ESF Guidance Manual 4 Annex 11: Article 13: ESF Verification ...

Quality assurance
51. Experience of Article 4 work under the 2000-2006 ESF programme
demonstrated the importance of the operation of suitable quality systems to
maintain standards. In practice this is about the setting up of a checking
process which ensures that Article 13 verification activity is being completed
to a standard which is consistent across the Managing Authority and also that
they meet the national guidelines and EC regulations.
52. The implementation of quality systems will provide the Certifying Authority,
Risk Assurance Division and the European Commission with a degree of
assurance that consistent standards are being applied by the Managing
Authority.
Quality assurance procedures
53. The following quality assurance procedures will be adopted:-
a. All verification files will contain a standard checklist of actions that will
require signatures from staff involved in the Article 13 monitoring work. The
checklist will provide an audit trail of activity relating to that monitoring visit.
b. The SEO Delivery and Control managers or the Managing Authority Team
Leader will countersign all Article 13 verification reports
c. Article 13 work delegated to the ITM Unit will be subject to regular review
by the MA through KIT meetings and at an annual formal review meeting.
d. The SEO will accompany Contract Delivery Officers on verification activity
to assess individual standards and review the appropriateness of procedures.
e. The Managing Authority team leader will select at random Article 13
verification files and check to ensure they are compliant and meet agreed
standards.
f. Article 13 reports should be sent to the provider within 20 working days of
completion of the report associated with that on the spot verification.
Monitoring
54. The Managing Authority will monitor the progress and development of the
Article 13 verification programme. The Managing Authority will consult
Intermediate Body colleagues, lead representatives from CFOs, the Audit
Authority, Certifying Authority and the ITM Unit to assess the effectiveness of
the procedures put in place.
Reporting
55. The Managing Authority will produce reports summarising the verification
activity undertaken. The reports will set out the number of verification visits
undertaken, including follow-up activity, the outcome of any on the spot
checks including irregularities, and any systemic issues.
56. The Managing Authority will summarise Article 13 verification reports and
data in the Annual Implementation Report submitted to the European
Commission.
Manual 4 Annex 11 - Article 13 Strategy | September 2012 Page 14 of 33