims must be final claims. Only one claim expenditure is allowed for a Manual Claim. Every Manual Claim must be supported by a Final Claim Manual Rate of Aid Calculation form available from and approved by the Department at rdp1420@drcd.gov.ie. This document must be uploaded to the document repository. 11

16 (7) Click Save. Note If any problem is encountered at this point, check that the Offer Sent Date, Offer Accepted By, Contract Effective Date, Contract Conclusion Date and Contract Extension Date (if applicable) have been entered on the Project record. (8) The Claim should now look like this. Note that the Claim ID populates Notes At this point the Article 48 Flag field also populates as follows: LCDC Areas: Flag is LFP for all Non In House claims and Pobal for all In-House claims LDC Areas: Flag is always Pobal 12

17 (9) Next complete the Payment Approach field and click Save. Field Payment Approach?* Options Choose: Single (Full Payment) Phased (Max of 5 Payments) (10) The Claim 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

18 (11) Next Claim expenditure is added. (12) Navigate to the Claim Expenditure tab. (13) Click inside the Claim Expenditure subgrid and click Add New Claim Expenditure. 14

19 (14) The New Claim Expenditure form opens: (15) Click the Supplier Legal Name lookup icon: 15

20 (16) The Project Supplier lookup view opens: If the Project Supplier exists select it and click OK and go to Point 20. 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

21 (17) The new Project Supplier form opens. (18) Enter the Name of the new Project Supplier and click Save & Close. 17

22 (19) The record saves. Click OK. (20) The Claim Expenditure now looks like this: 18

23 (21) Populate the remaining fields: Field Expenditure Date* Supplier Legal Name* Supplier VAT Number Invoice Number or Voluntary Labour Reference* Gross Invoice Amount* Total Invoice Amount Paid* Invoice Amount Ex VAT (Net)* Invoice Amount VAT* LEADER Invoice Amount* LEADER Eligible Amount* 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 or Land Donation etc. The Gross Invoice amount (Invoice Amount including VAT) The invoice amount paid by the Promoter The Net Invoice amount (Invoice Amount excluding VAT) The VAT amount. If no VAT applies to invoice please enter 0.00 This is the amount on the invoice that pertains to the LEADER Project. It will be either 1 or 2 below. (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. *Mandatory Note Additional guidance on entering Project Claim expenditure items may be found in Appendix 2: Entering Claim Expenditure Items 19

24 (22) The screen should now look like this: Important For Manual Claims, please note that an appropriate amount may be entered into the LEADER Eligible Amount field provided that amount does not exceed the LEADER Grant Amount Remaining. Manual Claims must be authorized in writing by the Department. (23) Click Save & Close. 20

25 (24) The Expenditure Item appears in the Expenditure subgrid. Note Multiple Expenditure Items can be added in this screen and the Total Claimed Amount will update. This is the sum of all LEADER Eligible Amounts on each Claim Expenditure Item. This value cannot exceed the LEADER Grant Amount Remaining on the Project Record or the LDS Remaining Project budget on the LDS form. 21

26 (25) Next the Article 48 Claim Checklist is answered by navigating to the Article 48 Claim Checklist section. (26) Double-click in the blank space on the first question line: 22

27 (27) Click the Response Type lookup icon: (28) The Response Type Lookup box opens. Choose the appropriate response ( Yes, Not Applicable, No ) and click OK. 23

28 (29) Complete the Response Comments box if desired and click Save & Close. You may enter a comment here if needed. Notes Where the response is No or Not Applicable, the Response Comments field should be completed to provide additional information. If a user has a significant amount of additional detail they wish to provide, they may type it into a Word document clearly referring to the checklist question number and attach it to the Notes section at the foot of the Claim form. (30) The screen should now look like this: (31) Repeat the process for all other checklist questions. 24

29 (32) The screen should now look like this: (33) Upload documents to the claim documents folder that is created automatically in the Project documents folder (i.e. 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. (34) When all checklist questions have been answered, the claim can be progressed to Stage

30 (35) Click on the Stage field lookup icon. (36) Select Stage 02 Check and click OK. 26

31 (37) Click Save. 27

32 Stage 02 Check Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 02 Check The user checks the claim. Progress to 03 or Sign Off. Project Project Project Stage 02 Check involves the user reviewing the Claim to ensure the expenditure entry and the checklist responses are correct. The user then progresses the Claim to the next Stage 03 Sign Off. Alternatively the claim is reversed by the user to Stage 01 Draft for amending. For -recorded claims, this stage is actioned by the Project or. For -recorded claims, this stage is actioned by the Project or the. 28

33 Process (1) The user opens the Claim which is at Stage 02 Check. (2) The user reviews the Claim and if satisfied progresses the stage to Stage 03 Sign Off. 29

34 Stage 03 Sign Off Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 03 Sign Off The Claim is signed off by the or. Progress to Stage 03 Sign Off involves sign off of the work done so far by the relevant user. For Projects, the reviews Project claims, including claim checklist questions and if satisfied that the information is correct, progresses the claim to Stage 04 Approval. For Projects, the reviews Project claims including claim checklist questions and if satisfied that the information is correct, progresses the claim to Stage 04 Approval. Please note that for LFP-flagged projects the next stage (i.e. Stage 4 - Approval) is optional a process must be agreed locally by each and then communicated to the respective s. Projects can only be progressed directly from Stage 0305 (i.e. Stage 4 can be skipped) based on a clear instruction from the to the. The has two options: (1) to progress all claims from Stage 0304 for Approval (2) to progress all claims from Stage 0305(Article 48 Check) and skip the Approval stage Alternatively, the Claim is reversed by the or, as appropriate to Stage 01 Draft for amending. For -recorded claims, this stage is actioned by the. For -recorded claims, this stage is actioned by the. 30

35 Process (1) The or opens the claim which is at Stage 03 Sign Off. (2) The or reviews the expenditure entered, Claim Checklist questions and any uploaded documentation and, if satisfied, progresses the claim to Stage 04 Approval. 31

36 Stage 04 Approval Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 04 Approval The Claim is approved by the. Progress to 05 Article 48 Check. (optional) Stage 04 Approval involves the reviewing the Claim expenditure entered and all Claim Checklist questions. Note that for claims with an LFP Article 48 Flag, Stage 04 is optional and may be skipped based on a local decision by the that is communicated to the associated (s). Claims with an LFP flag can only be progressed directly from Stage 0305 (i.e. Stage 04 can be skipped) based on a clear instruction from the to the. If satisfied the progresses the claim to Stage 05 Article 48 Check. Alternatively the claim is reversed to Stage 03 Sign Off for amending. For -recorded claims, this stage is actioned by the. For -recorded claims, this stage is actioned by the. 32

37 Process (1) The opens the claim which is at Stage 04 Approval. (2) The reviews the Claim expenditure entered, Claim Checklist questions and any uploaded documentation and if satisfied progresses the stage to Stage 05 Article 48 Check. 33

38 Stage 05 Article 48 Check Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) 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 Pobal Article 48 Pobal Article 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. LCDC Areas If the Article 48 Flag is LFP (Non In-House claims), the Article 48 Check is performed by the Local Authority. If the Article 48 Flag is Pobal (In-House claims ie where the or is the Project Promoter), the Article 48 Check is performed by Pobal. LDC Areas The Article 48 Flag is always Pobal and the Article 48 Check is performed by Pobal. As the first action, the Article 48 examines the claim 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 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 Claims Checklist questions, together with completing the Article 48 questions. When complete, the claim is progressed to Stage 06 Article 48 Verification. Alternatively, the claim is reversed to Stage 04 Approval for amending. For Non In-House claims in LCDC Areas, this stage is actioned by the LFP Article 48. For In-House claims in LCDC Areas, this stage is actioned by the Pobal Article 48. For All claims in LDC Areas, 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 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

39 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 35

40 (3) The claim opens. (4) The Article 48 first examines the claim to ensure that the associated project is not an In-House project (ie where the Promoter is the or ): If the claim is a Non In-House claim in an LCDC area, then the Article 48 Flag field should be LFP. If the claim is an In-House claim in an LCDC area, then the Article 48 Flag field should be Pobal. If the claim is in an LDC area, then the Article 48 Flag field should be Pobal. If the Article 48 Flag is incorrect, the or should be instructed to amend the Promoter Type. 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 36

41 (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. 37

42 (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. 38

43 (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: 39

44 (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. 40

45 (14) If satisfied, the Article 48 progresses the claim to Stage 06 Article 48 Verification. The Article 48 clicks the Stage lookup icon. (15) Choose Stage 06 and click OK. 41

46 (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 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 or 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 or progresses the claim through the stages again to Stage 05 and the Article 48 Check continues. 42

47 Stage 06 Article 48 Verification Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 06 Article 48 Verification The Pobal Article 48 verifies the Claim Checklist. Progress to 07 Inspection. LFP Article 48 Pobal Article 48 Pobal Article Stage 06 Article 48 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. LCDC Areas If the Article 48 Flag is LFP (Non In-House claims), the Article 48 Check is performed by the Local Authority. If the Article 48 Flag is Pobal (In-House claims ie where the or is the Project Promoter), the Article 48 Check is performed by Pobal. LDC Areas The Article 48 Flag is always Pobal and the Article 48 Check is performed by Pobal. Segregation of Duties For LFP-Flagged claims, where an individual in the Local Authority is both an LFP Article 48 and a, that person may only sign off the Article 48 Check (as an LFP Article 48 at Stage 06) if they have not performed the previous approval (as at Stage 04) for that particular claim. Each LCDC must maintain an offline record to monitor and ensure that the necessary segregation of duties is in place. 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 in LCDC Areas, this stage is actioned by the LFP Article 48. For In-House claims in LCDC Areas, this stage is actioned by the Pobal Article 48. For All claims in LDC Areas, 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 sign off on an In- House claim which has the Pobal Article 48 Flag. The LFP Article 48 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 or Pobal Article

48 Process (1) The Article 48 refers to their custom view to identify what claims are ready for Article 48 sign off. The view for the LFP Article 48 is shown below. (2) The Article 48 opens the claim which is at Stage 06 Article 48 Verification. Note Segregation of Duties: For LFP-Flagged claims, where an individual in the Local Authority is both an LFP Article 48 and a, that person may only sign off the Article 48 Check (as an LFP Article 48 at Stage 06) if they have not performed the previous approval (as at Stage 04) for that particular claim. Each LCDC must maintain an offline record to monitor and ensure that the necessary segregation of duties is in place. 44

49 (3) The Article 48 navigates to the Claim Checklist and opens the first question. Click here to move to the Claim Checklist (4) The Article 48 checks the responses from the and Article 48 to the checklist question and any comments entered. The Article 48 may also check any relevant uploaded documentation in the SharePoint Documents. (5) The Article 48 repeats the process for the remaining questions in the Claim Checklist. 45

50 (6) If satisfied, the Article 48 progresses the claim to Stage 07 Inspection. (7) If not satisfied, the Article 48 reverses the claim to Stage 05 Article 48 Check for amending. The Article 48 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. 46

51 Stage 07 Inspection Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 07 Inspection The Claim may be inspected by the Inspectorate. Progress to 08 Department Review. Inspector Inspector Inspector Inspector Inspector Inspector Stage 07 Inspection involves the inspection of the claim. The Inspector 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 Stage 08 Department Review. Alternatively the Claim is reversed to Stage 06 Article 48 Check for amending. For All claims, this stage is actioned by the Inspector and Inspector. Process (1) The Inspector opens the claim which is at Stage 07 Inspection. Note that the Date Moved field is now populated. (2) If the Inspector decides the Claim is not to be inspected, they progress it to Stage 08 Department Review. The Inspector may progress such claims either singly or in bulk. 47

52 (3) If the Inspector decides the Claim is to be inspected, they populate the Selection Basis field and press Save: 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. 48

53 (5) The Inspector then progresses the Claim to Stage 08 Department Review and clicks Save. (6) An automatic is sent to the Department advising that the Claim has been progressed to Stage 08 Department Review. 49

54 Stage 08 Department Review Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 08 Department Review The Department Checklist is completed by the Department. Progress to 09. Department Department Department Stage 08 Department Review involves the review of the Claim by the Department. 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 Stage 09 Department Approval. The Department may also reverse the stage to Stage 06 Article 48 Verification where any clarification or follow-up with the or is required to be done. For All claims, this stage is actioned by the Department. Process (1) The Department opens the claim which is at Stage 08 Department Review. 50

55 (2) The Department completes the Department Checklist. (3) The screen should now look like this. (4) At this point, the Department may enter a Department Penalty. Field Department Deduction Options The amount of deduction authorised by the Department. (5) If satisfied, the Department progresses the Claim to Stage 09 Department Approval. (6) An automatic is sent to the Notification Addresses for the and advising that the Claim has been progressed to Stage 09 Department Approval. 51

56 Stage 09 Department Approval Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 09 Department Approval The claim is approved by the Department. Progress to 10 Department Payment. Department Department Department Stage 09 Department Approval involves the approval of the Claim by the Department. The Department reviews the Claim. If satisfied, the Department progresses the Claim to Stage 10 Department Payment. Alternatively the Claim is reversed to Stage 08 Department Review for amending. For All claims, this stage is actioned by the Department. Process The Department opens the claim which is at Stage 09 Department Approval. 52

57 The Department reviews the Claim and, if satisfied, progresses the claim to Stage 10 Department Payment. (7) An automatic is sent to the Notification Addresses for the and advising that the Claim has been progressed to Stage 10 Department Payment. 53

58 Stage 10 Department Payment Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 10 Department Payment The Claim is paid by the Department to the Local Action Group. Department Department Department Stage 10 Department Payment involves the payment of the Claim to the by the Department. 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 claim to Stage 11 Promoter Paid. The amount of the payment will be subtracted from the total LDS Projects Budget at this point. Alternatively the Department reverses the claim to Stage 09 Department Approval for amending. For All claims, this stage is actioned by the Department. Process The Department opens the claim which is at Stage 10 Department Payment. 54

59 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 payment is sent by the Department to the. The Paid Date plus 10 days. Auto-populates. The Oracle ID for the payment. The Department progresses the Claim to Stage 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. 55

60 Stage 11 Promoter Paid Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 11 Promoter Paid The Promoter is paid. The user inputs payment information and progresses to Stage 11 Promoter Paid involves the payment of the Claim by the Local Action Group to the Promoter. Payment should be made to the Promoter within 10 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 Promoter Paid 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 All claims, this stage is actioned by the and. Process (1) The opens the Claim which is at Stage 11 Promoter Paid. 56

61 (2) The navigates to the Payment section. (3) The 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: Note that the Promoter Paid Date must be later than the Paid Date 57

62 (6) If the Payment Type field is Final Payment then the Final Payment checkbox must be ticked. This field is only editable by the. Field Final Payment Options Choose: Yes No (7) The then progresses the Claim to Stage 12 Claim Complete - Promoter Paid. 58

63 Stage 12 Claim Complete - Promoter Paid Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 12 Promoter Paid Claim Complete A status for the Claim being fully complete Stage 12 Promoter Paid Claim Complete reflects the completion of a Claim. The progresses a claim to Stage 12 Promoter Paid Claim Complete when the payment has been sent by the to the Promoter. For All claims, this stage is actioned by the and. 59

64 Stage 13 Claim Withdrawn Overview Stage Non In-House Claims (LFP Article 48 Check) In-House Claims (Pobal Article 48 Check) LDC All Claims (Pobal Article 48 Check) Can Progress To Can Reverse To 13 Claim Withdrawn A status for the to withdraw the Claim. - - Stage 13 Claim Withdrawn reflects the withdrawal of a Claim. The Claim can be withdrawn by the at any stage up to Stage 06 Article 48 Verification by clicking on the Stage lookup icon and selecting Stage 13 Claim Withdrawn. For All claims, this stage is actioned by the. 60

65 (5) 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 61

66 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 62

67 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 *** Approval for Project Amendments (Please choose) 63

68 09 Payment of Grant Stage 10 Appeal 11 Department Approval 12 Withdrawn- Ineligible-Rejection 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 13 Inspection Inspection Document 14 LEADER Administrator LEADER Administrator Document 64

69 Process (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: 65

70 (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. 66

71 (5) To add a new document within the document folder, click Add. (6) The Add Document box opens: 67

72 (7) Click Browse, locate the file to be uploaded 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. 68

73 (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. 69

74 (12) Click Check In. At this point you can also modify the name of the file if desired. (13) The file uploads. 70

75 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. 71

76 (3) Click on Documents (4) Click Add 72

77 (5) Click Upload multiple files (6) The Add Documents box appears: 73

78 (7) Open a window with the files to be uploaded (8) Drag across the files to be uploaded 74

79 (9) The screen should now look like this (10) Click OK 75

80 (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). 76

81 (13) Put a tick beside the first file (14) Click Edit Properties 77

82 (15) The Edit Properties box opens (16) Fill in the fields to categorise the document and click Save 78

83 (17) Next put a tick beside the document and click Check In (18) Add a comment if desired and click OK 79

84 (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! 80

85 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 ); specific staff in your associated Local Action Group ( and ); the Pobal Article 48 and ; the Inspectorate and Department users. Further information is provided in the Roles section of the Guide. 81

86 (6) 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

87 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

88 (7) Support 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 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. accounts may be deactivated if a user does not log in for more than three months. s are also reminded that they must comply with the LEADER ICT System Policy. 84

89 (8) Appendices 85

90 Appendix 1 Roles Local Action Group Roles Role Monthly Returns Phase 1 Security Role Description Projects & Project Claims - Phase 2 Security Role Description A user within the who reviews and approves its own Monthly Return information on the system. A user within the who reviews and approves its own Project & Project Claim 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. 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. Project A user within the who enters its own Monthly Return data on the system but does not have approval rights. 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 Not Applicable no access to the following: record; LDS record; any associated record; Monthly Returns functionality; LDS and Monthly Return folder in the Document Library. A user within the who enters its own Project & Project Claim data on the system. 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 sub-folder 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) 86

91 Implementing Partner Roles Role Monthly Returns Phase 1 Security Role Description Projects & Project Claims - Phase 2 Security Role Description A user within the organisation who reviews and approves its own Monthly Return information on the system. A user within the organisation who reviews and approves its own Project & Project Claim information on the system. Project 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. 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 Not Applicable no access to the following: record; LDS record; Monthly Returns functionality; LDS and Monthly Return folder in the Document Library. 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. 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 87

92 Local Authority Roles Role Monthly Returns Phase 1 Security Role Description Projects & Project Claims - Phase 2 Security Role Description LFP Article 48 (LCDC s Only) LFP Article 48 (LCDC s Only) Not Applicable no access to the Monthly Returns functionality Not Applicable no access to the Monthly Returns functionality A user within the Local Authority/LCDC responsible for signing off the Article 48 checks on project applications and payment claims in their own LDS Area (i.e. LCDC flag), with the exception of In-House projects and claims (i.e. projects delivered directly by the or as the promoter). Can sign off Article 48 checks for all LCDCflagged projects at Stages 09 and 14 in their own LDS Area Can progress all LCDC-flagged projects to Stages 10 and 15 in their own LDS Area Can sign off Article 48 checks on all LCDCflagged claims at Stage 06 in their own LDS Area. Can progress all LCDC-flagged claims to Stage 07 in their own LDS Area Can view Project Promoters in their own LDS Area Has access rights to documents for any projects or claims in their own LDS Area A user within the Local Authority/LCDC responsible for performing the Article 48 checks on project applications and payment claims in their own LDS Area (i.e. LCDC flag), with the exception of In-House projects and claims (i.e. projects delivered directly by the or as the promoter). Can perform Article 48 checks for all LCDCflagged projects at Stages 08 and 13 in their own LDS Area Can progress all LCDC-flagged projects to Stages 09 and 14 in their own LDS Area Can perform Article 48 checks on all LCDCflagged claims at Stage 05 in their own LDS Area Can progress all LCDC-flagged claims to Stage 06 in their own LDS Area Can view Project Promoters Has access rights to documents for any projects or claims in their own LDS Area 88

93 Department Roles Role Monthly Returns Phase 1 Security Role Description Projects & Project Claims - Phase 2 Security Role Description Department Department Inspectorate Inspectorate Department 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 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 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 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 89

94 Pobal Roles Role Pobal Article 48 Pobal Article 48 Pobal Read-Only LEADER System Administrator Monthly Returns Phase 1 Security Role Description 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. 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 ) 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 Projects & Project Claims - Phase 2 Security Role Description 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. 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 90

95 Other Roles Role External Third Party Software Developer Monthly Returns Phase 1 Security Role Description 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 Projects & Project Claims - Phase 2 Security Role Description 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 91

96 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. *Mandatory Note Please refer to the Operating Rules and relevant circulars for any amendments or updates to the above points. 92

97 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%). 93

98 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,