Introduction
As capital claims can be submitted all year round, selection of RP capital inspections will be part of a nightly risk analysis (on the spot inspections). 5% of businesses will be selected. In addition to the risk analysis selection all claims in excess of £20,000 will be selected for an on site admin visit.
- Selection will only take place on final claims.
- These must be inspected before payment is made.
- The following process applies to both on the spot inspections and on site admin visits.
Manual Process
Until an electronic claim submission process is available all capital claims submitted to RPID area offices will be captured onto a spreadsheet. The spreadsheet will be monitored by HQ, each final claim will be manually scored for risk analysis and the highest risk cases selected for inspection. RPID area offices will be emailed on Mondays with the cases selected for inspection (both risk selected cases and on site admin visits).
Electronic Process
When the electronic claim submission process is available (forecast to be Sept. 2009) risk analysis will run nightly and selected cases marked for inspection.
Process for cases selected (both manual and electronic).
1. RPID- HQ run risk analysis to select cases for inspection (both risk selected cases and on site admin visits).
2. RPID- HQ:
- For the manual process HQ will e-mail RPID coordinators with cases selected for inspection.
- For the electronic process - RPID co-ordinators will monitor claims to identify the ones selected for inspection
3. RPID- RP Co-ordinator to lead on:
A) Allocation of inspections:
Inspections will be allocated using the same principles as the allocation of the annual recurrent inspections. Allocation to be determined locally based on balance of options and within the broad principle that:
- FCS will inspect forestry related options
- SNH those on, or associated with, designated sites
- Where a FCS or SNH caseworker was involved in the approval, unless the item selected for inspection is not the reason the case was passed to FCS/ SNH, e.g. item to be inspected is an agricultural shed approved as part of a larger forestry application.
- Inspections cannot be undertaken by case officers who assessed the same case.
B) Co-ordination of Inspections;
- RPID Co-ordinator to print off inspection report form, scan it and email to agreed contact in FCS/ SNH. There are two generic inspections forms available one for the cases selected by risk analysis and one for cases selected for an on site admin visit.
- FCS/ SNH inspector to print off inspection report form for inspection.
- Inspector to undertake inspection (within 6 weeks of allocation to allow payments to be released) and complete the inspection report form on site. Details of any breaches found to be recorded in the comments field on the form while on site.
- At the end of the inspection the inspector should sign and date the inspection form. The beneficiary / representative of the business should be offered the opportunity to sign the form, if available.
- For audit/appeal purposes the original inspection report form and any related checklists completed by inspectors must be returned to RPID co-ordinator, within a week of completion of the inspection FCS/ SNH may keep a copy for their own purposes if they wish. (The designated contact is responsible for ensuring inspections are returned to RPID).
4. RPID co-ordinator to arrange for the findings of the inspection to be captured and certified for payment.
For information:
Risk selected cases require a full on the spot inspection - in depth questions on the generic inspection form.
On the spot admin visits should only verify the realisation of the investment and that the item is being used for the purpose for which it was funded. - fewer questions on the inspection form, this is a lighter touch inspection.
Flowchart - protocol for allocation of capital inspections