CHECKLIST OF EVIDENCE REQUIRED TO BE KEPT

FOR ALL EU STRUCTURAL FUND PROJECTS

SECTION

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EVIDENCE

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Evidence of Project Need

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Business Case

  • Feasibility Studies
  • Reports (Operational & Business Plans)

Grant Funding Application Forms /
  • Copy of signed submitted Application Forms
  • Working papers
  • Match Funding Letters/Certificates
  • Internal minutes/Cabinet Papers confirming own funds set aside

Funding Approval /
  • Copies of signed Grant Approval letters

Special Conditions /
  • Achievement of the Special Conditions stipulated by the Grant Paying Body.
  • Confirmation of providing the Grant Paying Body with the evidence in support of the Special Conditions.

Correspondence /
  • Correspondence between funding partners confirming any change in project activity, spend etc
  • Project deliverers, Contractors.

Staffing /
  • Recruitment Procedure
  • Managers Recruitment Handbook.
  • Copy of Recruitment Adverts
  • Letters of Appointment
  • Job Description
  • Employment Contracts
  • Organisation structure chart showing line management of project staff.
  • Staff structure
  • Ledger prints of payroll costs and payroll records.
  • Time sheets to support staff costs charged to the project.

ProcurementProcess Undertaken

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  • Contract Procedure Rules (CPR’s)
  • Brief
  • Advert for tender (OJEU)
  • Copy of Tenders
  • Tender reports
  • Selection criteria
  • Justification for the appointment / selection of the successful contractor
  • Letter appointing successful tender
  • Copy of contract
  • Letter accepting contracts
  • Copy of Signed Contract
  • Copy of quotations (If under formal procurement processes)

Financial: General /
  • Overview of Financial Information Systems
  • Financial Regulations
  • Details of cost centre and description codes set up for project
  • List of authorised signatories (Orders, invoices of Grant Claims)
  • Separation of Duties Orders/Invoices
  • List of equipment purchased, including serial numbers i.e. P.C.’s, digital camera

Financial: Grant Claims /
  • Copies of Grant Claims
  • Working papers supporting the amounts included in the specified claim form and providing an audit trail from the claim form to the financial records i.e. list of transactions making up the claim form
  • All Relevant Working Papers/spreadsheets to support the preparation of the grant claim
  • Ledger prints
  • Original paid invoices/financial documentation in respect of all transactions.
  • Audit trail to the bank statements showing the payment of invoices listed above.
  • Remittance Advice Particular relevance to Third Party Grants)
  • Receipts
  • Timesheets to support staff time on projects
  • Travel Claims
  • Payroll information
  • Written methods of apportionment e.g. overheads and in-direct costs and a full breakdown of overhead expenditure and evidence to support the amount allocated to the project.
  • Depreciation methodology.

Receipt of European Grant /
  • Notification from the WEFO by way of letter
  • Remittance Advice.
  • Corresponding bank statement.
  • Ledger prints and journals in support of the method in which the income is treated.
  • Follow Up Action Points.

Match Funding /
  • Applications for all Match Funding
  • Evidence to confirm all match funding attributed to the project, split between cash and in-kind
  • Claims for and Remittance Advice of cash match funding received.
  • Corresponding bank statements.
  • Ledger prints and journals in support of the method in which the cash income is dealt with.

Private Sector Contributions /
  • Evidence to confirm the Private Sector Contributions generated for the project.
  • The amount of grant drawn down against the Private Sector Contributions.

Audits /
  • Yearly Audit Certificates and any correspondence between the Authority and the chosen auditor.
  • WEFO Visit Record Sheets
  • External Audits i.e. WEFO Audit Visits
  • Internal Audits – reports compiled following Mock Audit Procedure

Achievement of all targets. /
  • Documentation to support achievement of all targets claimed against the project.
  • For ESF Projects:Beneficiary enrolment forms;attendance records;outcome records;follow-up records

Cross Cutting Themes. /
  • Evidence to support the implementation of all of the Cross Cutting Themes stipulated in the Project Application.

Monitoring & Evaluation /
  • Minutes/Notes of progress meetings
  • Action Plans
  • Progress reports
  • Evidence to support project targets achieved i.e. beneficiary details, jobs created, businesses supported
  • Project Evaluation

Publicity / Evidence to support promotion of the project and the EU assistance received.
  • Publicity strategy
  • Leaflets
  • Posters
  • Brochures
  • Press cuttings
  • Press releases
  • Presentation material
  • Advertisements
  • Photographic evidence i.e. Site hoarding, project launches, plaques, project launches /events evidencing the progress of project.

Policies, Procedures & Strategies / List of Policies & Procedures (ensure that the policies are current to the period of the project, and that all up-dated versions are also retained).
  • Health & Safety Policy
  • Equal Opportunities Policy
  • Information & Communications Technology (ICT) Policy
  • Environmental Policy
  • Procurement Policy
  • Recruitment Policy
  • Document Retention Procedure
  • Grant Claiming Procedure
  • Convergence Procedures & Guidelines