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Record Keeping and Monitoring

Monitoring is regularly collecting and recording information about the day-to-day implementation of the workplan to provide regular feedback on whether a DP is on schedule. There are three key areas for ESF monitoring and record keeping: activities, finances, and outputs and beneficiaries.

Monitoring is essential for managing any DP.

For Equal, monitoring is clearly vital to provide data for the DP’s evaluation, a requirement of the Programme. It is also important because Equal has to be delivered by a large, multi-agency partnership – the DP. Even where activity is being delivered by partners or subcontractors, the lead partner is responsible for all activity, including the audit trails for all costs and income. Monitoring partners’ progress is clearly vital, not only to make sure that activities are carried out on time and to the required standard, but that any costs incurred are eligible and within the approved ESF allocation.

How your DP will be monitored

The Support Unit and the SE will use the most recent version of the approval paperwork to monitor the DP.

The Equal DP will be monitored in seven main ways.

The DP Profile and Advance Claim Form

The Closure Report

The significant change process

Support Unit visits

Audit and inspection visits

Annual monitoring forms

It is very important that the lead partner works with other members of the DP at the start of activity to set up systems to systematically collect and use monitoring data. There is no blueprint for a monitoring system; each DP will need to set up a system that suits them. However, there are three important principles to observe.

You should link the record-keeping systems to the DP monitoring requirements, principally the interim claims, Closure Report and monitoring forms.  Where possible, you should standardise the systems among the DP partners.

Keep it as simple as possible:

Keep everyone informed – tell people what they need to do, and why, and make monitoring a part of day-to-day work rather than something additional or separate.

Useful documentation :
Scottish ESF Monitoring and Record Keeping Good Practice Guide
Scottish Guidance Note on Monitoring Visits for R2 Action 2

Other publications on Good Practice are available in the Downloadssection of this website.